[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2003 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

   

                    40


          Parts 87 to 99

                         Revised as of July 1, 2003

Protection of Environment





          Containing a codification of documents of general 
          applicability and future effect
          As of July 1, 2003
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
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[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Material Incorporated by Reference......................     769
      Table of CFR Titles and Chapters........................     773
      Alphabetical List of Agencies Appearing in the CFR......     791
      List of CFR Sections Affected...........................     801



[[Page iv]]


      


                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 87.1 refers 
                       to title 40, part 87, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

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Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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citations for the regulations are referred to by volume number and page 
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OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, a ``List of CFR 
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INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
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This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 741-6010.

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separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
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also included in this volume.
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that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
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the top of odd-numbered pages.
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or write to the Director, Office of the Federal Register, National 
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                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2003.



[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of twenty-nine 
volumes. The parts in these volumes are arranged in the following order: 
parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-End), 
parts 53-59, part 60 (60.1-End), part 60 (Appendices), parts 61-62, part 
63 (63.1-63.599), part 63 (63.600-1-63.1199), part 63 (63.1200-63.1439), 
part 63 (63.1440-End) parts 64-71, parts 72-80, parts 81-85, part 86 
(86.1-86.599-99) part 86 (86.600-1-End), parts 87-99, parts 100-135, 
parts 136-149, parts 150-189, parts 190-259, parts 260-265, parts 266-
299, parts 300-399, parts 400-424, parts 425-699, parts 700-789, and 
part 790 to End. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of July 1, 2003.

    Chapter I--Environmental Protection Agency appears in all twenty-
nine volumes. An alphabetical Listing of Pesticide Chemicals Index 
appears in parts 150-189. Regulations issued by the Council on 
Environmental Quality appear in the volume containing part 790 to End. 
The OMB control numbers for title 40 appear in Sec. 9.1 of this chapter.

[[Page x]]




[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                  (This book contains parts 87 to 135)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Environmental Protection Agency (Continued)......          87

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




  --------------------------------------------------------------------


  Editorial Note: Nomenclature changes to chapter I appear at 65 FR 
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001.

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
87              Control of air pollution from aircraft and 
                    aircraft engines........................           5
88              Clean-fuel vehicles.........................          12
89              Control of emissions from new and in-use 
                    nonroad compression-ignition engines....          38
90              Control of emissions from nonroad spark-
                    ignition engines at or below 19 
                    kilowatts...............................         164
91              Control of emissions from marine spark-
                    ignition engines........................         294
92              Control of emissions from locomotives and 
                    locomotive engines......................         402
93              Determining conformity of Federal actions to 
                    State or Federal implementation plans...         544
94              Control of air pollution from marine 
                    compression-ignition engines............         583
95              Mandatory patent licenses...................         663
96              NOX Budget Trading Program for 
                    State Implementation Plans..............         665
97              Federal NOX Budget Trading 
                    Program.................................         707
98-99           [Reserved]

[[Page 5]]



                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)





PART 87--CONTROL OF AIR POLLUTION FROM AIRCRAFT AND AIRCRAFT ENGINES--Table of Contents




                      Subpart A--General Provisions

Sec.
87.1  Definitions.
87.2  Abbreviations.
87.3  General requirements.
87.4  [Reserved]
87.5  Special test procedures.
87.6  Aircraft safety.
87.7  Exemptions.

 Subpart B--Engine Fuel Venting Emissions (New and In-Use Aircraft Gas 
                            Turbine Engines)

87.10  Applicability.
87.11  Standard for fuel venting emissions.

     Subpart C--Exhaust Emissions (New Aircraft Gas Turbine Engines)

87.20  Applicability.
87.21  Standards for exhaust emissions.

   Subpart D--Exhaust Emissions (In-Use Aircraft Gas Turbine Engines)

87.30  Applicability.
87.31  Standards for exhaust emissions.

Subparts E-F [Reserved]

    Subpart G--Test Procedures for Engine Exhaust Gaseous Emissions 
               (Aircraft and Aircraft Gas Turbine Engines)

87.60  Introduction.
87.61  Turbine fuel specifications.
87.62  Test procedure (propulsion engines).
87.63  [Reserved]
87.64  Sampling and analytical procedures for measuring gaseous exhaust 
          emissions.
87.65--87.70  [Reserved]
87.71  Compliance with gaseous emission standards.

  Subpart H--Test Procedures for Engine Smoke Emissions (Aircraft Gas 
                            Turbine Engines)

87.80  Introduction.
87.81  Fuel specifications.
87.82  Sampling and analytical procedures for measuring smoke exhaust 
          emissions.
87.83--87.88  [Reserved]
87.89  Compliance with smoke emission standards.

    Authority: Secs. 231, 301(a), Clean Air Act, as amended (42 U.S.C. 
7571, 7601(a)), unless otherwise noted.

    Source: 47 FR 58470, Dec. 30, 1982, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 87.1  Definitions.

    (a) As used in this part, all terms not defined herein shall have 
the meaning given them in the Act:
    Act means the Clean Air Act, as amended (42 U.S.C. 7401 et seq.).
    Administrator means the Administrator of the Environmental 
Protection Agency and any other officer or employee of the Environmental 
Protection Agency to whom authority involved may be delegated.
    Aircraft means any airplane for which a U.S. standard airworthiness 
certificate or equivalent foreign airworthiness certificate is issued.
    Aircraft engine means a propulsion engine which is installed in or 
which is manufactured for installation in an aircraft.
    Aircraft gas turbine engine means a turboprop, turbofan, or turbojet 
aircraft engine.
    Class TP means all aircraft turboprop engines.
    Class TF means all turbofan or turbojet aircraft engines or aircraft 
engines designed for applications that otherwise would have been 
fulfilled by turbojet and turbofan engines except engines of class T3, 
T8, and TSS.
    Class T3 means all aircraft gas turbine engines of the JT3D model 
family.
    Class T8 means all aircraft gas turbine engines of the JT8D model 
family.
    Class TSS means all aircraft gas turbine engines employed for 
propulsion of aircraft designed to operate at supersonic flight speeds.
    Commercial aircraft engine means any aircraft engine used or 
intended for use by an ``air carrier,'' (including those engaged in 
``intrastate air transportation'') or a ``commercial operator'' 
(including those engaged in ``intrastate air transportation'') as these 
terms are defined in the Federal Aviation Act and the Federal Aviation 
Regulations.

[[Page 6]]

    Commercial aircraft gas turbine engine means a turboprop, turbofan, 
or turbojet commercial aircraft engine.
    Emission measurement system means all of the equipment necessary to 
transport and measure the level of emissions. This includes the sample 
system and the instrumentation system.
    Engine Model means all commercial aircraft turbine engines which are 
of the same general series, displacement, and design characteristics and 
are usually approved under the same type certificate.
    Exhaust emissions means substances emitted to the atmosphere from 
the exhaust discharge nozzle of an aircraft or aircraft engine.
    Fuel venting emissions means raw fuel, exclusive of hydrocarbons in 
the exhaust emissions, discharged from aircraft gas turbine engines 
during all normal ground and flight operations.
    In-use aircraft gas turbine engine means an aircraft gas turbine 
engine which is in service.
    New aircraft turbine engine means an aircraft gas turbine engine 
which has never been in service.
    Power setting means the power or thrust output of an engine in terms 
of kilonewtons thrust for turbojet and turbofan engines and shaft power 
in terms of kilowatts for turboprop engines.
    Rated output (rO) means the maximum power/thrust available for 
takeoff at standard day conditions as approved for the engine by the 
Federal Aviation Administration, including reheat contribution where 
applicable, but excluding any contribution due to water injection.
    Rated pressure ratio (rPR) means the ratio between the combustor 
inlet pressure and the engine inlet pressure achieved by an engine 
operating at rated output.
    Sample system means the system which provides for the transportation 
of the gaseous emission sample from the sample probe to the inlet of the 
instrumentation system.
    Secretary means the Secretary of Transportation and any other 
officer or employee of the Department of Transportation to whom the 
authority involved may be delegated.
    Shaft power means only the measured shaft power output of a 
turboprop engine.
    Smoke means the matter in exhaust emissions which obscures the 
transmission of light.
    Smoke number (SN) means the dimensionless term quantifying smoke 
emissions.
    Standard day conditions means standard ambient conditions as 
described in the United States Standard Atmosphere, 1976, (i.e., 
Temperature =15  deg.C, specific humidity =0.00 kg/ H2 O/kg 
dry air, and pressure =101325 Pa.)
    Taxi/idle (in) means those aircraft operations involving taxi and 
idle between the time of landing roll-out and final shutdown of all 
propulsion engines.
    Taxi/idle (out) means those aircraft operations involving taxi and 
idle between the time of initial starting of the propulsion engine(s) 
used for the taxi and turn on to duty runway.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62 
FR 25365, May 8, 1997]



Sec. 87.2  Abbreviations.

    The abbreviations used in this part have the following meanings in 
both upper and lower case:

CO  Carbon Monoxide
FAA  Federal Aviation Administration, Department of Transportation
HC  Hydrocarbon(s)
hr.  Hour(s)
LTO  Landing takeoff
min.  Minute(s)
NOX  Oxides of nitrogen
rO  Rated output
rPR  Rated pressure ratio
sec.  Seconds
SP  Shaft power
SN  Smoke number
T  Temperature, degrees Kelvin
TIM  Time in mode
W  Watt(s)
 deg.  Degree
%  Percent

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62 
FR 25365, May 8, 1997]



Sec. 87.3  General requirements.

    (a) This part provides for the approval or acceptance by the 
Administrator or the Secretary of testing and

[[Page 7]]

sampling methods, analytical, techniques, and related equipment not 
identical to those specified in this part. Before either approves or 
accepts any such alternate, equivalent, or otherwise nonidentical 
procedures or equipment, the Administrator or the Secretary shall 
consult with the other in determining whether or not the action requires 
rulemaking under sections 231 and 232 of the Clean Air Act, as amended, 
consistent with the Administrator's and the Secretary's responsibilities 
under sections 231 and 232 of the Act. (42 U.S.C. 7571, 7572).
    (b) Under section 232 of the Act, the Secretary issues regulations 
to insure compliance with this part.
    (c) With respect to aircraft of foreign registry, these regulations 
shall apply in a manner consistent with any obligation assumed by the 
United States in any treaty, convention or agreement between the United 
States and any foreign country or foreign countries.



Sec. 87.4  [Reserved]



Sec. 87.5  Special test procedures.

    The Administrator or the Secretary may, upon written application by 
a manufacturer or operator of aircraft or aircraft engines, approve test 
procedures for any aircraft or aircraft engine that is not susceptible 
to satisfactory testing by the procedures set forth herein. Prior to 
taking action on any such application, the Administrator or the 
Secretary shall consult with the other.



Sec. 87.6  Aircraft safety.

    The provisions of this part will be revised if at any time the 
Secretary determines that an emission standard cannot be met within the 
specified time without creating a safety hazard.



Sec. 87.7  Exemptions.

    (a) Exemptions based on flights for short durations at infrequent 
intervals. The emission standards of this part do not apply to engines 
which power aircraft operated in the United States for short durations 
at infrequent intervals. Such operations are limited to:
    (1) Flights of an aircraft for the purpose of export to a foreign 
country, including any flights essential to demonstrate the integrity of 
an aircraft prior to its flight to a point outside the United States.
    (2) Flights to a base where repairs, alterations or maintenance are 
to be performed, or to a point of storage, and flights for the purpose 
of returning an aircraft to service.
    (3) Official visits by representatives of foreign governments.
    (4) Other flights the Secretary determines, after consultation with 
the Administrator, to be for short durations at infrequent intervals. A 
request for such a determination shall be made before the flight takes 
place.
    (b) Exemptions for very low production models. The emissions 
standards of this part do not apply to engines of very low total 
production after the date of applicability. For the purpose of this 
part, ``very low production'' is limited to a maximum total production 
for United States civil aviation applications of no more than 200 units 
covered by the same type certificate after January 1, 1984.
    (1) A maximum annual production rate after January 1, 1984 of 20 
units covered by the same type certificate; and
    (2) A maximum total production after January 1, 1984 of 200 units 
covered by the same type certificate.
    (c) Exemptions for New Engines in Other Categories. The emissions 
standards of this part do not apply to engines for which the Secretary 
determines, with the concurrence of the Administrator, that application 
of any standard under Sec. 87.21 is not justified, based upon 
consideration of:
    (1) Adverse economic impact on the manufacturer.
    (2) Adverse economic impact on the aircraft and airline industries 
at large.
    (3) Equity in administering the standards among all economically 
competing parties.
    (4) Public health and welfare effects.
    (5) Other factors which the Secretary, after consultation with the 
Administrator, may deem relevant to the case in question.
    (d) Time Limited Exemptions for In Use Engines. The emissions 
standards of this part do not apply to aircraft or aircraft engines for 
time periods which the Secretary determines, with the

[[Page 8]]

concurrence of the Administrator, that any applicable standard under 
Sec. 87.11(a), Sec. 87.31(a), or Sec. 87.31(c), should not be applied 
based upon consideration of the following:
    (1) Documentation demonstrating that all good faith efforts to 
achieve compliance with such standard have been made.
    (2) Documentation demonstrating that the inability to comply with 
such standard is due to circumstances beyond the control of the owner or 
operator of the aircraft.
    (3) A plan in which the owner or operator of the aircraft shows that 
he will achieve compliance in the shortest time which is feasible.
    (4) Applications for a determination that any requirements of 
Sec. 87.11(a), Sec. 87.31(a) or Sec. 87.31(c) do not apply shall be 
submitted in duplicate to the Secretary in accordance with procedures 
established by the Secretary.
    (e) The Secretary shall publish in the Federal Register the name of 
the organization to whom exemptions are granted and the period of such 
exemptions.
    (f) No state or political subdivision thereof may attempt to enforce 
a standard respecting emissions from an aircraft or engine if such 
aircraft or engine has been exempted from such standard under this part.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 49 
FR 41002, Oct. 18, 1984]



 Subpart B--Engine Fuel Venting Emissions (New and In-Use Aircraft Gas 
                            Turbine Engines)



Sec. 87.10  Applicability.

    (a) The provisions of this subpart are applicable to all new 
aircraft gas turbines of classes T3, T8, TSS and TF equal to or greater 
than 36 kilonewton rated output, manufactured on or after January 1, 
1974, and to all in-use aircraft gas turbine engines of classes T3, T8, 
TSS and TF equal to or greater than 36 kilonewton rated output 
manufactured after February 1, 1974.
    (b) The provisions of this subpart are also applicable to all new 
aircraft gas turbines of class TF less than 36 kilonewton rated output 
and class TP manufactured on or after January 1, 1975 and to all in-use 
aircraft gas turbines of class TF less than 36 kilonewton rated output 
and class TP manufactured after January 1, 1975.

[49 FR 41002, Oct. 18, 1984]



Sec. 87.11  Standard for fuel venting emissions.

    (a) No fuel venting emissions shall be discharged into the 
atmosphere from any new or in-use aircraft gas turbine engine subject to 
the subpart. This paragraph is directed at the elimination of 
intentional discharge to the atmosphere of fuel drained from fuel nozzle 
manifolds after engines are shut down and does not apply to normal fuel 
seepage from shaft seals, joints, and fittings.
    (b) Conformity with the standard set forth in paragraph (a) of this 
section shall be determined by inspection of the method designed to 
eliminate these emissions.



     Subpart C--Exhaust Emissions (New Aircraft Gas Turbine Engines)



Sec. 87.20  Applicability.

    The provisions of this subpart are applicable to all aircraft gas 
turbine engines of the classes specified beginning on the dates 
specified.



Sec. 87.21  Standards for exhaust emissions.

    (a) Exhaust emissions of smoke from each new aircraft gas turbine 
engine of class T8 manufactured on or after February 1, 1974, shall not 
exceed: Smoke number of 30.
    (b) Exhaust emissions of smoke from each new aircraft gas turbine 
engine of class TF and of rated output of 129 kilonewtons thrust or 
greater, manufactured on or after January 1, 1976, shall not exceed:

SN=83.6(r0)-0.274 (r0 is in kilonewtons).

    (c) Exhaust emission of smoke from each new aircraft gas turbine 
engine of class T3 manufactured on or after January 1, 1978, shall not 
exceed: Smoke number of 25.

[[Page 9]]

    (d) Gaseous exhaust emissions from each new commercial aircraft gas 
turbine engine shall not exceed:
    (1) Classes TF, T3, T8 engines greater than 26.7 kilonewtons rated 
output:
    (i) Engines manufactured on or after January 1, 1984:

Hydrocarbons: 19.6 grams/kilonewton rO.

    (ii) Engines manufactured on or after July 7, 1997.

Carbon Monoxide: 118 grams/kilonewton rO.

    (iii) Engines of a type or model of which the date of manufacture of 
the first individual production model was on or before December 31, 1995 
and for which the date of manufacture of the individual engine was on or 
before December 31, 1999.

Oxides of Nitrogen: (40 + 2(rPR)) grams/kilonewtons rO.

    (iv) Engines of a type or model of which the date of manufacture of 
the first individual production model was after December 31, 1995 or for 
which the date of manufacture of the individual engine was after 
December 31, 1999:

Oxides of Nitrogen: (32 + 1.6(rPR)) grams/kilonewtons rO.

    (v) The emission standards prescribed in paragraphs (d)(1) (iii) and 
(iv) of this section apply as prescribed beginning July 7, 1997.
    (2) Class TSS: Engines manufactured on or after January 1, 1984:

Hydrocarbons=140(0.92) rPR grams/kilonewtons rO.

    (e) Smoke exhaust emissions from each gas turbine engine of the 
classes specified below shall not exceed:
    (1) Class TF of rated output less than 26.7 kilonewtons manufactured 
on or after (one year from date of publication):

SN=83.6(ro)-0.274 (ro is in kilonewtons) not to exceed a 
    maximum of SN=50.

    (2) Classes T3, T8, TSS and TF of rated output equal to or greater 
than 26.7 kilonewtons manufactured on or after January 1, 1984:

SN=83.6(ro)-0.274 (ro is in kilonewtons) not to exceed a 
    maximum of SN=50.

    (3) Class TP of rated output equal to or greater than 1,000 
kilowatts manufactured on or after January 1, 1984:

SN=187(ro) -0.168 (ro is in kilowatts)

    (f) The standards set forth in paragraphs (a), (b), (c), (d), and 
(e) of this section refer to a composite gaseous emission sample 
representing the operating cycles set forth in the applicable sections 
of subpart G of this part, and exhaust smoke emissions emitted during 
operations of the engine as specified in the applicable sections of 
subpart H of this part, measured and calculated in accordance with the 
procedures set forth in those subparts.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62 
FR 25365, May 8, 1997]



   Subpart D--Exhaust Emissions (In-Use Aircraft Gas Turbine Engines)



Sec. 87.30  Applicability.

    The provisions of this subpart are applicable to all in-use aircraft 
gas turbine engines certified for operation within the United States of 
the classes specified beginning on the dates specified.



Sec. 87.31  Standards for exhaust emissions.

    (a) Exhaust emissions of smoke from each in-use aircraft gas turbine 
engine of Class T8, beginning February 1, 1974, shall not exceed: Smoke 
number of 30.
    (b) Exhaust emissions of smoke from each in-use aircraft gas turbine 
engine of class TF and of rated output of 129 kilonewtons thrust or 
greater, beginning January 1, 1976, shall not exceed:

SN=83.6(r0)-0.274(r0 is in kilonewtons).

    (c) The standards set forth in paragraphs (a) and (b) of this 
section refer to exhaust smoke emissions emitted during operations of 
the engine as specified in the applicable section of subpart H of this 
part, and measured and calculated in accordance with the procedures set 
forth in this subpart.

[47 FR 58470, Dec. 30, 1982, as amended at 48 FR 2718, Jan. 20, 1983]

Subparts E-F [Reserved]

[[Page 10]]



    Subpart G--Test Procedures for Engine Exhaust Gaseous Emissions 
               (Aircraft and Aircraft Gas Turbine Engines)



Sec. 87.60  Introduction.

    (a) Except as provided under Sec. 87.5, the procedures described in 
this subpart shall be the test program to determine the conformity of 
new aircraft gas turbine engines with the applicable standards set forth 
in this part.
    (b) The test consists of operating the engine at prescribed power 
settings on an engine dynamometer (for engines producing primarily shaft 
power) or thrust measuring test stand (for engines producing primarily 
thrust). The exhaust gases generated during engine operation are sampled 
continuously for specific component analysis through the analytical 
train.
    (c) The exhaust emission test is designed to measure hydrocarbons, 
carbon monoxide, carbon dioxide, and oxides of nitrogen concentrations, 
and to determine mass emissions through calculations during a simulated 
aircraft landing-takeoff cycle (LTO). The LTO cycle is based on time in 
mode data during high activity periods at major airports. The test for 
propulsion engines consists of at least the following four modes of 
engine operation: taxi/idle, takeoff, climbout, and approach. The mass 
emission for the modes are combined to yield the reported values.
    (d) When an engine is tested for exhaust emissions on an engine 
dynamometer or test stand, the complete engine shall be used with all 
accessories which might reasonably be expected to influence emissions to 
the atmosphere installed and functioning, if not otherwise prohibited by 
Sec. 87.62(a)(2). Use of service air bleed and shaft power extraction to 
power auxiliary gearbox-mounted components required to drive aircraft 
systems is not permitted.
    (e) Other gaseous emissions measurement systems may be used if shown 
to yield equivalent results and if approved in advance by the 
Administrator or the Secretary.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62 
FR 25366, May 8, 1997]



Sec. 87.61  Turbine fuel specifications.

    For exhaust emission testing, fuel meeting the specifications listed 
in this section shall be used. Additives used for the purpose of smoke 
suppression (such as organometallic compounds) shall not be present.

                 Property and Allowable Range of Values

Density kg/m\3\ at 15  deg.C: 780-820.
Distillation temperature,  deg.C: 10% boiling point, 155-201; final 
boiling point, 235-285.
Net heat of combustion, MJ/kg: 42.86-43.50.
Aromatics, volume %: 15-23.
Naphthalenes, volume %: 1.0-3.5.
Smoke point, mm: 20-28.
Hydrogen, mass %: 13.4-14.1.
Sulfur, mass %: less than 0.3%.
Kinematic viscosity at -20  deg.C, mm\2\/s: 2.5-6.5.

[62 FR 25366, May 8, 1997]



Sec. 87.62  Test procedure (propulsion engines).

    (a)(1) The engine shall be tested in each of the following engine 
operating modes which simulate aircraft operation to determine its mass 
emission rates. The actual power setting, when corrected to standard day 
conditions, should correspond to the following percentages of rated 
output. Analytical correction for variations from reference day 
conditions and minor variations in actual power setting should be 
specified and/or approved by the Secretary:

------------------------------------------------------------------------
                                                         Class
                                              --------------------------
                     Mode                               TF, T3,
                                                  TP       T8      TSS
------------------------------------------------------------------------
Taxi/idle....................................   (\1\ )   (\1\ )   (\1\ )
Takeoff......................................      100      100      100
Climbout.....................................       90       85       65
Descent......................................       NA       NA       15
Approach.....................................       30       30       34
------------------------------------------------------------------------
\1\ See paragraph (a)(2) of this section.

    (2) The taxi/idle operating modes shall be carried out at a power 
setting of 7% rated thrust unless the Secretary determines that the 
unique characteristics of an engine model undergoing certification 
testing at 7% would result in substantially different HC and CO 
emissions than if the engine model were tested at the manufacturers 
recommended idle power setting. In such cases the Secretary shall 
specify an alternative test condition.
    (3) The times in mode (TIM) shall be as specified below:

[[Page 11]]



------------------------------------------------------------------------
                                                         Class
                                              --------------------------
                     Mode                                TF, T3
                                                  TP     or T8     TSS
------------------------------------------------------------------------
Taxi/idle (minutes)..........................     26.0     26.0     26.0
Takeoff......................................      0.5      0.7      1.2
Climbout.....................................      2.5      2.2      2.0
Descent......................................      N/A      N/A      1.2
Approach.....................................      4.5      4.0      2.3
------------------------------------------------------------------------

    (b) Emissions testing shall be conducted on warmed-up engines which 
have achieved a steady operating temperature.

[47 FR 58470, Dec. 30, 1982, as amended at 62 FR 25366, May 8, 1997]



Sec. 87.63  [Reserved]



Sec. 87.64  Sampling and analytical procedures for measuring gaseous exhaust emissions.

    The system and procedures for sampling and measurement of gaseous 
emissions shall be as specified by Appendices 3 and 5 to International 
Civil Aviation Organization (ICAO) Annex 16, Environmental Protection, 
Volume II, Aircraft Engine Emissions, Second Edition, July 1993, which 
are incorporated herein by reference. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated as 
they exist on the date of the approval and a notice of any change in 
these materials will be published in the Federal Register. Frequent 
changes are not anticipated. Copies may be inspected at U.S. EPA, OAR, 
401 M St., SW., Washington, DC 20460, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC. 
Copies of this document can be obtained from the International Civil 
Aviation Organization (ICAO), Document Sales Unit, P.O. Box 400, 
Succursale: Place de L'Aviation Internationale, 1000 Sherbrooke Street 
West, Suite 400, Montreal, Quebec, Canada H3A 2R2.

[62 FR 25366, May 8, 1997]



Secs. 87.65-87.70  [Reserved]



Sec. 87.71  Compliance with gaseous emission standards.

    Compliance with each gaseous emission standard by an aircraft engine 
shall be determined by comparing the pollutant level in grams/
kilonewton/thrust/cycle or grams/kilowatt/cycle as calculated in 
Sec. 87.64 with the applicable emission standard under this part. An 
acceptable alternative to testing every engine is described in Appendix 
6 to International Civil Aviation Organization (ICAO) Annex 16, 
Environmental Protection, Volume II, Aircraft Engine Emissions, Second 
Edition, July 1993, which is incorporated herein by reference. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These 
materials are incorporated as they exist on the date of the approval and 
a notice of any change in these materials will be published in the 
Federal Register. Frequent changes are not anticipated. Copies may be 
inspected at U.S. EPA, OAR, 401 M St., SW., Washington, DC 20460, or at 
the Office of the Federal Register, 800 North Capitol Street, NW., suite 
700, Washington, DC. Copies of this document can be obtained from the 
International Civil Aviation Organization (ICAO), Document Sales Unit, 
P.O. Box 400, Succursale: Place de L'Aviation Internationale, 1000 
Sherbrooke Street West, Suite 400, Montreal, Quebec, Canada H3A 2R2. 
Other methods of demonstrating compliance may be approved by the 
Secretary with the concurrence of the Administrator.

[62 FR 25366, May 8, 1997]



  Subpart H--Test Procedures for Engine Smoke Emissions (Aircraft Gas 
                            Turbine Engines)



Sec. 87.80  Introduction.

    Except as provided under Sec. 87.5, the procedures described in this 
subpart shall be the test program to determine the conformity of new and 
in-use gas turbine engines with the applicable standards set forth in 
this part. The test is essentially the same as that described in 
Secs. 87.60 through 87.62, except that the test is designed to determine 
the smoke emission level at various operating points representative of 
engine usage in aircraft. Other smoke measurement systems may be used if 
shown

[[Page 12]]

to yield equivalent results and if approved in advance by the 
Administrator or the Secretary.



Sec. 87.81  Fuel specifications.

    Fuel having specifications as provided in Sec. 87.61 shall be used 
in smoke emission testing.



Sec. 87.82  Sampling and analytical procedures for measuring smoke exhaust 
emissions.

    The system and procedures for sampling and measurement of smoke 
emissions shall be as specified by Appendix 2 to International Civil 
Aviation Organization (ICAO) Annex 16, Volume II, Environmental 
Protection, Aircraft Engine Emissions, Second Edition, July 1993, which 
are incorporated herein by reference. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated as 
they exist on the date of the approval and a notice of any change in 
these materials will be published in the Federal Register. Frequent 
changes are not anticipated. Copies may be inspected at U.S. EPA, OAR, 
401 M St., SW., Washington, DC 20460, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC. 
Copies of this document can be obtained from the International Civil 
Aviation Organization (ICAO), Document Sales Unit, P.O. Box 400, 
Succursale: Place de L'Aviation Internationale, 1000 Sherbrooke Street 
West, Suite 400, Montreal, Quebec, Canada H3A 2R2.

[62 FR 25366, May 8, 1997]



Secs. 87.83-87.88  [Reserved]



Sec. 87.89  Compliance with smoke emission standards.

    Compliance with each smoke emission standard shall be determined by 
comparing the plot of SN as a function of power setting with the 
applicable emission standard under this part. The SN at every power 
setting must be such that there is a high degree of confidence that the 
standard will not be exceeded by any engine of the model being tested. 
An acceptable alternative to testing every engine is described in 
Appendix 6 to International Civil Aviation Organization (ICAO) Annex 16, 
Environmental Protection, Volume II, Aircraft Engine Emissions, Second 
Edition, July 1993, which is incorporated herein by reference. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These 
materials are incorporated as they exist on the date of the approval and 
a notice of any change in these materials will be published in the 
Federal Register. Frequent changes are not anticipated. Copies may be 
inspected at U.S. EPA, OAR, 401 M St., SW., Washington, DC 20460, or at 
the Office of the Federal Register, 800 North Capitol Street, NW., suite 
700, Washington, DC. Copies of this document can be obtained from the 
International Civil Aviation Organization (ICAO), Document Sales Unit, 
P.O. Box 400, Succursale: Place de L'Aviation Internationale, 1000 
Sherbrooke Street West, Suite 400, Montreal, Quebec, Canada H3A 2R2.

[62 FR 25366, May 8, 1997]



PART 88--CLEAN-FUEL VEHICLES--Table of Contents




          Subpart A--Emission Standards for Clean-Fuel Vehicles

Sec.
88.101-94  General applicability.
88.102-94  Definitions.
88.103-94  Abbreviations.
88.104-94  Clean-fuel vehicle tailpipe emission standards for light-duty 
          vehicles and light-duty trucks.
88.105-94  Clean-fuel fleet emission standards for heavy-duty engines.

                Subpart B--California Pilot Test Program

88.201-94  Scope.
88.202-94  Definitions.
88.203-94  Abbreviations.
88.204-94  Sales requirements for the California Pilot Test Program.
88.205-94  California Pilot Test Program Credits Program.
88.206-94  State opt-in for the California Pilot Test Program.

Tables to Subpart B of Part 88

                   Subpart C--Clean-Fuel Fleet Program

88.301-93  General applicability.
88.302-93  Definitions.
88.302-94  Definitions.

[[Page 13]]

88.303-93  Abbreviations.
88.304-94  Clean-fuel Fleet Vehicle Credit Program.
88.305-94  Clean-fuel fleet vehicle labeling requirements for heavy-duty 
          vehicles.
88.306-94  Requirements for a converted vehicle to qualify as a clean-
          fuel fleet vehicle.
88.307-94  Exemption from temporal transporation control measures for 
          CFFVs.
88.308-94  Programmatic requirements for clean-fuel fleet vehicles.
88.309  [Reserved]
88.310-94  Applicability to covered Federal fleets.
88.311-93  Emissions standards for Inherently Low-Emission Vehicles.
88.311-98  Emissions standards for Inherently Low-Emission Vehicles.
88.312-93  Inherently Low-Emission Vehicle labeling.
88.313-93  Incentives for the purchase of Inherently Low-Emission 
          Vehicles.

Tables to Subpart C of Part 88

    Authority: 42 U.S.C. 7410, 7418, 7581, 7582, 7583, 7584, 7586, 7588, 
7589, 7601(a).

    Source: 57 FR 60046, Dec. 17, 1992, unless otherwise noted.



          Subpart A--Emission Standards for Clean-Fuel Vehicles



Sec. 88.101-94  General applicability.

    The clean-fuel vehicle standards and provisions of this subpart are 
applicable to vehicles used in subpart B of this part (the Clean Fuel 
Fleet Program) and subpart C of this part (the California Pilot Test 
Program).

[59 FR 50074, Sept. 30, 1994]



Sec. 88.102-94  Definitions.

    Any terms defined in 40 CFR part 86 and not defined in this part 
shall have the meaning given them in 40 CFR part 86, subpart A.
    Adjusted Loaded Vehicle Weight is defined as the numerical average 
of the vehicle curb weight and the GVWR.
    Dual Fuel Vehicle (or Engine) means any motor vehicle (or motor 
vehicle engine) engineered and designed to be operated on two different 
fuels, but not on a mixture of the fuels.
    Flexible Fuel Vehicle (or Engine) means any motor vehicle (or motor 
vehicle engine) engineered and designed to be operated on any mixture of 
two or more different fuels.
    Heavy Light-Duty Truck means any light-duty truck rated greater than 
6000 lbs. GVWR.
    Light Light-Duty Truck means any light-duty truck rated through 6000 
lbs GVWR.
    Loaded Vehicle Weight is defined as the curb weight plus 300 lbs.
    Low-Emission Vehicle means any light-duty vehicle or light-duty 
truck conforming to the applicable Low-Emission Vehicle standard, or any 
heavy-duty vehicle with an engine conforming to the applicable Low-
Emission Vehicle standard.
    Non-methane Hydrocarbon Equivalent means the sum of the carbon mass 
emissions of non-oxygenated non-methane hydrocarbons plus the carbon 
mass emissions of alcohols, aldehydes, or other organic compounds which 
are separately measured in accordance with the applicable test 
procedures of 40 CFR part 86, expressed as gasoline-fueled vehicle non-
methane hydrocarbons. In the case of exhaust emissions, the hydrogen-to-
carbon ratio of the equivalent hydrocarbon is 1.85:1. In the case of 
diurnal and hot soak emissions, the hydrogen-to-carbon ratios of the 
equivalent hydrocarbons are 2.33:1 and 2.2:1 respectively.
    Non-methane Organic Gas is defined as in section 241(3) Clean Air 
Act as amended (42 U.S.C. 7581(3)).
    Test Weight is defined as the average of the curb weight and the 
GVWR.
    Transitional Low-Emission Vehicle means any light-duty vehicle or 
light-duty truck conforming to the applicable Transitional Low-Emission 
Vehicle standard.
    Ultra Low-Emission Vehicle means any light-duty vehicle or light-
duty truck conforming to the applicable Ultra Low-Emission Vehicle 
standard, or any heavy-duty vehicle with an engine conforming to the 
applicable Ultra Low-Emission Vehicle standard.
    Zero-Emission Vehicle means any light-duty vehicle or light-
dutytruck conforming to the applicable Zero-Emission Vehicle standard, 
or any heavy-duty vehicle conforming to the applicable Zero-Emission 
Vehicle standard.

[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR 50074, 
Sept. 30, 1994]

[[Page 14]]



Sec. 88.103-94  Abbreviations.

    The abbreviations of part 86 also apply to this subpart. The 
abbreviations in this section apply to all of part 88.

ALVW--Adjusted Loaded Vehicle Weight
CO--Carbon Monoxide
HCHO--Formaldehyde
HC--Hydrocarbon
HDV--Heavy-Duty Vehicle
LDT--Light-Duty Truck
LDV--Light-Duty Vehicle
NMHC--Non-Methane Hydrocarbon
NMHCE--Non-Methane Hydrocarbon Equivalent
NMOG--Non-Methane Organic Gas
NOx--Nitrogen Oxides
PM--Particulate Matter
GVWR--Gross Vehicle Weight Rating
LVW--Loaded Vehicle Weight
TW--Test Weight
TLEV--Transitional Low-Emission Vehicle
LEV--Low-Emission Vehicle
ULEV--Ultra Low-Emission Vehicle
ZEV--Zero-Emission Vehicle

[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR 50074, 
Sept. 30, 1994]



Sec. 88.104-94  Clean-fuel vehicle tailpipe emission standards for light-duty 
vehicles and light-duty trucks.

    (a) A light-duty vehicle or light-duty truck will be considered as a 
TLEV, LEV, ULEV, or ZEV if it meets the applicable requirements of this 
section.
    (b) Light-duty vehicles certified to the exhaust emission standards 
for TLEVs, LEVs, and ULEVs in Tables A104-1 and A104-2 shall be 
considered as meeting the requirements of this section for that 
particular vehicle emission category for model years 1994-2000 for the 
California Pilot Program.
    (c) Light-duty vehicles certified to the exhaust emission standards 
for LEVs and ULEVs in Tables A104-1 and A104-2 shall be considered as 
meeting the requirements of this section for that particular vehicle 
emission category for model years 2001 and later for the California 
Pilot Program, and for model years 1998 and later for the Clean Fuel 
Fleet Program.
    (d) Light light-duty trucks certified to the exhaust emission 
standards for a specific weight category for TLEVs, LEVs, and ULEVs in 
Tables A104-3 and A104-4 shall be considered as meeting the requirements 
of this section for that particular vehicle emission category. For model 
years 1994-2000 for the California Pilot Program.
    (e) Light Light-duty trucks certified to the exhaust emission 
standards for a specific weight category for LEVs and ULEVs in Tables 
A104-3 and A104-4 shall be considered as meeting the requirements of 
this section for that particular vehicle emission category. For model 
years 2001 and later for the California Pilot Program, and for model 
years 1998 and later for the Clean Fuel Fleet Program.
    (f) Heavy light-duty trucks certified to the exhaust emission 
standards for a specific weight category of LEVs and ULEVs in Tables 
A104-5 and A104-6 for model years 1998 and later shall be considered as 
meeting the requirements of this section for that particular vehicle 
emission category.
    (g) A light-duty vehicle or light-duty truck shall be certified as a 
ZEV if it is determined by engineering analysis that the vehicle 
satisfies the following conditions:
    (1) The vehicle fuel system(s) must not contain either carbon or 
nitrogen compounds (including air) which, when burned, form any of the 
pollutants listed in Table A104-1 as exhaust emissions.
    (2) All primary and auxiliary equipment and engines must have no 
emissions of any of the pollutants listed in Table A104-1.
    (3) The vehicle fuel system(s) and any auxiliary engine(s) must have 
no evaporative emissions in use.
    (4) Any auxiliary heater must not operate at ambient temperatures 
above 40 degrees Fahrenheit.
    (h) NMOG standards for flexible- and dual-fueled vehicles when 
operating on clean alternative fuel--(1) Light-duty vehicles, and light 
light-duty trucks. Flexible- and dual-fueled LDVs and light LDTs of 1996 
model year and later shall meet all standards in Table A104-7 for 
vehicles of the applicable model year, loaded vehicle weight, and 
vehicle emission category.
    (2) Light-duty trucks above 6,000 lbs GVWR. Flexible- and dual-
fueled LDTs above 6,000 lbs. GVWR of 1998 model year and later shall 
meet all standards in Table A104-8 for vehicles of the applicable test 
weight and vehicle emission category.

[[Page 15]]

    (i) NMOG standards for flexible- and dual-fueled vehicles when 
operating on conventional fuel--(1) Light-duty vehicles, and light 
light-duty trucks. Flexible- and dual-fueled LDVs and light LDTs of 1996 
model year and later shall meet all standards in Table A104-9 for 
vehicles of the applicable model year, loaded vehicle weight, and 
vehicle emission category.
    (2) Light-duty trucks above 6,000 lbs GVWR. Flexible- and dual-
fueled LDTs of 1998 model year and later shall meet all standards in 
Table A104-10 for vehicles of the applicable test weight and vehicle 
emission category.
    (j) Other standards for flexible- and dual-fueled vehicles. When 
operating on clean alternative fuel, flexible- and dual- fueled light-
duty vehicles and light light-duty trucks must also meet the appropriate 
standards for carbon monoxide, oxides of nitrogen, formaldehyde, and 
particulate matter as designated in paragraphs (a) through (f) of this 
section as well as all other applicable standards and requirements. When 
operating on conventional fuel, flexible- and dual-fueled vehicles must 
also meet all other applicable standards and requirements in 40 CFR part 
86.
    (k) Motor vehicles subject to standards and requirements of this 
section shall also comply with all applicable standards and requirements 
of 40 CFR part 86, except that any exhaust emission standards in 40 CFR 
part 86 pertaining to pollutants for which standards are established in 
this section shall not apply. For converted vehicles, the applicable 
standards and requirements of 40 CFR part 86 and this part 88 shall 
apply based on the model year in which the conversion is performed, 
regardless of the model year in which the base vehicle was originally 
manufactured prior to conversion.
    (1) Gaseous-fueled, diesel-fueled, and electric clean-fuel vehicles 
are waived from cold CO test requirements of subpart C of this part if 
compliance is demonstrated by engineering analysis or test data.
    (2) The standards in this section shall be administered and enforced 
in accordance with the California Regulatory Requirements Applicable to 
the Clean Fuel Fleet and California Pilot Programs, April 1, 1994, which 
are incorporated by reference.
    (i) This incorporation by reference was approved by the Director of 
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 
51.
    (ii) Copies may be inspected at U.S. EPA, OAR, 401 M St., SW., 
Washington, DC 20460, or at the Office of the Federal Register, 800 
North Capitol Street, NW., suite 700, Washington, DC. Copies of these 
materials may be obtained from Barclay's Law Publishers, 400 Oyster 
Point Boulevard, P.O. Box 3066, South San Francisco, CA 94080, phone 
(415) 244-6611.

                        Tables to Sec. 88.104-94

 Table A104-1--Intermediate Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO, NOX, HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                  Vehicle emission category          NMOG          CO          NOX          HCHO         PM 1
----------------------------------------------------------------------------------------------------------------
             TLEV..............................        0.125          3.4          0.4        0.015  ...........
             LEV...............................     \2\ .075      \2\ 3.4           .2     \2\ .015  ...........
             ULEV..............................         .040          1.7       \2\ .2         .008  ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


     Table A104-2--Full Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO, NOX, HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                  Vehicle emission category          NMOG          CO          NOX          HCHO         PM 1
----------------------------------------------------------------------------------------------------------------
             TLEV..............................        0.156          4.2          0.6        0.018         0.08
             LEV...............................    \2\ 0.090      \2\ 4.2           .3     \2\ .018      \2\ .08
             ULEV..............................         .055          2.1       \2\ .3         .011          .04
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


[[Page 16]]


 Table A104-3--Intermediate Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO, NOX, HCHO, and
                                                       PM
----------------------------------------------------------------------------------------------------------------
                            Vehicle emission
       LVW (lbs)                category             NMOG          CO          NOX          HCHO         PM 1
----------------------------------------------------------------------------------------------------------------
0-3750.................  TLEV..................         .125          3.4           .4         .015  ...........
                         LEV...................     \2\ .075      \2\ 3.4           .2     \2\ .015  ...........
                         ULEV..................         .040          1.7       \2\ .2         .008  ...........
3751-5750..............  TLEV..................        0.160          4.4           .7         .018  ...........
                         LEV...................     \2\ .100      \2\ 4.4           .4     \2\ .018  ...........
                         ULEV..................         .050          2.2       \2\ .4         .009  ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


   Table A104-4--Full Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO, NOX, HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                            Vehicle emission
       LVW (lbs)                category             NMOG          CO          NOX          HCHO        PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750.................  TLEV..................        0.156          4.2          0.6        0.018         0.08
                         LEV...................    \2\ 0.090      \2\ 4.2          0.3      \2\.018       \2\.08
                         ULEV..................         .055          2.1        \2\.3         .011          .04
3751-5750..............  TLEV..................         .200          5.5           .9         .023          .08
                         LEV...................      \2\.130       \2\5.5           .5      \2\.023       \2\.08
                         ULEV..................         .070          2.8        \2\.5         .013          .04
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


 Table A104-5--Intermediate Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX, HCHO, and
                                                       PM
----------------------------------------------------------------------------------------------------------------
                            Vehicle emission
       ALVW (lbs)               category             NMOG          CO         NOX\2\        HCHO        PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750.................  LEV...................    \3\ 0.125      \3\ 3.4          0.4    \3\ 0.015
                         ULEV..................         .075          1.7        \3\.2         .008
3751-5750..............  LEV...................      \3\.160      \3\ 4.4           .7      \3\.018
                         ULEV..................         .100          2.2        \3\.4         .009
5751-..................  LEV...................      \3\.195      \3\ 5.0          1.1      \3\.022
                         ULEV..................         .117          2.5        \3\.6         .011
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Does not apply to diesel vehicles.
\3\ Applies to ILEVs.


   Table A104-6--Full Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX, HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                            Vehicle emission
       ALVW (lbs)               category             NMOG          CO          NOX          HCHO        PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750.................  LEV...................    \2\ 0.180      \2\ 5.0          0.6    \2\ 0.022     \2\ 0.08
                         ULEV..................         .107          2.5        \2\.3         .012          .04
3751-5750..............  LEV...................      \2\.230      \2\ 6.4          1.0      \2\.027       \2\.10
                         ULEV..................         .143          3.2        \2\.5         .013          .05
5751-..................  LEV...................      \2\.280      \2\ 7.3          1.5      \2\.032       \2\.12
                         ULEV..................         .167          3.7        \2\.8         .016          .06
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


    Table A104-7--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
 Vehicles When Operating on Clean Alternative Fuel for Light Light-Duty
                     Trucks and Light-Duty Vehicles
------------------------------------------------------------------------
                                                50,000 mile    100,000
                 Vehicle type                       NMOG      mile NMOG
                                                  standard     standard
------------------------------------------------------------------------
MY 1996 and later:
    LDTs (0-3,750 lbs. LVW) and LDVs..........        0.125        0.156
    LDTs (3,751-5,750 lbs. LVW)...............         .160         .200
Beginning MY 2001:
    LDTs (0-3,750 lbs. LVW) and LDVs..........         .075         .090
    LDTs (3,751-5,750 lbs. LVW)...............         .100         .130
------------------------------------------------------------------------


[[Page 17]]


    Table A104-8--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
 Vehicles When Operating on Clean Alternative Fuel for Heavy Light-Duty
                                 Trucks
------------------------------------------------------------------------
                                                50,000 mile    120,000
                 Vehicle type                       NMOG      mile NMOG
                                                  standard     standard
------------------------------------------------------------------------
Beginning MY 1998:
    LDTs (0-3,750 lbs. ALVW)..................        0.125        0.180
    LDTs (3,751-5,750 lbs. ALVW)..............         .160         .230
    LDTs (5,751-8,500 lbs. ALVW)..............         .195         .280
------------------------------------------------------------------------


    Table A104-9--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Conventional Fuel for Light Light-Duty Trucks
                         and Light-Duty Vehicles
------------------------------------------------------------------------
                                                50,000 mile    100,000
                 Vehicle type                       NMOG      mile NMOG
                                                  standard     standard
------------------------------------------------------------------------
Beginning MY 1996:
    LDTs (0-3,750 lbs. LVW) and LDVs..........         0.25         0.31
    LDTs (3,751-5,750 lbs. LVW)...............          .32          .40
Beginning MY 2001:
    LDTs (0-3,750 lbs. LVW) and LDVs..........         .125         .156
    LDTs (3,751-5,750 lbs. LVW)...............         .160         .200
------------------------------------------------------------------------


   Table A104-10--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Conventional Fuel for Light Light-Duty Trucks
------------------------------------------------------------------------
                                                50,000 mile    120,000
                 Vehicle type                       NMOG      mile NMOG
                                                  standard     standard
------------------------------------------------------------------------
Beginning MY 1998:
    LDTs (0-3,750 lbs. ALVW)..................         0.25         0.36
    LDTs (3,751-5,750 lbs. ALVW)..............          .32          .46
    LDTs (5,751-8,500 lbs. ALVW)..............          .39          .56
------------------------------------------------------------------------


[59 FR 50074, Sept. 30, 1994, as amended at 61 FR 127, Jan. 3, 1996]



Sec. 88.105-94  Clean-fuel fleet emission standards for heavy-duty engines.

    (a) Exhaust emissions from engines used in heavy-duty low emission 
vehicles shall meet one of the following standards:
    (1) Combined emissions of oxides of nitrogen and nonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 3.8 
grams per brake horsepower-hour.
    (2) Combined emissions of oxides of nitrogen and nonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 3.5 
grams per brake horsepower-hour when tested (certified) on fuel meeting 
the specifications of California certification fuel.
    (b) Exhaust emissions from engines used in heavy-duty low emission 
vehicles shall meet conventional vehicle standards set forth in Part 86 
for total hydrocarbon, carbon monoxide, particulate, and organic 
material hydrocarbon equivalent.
    (c) Exhaust emissions from engines used in ultra-low emission heavy-
duty vehicles shall meet each of the following standards:
    (1) The combined emissions of oxides of nitrogen and nonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 2.5 
grams per brake horsepower-hour.
    (2) Carbon monoxide emissions shall not exceed 7.2 grams per brake 
horsepower-hour.
    (3) Particulate emissions shall not exceed 0.05 grams per brake 
horsepower-hour.
    (4) Formaldehyde emissions shall not exceed 0.025 grams per brake 
horsepower-hour.
    (d) Exhaust emissions from engines used in inherently-low emission 
heavy-duty vehicles shall meet each of the following standards:

[[Page 18]]

    (1) The combined emissions of oxides of nitrogen and nonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 2.5 
grams per brake horsepower-hour.
    (2) Carbon monoxide emissions shall not exceed 14.4 grams per brake 
horsepower-hour.
    (3) Particulate emissions shall not exceed 0.10 grams per brake 
horsepower-hour.
    (4) Formaldehyde emissions shall not exceed 0.05 grams per brake 
horsepower-hour.
    (e) The standards set forth in paragraphs (a), (b), (c), and (d) of 
this section refer to the exhaust emitted while the vehicle is being 
tested in accordance with the applicable test procedures set forth in 40 
CFR part 86, subpart N.
    (f)(1) A heavy-duty zero-emission vehicle (ZEV) has a standard of 
zero emissions for nonmethane hydrocarbons, oxides of nitrogen, carbon 
monoxide, formaldehyde, and particulates.
    (2) A heavy-duty vehicle shall be certified as a ZEV if it is 
determined by engineering analysis that the vehicle satisfies the 
following conditions:
    (i) The vehicle fuel system(s) must not contain either carbon or 
nitrogen compounds (including air) which, when burned, form nonmethane 
hydrocarbons, oxides of nitrogen, carbon monoxide, formaldehyde, or 
particulates as exhaust emissions.
    (ii) All primary and auxiliary equipment and engines must have no 
emissions of nonmethane hydrocarbons, oxides of nitrogen, carbon 
monoxide, formaldehyde, and particulates.
    (iii) The vehicle fuel system(s) and any auxiliary engine(s) must 
have no evaporative emissions.
    (iv) Any auxiliary heater must not operate at ambient temperatures 
above 40 degrees Fahrenheit.
    (g) All heavy-duty engines used in low emission, ultra-low emission, 
or zero emission vehicles shall also comply with all applicable 
standards and requirements of 40 CFR part 86, except that any exhaust 
emission standards in 40 CFR part 86 pertaining to pollutants for which 
standards are established in this section shall not apply.

[59 FR 50077, Sept. 30, 1994]



                Subpart B--California Pilot Test Program



Sec. 88.201-94  Scope.

    Applicability. The requirements of this subpart shall apply to the 
following:
    (a) State Implementation Plan revisions for the State of California 
and other states pursuant to compliance with section 249 of the Clean 
Air Act, as amended in 1990.
    (b) Vehicle manufacturers with sales in the State of California.

[57 FR 60046, Dec. 17, 1992, as amended at 59 FR 50077, Sept. 30, 1994]



Sec. 88.202-94  Definitions.

    (a) The definitions in subpart A also apply to this subpart.
    (b) The definitions in this subpart shall apply beginning with the 
1992 model year.
    Averaging for clean-fuel vehicles means the sale of clean-fuel 
vehicles that meet more stringent standards than required, which allows 
the manufacturer to sell fewer clean-fuel vehicles than would otherwise 
be required.
    Banking means the retention of credits, by the manufacturer 
generating the emissions credits, for use in future model-year 
certification as permitted by regulation.
    Sales means vehicles that are produced, sold, and distributed (in 
accordance with normal business practices and applicable franchise 
agreements) in the State of California, including owners of covered 
fleets under subpart C of part 86 of this chapter. The manufacturer can 
choose at their option from one of the following three methods for 
determining sales:
    (i) Sales is defined as sales to the ultimate purchaser.
    (ii) Sales is defined as vehicle sales by a manufacturer to a 
dealer, distributer, fleet operator, broker, or any other entity which 
comprises the first point of sale.
    (iii) Sales is defined as equivalent to the production of vehicles 
for the state of California. This option can be revoked if it is 
determined that the production and actual sales numbers do not exhibit a 
functional equivalence

[[Page 19]]

per the language of Sec. 86.708-94(b)(1) of this chapter.
    Trading means the exchange of credits between manufacturers.



Sec. 88.203-94  Abbreviations.

    The abbreviations in subpart A of this part and in 40 CFR part 86 
apply to this subpart.



Sec. 88.204-94  Sales requirements for the California Pilot Test Program.

    (a) The total annual required minimum sales volume of new clean fuel 
vehicles in California for this program shall correspond to Table B204.
    (b) (1) When manufacturers of vehicles subject to the regulations of 
this section file a report pursuant to 40 CFR 86.085-37(b), such report 
shall include the following information: the number of light-duty 
vehicles and light-duty trucks sold only in California, and the number 
of clean-fuel vehicles sold for the Pilot program beginning with model 
year 1996.
    (2) For model years 1996 and 1997, manufacturers may exclude heavy 
light-duty trucks from the reporting required by this section.
    (c) (1) Except as provided in paragraph (d) of this section, each 
vehicle manufacturer must sell clean-fuel vehicles in California in an 
amount equal to the required annual sales volume calculated in paragraph 
(c)(2) of this section.
    (2) The required annual clean fuel vehicle sales volume for a given 
manufacturer is expressed in the following equation rounded to the 
nearest whole number:
[GRAPHIC] [TIFF OMITTED] TR03JA96.003

Where:

RMS = a manufacturer's required sales in a given model year.
MS = the average of a manufacturer's total LDV and light LDT sales in 
California three and four model years earlier than year in question (for 
MY 1996 and 1997 RMS calculations).
  = the average of a manufacturer's total LDV and LDT sales in 
California three and four model years earlier than year in question (for 
MY 1998 and later RMS calculations).
TS = the average of total LDV and light LDT sales in California of all 
manufacturers three and four model years earlier than the year in 
question (for MY 1996 and 1997 RMS calculations). Sales of manufacturers 
which meet the criteria of (d) of this paragraph will not be included.
  = the average of total LDV and LDT sales in California of all 
manufacturers three and four model years earlier than the year in 
question (for MY 1998 and later RMS calculations). Sales of 
manufacturers which meet the criteria of (d) of this paragraph will not 
be included.
TCPPS = Pilot program annual CFV sales requirement (either 150,000 or 
300,000) for the model year in question.

    (i) A manufacturer's share of required annual sales for model years 
1996 and 1997 will be based on LDV and light LDT sales only. Once the 
heavy LDT standards are effective beginning with model year 1998, a 
manufacturer's required sales share will be based on all LDV and LDT 
sales.
    (ii) A manufacturer certifying for the first time in California 
shall calculate annual required sales share based on projected 
California sales for the model year in question. In the second year, the 
manufacturer shall use actual sales from the previous year. In the third 
year, the manufacturer will use sales from two model years prior to the 
year in question. In the fourth year, the manufacturer will use sales 
from three years prior to the year in question. In the fifth year and 
subsequent years, the manufacturer will use average sales from three and 
four years prior to the year in question.
    (d) (1) Small volume manufacturer is defined in the Pilot program as 
one whose average annual LDV and LDT sales in California are less than 
or equal to 3,000 units during a consecutive three-year period beginning 
no earlier than model year 1993.
    (i) A manufacturer with less than three consecutive years of sales 
in California shall use a single year of sales or, if available, the 
average of two years of sales in California to determine whether they 
fall at or below the threshold of 3,000 units.
    (ii) A manufacturer certifying for the first time in California 
shall be considered a small volume manufacturer if their projected 
California sales level is at or below 3,000 units for a given year. Once 
the manufacturer has actual sales data for one year, this actual sales

[[Page 20]]

data shall be used to determine whether the manufacturer qualifies as a 
small volume manufacturer.
    (iii) A manufacturer which does not qualify as a small volume 
manufacturer in model year 1996 but whose average annual LDV and LDT 
sales fall to or below the 3,000 unit threshold between 1996 and 2001 
shall be treated as a small volume manufacturer and shall be subject to 
requirements for small volume manufacturers as specified in paragraph 
(d)(2) of this section beginning with the next model year.
    (2) A manufacturer which qualifies as a small volume manufacturer 
prior to model year 2001 is not required to comply with the sales 
requirements of this section until model year 2001.

            Table B204--Pilot Program Vehicle Sales Schedule
------------------------------------------------------------------------
                                                                Required
             Model years                   Vehicle types         annual
                                                                 sales
------------------------------------------------------------------------
1996 and 1997.......................  LDTs (< 6000 GVWR and      150,000
                                       [le]5750 LVW); and
                                       LDVs.
1998................................  All Applicable Vehicle     150,000
                                       Types.
1999+...............................  All Applicable Vehicle     300,000
                                       Types.
------------------------------------------------------------------------


[59 FR 50078, Sept. 30, 1994, as amended at 61 FR 127, Jan. 3, 1996]



Sec. 88.205-94  California Pilot Test Program Credits Program.

    (a) General. (1) The Administrator shall administer this credit 
program to enable vehicle manufacturers who are required to participate 
in the California Pilot Test Program to meet the clean-fuel vehicle 
sales requirements through the use of credits. Participation in this 
credit program is voluntary.
    (2) All credit-generating vehicles must meet the applicable emission 
standards and other requirements contained in subpart A of this part.
    (b) Credit generation. (1) Credits may be generated by any of the 
following means:
    (i) Sale of qualifying clean-fuel vehicles earlier than required. 
Manufacturers may earn these credits starting with the 1992 model year, 
contingent upon the requirements of paragraph (g) of this section.
    (ii) Sale of a greater number of qualifying clean-fuel vehicles than 
required.
    (iii) Sale of qualifying clean-fuel vehicles that meet more 
stringent emission standards than those required.
    (2) For light-duty vehicles and light-duty trucks, credit values 
shall be determined in accordance with the following:
    (i) For model-years through 2000, credit values shall be determined 
in accordance with table B-1 of this subpart.
    (ii) For the 2001 and subsequent model-years, credit values shall be 
determined according to table B-2 of this subpart. The sale of light-
duty vehicles classified as Transitional Low-Emission Vehicles shall not 
receive credits starting in model year 2001.
    (iii) For the calculation of credits for the sale of more clean-fuel 
vehicles than required, the manufacturer shall designate which sold 
vehicles count toward compliance with the sales requirement. The 
remaining balance of vehicles will be considered as sold beyond the 
sales requirement for credit calculations.
    (3) Vehicles greater than 8500 lbs gvwr may not generate credits.
    (c) Credit use. (1) All credits generated in accordance with these 
provisions may be freely averaged, traded, or banked for later use. 
Credits may not be used to remedy any nonconformity determined by 
enforcement testing.
    (2) There is one averaging and trading group containing all light-
duty vehicles and light-duty trucks.
    (3) A vehicle manufacturer desiring to demonstrate full or partial 
compliance with the sales requirements by the redemption of credits, 
shall surrender sufficient credits, as established in this paragraph 
(c). In lieu of selling a clean-fuel vehicle, a manufacturer shall 
surrender credits equal to the credit value for the corresponding 
vehicle class and model year found in table B-1.3 or table B-2.3 of this 
subpart.
    (d) Participation in the credit program. (1) During certification, 
the manufacturer shall calculate the projected credits, if any, based on 
required sales projections.
    (2) Based on information from paragraph (d)(1) of this section, each 
manufacturer's certification application under this section must 
demonstrate:

[[Page 21]]

    (i) That at the end of the model-year production, there is a net 
vehicle credit balance of zero or more with any credits obtained from 
averaging, trading, or banking.
    (ii) It is recommended but not required that the source of the 
credits to be used to comply with the minimum sales requirements be 
stated. All such reports should include all credits involved in 
averaging, trading, or banking.
    (3) During the model year, manufacturers must:
    (i) Monitor projected versus actual production to be certain that 
compliance with the sales requirement is achieved at the end of the 
model year.
    (ii) Provide the end of model year reports required under this 
subpart.
    (iii) Maintain the records required under this subpart.
    (4) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-model year reports, follow-up audits, and any other verification 
steps deemed appropriate by the Administrator.
    (5) Compliance under averaging, banking, and trading will be 
determined at the end of the model year.
    (6) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year report previously submitted to EPA under this 
section, the manufacturer's credits and credit calculations will be 
recalculated.
    (i) If EPA review of a manufacturer's end-of-year report indicates 
an inadvertent credit shortfall, the manufacturer will be permitted to 
purchase the necessary credits to bring the credit balance to zero.
    (ii) If within 90 days of receipt of the manufacturer's end-of-year 
report, EPA review determines a reporting error in the manufacturer's 
favor (i.e., resulting in a positive credit balance) or if the 
manufacturer discovers such an error within 90 days of EPA receipt of 
the end-of-year report, the credits will be restored for use by the 
manufacturer.
    (e) Averaging. Averaging will only be allowed between clean-fuel 
vehicles under 8500 lbs gvwr.
    (f) Banking. (1) Credit deposits. (i) Under this program, credits 
can be banked starting in the 1992 model year.
    (ii) A manufacturer may bank credits only after the end of the model 
year and after EPA has reviewed its end-of-year report. During the model 
year and before submittal of the end-of-year report, credits originally 
designated in the certification process for banking will be considered 
reserved and may be redesignated for trading or averaging.
    (2) Credit withdraws. (i) After being generated, banked/reserved 
credits shall be available for use and shall maintain their original 
value for an infinite period of time.
    (ii) A manufacturer withdrawing banked credits shall indicate so 
during certification and in its credit reports.
    (3) Banked credits may be used in averaging, trading, or in any 
combination thereof, during the certification period. Credits declared 
for banking from the previous model year but unreviewed by EPA may also 
be used. However, they may be revoked at a later time following EPA 
review of the end-of-year report or any subsequent audit actions.
    (g) Early credits. Beginning in model year 1992 appropriate credits, 
as determined from the given credit table, will be given for the sale of 
vehicles certified to the clean-fuel vehicle standards for TLEVs, LEVs, 
ULEVs, and ZEVs, where appropriate. For LDVs and light LDTs (<6000 lbs 
GVWR), early credits can be earned from model year 1992 to the beginning 
of the Pilot Program sales requirements in 1996. For heavy LDTs 
(6000 lbs GVWR), early credits can be earned from model years 
1992 through 1997. The actual calculation of early credits shall not 
begin until model year 1996.

[57 FR 60046, Dec. 17, 1992, as amended at 61 FR 127, Jan. 3, 1996]



Sec. 88.206-94  State opt-in for the California Pilot Test Program.

    (a) A state may opt into the Pilot program if it contains all or 
part of an ozone nonattainment area classified as serious, severe, or 
extreme under subpart D of Title I.
    (b) A state may opt into the program by submitting SIP revisions 
that meet the requirements of this section.

[[Page 22]]

    (c) For a state that chooses to opt in, SIP provisions can not take 
effect until one year after the state has provided notice to of such 
provisions to motor vehicle manufacturers and fuel suppliers.
    (d) A state that chooses to opt into the program can not require a 
sales or production mandate for CFVs or clean alternative fuels. States 
may not subject fuel or vehicle suppliers to penalties or sanctions for 
failing to produce or sell CFVs or clean alternative fuels.
    (e) (1) A state's SIP may include incentives for the sale or use in 
such state of CFVs required in California by the Clean Fuel Fleet 
Program, and the use of clean alternative fuels required to be made 
available in California by the California Pilot Program.
    (2) Incentives may include:
    (i) A registration fee on non-CFVs of at least 1 percent of the 
total cost of the vehicle. These fees shall be used to:
    (A) Provide financial incentives to purchasers of CFVs and vehicle 
dealers who sell high volumes or high percentages of CFVs.
    (B) Defray administrative costs of the incentive program.
    (ii) Exemptions for CFVs from high occupancy vehicle or trip 
reduction requirements.
    (iii) Preferences for CFVs in the use of existing parking places.

[59 FR 50078, Sept. 30, 1994]

                     Tables to Subpart B of Part 88

      Table B-1--Credit Table for Phase I Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
                 Table B-1.1--Credit Generation: Selling More Clean-Fuel Vehicles Than Required
                                  [Phase I: Effective Through 2000 Model-Year]
----------------------------------------------------------------------------------------------------------------
                                      LDV & LDT    LDT  [le]6000       LDT       LDT  [lE]6000
                                       [le]6000    gvwr  3750 lvw        gvwr       eq>3750 alvw    gvwr  5750 alvw
                                         lvw                           alvw
----------------------------------------------------------------------------------------------------------------
TLEV...............................         1.00           1.28          (\1\)          (\1\)            (\1\)
LEV................................         1.40           1.76           1.00           1.28             1.56
ULEV...............................         1.68           2.16           1.40           1.76             2.18
ZEV................................         2.00           2.56           2.00           2.56             3.12
----------------------------------------------------------------------------------------------------------------


                   Table B-1.2--Credit Generation: Selling More Stringent Clean Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
                                                              LDT
                                              LDV & LDT     [le]6000       LDT       LDT  6000 gvwr     [le]6000
         Vehicle emission  category              gvwr       [lE]3750       gvwr      [lE]3750 alvw       gvwr
                                               [le]3750       lvw        [le]3750    [le]5750 alvw     [lE]5750
                                                 lvw        [le]5750       alvw                          alvw
                                                              lvw
----------------------------------------------------------------------------------------------------------------
TLEV.......................................         0.00         0.00        (\1\)          (\1\)          (\1\)
LEV........................................          .40          .48         0.00           0.00           0.00
ULEV.......................................          .68          .88          .40            .48            .62
ZEV........................................         1.00         1.28         1.00           1.28           1.56
----------------------------------------------------------------------------------------------------------------


                        Table B-1.3--Credit Needed in Lieu of Selling Clean-Fuel Vehicle
----------------------------------------------------------------------------------------------------------------
                                                      LDT
                                      LDV & LDT     [le]6000                     LDT  6000 gvwr     eq>6000 gvwr
     Vehicle emission  category          gvwr       [lE]3750     eq>6000 gvwr   3750  5750
                                       [le]3750       lvw       [le]3750 alvw    alvw  [le]5750        alvw
                                         lvw        [le]5750                          alvw
                                                      lvw
----------------------------------------------------------------------------------------------------------------
TLEV...............................         1.00         1.28          (\1\)            (\1\)            (\1\)
LEV................................  ...........  ...........           1.00             1.28            1.56
----------------------------------------------------------------------------------------------------------------
\1\ There is no TLEV category for this vehicle class.


[[Page 23]]


     Table B-2--Credit Table for Phase II: Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
                 Table B-2.1--Credit Generation: Selling More Clean-Fuel Vehicles Than Required
                              [Phase II: effective 2001 and subsequent model-years]
----------------------------------------------------------------------------------------------------------------
                                                          LDT
                                          LDV & LDT     [le]6000       LDT       LDT  6000 gvwr    LDT  6000 gvwr
                                           [le]3750       lvw        [le]3750    [le]5750 alvw    [lE]5750 alvw
                                             lvw        [le]5750       alvw
                                                          lvw
----------------------------------------------------------------------------------------------------------------
LEV....................................         1.00         1.26         0.71           0.91             1.11
ULEV...................................         1.20         1.54         1.00           1.26             1.56
ZEV....................................         1.43         1.83         1.43           1.83             2.23
----------------------------------------------------------------------------------------------------------------


                   Table B-2.2--Credit Generation: Selling More Stringent Clean-Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
                                                          LDT
                                          LDV & LDT     [le]6000       LDT       LDT  6000 gvwr     eq>6000 gvwr
       Vehicle emission  category            gvwr       [lE]3750       gvwr      [lE]3750 alvw   5750
                                           [le]3750       lvw        [le]3750    [le]5750 alvw         alvw
                                             lvw        [le]5750       alvw
                                                          lvw
----------------------------------------------------------------------------------------------------------------
LEV....................................         0.00         0.00         0.00           0.00             0.00
ULEV...................................          .20          .28          .29            .34              .45
ZEV....................................          .43          .57          .71            .91             1.11
----------------------------------------------------------------------------------------------------------------


                        Table B-2.3--Credit Needed in Lieu of Selling Clean-Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 gvwr    LDT  6000 gvwr   3750    eq>6000 gvwr
   Vehicle emission category         gvwr       eq>3750 lvw     [le]3750 alvw    alvw  [le]5750  5750
                                   [le]3750     [le]5750 lvw                          alvw             alvw
                                     lvw
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.26             0.71             0.91             1.11
----------------------------------------------------------------------------------------------------------------


[59 FR 50079, Sept. 30, 1994]



                   Subpart C--Clean-Fuel Fleet Program

    Source: 58 FR 11901, Mar. 1, 1993, unless otherwise noted.



Sec. 88.301-93  General applicability.

    (a) The requirements of this subpart apply to the following:
    (1) State Implementation Plan revisions at 40 CFR part 52 made 
pursuant to sections 110 and 246 of the CAA (42 U.S.C. 7410 and 7586) 
hereafter referred to as the ``SIP revision''.
    (2) All agencies, departments and instrumentalities of the United 
States that are subject to the fleet programs established by a state's 
SIP revision.
    (b) The requirements of Secs. 88.302-93, 88.303-93, 88.311-93, 
88.312-93, and 88.313-93 of this part apply to fleets which voluntarily 
purchase and operate Inherently Low-Emission Vehicles (ILEVs).
    (c) References in this subpart to engine families and emission 
control systems shall be deemed to refer to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles and light-duty trucks under the provisions of 40 CFR part 86, 
subpart S.

[58 FR 11901, Mar. 1, 1993, as amended at 64 FR 23973, May 4, 1999]



Sec. 88.302-93  Definitions.

    The definitions in 40 CFR part 86 of this chapter also apply to this 
subpart. The definitions in this section apply to this subpart.
    Combination heavy-duty vehicle means a vehicle with a GVWR greater 
than 8,500 pounds (3,900 kilograms) which is comprised of a truck-
tractor and one or more pieces of trailered equipment. The truck-tractor 
is a self-propelled motor vehicle built on one chassis which encompasses 
the engine, passenger compartment, and a means of coupling to a cargo 
carrying trailer(s). The truck-tractor itself is not designed to carry 
cargo.

[[Page 24]]

    Inherently Low-Emission Vehicle means any LDV or LDT conforming to 
the applicable Inherently Low-Emission Vehicle standard, or any HDV with 
an engine conforming to the applicable Inherently Low-Emission Vehicle 
standard. No dual-fuel or flexible-fuel vehicles shall be considered 
Inherently Low-Emission Vehicles unless they are certified to the 
applicable standard(s) on all fuel types for which they are designed to 
operate.
    Partially-Covered Fleet pertains to a vehicle fleet in a covered 
area which contains both covered fleet vehicles and non-covered fleet 
vehicles, i.e., exempt from covered fleet purchase requirements.
    Single-unit heavy-duty vehicle means a self-propelled motor vehicle 
with a GVWR greater than 8,500 pounds (3,900 kilograms) built on one 
chassis which encompasses the engine, passenger compartment, and cargo 
carrying function, and not coupled to trailered equipment. All buses, 
whether or not they are articulated, are considered single-unit 
vehicles.



Sec. 88.302-94  Definitions.

    The definitions in Sec. 88.302-93 and 40 CFR part 86 also apply to 
this part. All terms used in this part, but not defined in this section 
or in Sec. 88.302-93 and 40 CFR part 86 shall have the meaning assigned 
to them in the Clean Air Act.
    Can be centrally fueled means the sum of those vehicles that are 
centrally fueled and those vehicles that are capable of being centrally 
fueled.
    (1) Capable of being centrally fueled means a fleet, or that part of 
a fleet, consisting of vehicles that could be refueled 100 percent of 
the time at a location that is owned, operated, or controlled by the 
covered fleet operator, or is under contract with the covered fleet 
operator. The fact that one or more vehicles in a fleet is/are not 
capable of being centrally fueled does not exempt an entire fleet from 
the program.
    (2) Centrally fueled means a fleet, or that part of a fleet, 
consisting of vehicles that are fueled 100 percent of the time at a 
location that is owned, operated, or controlled by the covered fleet 
operator, or is under contract with the covered fleet operator. Any 
vehicle that is under normal operations garaged at home at night but 
that is, in fact, centrally fueled 100 percent of the time shall be 
considered to be centrally fueled for the purpose of this definition. 
The fact that one or more vehicles in a fleet is/are not centrally 
fueled does not exempt an entire fleet from the program. The fact that a 
vehicle is not centrally fueled does not mean it could not be centrally 
fueled in accordance with the definition of ``capable of being centrally 
fueled.''
    (3) Location means any building, structure, facility, or 
installation which; is owned or operated by a person, or is under the 
control of a person; is located on one or more contiguous properties and 
contains or could contain a fueling pump or pumps for the use of the 
vehicles owned or controlled by that person.
    Clean-fuel vehicle aftermarket conversion certifier means the 
business or entity that obtains a certificate of conformity with the 
clean-fuel vehicle standards and requirements for a vehicle/engine 
conversion configuration pursuant to the requirements of 40 CFR part 86 
and this part 88.
    Control means: (1) When it is used to join all entities under common 
management, means any one or a combination of the following:
    (i) A third person or firm has equity ownership of 51 percent or 
more in each of two or more firms;
    (ii) Two or more firms have common corporate officers, in whole or 
in substantial part, who are responsible for the day-to-day operation of 
the companies.
    (iii) One firm leases, operates, supervises, or in 51 percent or 
greater part owns equipment and/or facilities used by another person or 
firm, or has equity ownership of 51 percent or more of another firm.
    (2) When it is used to refer to the management of vehicles, means a 
person has the authority to decide who can operate a particular vehicle, 
and the purposes for which the vehicle can be operated.
    (3) When it is used to refer to the management of people, means a 
person has the authority to direct the activities of another person or 
employee in a precise situation, such as at the workplace.

[[Page 25]]

    Conversion configuration means any combination of vehicle/engine 
conversion hardware and a base vehicle of a specific engine family.
    Covered fleet operator means a person who operates a fleet of at 
least ten covered fleet vehicles (as defined in section 241(6) of the 
Act) and that fleet is operated in a single covered area (even if the 
covered fleet vehicles are garaged outside of it). For purposes of this 
definition, the vehicle types described in the definition of covered 
fleet (section 241(5) of the Act) as exempt from the program will not be 
counted toward the ten-vehicle criterion.
    Dealer demonstration vehicle means any vehicle that is operated by a 
motor vehicle dealer (as defined in section 216(4) of the Act) solely 
for the purpose of promoting motor vehicle sales, either on the sales 
lot or through other marketing or sales promotions, or for permitting 
potential purchasers to drive the vehicle for pre-purchase or pre-lease 
evaluation.
    Emergency vehicle means any vehicle that is legally authorized by a 
governmental authority to exceed the speed limit to transport people and 
equipment to and from situations in which speed is required to save 
lives or property, such as a rescue vehicle, fire truck, or ambulance.
    Law enforcement vehicle means any vehicle which is primarily 
operated by a civilian or military police officer or sheriff, or by 
personnel of the Federal Bureau of Investigation, the Drug Enforcement 
Administration, or other agencies of the federal government, or by state 
highway patrols, municipal law enforcement, or other similar law 
enforcement agencies, and which is used for the purpose of law 
enforcement activities including, but not limited to, chase, 
apprehension, surveillance, or patrol of people engaged in or 
potentially engaged in unlawful activities. For federal law enforcement 
vehicles, the definition contained in Executive Order 12759, Section 11: 
Alternative Fueled Vehicle for the Federal Fleet, Guidance Document for 
Federal Agencies, shall apply.
    Model year, as it applies to the clean fuel vehicle fleet purchase 
requirements, means September 1 through August 31.
    Motor vehicles held for lease or rental to the general public means 
a vehicle that is owned or controlled primarily for the purpose of 
short-term rental or extended-term leasing (with or without 
maintenance), without a driver, pursuant to a contract.
    New covered fleet vehicle means a vehicle that has not been 
previously controlled by the current purchaser, regardless of the model 
year, except as follows: Vehicles that were manufactured before the 
start of the fleet program for such vehicle's weight class, vehicles 
transferred due to the purchase of a company not previously controlled 
by the purchaser or due to a consolidation of business operations, 
vehicles transferred as part of an employee transfer, or vehicles 
transferred for seasonal requirements (i.e., for less than 120 days) are 
not considered new. States are permitted to discontinue the use of the 
fourth exception for fleet operators who abuse the discretion afforded 
them. This definition of new covered fleet vehicle is distinct from the 
definition of new vehicle as it applies to manufacturer certification, 
including the certification of vehicles to the clean fuel standards.
    Owned or operated, leased or otherwise controlled by such person 
means either of the following:
    (1) Such person holds the beneficial title to such vehicle; or
    (2) Such person uses the vehicle for transportation purposes 
pursuant to a contract or similar arrangement, the term of such contract 
or similar arrangement is for a period of 120 days or more, and such 
person has control over the vehicle pursuant to the definition of 
control of this section.
    Person includes an individual, corporation, partnership, 
association, State, municipality, political subdivision of a State, and 
any agency, department, or instrumentality of the United States and any 
officer, agent, or employee thereof.
    Under normal circumstances garaged at personal residence means a 
vehicle that, when it is not in use, is normally parked at the personal 
residence of the individual who usually operates it, rather than at a 
central refueling, maintenance, and/or business location. Such vehicles 
are not considered to be

[[Page 26]]

capable of being central fueled (as defined in this subpart) and are 
exempt from the program unless they are, in fact, centrally fueled.
    Vehicle used for motor vehicle manufacturer product evaluations and 
tests means a vehicle that is owned and operated by a motor vehicle 
manufacturer (as defined in section 216(1) of the Act), or motor vehicle 
component manufacturer, or owned or held by a university research 
department, independent testing laboratory, or other such evaluation 
facility, solely for the purpose of evaluating the performance of such 
vehicle for engineering, research and development, or quality control 
reasons.

[58 FR 64691, Dec. 9, 1993, as amended at 59 FR 50080, Sept. 30, 1994]



Sec. 88.303-93  Abbreviations.

    The abbreviations in subpart A of this part and in 40 CFR part 86 
apply to this subpart. The abbreviations in this section apply to this 
subpart.

    ILEV--Inherently Low-Emission Vehicle.



Sec. 88.304-94  Clean-fuel Fleet Vehicle Credit Program.

    (a) General. (1) The SIP revision shall provide for a CFFV credit 
program to enable covered fleet owners/operators to meet the fleet 
vehicle purchase requirements of the CAA both by purchasing clean-fuel 
vehicles (CFVs) directly and by trading and banking CFFV credits for 
vehicle purchases.
    (2) All credit-generating vehicles must meet the applicable emission 
standards and other requirements contained in 40 CFR part 88, subpart A.
    (b) Program administration. (1)(i) Each state in which there is all 
or part of a covered area, as defined in CAA section 246(a)(2), shall 
promulgate regulations as necessary for implementing this requirement.
    (ii) The state shall submit a SIP revision before May 15, 1994 to 
the Administrator stipulating the specific mechanism by which the CFFV 
program is to be administered and enforced. The credit program shall 
commence upon EPA approval of the SIP in accordance with CAA section 
246(f)(5).
    (2) A fleet owner who purchases/leases a CFFV only to generate CFFV 
credit shall be subject to the same requirements of the state's CFFV 
program as a covered fleet owner who purchases/leases a CFFV to 
demonstrate compliance with covered fleet purchase requirements.
    (3) While in the covered area, a dual-fuel/flexible-fuel vehicle 
which a fleet owner purchases to comply with covered fleet purchase 
requirements must be operated at all times on the fuel(s) on which it 
was certified as a CFFV. If the fleet owner receives credit for a dual-
fuel/flexible-fuel vehicle purchase, the vehicle must be operated at the 
same emission level for which the vehicle generated CFFV credit.
    (c) Credit generation. (1) States shall grant CFFV credits to a 
covered fleet owner for any of the following qualifying CFFV purchases:
    (i) Purchase of a CFFV during any period subsequent to the approval 
of the SIP revision but prior to the effective date for commencement of 
a state's CFFV purchase requirement if the purchase meets all other CFFV 
requirements applicable to such purchases, including the statutory 
requirement to use only the fuel on which the vehicle was certified as a 
CFFV;
    (ii) Purchase of a greater number of CFFVs than is required under 
the SIP revision;
    (iii) Purchase of a CFFV which meets more stringent emission 
standards than required under the SIP revision; or
    (iv) Purchase of a CFFV in an exempt or non-covered vehicle category 
by the owner/operator of a covered or partially-covered fleet.
    (2) A state may retroactively grant CFFV credit(s) to a fleet owner 
for the purchase of a CFFV prior to the approval of the state's SIP 
revision if the purchase met all CFFV credit program requirements 
applicable to such purchases, including:
    (i) The vehicle purchased would have to have been certified to CFFV 
emission standards;
    (ii) The vehicle purchased would have to have been a dedicated-fuel 
vehicle;
    (iii) If the vehicle purchased was not a dedicated-fuel vehicle, 
then the fleet owner would have to show that the vehicle had been 
operated only on the

[[Page 27]]

clean alternative fuel on which the vehicle had been certified as a 
CFFV.
    (3) For LDVs and LDTs, credit values shall be determined in 
accordance with Table C94-1. The state shall use Table C94-1 exclusively 
in determining LDV and LDT CFFV credit values. Table C94-1.1 applies to 
paragraphs (c)(1) (i), (ii) and (iv) of this section; Table C94-1.2 
applies to paragraph (c)(1)(iii) of this section.
    (4) In lieu of determining credit values in accordance with Table 
C94-1, a state may specify in its SIP revision that Table C94-2 will be 
used to determine LDV and LDT CFFV credit values in one or more affected 
nonattainment areas. Any state choosing to do so must provide adequate 
justification, based on air quality benefits, at the time the SIP 
revision is submitted. If the use of Table C94-2 is approved by EPA, the 
State shall use Table C94-2 exclusively in determining LDV and LDT CFFV 
credit values for vehicles in the subject area or areas. Table C94-2.1 
applies to paragraphs (b)(1) (i), (ii) and (iv) of this section; Table 
C94-2.2 applies to paragraph (b)(1)(iii) of this section.
    (5) In lieu of determining credit values in accordance with Table 
C94-1, a state containing a carbon monoxide nonattainment area(s) having 
a design value above 16.0 parts per million may specify in its SIP 
revision that Table C94-3 will be used to determine LDV and LDT CFFV 
credit values in one or more affected nonattainment areas. Any state 
choosing to do so must provide adequate justification, based on air 
quality benefits, at the time the SIP revision is submitted. If the use 
of Table C94-3 is approved by EPA, the state shall use Table C94-3 
exclusively in determining LDV and LDT CFFV credit values for vehicles 
in the subject area or areas. Table C94-3.1 applies to paragraphs (b)(1) 
(i), (ii) and (iv) of this section; Table C94-3.2 applies to paragraph 
(b)(1)(iii) of this section.
    (6) For HDVs, credit values shall be determined in accordance with 
Table C94-4. The state shall use Table C94-4 exclusively in determining 
heavy-duty vehicle CFFV credit values. Table C94-4.1 applies to 
paragraphs (c)(1) (i), (ii) and (iv) of this section, and Table C94-4.2 
applies to paragraph (c)(1)(iii) of this section.
    (7) In lieu of determining credit values in accordance with Table 
C94-4, a state containing a carbon monoxide nonattainment area(s) having 
a design value above 16 parts per million may specify in its SIP 
revision that Table C94-5 will be used to determine heavy-duty vehicle 
CFFV credit values in one or more affected nonattainment areas. Any 
state choosing to do so must provide adequate justification, based on 
air quality benefits, at the time the SIP revision is submitted. If the 
use of Table C94-5 is approved by EPA, the State shall use Table C94-5 
exclusively in determining heavy-duty vehicle CFFV credit values for 
vehicles in the subject area or areas. Table C94-5.1 applies to 
paragraphs (b)(1) (i), (ii) and (iv) of this section; Table C94-5.2 
applies to paragraph (b)(1)(iii) of this section.
    (8) Credit values shall be rounded to two decimal places.
    (9) Heavy heavy-duty vehicles. (i) States must allow purchase of any 
clean-fuel single-unit or combination HDV with a GVWR greater than 
26,000 pounds (11,800 kilograms) to generate CFFV credit for the fleet 
vehicle purchaser.
    (ii) States must exclude from generating CFFV credit the purchase of 
any combination HDV with a GVWR greater than 26,000 pounds (11,800 
kilograms) which pays all or a portion of its fuel taxes, as evidenced 
by fuel tax stickers on the combination HDV, to a state(s) which is not 
part of that covered nonattainment area.
    (10) Light-duty CFFV credits. Credits generated by the purchase of a 
qualifying clean-fuel fleet LDV or a LDT shall be designated at the time 
of issuance as light-duty CFFV credits.
    (11) Heavy-duty CFFV credits. Credits generated by the purchase of a 
qualifying clean-fuel fleet HDV shall be designated at the time of 
issuance as heavy-duty CFFV credits. Further, credits generated by the 
purchase of a light heavy-duty or a medium heavy-duty qualifying CFFV 
shall be designated at the time of issuance as light heavy-duty and 
medium heavy-duty CFFV credits, respectively.

[[Page 28]]

    (d) Credit use. (1) All credits generated in accordance with these 
provisions may be freely traded or banked for later use, subject to the 
provisions contained in this subpart, without discount or depreciation 
of such credits.
    (2) A covered fleet owner or operator desiring to demonstrate full 
or partial compliance with covered fleet purchase requirements by the 
redemption of credits shall surrender sufficient credits as established 
in this paragraph. In lieu of purchasing a CFFV, a fleet owner or 
operator shall surrender credits equal to the credit value for the 
corresponding vehicle class and credit calculation method used in that 
area from either Table C94-1.3, C94-2.3, C94-3.3, C94-4.3, or C94-5.3 of 
this subpart.
    (3) Credits earned within the boundaries of a covered nonattainment 
area may be traded within those boundaries whether or not that area 
encompasses parts of more than one state.
    (4) Credits issued as a result of CFFV purchase requirements in one 
nonattainment area may not be used to demonstrate compliance in another 
nonattainment area, even if a state contains more than one covered 
nonattainment area.
    (5) Credit allocation. (i) Credits generated by the purchase of LDVs 
and LDTs of 8,500 pounds (3,900 kilograms) GVWR or less may be used to 
demonstrate compliance with covered fleet purchase requirements 
applicable to LDVs or LDTs of 8,500 pounds (3,900 kilograms) GVWR or 
less.
    (ii) Credits generated by the purchase of vehicles of more than 
8,500 pounds (3,900 kilograms) GVWR may not be used to demonstrate 
compliance with the covered fleet purchase requirements for vehicles 
weighing 8,500 pounds (3,900 kilograms) GVWR or less.
    (iii) Credits generated by the purchase of vehicles of 8,500 pounds 
(3,900 kilograms) GVWR or less may not be used to demonstrate compliance 
with requirements for vehicles of more than 8,500 pounds (3,900 
kilograms) GVWR.
    (iv) Credits generated by the purchase of a HDV of a particular 
weight subclass may be used to demonstrate compliance with required 
heavy-duty vehicle purchases for the same or lighter weight subclasses. 
These credits may not be used to demonstrate compliance with required 
HDV purchases for vehicles of heavier weight subclasses than the weight 
subclass of the vehicle which generated the credits.



Sec. 88.305-94  Clean-fuel fleet vehicle labeling requirements for heavy-duty vehicles.

    (a) All clean-fuel heavy-duty engines and vehicles used as LEVs, 
ULEVs, and ZEVs that are also regulated under 40 CFR part 86 shall 
comply with the labeling requirements of 40 CFR 86.095-35 (or later 
applicable sections), and shall also include an unconditional statement 
on the label indicating that the engine or vehicle is a LEV, ULEV, or 
ZEV, and meets all of the applicable requirements of this part 88.
    (b) All heavy-duty clean-fuel fleet vehicles not regulated under 40 
CFR part 86 shall have a permanent legible label affixed to the engine 
or vehicle in a readily visible location, which contains the following 
information:
    (1) The label heading: vehicle emissions classification information 
(e.g., ``This is a Low Emission Vehicle'');
    (2) Full corporate name and trademark of the manufacturer;
    (3) A statement that this engine or vehicle meets all applicable 
requirements of the U.S. Environmental Protection Agency clean-fuel 
fleet vehicle program, as described in this part 88, but not necessarily 
those requirements found in 40 CFR part 86.

[59 FR 50080, Sept. 30, 1994]



Sec. 88.306-94  Requirements for a converted vehicle to qualify as a 
clean-fuel fleet vehicle.

    (a) For purposes of meeting the requirements of section 246 of the 
Clean Air Act or the SIP revisions, conversions of engines or vehicles 
which satisfy the requirements of this section shall be treated as a 
purchase of a clean-fuel vehicle under subpart C of this part.
    (b) The engine or vehicle must be converted using a conversion 
configuration which has been certified according to the provisions of 40 
CFR part 86 using applicable emission standards and other provisions 
from part 88 for clean-fuel engines and vehicles. The following 
requirements will also apply:

[[Page 29]]

    (1) If the installation of the certified conversion configuration is 
performed by an entity other than aftermarket conversion certifier, the 
aftermarket conversion certifier shall submit a list of such installers 
to the Administrator. Additional installers must be added to this list 
and the revised list submitted to the Administrator within 5 working 
days from the time they are authorized to perform conversion 
installations by the clean-fuel vehicle aftermarket conversion 
certifier.
    (2) If the installation of the certified conversion configuration is 
performed by an entity other than the certificate holder, the 
certificate holder shall provide instructions for installation of the 
aftermarket conversion system to installers listed on the certificate, 
and ensure that the systems are properly installed.
    (3) For the purpose of determining whether certification under the 
Small-Volume Manufacturers Certification Program pursuant to the 
requirements of 40 CFR 86.094-14 is permitted, the 10,000 sales volume 
limit in 40 CFR 86.094-14(b)(1) is waived for a certifier of a clean-
fuel vehicle aftermarket conversion.
    (4) Clean-fuel vehicle aftermarket conversion certifiers that are 
subject to the post-installation emissions testing requirements in 
paragraph (c) of this section and who will satisfy these requirements by 
using the two speed idle test procedure detailed in paragraph (c)(2)(ii) 
of this section must conduct the following testing at the time of 
certification in order to generate the required certification CO 
emissions reference values. The certification CO emissions reference 
values generated must be submitted to the Administrator at the time of 
application for certification.
    (i) For dual and flexible fuel vehicles, certification reference 
values must be generated for each certification test fuel required for 
exhaust emissions testing pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
    (ii) For light-duty vehicles and light-duty trucks the test fuels 
used during the emissions testing required by paragraph (b)(3) of this 
section must comply with the fuel specifications for exhaust emissions 
testing found in 40 CFR 86.113. For heavy-duty engines the test fuels 
used during the emissions testing required by paragraph (b)(3) of this 
section must comply with the fuel specifications for exhaust emissions 
testing found in 40 CFR 86.1313.
    (iii) Single, consecutive idle mode and high-speed mode segments of 
the two speed idle test must be conducted pursuant to the requirements 
of 40 CFR 85.2215 and as modified by the provisions of paragraph 
(c)(4)(ii)(D) of this section and this paragraph to determine the 
required certification CO emission reference values.
    (A) The certification CO emission reference value for the idle mode 
of the test will be the simple average of all emissions measurements 
taken during an idle mode of 90 seconds duration pursuant to the 
requirements in 40 CFR 85.2215(a).
    (B) The certification CO emission reference value for the high-speed 
mode of the test will be the simple average of all emissions 
measurements taken during a high-speed mode of 180 seconds duration 
pursuant to the requirements in 40 CFR 85.2215(a).
    (c) Except as provided in paragraph (c)(1) of this section, each 
converted vehicle manufactured by a clean-fuel vehicle aftermarket 
conversion certifier with aggregate sales of less than 10,000 converted 
vehicles within a given calendar year must satisfy the post-installation 
emissions testing requirements of paragraph (c)(2) of this section. If a 
vehicle fails to satisfy the emissions testing requirements such vehicle 
may not be considered a clean- fuel vehicle until such noncompliance is 
rectified and compliance is demonstrated.
    (1) A clean-fuel vehicle aftermarket conversion certifier with 
estimated sales of 300 or fewer engines and vehicles in a calendar year 
and which sells or converts vehicles outside of a non-attainment area 
(as classified under subpart D of Title I) which has an inspection and 
maintenance program that includes a test of carbon monoxide emissions 
may submit a request to the Administrator for an exemption from the 
post-installation emission test requirements of paragraph (c) of this 
section. If granted, such an exemption would apply to converted vehicles 
that

[[Page 30]]

have the conversion installation performed outside of a nonattainment 
area which has an inspection and maintenance program that includes a 
test of carbon monoxide emissions.
    (i) The request for exemption submitted to the Administrator must 
include the following:
    (A) The estimated number of engines and vehicles that will be 
converted in the calendar year.
    (B) Sufficient information to demonstrate that complying with the 
post-installation emission test requirement represents a severe 
financial hardship.
    (C) A description of any emission related quality control procedures 
used.
    (ii) Within 120 days of receipt of the application for exemption, 
the Administrator will notify the applicant either that an exemption is 
granted or that sufficient cause for an exemption has not been 
demonstrated and that all of the clean-fuel vehicle aftermarket 
conversion certifier's vehicles are subject to the post-installation 
test requirement of paragraph (c)(2) of this section.
    (iii) If the clean-fuel vehicle aftermarket conversion certifier 
granted an exemption originally estimates that 300 or fewer conversions 
would be performed in the calendar year, and then later revises the 
estimate to more than 300 for the year, the certifier shall inform the 
Administrator of such revision. A post-installation emissions test for 
each conversion performed after the estimate is revised is required 
pursuant to the requirements of paragraph (c)(2) of this section. The 
estimated number of conversions from such a clean-fuel vehicle 
aftermarket conversion certifier must be greater than 300 in the 
following calendar year.
    (2) A clean-fuel vehicle aftermarket conversion certifier with 
aggregate sales less than 10,000 converted vehicles within a given 
calendar year shall conduct post-installation emissions testing using 
either of the following test methods:
    (i) The carbon monoxide (CO) emissions of the converted vehicle must 
be determined in the manner in which CO emissions are determined 
according to the inspection and maintenance requirements applicable in 
the area in which the vehicle is converted or is expected to be 
operated.
    (A) For dual-fuel vehicles, a separate test is required for each 
fuel on which the vehicle is capable of operating. For flexible fuel 
vehicles, a single test is required on a fuel that falls within the 
range of fuel mixtures for which the vehicle was designed. The test 
fuel(s) used must be commercially available.
    (B) A converted vehicle shall be considered to meet the requirements 
of this paragraph if the vehicle's measured exhaust CO concentration(s) 
is lower than the cutpoint(s) used to determine CO pass/fail under the 
inspection and maintenance program in the area in which the conversion 
is expected to be operated.
    (1) If CO pass/fail criteria are not available for a vehicle fuel 
type then pass/fail criteria specific to gasoline use are to be used for 
vehicles of that fuel type.
    (2) [Reserved]
    (ii) The carbon monoxide (CO) emissions of the converted vehicle 
must be determined in the manner specified in the two speed idle test-
EPA 91 found in 40 CFR 85.2215. All provisions in the two speed idle 
test must be observed except as detailed in paragraph (c)(2)(ii)(D) of 
this section.
    (A) For dual and flexible fuel vehicles, a separate test is required 
for each certification test fuel required for exhaust emissions testing 
pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
    (B) For light-duty vehicles and light-duty trucks the test fuels 
used during the emissions testing required by paragraph (c)(4) of this 
section must comply with the fuel specifications for exhaust emissions 
testing found in 40 CFR 86.113. For heavy-duty engines the test fuels 
used during the emissions testing required by paragraph (c)(2) of this 
section must comply with the fuel specifications for exhaust emissions 
testing found in 40 CFR 86.1313.
    (C) A converted vehicle shall be considered to meet the requirements 
of this paragraph if the following criteria are satisfied:
    (1) The vehicle's measured idle mode exhaust CO concentration(s) 
must be lower than the sum of 0.4 percent CO plus the idle mode 
certification CO emissions reference value as determined according to 
the requirements of paragraph (b)(3) of this section.

[[Page 31]]

    (2) The vehicle's measured high-speed mode exhaust CO 
concentration(s) must be lower than the sum of 0.4 percent CO plus the 
high-speed certification CO emissions reference value as determined 
according to the requirements of paragraph (b)(3) of this section.
    (D) For the purposes of the post-installation emissions testing 
required by paragraph (c) of this section, the following adjustments to 
the two speed idle test-EPA 91 in 40 CFR 85.2215 are necessary.
    (1) Testing of hydrocarbon emissions and equipment associated solely 
with hydrocarbon emissions testing is not required.
    (2) The CO emissions pass/fail criteria in 40 CFR 85.2215(a)(2), 
(c)(1)(ii)(A), (c)(2)(ii)(A)(1), (c)(2)(iii)(A)(1), and (d)(3)(i) are to 
be replaced with the pass/fail criteria detailed in paragraph 
(c)(2)(ii)(C) of this section. All HC pass/fail criteria in 40 CFR 
85.2215 do not apply.
    (3) The void test criteria in 40 CFR 85.2215(a)(3) and (b)(2)(iv) 
associated with maintaining the measured concentration of CO plus 
CO2 above six percent does not apply. However, the 
Administrator may reconsider requiring that the void test criteria in 40 
CFR 85.2215(a)(3) and (b)(2)(iv) be applied, and may issue an advisory 
memorandum to this effect in the future.
    (4) The ambient temperature levels encountered by the vehicle during 
testing must comply with the specifications in 40 CFR 86.130 or 40 CFR 
86.1330.
    (d) The clean-fuel vehicle aftermarket conversion certifier shall be 
considered a manufacturer for purposes of Clean Air Act sections 206 and 
207 and related enforcement provisions, and must accept liability for 
in-use performance of all the vehicles produced under the certificate of 
conformity as outlined in 40 CFR part 85.
    (1) The useful life period for the purposes of determining the in-
use liability of the clean-fuel vehicle aftermarket conversion certifier 
shall be the original useful life of the vehicle prior to conversion.
    (2) [Reserved]
    (e) Tampering. (1) The conversion from an engine or vehicle capable 
of operating on gasoline or diesel fuel only to a clean-fuel engine or 
vehicle shall not be considered a violation of the tampering provisions 
of Clean Air Act section 203(a)(3), if such conversion is done pursuant 
to a conversion configuration certificate by the aftermarket conversion 
certifier or by an installer listed on the certificate.
    (2) In order to comply with the provisions of this subpart, an 
aftermarket conversion installer must:
    (i) Install a certified aftermarket conversion system for which the 
installer is listed by the certifier; and
    (ii) Perform such installation according to instructions provided by 
the aftermarket conversion certifier.
    (f) Data collection. The clean-fuel vehicle aftermarket conversion 
certifier is responsible for maintaining records of each engine and 
vehicle converted for use in the Clean Fuel Fleets program for a period 
of 5 years. The records are to include the engine or vehicle make, 
engine or vehicle model, engine or vehicle model year, and engine or 
vehicle identification number of converted engines and vehicles; the 
certification number of the conversion configuration; the brand names 
and part numbers of the parts included in the conversion configuration; 
the date of the conversion and the facility at which the conversion was 
performed; and the results of post-installation emissions testing if 
required pursuant to paragraph (c) of this section.

[59 FR 50080, Sept. 30, 1994, as amended at 61 FR 129, Jan. 3, 1996]



Sec. 88.307-94  Exemption from temporal transportation control measures 
for CFFVs.

    (a) States with covered areas shall exempt any CFFV required by law 
to participate in the clean-fuel fleet program or any vehicle generating 
credits under Sec. 88.304-94(c) from transportation control measures 
(TCMs) existing wholly or partially for air quality reasons included in 
an approved state implementation plan which restrict vehicle usage based 
primarily on temporal considerations, such as time-of-day and day-of-
week exemptions. However, CFFVs shall not qualify for TCMs where the 
temporal element is secondary to some other control element

[[Page 32]]

and, in no case, shall such exemptions apply if they create a clear and 
direct safety hazard. This exemption does not include access to high 
occupancy vehicle (HOV) lanes, except as provided in Sec. 88.313-93.
    (b) States shall also grant temporal TCM exemptions to qualifying 
CFFVs being operated after SIP approval, but prior to the effective date 
for commencement of a state's CFFV credit program.
    (c) Temporal TCM exemptions provided for in paragraph (a) of this 
section are not effective outside of the areas for which states can be 
required to establish CFFV credit programs.
    (1) Such exemptions shall remain effective only while the subject 
vehicle remains in compliance with applicable CFFV emissions standards 
and other CFFV credit program requirements.
    (2) CFFV TCM exemptions shall not be transferred between vehicles 
within the same fleet nor shall they be sold or traded.



Sec. 88.308-94  Programmatic requirements for clean-fuel fleet vehicles.

    (a) Multi-State nonattainment areas. The states comprising a multi-
State nonattainment area shall, to the greatest extent possible, 
promulgate consistent clean-fuel fleet vehicle programs.
    (b) Program start date. The SIP revision shall provide that the 
clean fuel vehicle purchase requirements begin to apply no later than 
model year 1999.

[59 FR 50082, Sept. 30, 1994, as amended at 63 FR 20107, Apr. 23, 1998]



Sec. 88.309  [Reserved]



Sec. 88.310-94  Applicability to covered Federal fleets.

    (a) Compliance by Federal vehicles. As per section 258(a) of the 
Act, fleets owned or operated by any agency, department, or 
instrumentality of the United States shall comply with the applicable 
state regulations concerning CFFVs established in the SIP revision. Such 
fleets shall be treated in the same manner as private or other 
government fleets under the applicable state regulations.
    (1) Federal agencies shall obtain CFFVs from original equipment 
manufacturers, to the extent possible, as required under section 248 of 
the CAA.
    (2) The Secretary of Defense may exempt any vehicle(s) from the 
provisions of any CFFV credit program established in the SIP revision by 
certifying to the Administrator in writing that inclusion of the 
specified vehicle(s) in such a program could have an adverse impact on 
the national security. The Secretary of Defense shall also provide a 
copy of this statement of exemption to the state agency administering 
the CFFV credit program in the covered area in which the specified 
vehicle(s) is registered/operated.
    (b) [Reserved]



Sec. 88.311-93  Emissions standards for Inherently Low-Emission Vehicles.

    (a) Certification. (1) Emissions Testing Procedures. A vehicle shall 
be certified as an ILEV if that vehicle satisfies the following 
conditions:
    (i) The vehicle shall be certified under the appropriate exhaust 
emissions standards from paragraph (c) or (d) of this section depending 
on the vehicle's weight classification.
    (ii) The vehicle shall be certified as having fuel vapor emissions 
which are five or less total grams per test as measured by the current 
Federal Test Procedure (FTP), modified for ILEV certification, from 40 
CFR part 86, subpart B for LDVs and LDTs and from 40 CFR part 86, 
subpart M for HDVs.
    (A) After disabling any and all auxiliary emission control devices 
(canister, purge system, etc.) related to control of evaporative 
emissions, the fuel vapor emissions shall be measured using the FTP 
regulations in effect at the time the vehicle is to be certified as an 
ILEV. For purposes of this section, the vehicle's fuel vapor emissions 
shall consist of the total grams of diurnal, hot soak, running loss, and 
resting loss emissions, as appropriate, for the particular fuel/vehicle/
engine combination to be tested. In determining ILEV evaporative 
emissions, the diurnal emissions measurement procedure shall consist of 
a single diurnal heat build using an ambient or fuel temperature range 
of 72 deg.-96  deg.F (22 deg.-36  deg.C), as appropriate for the 
applicable FTP regulations (40 CFR part 86).

[[Page 33]]

    (B) Conventional Federal Test Procedure. A vehicle with no 
evaporative emissions control system components may have its evaporative 
emissions certified for its particular GVWR weight class/subclass if it 
passes the conventional evaporative emissions FTP from 40 CFR part 86, 
subpart B for LDVs and LDTs or from 40 CFR part 86, subpart M for HDVs, 
as applicable.
    (iii) The vehicle must meet other special requirements applicable to 
conventional or clean-fuel vehicles and their fuels as described in any 
other parts of this chapter, including 40 CFR parts 86 and 88.
    (2) Vehicles which have a closed or sealed fuel system may be 
certified at the administrator's option by engineering evaluation in 
lieu of testing. These vehicles will be certified as ILEVs only if a 
leak in the fuel system would result in the vehicle becoming inoperative 
due to loss of fuel supply, or if half the fuel escapes within 24 hours.
    (b) Identification. In the application for a vehicle's certification 
as an ILEV, the manufacturer or the manufacturer's agent shall provide 
for positive identification of the vehicle's status as an ILEV in the 
vehicle's Vehicle Emission Control Information (VECI) label in 
accordance with 40 CFR 86.094-35 and 86.095-35. The label shall contain 
a highlighted statement (e.g., underscored or boldface letters) that the 
vehicle is certified to applicable emission standards for ILEV exhaust 
and evaporative emission standards.
    (c) Light-duty vehicles and light-duty trucks. ILEVs in LDV and LDT 
classes shall have exhaust emissions which do not exceed the LEV exhaust 
emission standards for NMOG, CO, HCHO, and PM and the ULEV exhaust 
emission standards for NOX listed in Tables A104-1 through 
A104-6 for light-duty CFVs. Exhaust emissions shall be measured in 
accordance with the test procedures specified in Sec. 88.104-94(k). An 
ILEV must be able to operate on only one fuel, or must be certified as 
an ILEV on all fuels on which it can operate. These vehicles shall also 
comply with all requirements of 40 CFR part 86 which are applicable to 
conventional gasoline-fueled, methanol-fueled, diesel-fueled, natural 
gas-fueled or liquified petroleum gas-fueled LDVs/LDTs of the same 
vehicle class and model year.
    (d) Heavy-duty vehicles. ILEVs in the HDV class shall have exhaust 
emissions which do not exceed the exhaust emission standards in grams 
per brake horsepower-hour listed in Sec. 88.105-94(d). Exhaust emissions 
shall be measured in accordance with the test procedures specified in 
Sec. 88.105-94(e). An ILEV must be able to operate on only one fuel, or 
must be certified as an ILEV on all fuels on which it can operate. These 
vehicles shall also comply with all requirements of 40 CFR part 86 which 
are applicable in the case of conventional gasoline-fueled, methanol-
fueled, diesel-fueled, natural gas-fueled or liquified petroleum gas-
fueled HDVs of the same weight class and model year.
    (e) Applicability. State actions to opt out of the clean-fuel fleet 
program under section 182(c) of the Act do not affect the applicability 
of the ILEV program in the affected states.

[57 FR 60046, Dec. 17, 1992, as amended at 59 FR 48536, Sept. 21, 1994; 
59 FR 50082, Sept. 30, 1994, 61 FR 127, Jan. 3, 1996]



Sec. 88.311-98  Emissions standards for Inherently Low-Emission Vehicles.

    Section 88.311-98 includes text that specifies requirements that 
differ from Sec. 88.311-93. Where a paragraph in Sec. 88.311-93 is 
identical and applicable to Sec. 88.311-98, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 88.311-93.''
    (a) heading through (a)(1)(ii) [Reserved]. For guidance see 
Sec. 88.311-93.
    (iii) The vehicle must meet other special requirements applicable to 
conventional or clean-fuel vehicles and their fuels as described in any 
other regulations in 40 CFR chapter I, subchapter C, including 40 CFR 
parts 86 and 88 (e.g., onboard refueling provisions).
    (b) through (e) [Reserved]. For guidance see Sec. 88.311-93.

[59 FR 16309, Apr. 6, 1994]

    Effective Date Note: The new information collection requirements for 
Sec. 88.311-98 published in the Federal Register at 59 FR 16309, Apr. 6, 
1994, which apply to 1998 and later model year vehicles, have not been 
approved by the Office of Management and Budget (OMB) and are not 
effective.

[[Page 34]]



Sec. 88.312-93  Inherently Low-Emission Vehicle labeling.

    (a) Label design. (1) Label design shall consist of either of the 
following specifications:
    (i) The label shall consist of a white rectangular background, 
approximately 12 inches (30 centimeters) high by 18 inches (45 
centimeters) wide, with ``CLEAN AIR VEHICLE'' printed in contrasting 
block capital letters at least 4.3 inches (10.6 centimeters) tall and 
1.8 inches (4.4 centimeters) wide with a stroke width not less than 0.5 
inches (1.3 centimeters). In addition, the words ``INHERENTLY LOW-
EMISSION VEHICLE'' must be present in lettering no smaller than 1 inch 
(2.5 centimeters) high. Nothing shall be added to the label which 
impairs readability. Labels shall include a serialized identification 
number; or
    (ii) The label shall consist of a white truncated-circular 
background, approximately 10 inches (25 centimeters) in diameter by 7 
inches (17.5 centimeters) in height. The bottom edge of the truncated-
circular background shall be approximately 2 inches (5 centimeters) from 
the center. The acronym ``ILEV'' shall be printed on the label in 
contrasting block capital letters at least 2 inches (5 centimeters) tall 
and 1.5 inches (3.8 centimeters) wide with a stroke width not less than 
0.4 inches (1.0 centimeter). In addition, the words ``CLEAN AIR 
VEHICLE'' must be present in lettering no smaller than 0.8 inches (2.0 
centimeters) high. Nothing shall be added to the label which impairs 
readability. Labels shall include a serialized identification number.
    (2) The ILEV label shall be fabricated or affixed to a vehicle in 
such a manner that its removal from the vehicle cannot be accomplished 
without defacing or destroying the label in whole or in part.
    (3) Along with the manufacturer's application to certify a 
particular ILEV engine class, the manufacturer or the manufacturer's 
agent shall submit to EPA ILEV labels or reasonable facsimiles of the 
types which may be mounted on a certified ILEV vehicle of that class.
    (b) Eligibility. Vehicle manufacturers or their agents must install 
ILEV labels on a certified ILEV vehicle at the time of its sale to an 
eligible fleet owner if the vehicle is to be eligible for expanded TCM 
exemptions. An eligible fleet owner is one who is in a covered area and 
owns a total of at least ten motor vehicles (including the ILEV(s) being 
purchased) which operate in the owner's fleet. All of the following 
shall be provided to demonstrate eligibility: Photocopies of no less 
than nine motor vehicle registrations indicating registration in the 
ILEV purchaser's name, a signed statement by the ILEV purchaser that 
these vehicles are operational in the purchaser's fleet and that the 
ILEV being purchased will also be operated in this fleet, and a signed 
statement by the ILEV purchaser that the ILEV labels will be removed and 
disposed of when the vehicle is sold, given, leased (except as part of a 
daily rental fleet), or offered for long-term loan to someone who has 
not demonstrated eligibility for expanded TCMs available to ILEVs 
according to these criteria.
    (c) ILEV Label installation. (1) Except as provided for in this 
paragraph (c), no person shall attach an ILEV label or any facsimile of 
an ILEV label to any vehicle.
    (2)(i) The manufacturer or the manufacturer's agent shall attach 
three labels on the vehicle in plain sight: One on the rear of the 
vehicle and one on each of two sides of the vehicle. Each label shall 
conform to the specifications of paragraph (a) of this section.
    (ii) In the case that an ILEV label of the proportions specified in 
paragraph (a)(1) of this section cannot be attached to the rear of the 
ILEV, the manufacturer or the manufacturer's agent shall attach to the 
rear of the vehicle an ILEV label of either of the following 
proportions:
    (A) The label shall consist of a white rectangular background, 
approximately 4 inches (10 centimeters) high by 24 inches (60 
centimeters) wide, with ``CLEAN AIR VEHICLE'' printed in contrasting 
block capital letters at least 2.8 inches (7 centimeters) tall and 1.3 
inches (3.3 centimeters) wide with a stroke width not less than 0.3 
inches (0.8 centimeter). In addition, the words ``INHERENTLY LOW-
EMISSION VEHICLE'' must be present in lettering

[[Page 35]]

no smaller than 0.6 inches (1.5 centimeters) high. Nothing shall be 
added to the label which impairs readability. Labels shall include a 
serialized identification number; or
    (B) The label shall consist of a white truncated-circular 
background, approximately 5 inches (12.5 centimeters) in diameter by 3.5 
inches (8.8 centimeters) in height. The bottom edge of the truncated-
circular background shall be approximately 1 inch (2.5 centimeters) from 
the center. The acronym ``ILEV'' shall be printed on the label in 
contrasting block capital letters at least 1 inch (2.5 centimeters) tall 
and 0.8 inches (2.0 centimeters) wide with a stroke width not less than 
0.3 inches (0.8 centimeters). In addition, the words ``CLEAN AIR 
VEHICLE'' must be present in lettering no smaller than 0.4 inches (1.0 
centimeter) high. Nothing shall be added to the label which impairs 
readability. Labels shall include a serialized identification number.
    (d) Label removal. Fleet ILEV owners shall remove and dispose of the 
ILEV labels on a vehicle before selling or transferring ownership of an 
ILEV or offering it for lease (unless the ILEV is part of a daily rental 
fleet) or long-term loan. This provision shall not apply if the person 
who is receiving the vehicle demonstrates eligibility for expanded TCM 
exemptions under the federal ILEV program as described in paragraph (b) 
of this section, or is otherwise qualified under state regulations which 
expressly expand ILEV label eligibility.
    (e) Label replacement. (1) The manufacturer shall make replacement 
ILEV labels available to the fleet owner of a qualifying ILEV to replace 
any ILEV label which has been lost or removed due to vehicle damage, 
repair, sale, or lease. The fleet owner's request shall include proof of 
ownership of the ILEV in question and proof of the fleet owner's 
eligibility for ILEV TCM exemptions, as outlined in paragraph (c) of 
this section. Each label shall be imprinted with the same serial number 
as initially assigned to the damaged/missing ILEV label(s) for that 
vehicle. Any portion of a damaged label remaining on the ILEV shall be 
removed from the vehicle and submitted with the request as proof of 
loss.
    (2) Upon receipt of the replacement ILEV label(s), the fleet owner 
shall attach the new ILEV label(s) only to the vehicle for which 
replacement ILEV label(s) were requested.

[58 FR 11901, Mar. 1, 1993, as amended at 61 FR 128, Jan. 3, 1996]



Sec. 88.313-93  Incentives for the purchase of Inherently Low-Emission Vehicles.

    (a) Administration. (1) The incentives granted to ILEVs provided in 
this section are not effective outside of nonattainment areas for which 
states are required to establish CFFV programs under section 246 of the 
CAA, unless specifically added by states for qualifying vehicles.
    (2) Incentives for purchasing ILEVs shall not be transferred between 
vehicles within the same fleet nor shall they be sold or traded.
    (3) No vehicle over 26,000 pounds (11,800 kilograms) GVWR shall be 
eligible for the following ILEV incentives.
    (b) Exemption from temporal TCMs. A fleet vehicle which has been 
certified and labeled as an ILEV according to the provisions of this 
section and which continues to be in compliance with applicable 
emissions standards and other ILEV program requirements shall be 
exempted from TCMs existing for air quality reasons included in approved 
state implementation plans which restrict vehicle usage based primarily 
on temporal considerations, such as time-of-day and day-of-week 
exemptions.
    (c) Exemption from high-occupancy vehicle lane restrictions. (1) A 
fleet vehicle which has been certified and labeled as an ILEV according 
to the provisions of Secs. 88.311 and 88.312 and which continues to be 
in compliance with applicable emissions standards and other ILEV program 
requirements shall be exempt from TCMs which restrict a vehicle's access 
to certain roadway lanes based on the number of occupants in that 
vehicle, usually known as high-occupancy vehicle (HOV) lanes. These 
exemptions shall not apply if they would create a clear and direct 
safety hazard.

[[Page 36]]

    (2) In a state containing a covered area, or areas, the governor may 
petition the Administrator for a waiver from the exemption from HOV lane 
restrictions for ILEVs for any section of HOV lane in the covered 
area(s) that can be shown to be congested primarily due to the operation 
or projected operation of ILEVs. The waiver application shall 
demonstrate the infeasibility of other means of alleviating HOV/CAV lane 
congestion, such as adding an additional HOV/CAV lane, further 
increasing vehicle occupancy requirements and reducing the use of the 
lane by noneligible vehicles.

                     Tables to Subpart C of Part 88

   Table C94-1--Fleet Credit Table Based on Reduction in NMOG. Vehicle Equivalents for Light-Duty Vehicles and
                                                Light-Duty Trucks
       Table C94-1.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                  LDT 6000 GVWR,     LDT 6000 GVWR,   3750   eq>6000 GVWR,
              NMOG                  GVWR,       eq>3750 LVW     [le]3750 ALVW    ALVW [le]5750   5750
                                   [le]3750     [le]5750 LVW                          ALVW             ALVW
                                     LVW
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.26             0.71             0.91             1.11
ULEV...........................         1.20           1.54             1.00             1.26             1.56
ZEV............................         1.43           1.83             1.43             1.83             2.23
----------------------------------------------------------------------------------------------------------------


                 Table C94-1.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
              NMOG                  GVWR,       eq>3750 LVW     [le]3750 ALVW   ALVW,  [le]5750  5750
                                   [le]3750     [le]5750 LVW                          ALVW             ALVW
                                     LVW
----------------------------------------------------------------------------------------------------------------
LEV............................         0.00           0.00             0.00             0.00             0.00
ULEV...........................         0.20           0.29             0.29             0.34             0.45
ZEV............................         0.43           0.57             0.71             0.91             1.11
----------------------------------------------------------------------------------------------------------------


                  Table C94-1.3--Credit Needed in Lieu of Purchasing a LEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
              NMOG                  GVWR,       eq>3750 LVW     [le]3750 ALVW    ALVW  [le]5750   [le]5750 ALVW
                                   [le]3750     [le]5750 LVW                          ALVW
                                     LVW
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.26             0.71             0.91             1.11
----------------------------------------------------------------------------------------------------------------


 Table C94-2--Fleet Credit Table Based on Reduction in NMOG+NOX. Vehicle Equivalents for Light-Duty Vehicles and
                                                Light-Duty Trucks
       Table C94-2.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
            NMOG+NOX                GVWR,       eq>3750 LVW     [le]3750 ALVW    ALVW  [le]5750  5750
                                   [le]3750     [le]5750 LVW                          ALVW             ALVW
                                     LVW
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.39             0.33             0.43             0.52
ULEV...........................         1.09           1.52             1.00             1.39             2.06

[[Page 37]]

 
ZEV............................         1.73           2.72             1.73             2.72             3.97
----------------------------------------------------------------------------------------------------------------


                 Table C94-2.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
            NMOG+NOX                GVWR,       eq>3750 LVW     [le]3750 ALVW    ALVW  [le]5750  5750
                                   [le]3750     [le]5750 LVW                          ALVW             ALVW
                                     LVW
----------------------------------------------------------------------------------------------------------------
LEV............................         0.00           0.00             0.00             0.00             0.00
ULEV...........................         0.09           0.13             0.67             0.96             1.54
ZEV............................         0.73           1.34             1.40             2.29             3.45
----------------------------------------------------------------------------------------------------------------


                  Table C94-2.3--Credit Needed in Lieu of Purchasing a LEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  3750   eq>6000 GVWR,
              NMOG+NOX                  GVWR,       eq>3750 LVW       GVWR,      ALVW  [le]5750  5750
                                       [le]3750     [le]5750 LVW     [le]3750         ALVW             ALVW
                                         LVW                           ALVW
----------------------------------------------------------------------------------------------------------------
LEV................................         1.00           1.39           0.33           0.43             0.52
----------------------------------------------------------------------------------------------------------------


    Table C94-3--Fleet Credit Table Based on Reduction in Carbon Monoxide. Vehicle Equivalents for Light-Duty
                                         Vehicles and Light-Duty Trucks
       Table C94-3.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  3750   eq>6000 GVWR,
                 CO                     GVWR,       eq>3750 LVW       GVWR,      ALVW  [le]5750  5750
                                       [le]3750     [le]5750 LVW     [le]3750         ALVW             ALVW
                                         LVW                           ALVW
----------------------------------------------------------------------------------------------------------------
LEV................................         1.00           1.00           1.00           1.00             1.00
ULEV...............................         2.00           2.29           2.00           2.29             2.47
ZEV................................         3.00           3.59           3.00           3.59             3.94
----------------------------------------------------------------------------------------------------------------


                 Table C94-3.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
               CO                   GVWR,       eq>3750 LVW     [le]3750 ALVW    ALVW  [le]5750  5750
                                   [le]3750     [le]5750 LVW                          ALVW             ALVW
                                     LVW
----------------------------------------------------------------------------------------------------------------
LEV............................         0.00           0.00             0.00             0.00             0.00
ULEV...........................         1.00           1.00             1.00             1.00             1.00
ZEV............................         2.00           2.29             2.00             2.29             2.47
----------------------------------------------------------------------------------------------------------------


[[Page 38]]


                  Table C94-3.3--Credit Needed in Lieu of Purchasing a LEV To Meet The Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
               CO                   GVWR,       eq>3750 LVW     [le]3750 ALVW    ALVW  [le]5750  5750
                                   [le]3750     [le]5750 LVW                          ALVW             ALVW
                                     LVW
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.00             1.00             1.00             1.00
----------------------------------------------------------------------------------------------------------------


 Table C94-4--Fleet Credit Table Based on Reduction in NMHC+NOX. Vehicle
 Equivalents for Heavy-Duty Vehicles--Table C94-4.1--Credit Generation:
    Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
------------------------------------------------------------------------
                                              Light    Medium     Heavy
                 NMHC+NOX                      HDV       HDV       HDV
------------------------------------------------------------------------
LEV.......................................      1.00      1.00      1.00
ULEV......................................      1.87      1.87      1.87
ZEV.......................................      3.53      3.53      3.53
------------------------------------------------------------------------


 Table C94-4.2--Credit Generation: Purchasing a ULEV or ZEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                      NMHC+NOX                           HDV       HDV
------------------------------------------------------------------------
LEV.................................................      0.00      0.00
ULEV................................................      0.87      0.87
ZEV.................................................      2.53      2.53
------------------------------------------------------------------------


  Table C94-4.3--Credit Needed in Lieu of Purchasing a LEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                      NMHC+NOX                           HDV       HDV
------------------------------------------------------------------------
LEV.................................................      1.00      1.00
------------------------------------------------------------------------


    Table C94-5--Fleet Credit Table Based on Reduction in Co. Vehicle
 Equivalents for Heavy-Duty Vehicles--Table C94-5.1--Credit Generation:
    Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
------------------------------------------------------------------------
                                              Light    Medium     Heavy
                    CO                         HDV       HDV       HDV
------------------------------------------------------------------------
LEV.......................................      1.00      1.00      1.00
ULEV......................................      2.00      2.00      2.00
ZEV.......................................      3.00      3.00      3.00
------------------------------------------------------------------------


 Table C94-5.2--Credit Generation: Purchasing a ULEV or ZEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                         CO                              HDV       HDV
------------------------------------------------------------------------
LEV.................................................      0.00      0.00
ULEV................................................      1.00      1.00
ZEV.................................................      2.00      2.00
------------------------------------------------------------------------


  Table C94-5.3--Credit Needed in Lieu of Purchasing a LEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                         CO                              HDV       HDV
------------------------------------------------------------------------
LEV.................................................      1.00      1.00
------------------------------------------------------------------------


[58 FR 11901, Mar. 1, 1993, as amended at 59 FR 50082, Sept. 30, 1994, 
61 FR 128, Jan. 3, 1996]



PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION 
ENGINES--Table of Contents




                           Subpart A--General

Sec.
89.1  Applicability.
89.2  Definitions.
89.3  Acronyms and abbreviations.
89.4  [Reserved]
89.5  Table and figure numbering; position.
89.6  Reference materials.
89.7  Treatment of confidential information.

Appendix A to Subpart A--State Regulation of Nonroad Internal Combustion 
          Engines

       Subpart B--Emission Standards and Certification Provisions

89.101  Applicability.
89.102  Effective dates, optional inclusion, flexibility for equipment 
          manufacturers.
89.103  Definitions.
89.104  Useful life, recall, and warranty periods.
89.105  Certificate of conformity.
89.106  Prohibited controls.
89.107  Defeat devices.
89.108  Adjustable parameters, requirements.
89.109  Maintenance instructions and minimum allowable maintenance 
          intervals.

[[Page 39]]

89.110  Emission control information label.
89.111  Averaging, banking, and trading of exhaust emissions.
89.112  Oxides of nitrogen, carbon monoxide, hydrocarbon, and 
          particulate matter exhaust emission standards.
89.113  Smoke emission standard.
89.114  Special and alternate test procedures.
89.115  Application for certificate.
89.116  Engine families.
89.117  Test fleet selection.
89.118  Deterioration factors and service accumulation.
89.119  Emission tests.
89.120  Compliance with emission standards.
89.121  Certificate of conformity effective dates.
89.122  Certification.
89.123  Amending the application and certificate of conformity.
89.124  Record retention, maintenance, and submission.
89.125  Production engines, annual report.
89.126  Denial, revocation of certificate of conformity.
89.127  Request for hearing.
89.128  Hearing procedures.
89.129  Right of entry.
89.130  Rebuild practices.

          Subpart C--Averaging, Banking, and Trading Provisions

89.201  Applicability.
89.202  Definitions.
89.203  General provisions.
89.204  Averaging.
89.205  Banking.
89.206  Trading.
89.207  Credit calculation.
89.208  Labeling.
89.209  Certification.
89.210  Maintenance of records.
89.211  End-of-year and final reports.
89.212  Notice of opportunity for hearing.

              Subpart D--Emission Test Equipment Provisions

89.301  Scope; applicability.
89.302  Definitions.
89.303  Symbols/abbreviations.
89.304  Equipment required for gaseous emissions; overview.
89.305  Equipment measurement accuracy/calibration frequency.
89.306  Dynamometer specifications and calibration weights.
89.307  Dynamometer calibration.
89.308  Sampling system requirements for gaseous emissions.
89.309  Analyzers required for gaseous emissions.
89.310  Analyzer accuracy and specifications.
89.311  Analyzer calibration frequency.
89.312  Analytical gases.
89.313  Initial calibration of analyzers.
89.314  Pre- and post-test calibration of analyzers.
89.315  Analyzer bench checks.
89.316  Analyzer leakage and response time.
89.317  NOX converter check.
89.318  Analyzer interference checks.
89.319  Hydrocarbon analyzer calibration.
89.320  Carbon monoxide analyzer calibration.
89.321  Oxides of nitrogen analyzer calibration.
89.322  Carbon dioxide analyzer calibration.
89.323  NDIR analyzer calibration.
89.324  Calibration of other equipment.
89.325  Engine intake air temperature measurement.
89.326  Engine intake air humidity measurement.
89.327  Charge cooling.
89.328  Inlet and exhaust restrictions.
89.329  Engine cooling system.
89.330  Lubricating oil and test fuels.
89.331  Test conditions.

Appendix A to Subpart D--Tables
Appendix B to Subpart D--Figures

               Subpart E--Exhaust Emission Test Procedures

89.401  Scope; applicability.
89.402  Definitions.
89.403  Symbols/abbreviations.
89.404  Test procedure overview.
89.405  Recorded information.
89.406  Pre-test procedures.
89.407  Engine dynamometer test run.
89.408  Post-test procedures.
89.409  Data logging.
89.410  Engine test cycle.
89.411  Exhaust sample procedure--gaseous components.
89.412  Raw gaseous exhaust sampling and analytical system description.
89.413  Raw sampling procedures.
89.414  Air flow measurement specifications.
89.415  Fuel flow measurement specifications.
89.416  Raw exhaust gas flow.
89.417  Data evaluation for gaseous emissions.
89.418  Raw emission sampling calculations.
89.419  Dilute gaseous exhaust sampling and analytical system 
          description.
89.420  Background sample.
89.421  Exhaust gas analytical system; CVS bag sample.
89.422  Dilute sampling procedures--CVS calibration.
89.423  [Reserved]
89.424  Dilute emission sampling calculations.
89.425  [Reserved]

Appendix A to Subpart E--Figures
Appendix B to Subpart E--Tables 1

[[Page 40]]

                Subpart F--Selective Enforcement Auditing

89.501  Applicability.
89.502  Definitions.
89.503  Test orders.
89.504  Testing by the Administrator.
89.505  Maintenance of records; submittal of information.
89.506  Right of entry and access.
89.507  Sample selection.
89.508  Test procedures.
89.509  Calculation and reporting of test results.
89.510  Compliance with acceptable quality level and passing and failing 
          criteria for selective enforcement audits.
89.511  Suspension and revocation of certificates of conformity.
89.512  Request for public hearing.
89.513  Administrative procedures for public hearing.
89.514  Hearing procedures.
89.515  Appeal of hearing decision.
89.516  Treatment of confidential information.

Appendix A to Subpart F--Sampling Plans for Selective Enforcement 
          Auditing of Nonroad Engines

         Subpart G--Importation of Nonconforming Nonroad Engines

89.601  Applicability.
89.602  Definitions.
89.603  General requirements for importation of nonconforming nonroad 
          engines.
89.604  Conditional admission.
89.605  Final admission of certified nonroad engines.
89.606  Inspection and testing of imported nonroad engines.
89.607  Maintenance of independent commercial importer's records.
89.608  ``In Use'' inspections and recall requirements.
89.609  Final admission of modification nonroad engines and test nonroad 
          engines.
89.610  Maintenance instructions, warranties, emission labeling.
89.611  Exemptions and exclusions.
89.612  Prohibited acts; penalties.
89.613  Treatment of confidential information.

                      Subpart H--Recall Regulations

89.701  Applicability.
89.702  Definitions.
89.703  Applicability of part 85, subpart S.

            Subpart I--Emission Defect Reporting Requirements

89.801  Applicability.
89.802  Definitions.
89.803  Applicability of part 85, subpart T.

                     Subpart J--Exemption Provisions

89.901  Applicability.
89.902  Definitions.
89.903  Application of section 216(10) of the Act.
89.904  Who may request an exemption.
89.905  Testing exemption.
89.906  Manufacturer-owned exemption and precertification exemption.
89.907  Display exemption.
89.908  National security exemption.
89.909  Export exemptions.
89.910  Granting of exemptions.
89.911  Submission of exemption requests.
89.912  Treatment of confidential information.

      Subpart K--General Enforcement Provisions and Prohibited Acts

89.1001  Applicability.
89.1002  Definitions.
89.1003  Prohibited acts.
89.1004  General enforcement provisions.
89.1005  Injunction proceedings for prohibited acts.
89.1006  Penalties.
89.1007  Warranty provisions.
89.1008  In-use compliance provisions.

    Authority: 42 U.S.C. 7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 
7545, 7547, 7549, 7550, and 7601(a).

    Source: 59 FR 31335, June 17, 1994, unless otherwise noted.



                           Subpart A--General



Sec. 89.1  Applicability.

    (a) This part applies for all compression-ignition nonroad engines 
(see definition of ``nonroad engine'' in Sec. 89.2) except those 
specified in paragraph (b) of this section. This means that the engines 
for which this part applies include but are not limited to the 
following:
    (1) Compression-ignition engines exempted from the requirements of 
40 CFR Part 92 by 40 CFR 92.907;
    (2) Compression-ignition engines exempted from the requirements of 
40 CFR Part 94 by 40 CFR 94.907;
    (3) Portable compression-ignition engines that are used in but not 
installed in marine vessels (as defined in the General Provisions of the 
United States Code, 1 U.S.C. 3);
    (4) Non-propulsion compression-ignition engines used in locomotives; 
and
    (5) Compression-ignition marine engines with rated power under 37 
kW.

[[Page 41]]

    (b) (1) Aircraft engines. This part does not apply for engines used 
in aircraft (as defined in 40 CFR 87.1).
    (2) Mining engines. This part does not apply for engines used in 
underground mining of engines used in underground mining equipment and 
regulated by the Mining Safety and Health Administration (MSHA) in 30 
CFR Parts 7, 31, 32, 36, 56, 57, 70, and 75.
    (3) Locomotive engines. This part does not apply for engines that:
    (i) Are subject to the standards of 40 CFR part 92; or
    (ii) Are exempted from the requirements of 40 CFR part 92 by 
exemption provisions of 40 CFR part 92 other than those specified in 40 
CFR 92.907.
    (4) Marine engines. This part does not apply for engines that:
    (i) Are subject to the standards of 40 CFR part 94;
    (ii) Are exempted from the requirements of 40 CFR part 94 by 
exemption provisions of 40 CFR part 94 other than those specified in 40 
CFR 94.907; or
    (iii) Are marine engines (as defined in 40 CFR part 94) with rated 
power at or above 37kW that are manufactured in calendar years in which 
the standards of 40 CFR part 94 are not yet applicable.
    (5) Hobby engines. This part does not apply for engines with a per-
cylinder displacement of less than 50 cubic centimeters.

[64 FR 73330, Dec. 29, 1999]



Sec. 89.2  Definitions.

    The following definitions apply to part 89. All terms not defined 
herein have the meaning given them in the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
    Adjustable parameter means any device, system, or element of design 
which is physically capable of being adjusted (including those which are 
difficult to access) and which, if adjusted, may affect emissions or 
engine performance during emission testing.
    Administrator means the Administrator of the Environmental 
Protection Agency or his or her authorized representative.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Auxiliary emission control device (AECD) means any element of design 
that senses temperature, vehicle speed, engine RPM, transmission gear, 
or any other parameter for the purpose of activating, modulating, 
delaying, or deactivating the operation of any part of the emission 
control system.
    Auxiliary marine diesel engine means a marine diesel engine that is 
not a propulsion marine diesel engine.
    Blue Sky Series engine means a nonroad engine meeting the 
requirements of Sec. 89.112(f).
    Certification means, with respect to new nonroad engines, obtaining 
a certificate of conformity for an engine family complying with the 
nonroad engine emission standards and requirements specified in this 
part.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Constant-speed engine means an engine that is governed to operate 
only at rated speed.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any portion of the engine crankcase ventilation or 
lubrication systems.
    Emission control system means any device, system, or element of 
design which controls or reduces the emission of substances from an 
engine.
    Engine, as used in this part, refers to nonroad engine.
    Engine manufacturer means any person engaged in the manufacturing or 
assembling of new nonroad engines or importing such engines for resale, 
or who acts for and is under the control of any such person in 
connection with the distribution of such engines. Engine manufacturer 
does not include any dealer with respect to new nonroad engines received 
by such person in commerce.
    Engine used in a locomotive means either an engine placed in the 
locomotive to move other equipment, freight, or passenger traffic, or an 
engine mounted on the locomotive to provide auxiliary power.
    EPA enforcement officer means any officer or employee of the 
Environmental Protection Agency so designated in

[[Page 42]]

writing by the Administrator (or by his or her designee).
    Exhaust gas recirculation means an emission control technology that 
reduces emissions by routing exhaust gases that had been exhausted from 
the combustion chamber(s) back into the engine to be mixed with incoming 
air prior to or during combustion. The use of valve timing to increase 
the amount of residual exhaust gas in the combustion chamber(s) that is 
mixed with incoming air prior to or during combustion is not considered 
to be exhaust gas recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level that is declared 
by the manufacturer to serve in lieu of an emission standard for 
certification purposes and for the averaging, banking, and trading 
program. A FEL must be expressed to the same number of decimal places as 
the applicable emission standard.
    Full load governed speed is the maximum full load speed as specified 
by the manufacturer in the sales and service literature and 
certification application. This speed is the highest engine speed with 
an advertised power greater than zero.
    Gross power means the power measured at the crankshaft or its 
equivalent, the engine being equipped only with the standard accessories 
(such as oil pumps, coolant pumps, and so forth) necessary for its 
operation on the test bed. Alternators must be used, if necessary, to 
run the engine. Fans, air conditioners, and other accessories may be 
used at the discretion of the manufacturer, but no power adjustments for 
these accessories may be made.
    Identification number means a specification (for example, model 
number/serial number combination) which allows a particular nonroad 
engine to be distinguished from other similar engines.
    Intermediate speed means peak torque speed if peak torque speed 
occurs from 60 to 75 percent of rated speed. If peak torque speed is 
less than 60 percent of rated speed, intermediate speed means 60 percent 
of rated speed. If peak torque speed is greater than 75 percent of rated 
speed, intermediate speed means 75 percent of rated speed.
    Marine diesel engine means a compression-ignition engine that is 
intended to be installed on a vessel.
    Model year (MY) means the manufacturer's annual new model production 
period which includes January 1 of the calendar year, ends no later than 
December 31 of the calendar year, and does not begin earlier than 
January 2 of the previous calendar year. Where a manufacturer has no 
annual new model production period, model year means calendar year.
    New for purposes of this part, means a nonroad engine, nonroad 
vehicle, or nonroad equipment the equitable or legal title to which has 
never been transferred to an ultimate purchaser. Where the equitable or 
legal title to the engine, vehicle, or equipment is not transferred to 
an ultimate purchaser until after the engine, vehicle, or equipment is 
placed into service, then the engine, vehicle, or equipment will no 
longer be new after it is placed into service. A nonroad engine, 
vehicle, or equipment is placed into service when it is used for its 
functional purposes. With respect to imported nonroad engines, nonroad 
vehicles, or nonroad equipment, the term new means an engine, vehicle, 
or piece of equipment that is not covered by a certificate of conformity 
issued under this part at the time of importation, and that is 
manufactured after the effective date of a regulation issued under this 
part which is applicable to such engine, vehicle, or equipment (or which 
would be applicable to such engine, vehicle, or equipment had it been 
manufactured for importation into the United States).
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, a 
nonroad engine is any internal combustion engine:
    (i) In or on a piece of equipment that is self-propelled or serves a 
dual purpose by both propelling itself and performing another function 
(such as garden tractors, off-highway mobile cranes and bulldozers); or
    (ii) In or on a piece of equipment that is intended to be propelled 
while performing its function (such as lawnmowers and string trimmers); 
or

[[Page 43]]

    (iii) That, by itself or in or on a piece of equipment, is portable 
or transportable, meaning designed to be and capable of being carried or 
moved from one location to another. Indicia of transportability include, 
but are not limited to, wheels, skids, carrying handles, dolly, trailer, 
or platform.
    (2) An internal combustion engine is not a nonroad engine if:
    (i) the engine is used to propel a motor vehicle or a vehicle used 
solely for competition, or is subject to standards promulgated under 
section 202 of the Act; or
    (ii) the engine is regulated by a federal New Source Performance 
Standard promulgated under section 111 of the Act; or
    (iii) the engine otherwise included in paragraph (1)(iii) of this 
definition remains or will remain at a location for more than 12 
consecutive months or a shorter period of time for an engine located at 
a seasonal source. A location is any single site at a building, 
structure, facility, or installation. Any engine (or engines) that 
replaces an engine at a location and that is intended to perform the 
same or similar function as the engine replaced will be included in 
calculating the consecutive time period. An engine located at a seasonal 
source is an engine that remains at a seasonal source during the full 
annual operating period of the seasonal source. A seasonal source is a 
stationary source that remains in a single location on a permanent basis 
(i.e., at least two years) and that operates at that single location 
approximately three months (or more) each year. This paragraph does not 
apply to an engine after the engine is removed from the location.
    Nonroad equipment means equipment that is powered by nonroad 
engines.
    Nonroad vehicle means a vehicle that is powered by a nonroad engine 
as defined in this section and that is not a motor vehicle or a vehicle 
used solely for competition.
    Nonroad vehicle or nonroad equipment manufacturer means any person 
engaged in the manufacturing or assembling of new nonroad vehicles or 
equipment r importing such vehicles or equipment for resale, or who acts 
for and is under the control of any such person in connection with the 
distribution of such vehicles or equipment. A nonroad vehicle or 
equipment manufacturer does not include any dealer with respect to new 
nonroad vehicles or equipment received by such person in commerce. A 
nonroad vehicle or equipment manufacturer does not include any person 
engaged in the manufacturing or assembling of new nonroad vehicles or 
equipment who does not install an engine as part of that manufacturing 
or assembling process. All nonroad vehicle or equipment manufacturing 
entities that are under the control of the same person are considered to 
be a single nonroad vehicle or nonroad equipment manufacturer.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke.
    Operating hours means:
    (1) For engine storage areas or facilities, all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the storage area or facility and have access to it.
    (2) For all other areas or facilities, all times during which an 
assembly line is in operation or all times during which testing, 
maintenance, service accumulation, production or compilation of records, 
or any other procedure or activity related to certification testing, to 
translation of designs from the test stage to the production stage, or 
to engine manufacture or assembly is being carried out in a facility.
    Post-manufacture marinizer means a person who produces a marine 
diesel engine by substantially modifying a certified or uncertified 
complete or partially complete engine, and is not controlled by the 
manufacturer of the base engine or by an entity that also controls the 
manufacturer of the base engine. For the purpose of this definition, 
``substantially modify'' means changing an engine in a way that could 
change engine emission characteristics.
    Presentation of credentials means the display of the document 
designating a person as an EPA enforcement officer or EPA authorized 
representative.
    Propulsion marine diesel engine means a marine diesel engine that is 
intended to move a vessel through the water or direct the movement of a 
vessel.

[[Page 44]]

    Rated speed is the maximum full load governed speed for governed 
engines and the speed of maximum horsepower for ungoverned engines.
    Spark-ignition means relating to a gasoline-fueled engine or other 
engines with a spark plug (or other sparking device) and with operating 
characteristics significantly similar to the theoretical Otto combustion 
cycle. Spark-ignition engines usually use a throttle to regulate intake 
air flow to control power during normal operation.
    Specific emissions means emissions expressed on the basis of 
observed brake power, using units of g/kW-hr. Observed brake power 
measurement includes accessories on the engine if these accessories are 
required for running an emission test (except for the cooling fan). When 
it is not possible to test the engine in the gross conditions, for 
example, if the engine and transmission form a single integral unit, the 
engine may be tested in the net condition. Power corrections from net to 
gross conditions will be allowed with prior approval of the 
Administrator.
    Test fleet means the engine or group of engines that a manufacturer 
uses during certification to determine compliance with emission 
standards.
    Tier 1 engine means an engine subject to the Tier 1 emission 
standards listed in Sec. 89.112(a).
    Tier 2 engine means an engine subject to the Tier 2 emission 
standards listed in Sec. 89.112(a).
    Tier 3 engine means an engine subject to the Tier 3 emission 
standards listed in Sec. 89.112(a).
    Ultimate purchaser means, with respect to any new nonroad engine, 
new nonroad vehicle, or new nonroad equipment, the first person who in 
good faith purchases such new nonroad engine, nonroad vehicle, or 
nonroad equipment for purposes other than resale.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, the U.S. Virgin Islands, and the Trust 
Territory of the Pacific Islands.
    Used solely for competition means exhibiting features that are not 
easily removed and that would render its use other than in competition 
unsafe, impractical, or highly unlikely.
    U.S.-directed production volume means the number of nonroad 
equipment, vehicle, or marine diesel engine units produced by a 
manufacturer for which the manufacturer has reasonable assurance that 
sale was or will be made to ultimate purchasers in the United States.
    Vessel has the meaning given to it in 1 U.S.C. 3.

[59 FR 31335, June 17, 1994, as amended at 61 FR 52102, Oct. 4, 1996; 63 
FR 18998, Apr. 16, 1998; 63 FR 56996, Oct. 23, 1998; 65 FR 73331, Dec. 
29, 1999; 67 FR 68339, Nov. 8, 2002]



Sec. 89.3  Acronyms and abbreviations.

    The following acronyms and abbreviations apply to part 89.

AECD Auxiliary emission control device
ASME American Society of Mechanical Engineers
ASTM American Society for Testing and Materials
CAA Clean Air Act
CAAA Clean Air Act Amendments of 1990
CI Compression-ignition
CO Carbon monoxide
CO2 Carbon dioxide
EGR Exhaust gas recirculation
EPA Environmental Protection Agency
FEL Family emission limit
FTP Federal Test Procedure
g/kW-hr Grams per kilowatt hour
HC Hydrocarbons
ICI Independent Commercial Importer
kW Kilowatt
NIST National Institute for Standards and Testing
NMHC Nonmethane hydrocarbon
NTIS National Technical Information Service
NO Nitric oxide
NO2 Nitrogen dioxide
NOX Oxides of nitrogen
O2 Oxygen
OEM Original equipment manufacturer
PM Particulate matter
SAE Society of Automotive Engineers
SEA Selective Enforcement Auditing
SI Spark-ignition
THC Total hydrocarbon
U.S.C. United States Code
VOC Volatile organic compounds

[59 FR 31335, June 17, 1994, as amended at 63 FR 56997, Oct. 23, 1998]

[[Page 45]]



Sec. 89.4  [Reserved]



Sec. 89.5  Table and figure numbering; position.

    (a) Tables for each subpart appear in an appendix at the end of the 
subpart. Tables are numbered consecutively by order of appearance in the 
appendix. The table title will indicate the model year (if applicable) 
and the topic.
    (b) Figures for each subpart appear in an appendix at the end of the 
subpart. Figures are numbered consecutively by order of appearance in 
the appendix. The figure title will indicate the model year (if 
applicable) and the topic.



Sec. 89.6  Reference materials.

    (a) Incorporation by reference. The documents in paragraph (b) of 
this section have been incorporated by reference. The incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at US EPA, OAR, 1200 Pennsylvania Ave., NW., Washington, DC 
20460, or at the Office of the Federal Register, 800 N. Capitol Street 
NW., Suite 700, Washington, DC.
    (b) The following paragraphs and tables set forth the material that 
has been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth material from the 
American Society for Testing and Materials which has been incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section(s) of this part, other 
than Sec. 89.6, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from American Society for Testing and 
Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959.

------------------------------------------------------------------------
           Document number and name             40 CFR part 89 reference
------------------------------------------------------------------------
ASTM D86-97:
    ``Standard Test Method for Distillation    Appendix A to Subpart D.
     of Petroleum Products at Atmospheric
     Pressure''.
ASTM D93-97:
    ``Standard Test Methods for Flash Point    Appendix A to Subpart D.
     by Pensky-Martens Closed Cup Tester''.
ASTM D129-95:
    ``Standard Test Method for Sulfur in       Appendix A to Subpart D.
     Petroleum Products (General Bomb
     Method)''.
ASTM D287-92:
    ``Standard Test Method for API Gravity of  Appendix A to Subpart D
     Crude Petroleum and Petroleum Products''
     (Hydrometer Method).
ASTM D445-97:
    ``Standard Test Method for Kinematic       Appendix A to Subpart D.
     Viscosity of Transparent and Opaque
     Liquids (the Calculation of Dynamic
     Viscosity)''.
ASTM D613-95:
    ``Standard Test Method for Cetane Number   Appendix A to Subpart D.
     of Diesel Fuel Oil''.
ASTM D1319-98:
    ``Standard Test Method for Hydrocarbon     Appendix A to Subpart D.
     Types in Liquid Petroleum Products by
     Fluorescent Indicator Adsorption''.
ASTM D2622-98:
    ``Standard Test Method for Sulfur in       Appendix A to Subpart D.
     Petroleum Products by Wavelength
     Dispersive X-ray Fluorescence
     Spectrometry''.
ASTM D5186-96:
    ``Standard Test Method for                 Appendix A to Subpart D.
     ``Determination of the Aromatic Content
     and Polynuclear Aromatic Content of
     Diesel Fuels and Aviation Tubine Fuels
     By Supercritical Fluid Chromatography''.
ASTM E29-93a:
    ``Standard Practice for Using Significant  89.120; 89.207; 89.509.
     Digits in Test Data to Determine
     Conformance with Specifications''.
------------------------------------------------------------------------


[59 FR 31335, June 17, 1994, as amended at 63 FR 56997, Oct. 23, 1998]



Sec. 89.7  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this part is entitled to confidential treatment as 
provided by part 2, subpart B of this chapter.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this part is 
confidential, a manufacturer must indicate clearly the items of 
information

[[Page 46]]

claimed confidential by marking, circling, bracketing, stamping, or 
otherwise specifying the confidential information. Furthermore, EPA 
requests, but does not require, that the submitter also provide a second 
copy of its submittal from which all confidential information has been 
deleted. If a need arises to publicly release nonconfidential 
information, EPA will assume that the submitter has accurately deleted 
the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this part is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 
Sec. 2.204(c)(2)(i)(A) of this chapter.

Appendix A to Subpart A of Part 89--State Regulation of Nonroad Internal 
                           Combustion Engines

    This appendix sets forth the Environmental Protection Agency's 
(EPA's) interpretation of the Clean Air Act regarding the authority of 
states to regulate the use and operation of nonroad engines.
    EPA believes that states are not precluded under section 209 from 
regulating the use and operation of nonroad engines, such as regulations 
on hours of usage, daily mass emission limits, or sulfur limits on fuel; 
nor are permits regulating such operations precluded, once the engine is 
no longer new. EPA believes that states are precluded from requiring 
retrofitting of used nonroad engines except that states are permitted to 
adopt and enforce any such retrofitting requirements identical to 
California requirements which have been authorized by EPA under section 
209 of the Clean Air Act.

[62 FR 67736, Dec. 30, 1997]



       Subpart B--Emission Standards and Certification Provisions



Sec. 89.101  Applicability.

    The requirements of subpart B are applicable to all new nonroad 
compression-ignition engines subject to the provisions of subpart A of 
part 89, pursuant to the schedule delineated in Sec. 89.102.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.102  Effective dates, optional inclusion, flexibility for equipment 
manufacturers.

    (a) This subpart applies to all engines described in Sec. 89.101 
with the following power rating and manufactured after the following 
dates:
    (1) Less than 19 kW and manufactured on or after January 1, 2000;
    (2) Greater than or equal to 19 kW but less than 37 kW and 
manufactured on or after January 1, 1999;
    (3) Greater than or equal to 37 kW but less than 75 kW and 
manufactured on or after January 1, 1998;
    (4) Greater than or equal to 75 kW but less than 130 kW and 
manufactured on or after January 1, 1997;
    (5) Greater than or equal to 130 kW but less than or equal to 560 kW 
and manufactured on or after January 1, 1996;
    (6) Greater than 560 kW and manufactured on or after January 1, 
2000.
    (b) A manufacturer can optionally certify engines manufactured up to 
one calendar year prior to the effective date of mandatory certification 
to earn emission credits under the averaging, banking, and trading 
program. Such optionally certified engines are subject to all provisions 
relating to mandatory certification and enforcement described in this 
part.
    (c) Engines meeting the voluntary standards described in 
Sec. 89.112(f) may be designated as Blue Sky Series engines through the 
2004 model year.
    (d) Implementation flexibility for equipment and vehicle 
manufacturers and post-manufacture marinizers. Nonroad equipment and 
vehicle manufacturers and post-manufacture marinizers may take any of 
the otherwise prohibited actions identified in Sec. 89.1003(a)(1) with 
respect to nonroad equipment and vehicles and marine diesel engines, 
subject to the requirements of paragraph (e) of this section. The 
following allowances apply separately to each engine power category 
subject to standards under Sec. 89.112:

[[Page 47]]

    (1) Percent-of-production allowances. (i) Equipment rated at or 
above 37 kW. For nonroad equipment and vehicles with engines rated at or 
above 37 kW, a manufacturer may take any of the actions identified in 
Sec. 89.1003(a)(1) for a portion of its U.S.-directed production volume 
of such equipment and vehicles during the seven years immediately 
following the date on which Tier 2 engine standards first apply to 
engines used in such equipment and vehicles, provided that the seven-
year sum of these portions in each year, as expressed as a percentage 
for each year, does not exceed 80, and provided that all such equipment 
and vehicles or equipment contain Tier 1 engines;
    (ii) Equipment rated under 37 kW. For nonroad equipment and vehicles 
and marine diesel engines with engines rated under 37 kW, a manufacturer 
may take any of the actions identified in Sec. 89.1003(a)(1) for a 
portion of its U.S.-directed production volume of such equipment and 
vehicles during the seven years immediately following the date on which 
Tier 1 engine standards first apply to engines used in such equipment 
and vehicles, provided that the seven-year sum of these portions in each 
year, as expressed as a percentage for each year, does not exceed 80.
    (2) Small volume allowances. A nonroad equipment or vehicle 
manufacturer or post-manufacture marinizer may exceed the production 
percentages in paragraph (d)(1) of this section, provided that in each 
regulated power category the manufacturer's total of excepted nonroad 
equipment and vehicles and marine diesel engines:
    (i) Over the years in which the percent-of-production allowance 
applies does not exceed 100 units times the number of years in which the 
percent-of-production allowance applies; and
    (ii) Does not exceed 200 units in any year; and
    (iii) Does not use engines from more than one engine family, or, for 
excepted equipment vehicles, and marine diesel engines using engines not 
belonging to any engine family, from more than one engine manufacturer.
    (3) Inclusion of previous-tier engines. Nonroad equipment and 
vehicles and marine diesel engines built with previous tier or 
noncertified engines under the existing inventory provisions of 
Sec. 89.1003(b)(4) need not be included in determining compliance with 
paragraphs (d)(1) and (d)(2) of this section.
    (e) Recordkeeping and calculation to verify compliance. The 
following shall apply to nonroad equipment or vehicle manufacturers and 
post-manufacture marinizers who produce excepted equipment or vehicles 
or marine diesel engines under the provisions of paragraph (d) of this 
section:
    (1) For each power category in which excepted nonroad equipment or 
vehicles or marine diesel engines are produced, a calculation to verify 
compliance with the requirements of paragraph (d) of this section shall 
be made by the nonroad equipment or vehicle manufacturer or post-
manufacture marinizer. This calculation shall be made no later than 
December 31 of the year following the last year in which allowances are 
used, and shall be based on actual production information from the 
subject years. If both the percent-of-production and small volume 
allowances have been exceeded, then the manufacturer is in violation of 
section 203 of the Act and Sec. 89.1003, except as provided under 
paragraphs (f) and (h) of this section.
    (2) A nonroad equipment or vehicle manufacturer or post-manufacture 
marinizer shall keep records of all nonroad equipment and vehicles and 
marine diesel engines excepted under the provisions of paragraph (d) of 
this section, for each power category in which exceptions are taken. 
These records shall include equipment and engine model numbers, serial 
numbers, and dates of manufacture, and engine rated power. In addition, 
the manufacturer shall keep records sufficient to demonstrate the 
verifications of compliance required in paragraph (e)(1) of this 
section. All records shall be kept until at least two full years after 
the final year in which allowances are available for each power 
category, and shall be made available to EPA upon request.
    (f) Hardship relief. Nonroad equipment and vehicle manufacturers and 
post-manufacture marinizers may take any of the otherwise prohibited 
actions identified in Sec. 89.1003(a)(1) if approved

[[Page 48]]

by the Administrator, and subject to the following requirements:
    (1) Application for relief must be submitted to the Engine Programs 
and Compliance Division of the EPA in writing prior to the earliest date 
in which the applying manufacturer would be in violation of 
Sec. 89.1003. The manufacturer must submit evidence showing that the 
requirements for approval have been met.
    (2) The applying manufacturer must not be the manufacturer of the 
engines used in the equipment for which relief is sought. This 
requirement does not apply to post-manufacture marinizers.
    (3) The conditions causing the impending violation must not be 
substantially the fault of the applying manufacturer.
    (4) The conditions causing the impending violation must be such that 
the applying manufacturer will experience serious economic hardship if 
relief is not granted.
    (5) The applying manufacturer must demonstrate that no allowances 
under paragraph (d) of this section will be available to avoid the 
impending violation.
    (6) Any relief granted must begin within one year after the 
implementation date of the standard applying to the engines being used 
in the equipment, or to the marine diesel engines, for which relief is 
requested, and may not exceed one year in duration.
    (7) The Administrator may impose other conditions on the granting of 
relief including provisions to recover the lost environmental benefit.
    (g) Allowance for the production of engines. Engine manufacturers 
may take any of the otherwise prohibited actions identified in 
Sec. 89.1003(a)(1) with regard to uncertified engines or Tier 1 engines, 
as appropriate, if the engine manufacturer has received written 
assurance from the equipment manufacturer that the engine is required to 
meet the demand for engines created under paragraph (d), (f), or (h) of 
this section.
    (h) Alternative Flexibility for Post-Manufacture Marinizers. Post-
manufacture marinizers may elect to delay the effective date of the Tier 
1 standards in Sec. 89.112 for marine diesel engines rated under 37 kW 
by one year, instead of using the provisions of paragraphs (d) and (f) 
of this section. Post-manufacture marinizers wishing to take advantage 
of this provision must inform the Director of the Engine Programs and 
Compliance Division of their intent to do so in writing before the date 
that the standards would otherwise take effect.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
56997, Oct. 23, 1998]



Sec. 89.103  Definitions.

    The definitions in subpart A of part 89 apply to this subpart. All 
terms not defined herein or in subpart A have the meaning given them in 
the Act.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.104  Useful life, recall, and warranty periods.

    (a) The useful life is based on the rated power and rated speed of 
the engine.
    (1) For all engines rated under 19 kW, and for constant speed 
engines rated under 37 kW with rated speeds greater than or equal to 
3,000 rpm, the useful life is a period of 3,000 hours or five years of 
use, whichever first occurs.
    (2) For all other engines rated at or above 19 kW and under 37 kW, 
the useful life is a period of 5,000 hours or seven years of use, 
whichever first occurs.
    (3) For all engines rated at or above 37 kW, the useful life is a 
period of 8,000 hours of operation or ten years of use, whichever first 
occurs.
    (b) Engines are subject to recall testing for a period based on the 
rated power and rated speed of the engines. However, in a recall, 
engines in the subject class or category would be subject to recall 
regardless of actual years or hours of operation.
    (1) For all engines rated under 19 kW, and for constant speed 
engines rated under 37 kW with rated speeds greater than or equal to 
3,000 rpm, the engines are subject to recall testing for a period of 
2,250 hours or four years of use, whichever first occurs.
    (2) For all other engines rated at or above 19 kW and under 37 kW, 
the engines are subject to recall for a period

[[Page 49]]

of 3,750 hours or five years of use, whichever first occurs.
    (3) For all engines rated at or above 37 kW, the engines are subject 
to recall for a period of 6,000 hours of operation or seven years of 
use, whichever first occurs.
    (c) The warranty periods for warranties imposed by the Clean Air Act 
and Sec. 89.1007 for all engines rated under 19 kW, and for constant 
speed engines rated under 37 kW with rated speeds greater than or equal 
to 3,000 rpm, are 1,500 hours of operation or two years of use, 
whichever first occurs. For all other engines, the warranty periods for 
warranties imposed by the Clean Air Act and Sec. 89.1007 are 3,000 hours 
of operation or five years of use, whichever first occurs.
    (d) Manufacturers may apply to the Administrator for approval for a 
shorter useful life period for engines that are subject to severe 
service in seasonal equipment, or are designed specifically for lower 
useful life hours to match equipment life. Such an application must be 
made prior to certification.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
56998, Oct. 23, 1998]



Sec. 89.105  Certificate of conformity.

    Every manufacturer of a new nonroad compression-ignition engine must 
obtain a certificate of conformity covering the engine family, as 
described in Sec. 89.116. The certificate of conformity must be obtained 
from the Administrator prior to selling, offering for sale, introducing 
into commerce, or importing into the United States the new nonroad 
compression-ignition engine for each model year.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.106  Prohibited controls.

    (a) An engine may not be equipped with an emission control system 
for the purpose of complying with emission standards if such system will 
cause or contribute to an unreasonable risk to public health, welfare, 
or safety in its operation or function.
    (b) You may not design your engines with emission-control devices, 
systems, or elements of design that cause or contribute to an 
unreasonable risk to public health, welfare, or safety while operating. 
For example, this would apply if the engine emits a noxious or toxic 
substance it would otherwise not emit that contributes to such an 
unreasonable risk.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998; 
67 FR 68339, Nov. 8, 2002]



Sec. 89.107  Defeat devices.

    (a) An engine may not be equipped with a defeat device.
    (b) For purposes of this section, ``defeat device'' means any 
device, system, or element of design which senses operation outside 
normal emission test conditions and reduces emission control 
effectiveness.
    (1) Defeat device includes any auxiliary emission control device 
(AECD) that reduces the effectiveness of the emission control system 
under conditions which may reasonably be expected to be encountered in 
normal operation and use unless such conditions are included in the test 
procedure.
    (2) Defeat device does not include such items which either operate 
only during engine starting or are necessary to protect the engine (or 
equipment in which it is installed) against damage or accident during 
its operation.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.108  Adjustable parameters, requirements.

    (a) Nonroad engines equipped with adjustable parameters must comply 
with all requirements of this subpart for any adjustment in the 
physically adjustable range.
    (b) An operating parameter is not considered adjustable if it is 
permanently sealed or otherwise not normally accessible using ordinary 
tools.
    (c) The Administrator may require that adjustable parameters be set 
to any specification within its adjustable range for certification, 
selective enforcement audit, or in-use testing to determine compliance 
with the requirements of this subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]

[[Page 50]]



Sec. 89.109  Maintenance instructions and minimum allowable maintenance 
intervals.

    (a) The manufacturer must furnish or cause to be furnished to the 
ultimate purchaser of each new nonroad engine subject to standards under 
this part written instructions for the maintenance needed to ensure 
proper functioning of the emission control system. Paragraphs (b) 
through (h) of this section do not apply to Tier 1 engines with rated 
power at or above 37 kW.
    (b) Maintenance performed on equipment, engines, subsystems or 
components used to determine exhaust emission deterioration factors is 
classified as either emission-related or nonemission-related and each of 
these can be classified as either scheduled or unscheduled. Further, 
some emission-related maintenance is also classified as critical 
emission-related maintenance.
    (c) This paragraph (c) specifies emission-related scheduled 
maintenance for purposes of obtaining durability data for nonroad 
engines. The maintenance intervals specified below are minimum 
intervals:
    (1) All emission-related scheduled maintenance for purposes of 
obtaining durability data must occur at the same or longer hours of use 
intervals as those specified in the manufacturer's maintenance 
instructions furnished to the ultimate purchaser of the engine under 
paragraph (a) of this section. This maintenance schedule may be updated 
as necessary throughout the testing of the engine, provided that no 
maintenance operation is deleted from the maintenance schedule after the 
operation has been performed on the test equipment or engine.
    (2) Any emission-related maintenance which is performed on 
equipment, engines, subsystems, or components must be technologically 
necessary to ensure in-use compliance with the emission standards. The 
manufacturer must submit data which demonstrate to the Administrator 
that all of the emission-related scheduled maintenance which is to be 
performed is technologically necessary. Scheduled maintenance must be 
approved by the Administrator prior to being performed or being included 
in the maintenance instructions provided to the purchasers under 
paragraph (a) of this section.
    (i) The Administrator may require longer maintenance intervals than 
those listed in paragraphs (c)(3) and (c)(4) of this section where the 
listed intervals are not technologically necessary.
    (ii) The Administrator may allow manufacturers to specify shorter 
maintenance intervals than those listed in paragraphs (c)(3) and (c)(4) 
of this section where technologically necessary for engines rated under 
19 kW, or for constant speed engines rated under 37 kW with rated speeds 
greater than or equal to 3,000 rpm.
    (3) The adjustment, cleaning, repair, or replacement of items listed 
in paragraphs (c)(3)(i) through (c)(3)(iii) of this section shall occur 
at 1,500 hours of use and at 1,500-hour intervals thereafter.
    (i) Exhaust gas recirculation system-related filters and coolers.
    (ii) Positive crankcase ventilation valve.
    (iii) Fuel injector tips (cleaning only).
    (4) The adjustment, cleaning and repair of items in paragraphs 
(c)(4)(i) through (c)(4)(vii) of this section shall occur at 3,000 hours 
of use and at 3,000-hour intervals thereafter for nonroad compression-
ignition engines rated under 130 kW, or at 4,500-hour intervals 
thereafter for nonroad compression-ignition engines rated at or above 
130 kW.
    (i) Fuel injectors.
    (ii) Turbocharger.
    (iii) Electronic engine control unit and its associated sensors and 
actuators.
    (iv) Particulate trap or trap-oxidizer system (including related 
components).
    (v) Exhaust gas recirculation system (including all related control 
valves and tubing) except as otherwise provided in paragraph (c)(3)(i) 
of this section.
    (vi) Catalytic convertor.
    (vii) Any other add-on emission-related component (i.e., a component 
whose sole or primary purpose is to reduce emissions or whose failure 
will significantly degrade emission control and whose function is not 
integral to the design and performance of the engine).

[[Page 51]]

    (d) Scheduled maintenance not related to emissions which is 
reasonable and technologically necessary (e.g., oil change, oil filter 
change, fuel filter change, air filter change, cooling system 
maintenance, adjustment of idle speed, governor, engine bolt torque, 
valve lash, injector lash, timing, lubrication of the exhaust manifold 
heat control valve, etc.) may be performed on durability vehicles at the 
least frequent intervals recommended by the manufacturer to the ultimate 
purchaser, (e.g., not the intervals recommended for severe service).
    (e) Adjustment of engine idle speed on emission data engines may be 
performed once before the low-hour emission test point. Any other 
engine, emission control system, or fuel system adjustment, repair, 
removal, disassembly, cleaning, or replacement on emission data vehicles 
shall be performed only with advance approval of the Administrator.
    (f) Equipment, instruments, or tools may not be used to identify 
malfunctioning, maladjusted, or defective engine components unless the 
same or equivalent equipment, instruments, or tools will be available to 
dealerships and other service outlets and:
    (1) Are used in conjunction with scheduled maintenance on such 
components; or
    (2) Are used subsequent to the identification of a vehicle or engine 
malfunction, as provided in paragraph (e) of this section for emission 
data engines; or
    (3) Specifically authorized by the Administrator.
    (g) All test data, maintenance reports, and required engineering 
reports shall be compiled and provided to the Administrator in 
accordance with Sec. 89.124.
    (h)(1) The components listed in paragraphs (h)(1)(i) through 
(h)(1)(vi) of this section are defined as critical emission-related 
components.
    (i) Catalytic converter.
    (ii) Electronic engine control unit and its associated sensors and 
actuators.
    (iii) Exhaust gas recirculation system (including all related 
filters, coolers, control valves, and tubing).
    (iv) Positive crankcase ventilation valve.
    (v) Particulate trap or trap-oxidizer system.
    (vi) Any other add-on emission-related component (i.e., a component 
whose sole or primary purpose is to reduce emissions or whose failure 
will significantly degrade emission control and whose function is not 
integral to the design and performance of the engine).
    (2) All critical emission-related scheduled maintenance must have a 
reasonable likelihood of being performed in use. The manufacturer must 
show the reasonable likelihood of such maintenance being performed in-
use. Critical emission-related scheduled maintenance items which satisfy 
one of the conditions defined in paragraphs (h)(2)(i) through (h)(2)(vi) 
of this section will be accepted as having a reasonable likelihood of 
being performed in use.
    (i) Data are presented which establish for the Administrator a 
connection between emissions and vehicle performance such that as 
emissions increase due to lack of maintenance, vehicle performance will 
simultaneously deteriorate to a point unacceptable for typical 
operation.
    (ii) Survey data are submitted which adequately demonstrate to the 
Administrator with an 80 percent confidence level that 80 percent of 
such engines already have this critical maintenance item performed in-
use at the recommended interval(s).
    (iii) A clearly displayed visible signal system approved by the 
Administrator is installed to alert the equipment operator that 
maintenance is due. A signal bearing the message ``maintenance needed'' 
or ``check engine,'' or a similar message approved by the Administrator, 
shall be actuated at the appropriate usage point or by component 
failure. This signal must be continuous while the engine is in operation 
and not be easily eliminated without performance of the required 
maintenance. Resetting the signal shall be a required step in the 
maintenance operation. The method for resetting the signal system shall 
be approved by the Administrator. The system must not be designed to 
deactivate upon the end of

[[Page 52]]

the useful life of the engine or thereafter.
    (iv) A manufacturer may desire to demonstrate through a survey that 
a critical maintenance item is likely to be performed without a visible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer may in a 
given model year market up to 200 randomly selected vehicles per 
critical emission-related maintenance item without such visible signals, 
and monitor the performance of the critical maintenance item by the 
owners to show compliance with paragraph (h)(2)(ii) of this section. 
This option is restricted to two consecutive model years and may not be 
repeated until any previous survey has been completed. If the critical 
maintenance involves more than one engine family, the sample will be 
sales weighted to ensure that it is representative of all the families 
in question.
    (v) The manufacturer provides the maintenance free of charge, and 
clearly informs the customer that the maintenance is free in the 
instructions provided under paragraph (a) of this section.
    (vi) The manufacturer uses any other method which the Administrator 
approves as establishing a reasonable likelihood that the critical 
maintenance will be performed in-use.
    (3) Visible signal systems used under paragraph (h)(2)(iii) of this 
section are considered an element of design of the emission control 
system. Therefore, disabling, resetting, or otherwise rendering such 
signals inoperative without also performing the indicated maintenance 
procedure is a prohibited act.

[63 FR 56999, Oct. 23, 1998]



Sec. 89.110  Emission control information label.

    (a) The manufacturer must affix at the time of manufacture a 
permanent and legible label identifying each nonroad engine. The label 
must meet the following requirements:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be durable and readable for the entire engine life;
    (3) Be secured to an engine part necessary for normal engine 
operation and not normally requiring replacement during engine life;
    (4) Be written in English; and
    (5) Be located so as to be readily visible to the average person 
after the engine is installed in the equipment. A supplemental label 
meeting all the requirements of this section may be attached to a 
location other than the engine, in cases where the required label must 
be obscured after the engine is installed in the equipment.
    (b) The label must contain the following information:
    (1) The heading ``Important Engine Information;''
    (2) The full corporate name and trademark of the manufacturer;
    (3) EPA standardized engine family designation;
    (4) Engine displacement;
    (5) Advertised power;
    (6) Engine tuneup specifications and adjustments. These should 
indicate the proper transmission position during tuneup, and accessories 
(for example, air conditioner), if any, that should be in operation;
    (7) Fuel requirements;
    (8) Date of manufacture (month and year). The manufacturer may, in 
lieu of including the date of manufacture on the engine label, maintain 
a record of the engine manufacture dates. The manufacturer shall provide 
the date of manufacture records to the Administrator upon request;
    (9) Family emission limits (FELs) if applicable;
    (10) The statement: ``This engine conforms to [model year] U.S. EPA 
regulations large nonroad compression- ignition engines;''
    (11) Engines belonging to an engine family that has been certified 
as a constant-speed engine using the test cycle specified in Table 2 of 
appendix B to subpart E of this part must contain the statement on the 
label: ``constant-speed only''; and
    (12) Engines meeting the voluntary standards described in 
Sec. 89.112(f)(1) to be designated as Blue Sky Series engines must 
contain the statement on the label: ``Blue Sky Series''.

[[Page 53]]

    (c) Other information concerning proper maintenance and use or 
indicating compliance or noncompliance with other standards may be 
indicated on the label.
    (d) Each engine must have a legible unique engine identification 
number permanently affixed to or engraved on the engine.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57000, Oct. 23, 1998]



Sec. 89.111  Averaging, banking, and trading of exhaust emissions.

    Regulations regarding the availability of an averaging, banking, and 
trading program along with applicable record- keeping requirements are 
found in subpart C of this part. Participation in the averaging, 
banking, and trading program is optional.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.112  Oxides of nitrogen, carbon monoxide, hydrocarbon, and particulate 
matter exhaust emission standards.

    (a) Exhaust emission from nonroad engines to which this subpart is 
applicable shall not exceed the applicable exhaust emission standards 
contained in Table 1, as follows:


[[Page 54]]


[GRAPHIC] [TIFF OMITTED] TR23OC98.001


    (b) Exhaust emissions of oxides of nitrogen, carbon monoxide, 
hydrocarbon, and nonmethane hydrocarbon are measured using the 
procedures set forth in subpart E of this part.

[[Page 55]]

    (c) Exhaust emission of particulate matter is measured using the 
California Regulations for New 1996 and Later Heavy-Duty Off-Road Diesel 
Cycle Engines. This procedure is incorporated by reference. See 
Sec. 89.6.
    (d) In lieu of the NOX standards, NMHC + NOX 
standards, and PM standards specified in paragraph (a) of this section, 
manufacturers may elect to include engine families in the averaging, 
banking, and trading program, the provisions of which are specified in 
subpart C of this part. The manufacturer must set a family emission 
limit (FEL) not to exceed the levels contained in Table 2. The FEL 
established by the manufacturer serves as the standard for that engine 
family. Table 2 follows:


[[Page 56]]


[GRAPHIC] [TIFF OMITTED] TR23OC98.002


    (e) Naturally aspirated nonroad engines to which this subpart is 
applicable shall not discharge crankcase emissions into the ambient 
atmosphere, unless such crankcase emissions are permanently routed into 
the exhaust and included in all exhaust emission measurements. This 
provision applies to all

[[Page 57]]

Tier 2 engines and later models. This provision does not apply to 
engines using turbochargers, pumps, blowers, or superchargers for air 
induction.
    (f) The following paragraphs define the requirements for low-
emitting Blue Sky Series engines:
    (1) Voluntary standards. Engines may be designated ``Blue Sky 
Series'' engines through the 2004 model year by meeting the voluntary 
standards listed in Table 3, which apply to all certification and in-use 
testing, as follows:

             Table 3--Voluntary Emission Standards (g/kW-hr)
------------------------------------------------------------------------
              Rated Brake  Power (kW)                 NMHC+NOX      PM
------------------------------------------------------------------------
kW<8..............................................          4.6     0.48
8[le]kW<19........................................          4.5     0.48
19[le]kW<37.......................................          4.5     0.36
37[le]kW<75.......................................          4.7     0.24
75[le]kW<130......................................          4.0     0.18
130[le]kW[le]560..................................          4.0     0.12
kW560..................................          3.8     0.12
------------------------------------------------------------------------

    (2) Additional standards. Blue Sky Series engines are subject to all 
provisions that would otherwise apply under this part, except as 
specified in paragraph (f)(3) of this section.
    (3) Test procedures. NOX, NMHC, and PM emissions are 
measured using the procedures set forth in 40 CFR part 86, subpart N, in 
lieu of the procedures set forth in subpart E of this part. CO emissions 
may be measured using the procedures set forth either in 40 CFR part 86, 
subpart N, or in Subpart E of this part. Manufacturers may use an 
alternate procedure to demonstrate the desired level of emission control 
if approved in advance by the Administrator. Engines meeting the 
requirements to qualify as Blue Sky Series engines must be capable of 
maintaining a comparable level of emission control when tested using the 
procedures set forth in paragraph (c) of this section and subpart E of 
this part. The numerical emission levels measured using the procedures 
from subpart E of this part may be up to 20 percent higher than those 
measured using the procedures from 40 CFR part 86, subpart N, and still 
be considered comparable.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57000, Oct. 23, 1998]



Sec. 89.113  Smoke emission standard.

    (a) Exhaust opacity from compression-ignition nonroad engines for 
which this subpart is applicable must not exceed:
    (1) 20 percent during the acceleration mode;
    (2) 15 percent during the lugging mode; and
    (3) 50 percent during the peaks in either the acceleration or 
lugging modes.
    (b) Opacity levels are to be measured and calculated as set forth in 
40 CFR part 86, subpart I. Notwithstanding the provisions of 40 CFR part 
86, subpart I, two-cylinder nonroad engines may be tested using an 
exhaust muffler that is representative of exhaust mufflers used with the 
engines in use.
    (c) The following engines are exempt from the requirements of this 
section:
    (1) Single-cylinder engines;
    (2) Propulsion marine diesel engines; and
    (3) Constant-speed engines.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]



Sec. 89.114  Special and alternate test procedures.

    (a) Special test procedures. The Administrator may, on the basis of 
written application by a manufacturer, establish special test procedures 
other than those set forth in this part, for any nonroad engine that the 
Administrator determines is not susceptible to satisfactory testing 
under the specified test procedures set forth in subpart E of this part 
or 40 CFR part 86, subpart I.
    (b) Alternate test procedures. (1) A manufacturer may elect to use 
an alternate test procedure provided that it yields equivalent results 
to the specified procedures, its use is approved in advance by the 
Administrator, and the basis for equivalent results with the specified 
test procedures is fully described in the manufacturer's application.
    (2) The Administrator may reject data generated under alternate test 
procedures which do not correlate with data generated under the 
specified procedures.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]

[[Page 58]]



Sec. 89.115  Application for certificate.

    (a) For each engine family that complies with all applicable 
standards and requirements, the engine manufacturer must submit to the 
Administrator a completed application for a certificate of conformity.
    (b) The application must be approved and signed by the authorized 
representative of the manufacturer.
    (c) The application will be updated and corrected by amendment as 
provided for in Sec. 89.123 to accurately reflect the manufacturer's 
production.
    (d) Required content. Each application must include the following 
information:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications, the provisions of which 
are contained in Sec. 89.116;
    (2) An explanation of how the emission control system operates, 
including a detailed description of all emission control system 
components, each auxiliary emission control device (AECD), and all fuel 
system components to be installed on any production or test engine(s);
    (3) Proposed test fleet selection and the rationale for the test 
fleet selection;
    (4) Special or alternate test procedures, if applicable;
    (5) The period of operation necessary to accumulate service hours on 
test engines and stabilize emission levels;
    (6) A description of all adjustable operating parameters (including, 
but not limited to, injection timing and fuel rate), including the 
following:
    (i) The nominal or recommended setting and the associated production 
tolerances;
    (ii) The intended physically adjustable range;
    (iii) The limits or stops used to establish adjustable ranges;
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range; and
    (v) Information relating to why the physical limits or stops used to 
establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are effective in preventing 
adjustment of parameters to settings outside the manufacturer's intended 
physically adjustable ranges on in-use engines;
    (7) For families participating in the averaging, banking, and 
trading program, the information specified in subpart C of this part;
    (8) A description of the test equipment and fuel proposed to be 
used;
    (9) All test data obtained by the manufacturer on each test engine;
    (10) An unconditional statement certifying that all engines in the 
engine family comply with all requirements of this part and the Clean 
Air Act.
    (e) At the Administrator's request, the manufacturer must supply 
such additional information as may be required to evaluate the 
application including, but not limited to, projected nonroad engine 
production.
    (f)(1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided that all of the 
information specified therein is maintained by the engine manufacturer 
as required by Sec. 89.124, and amended, updated, or corrected as 
necessary.
    (2) For the purposes of this paragraph, Sec. 89.124(a)(1) includes 
all information specified in paragraph (d) of this section whether or 
not such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's records at 
any time. At the Administrator's discretion, this review may take place 
either at the manufacturer's facility or at another facility designated 
by the Administrator.

[59 FR 31335, June 17, 1994, as amended at 61 FR 20741, May 8, 1996. 
Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.116  Engine families.

    (a) A manufacturer's product line is divided into engine families 
that are comprised of engines expected to have similar emission 
characteristics throughout their useful life periods.
    (b) The following characteristics distinguish engine families:
    (1) Fuel;
    (2) Cooling medium;
    (3) Method of air aspiration;

[[Page 59]]

    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap);
    (5) Combustion chamber design;
    (6) Bore;
    (7) Stroke;
    (8) Number of cylinders, (engines with aftertreatment devices only); 
and
    (9) Cylinder arrangement (engines with aftertreatment devices only).
    (c) Upon a showing by the manufacturer that the useful life period 
emission characteristics are expected to be similar, engines differing 
in one or more of the characteristics in paragraph (b) of this section 
may be grouped in the same engine family.
    (d) Upon a showing by the manufacturer that the expected useful life 
period emission characteristics will be different, engines identical in 
all the characteristics of paragraph (b) of this section may be divided 
into separate engine families.
    (e)(1) This paragraph (e) applies only to the placement of Tier 1 
engines with power ratings under 37 kW into engine families. The 
provisions of paragraphs (a) through (d) of this section also apply to 
these engines. The power categories referred to in this paragraph (e) 
are those for which separate standards or implementation dates are 
described in Sec. 89.112.
    (2) A manufacturer may place engines with power ratings in one power 
category into an engine family comprised of engines with power ratings 
in another power category, and consider all engines in the engine family 
as being in the latter power category for the purpose of determining 
compliance with the standards and other requirements of this part, 
subject to approval in advance by the Administrator and the following 
restrictions:
    (i) The engines that have power ratings outside the engine family's 
power category must constitute less than half of the engine family's 
sales in each model year for which the engine family grouping is made; 
and
    (ii) The engines that have power ratings outside the engine family's 
power category must have power ratings that are within ten percent of 
either of the two power levels that define the engine family's power 
category.
    (3) The restrictions described in paragraphs (e)(2)(i) and 
(e)(2)(ii) of this section do not apply if the emissions standards and 
other requirements of this part are at least as stringent for the engine 
family's power category as those of the other power categories 
containing engines in the engine family.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]



Sec. 89.117  Test fleet selection.

    (a) The manufacturer must select for testing, from each engine 
family, the engine with the most fuel injected per stroke of an 
injector, primarily at the speed of maximum torque and secondarily at 
rated speed.
    (b) Each engine in the test fleet must be constructed to be 
representative of production engines.
    (c) After review of the manufacturer's test fleet, the Administrator 
may select from the available fleet one additional test engine from each 
engine family.
    (d) For establishing deterioration factors, the manufacturer shall 
select the engines, subsystems, or components to be used to determine 
exhaust emission deterioration factors for each engine-family control 
system combination. Engines, subsystems, or components shall be selected 
so that their emission deterioration characteristics are expected to 
represent those of in-use engines, based on good engineering judgment.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]



Sec. 89.118  Deterioration factors and service accumulation.

    This section applies to service accumulation used to determine 
deterioration factors and service accumulation used to condition test 
engines. Paragraphs (a) and (b) of this section apply only for service 
accumulation used to condition test engines. Paragraph (e) of this 
section applies only for service accumulation used to determine 
deterioration factors. Paragraphs (c) and (d) of this section apply for 
all service accumulation required by this part.

[[Page 60]]

    (a)(1) Each test engine in the test fleet must be operated with all 
emission control systems operating properly for a period sufficient to 
stabilize emissions.
    (2) A manufacturer may elect to consider as stabilized emission 
levels from engines with no more than 125 hours of service.
    (b) No maintenance, other than recommended lubrication and filter 
changes, may be performed during service accumulation without the 
Administrator's approval.
    (c) Service accumulation should be performed in a manner using good 
engineering judgment to ensure that emissions are representative of in-
use engines.
    (d) The manufacturer must maintain, and provide to the Administrator 
if requested, records stating the rationale for selecting the service 
accumulation period and records describing the method used to accumulate 
service hours on the test engine(s).
    (e) This paragraph (e) describes service accumulation and 
alternative requirements for the purpose of developing deterioration 
factor.
    (1) Service accumulation on engines, subsystems, or components 
selected by the manufacturer under Sec. 89.117(d). The manufacturer 
shall describe the form and extent of this service accumulation in the 
application for certification.
    (2) Determination of exhaust emission deterioration factors. The 
manufacturer shall determine the deterioration factors in accordance 
with the applicable provisions of this part based on service 
accumulation and related testing, according to the manufacturer's 
procedures, except as provided in paragraph (e)(3) of this section.
    (3) Alternatives to service accumulation and testing for the 
determination of a deterioration factor. A written explanation of the 
appropriateness of using an alternative must be included in the 
application for certification.
    (i) Carryover and carryacross of durability emission data. In lieu 
of testing an emission data or durability data engine selected under 
Sec. 89.117(d), a manufacturer may, with Administrator approval, use 
exhaust emission deterioration data on a similar engine for which 
certification to the same standard has previously been obtained or for 
which all applicable data required under Sec. 89.124 has previously been 
submitted. This data must be submitted in the application for 
certification.
    (ii) Use of on-highway deterioration data. In the case where a 
manufacturer produces a certified on-highway engine that is similar to 
the nonroad engine to be certified, deterioration data from the on-
highway engine may be applied to the nonroad engine. This application of 
deterioration data from an on-highway engine to a nonroad engine is 
subject to Administrator approval, and the determination of whether the 
engines are similar must be based on good engineering judgment.
    (iii) Engineering analysis for established technologies. (A) In the 
case where an engine family uses established technology, an analysis 
based on good engineering practices may be used in lieu of testing to 
determine a deterioration factor for that engine family, subject to 
Administrator approval.
    (B) Engines for which the certification levels are not at or below 
the Tier 3 NMHC+NOX standards described in Sec. 89.112 are 
considered established technology, except as provided in paragraph 
(e)(3)(iii)(D) of this section.
    (C) Manufacturers may petition the Administrator to consider an 
engine with a certification level below the Tier 3 +NOX 
standards as established technology. This petition must be based on 
proof that the technology used is not significantly different than that 
used on engines that have certification levels that are not below the 
Tier 3 NMHC+NOX levels.
    (D) Engines using exhaust gas recirculation or aftertreatment are 
excluded from the provision set forth in paragraphs (e)(3)(iii)(A) 
through (e)(3)(iii)(C) of this section.
    (E) The manufacturer shall provide a written statement to the 
Administrator that all data, analyses, test procedures, evaluations, and 
other documents, on which the deterioration factor is based, are 
available to the Administrator upon request.
    (iv) Interim provision for engines rated under 37 kW. For model year 
1999 and 2000 engines rated under 37 kW, manufacturers may determine 
deterioration factors based on good engineering

[[Page 61]]

judgement and reasonably available information. The manufacturer must 
maintain and provide to the Administrator, if requested, all information 
used to determine deterioration factors for these engines.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]



Sec. 89.119  Emission tests.

    (a) Manufacturer testing. (1) Upon completion of service 
accumulation, the manufacturer must test each test engine using the 
specified test procedures, except as provided in Sec. 89.114. The 
procedures to be used are set forth in:
    (i) Subpart E of this part;
    (ii) The California Regulations for New 1996 and Later Heavy-Duty 
Off-Road Diesel Cycle Engines. This procedure has been incorporated by 
reference. See Sec. 89.6; and
    (iii) Part 86, subpart I of this chapter.
    (2) Each test engine must be configured to be representative of 
actual in-use operation. The Administrator may specify the adjustment of 
any adjustable parameter. All test results must be reported to the 
Administrator.
    (b) Confirmatory testing. The Administrator may conduct confirmatory 
testing or other testing on any test engine. The manufacturer must 
deliver test engines as directed by the Administrator. When the 
Administrator conducts confirmatory testing or other testing, those test 
results are used to determine compliance with emission standards.
    (c) Use of carryover test data. In lieu of testing to certify an 
engine family for a given model year, the manufacturer may submit, with 
the Administrator's approval, emission test data used to certify that 
engine family in previous years. This ``carryover'' data is only 
allowable if the submitted test data show that the test engine would 
comply with the emission standard(s) for the model year for which 
certification is being sought.
    (d) The provisions of this paragraph (d) apply only to Tier 1 
nonroad engines without exhaust aftertreatment rated at or above 37 kW.
    (1) Particulate emission measurements from Tier 1 nonroad engines 
without exhaust aftertreatment rated at or above 37 kW may be adjusted 
to a sulfur content of 0.05 weight percent.
    (2) Adjustments to the particulate measurement shall be made using 
the following equation:

    PMadj=PM-[BSFC x 0.0917 x (FSF-0.0005)]

Where:

PMadj=adjusted measured PM level [g/Kw-hr].
PM=measured weighted PM level [g/Kw-hr].
BSFC=measured brake specific fuel consumption [G/Kw-hr].
FSF=fuel sulfur weight fraction.

    (3) Where a manufacturer certifies using test fuel with a sulfur 
content less than or equal to 0.050 weight percent, EPA shall not use 
emission data collected using test fuel with a sulfur content greater 
than 0.050 weight percent to determine compliance with the Tier 1 PM 
standards.
    (4) Where a manufacturer certifies using test fuel with a sulfur 
content greater than 0.050 weight percent, EPA shall not use emission 
data collected using test fuel with a sulfur content greater than 0.050 
weight percent to determine compliance with the Tier 1 PM standards, 
unless EPA adjusts the PM measurement using the equation specified in 
paragraph (d)(2) of this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57004, Oct. 23, 1998]



Sec. 89.120  Compliance with emission standards.

    (a) If all test engines representing an engine family have emissions 
less than or equal to each emission standard, that family complies with 
the emission standards.
    (b) If any test engine representing an engine family has emissions 
greater than each emission standard, that family will be deemed not in 
compliance with the emission standard(s).
    (c) For each nonroad engine family, except Tier 1 engine families 
with rated power at or above 37 kW that do not employ aftertreatment, a 
deterioration factor must be determined and applied.
    (1) The applicable exhaust emission standards (or family emission 
limits, as appropriate) for nonroad compression-ignition engines apply 
to the

[[Page 62]]

emissions of engines for their useful life.
    (2) [Reserved]
    (3)(i) This paragraph (c)(3) describes the procedure for determining 
compliance of an engine with emission standards (or family emission 
limits, as appropriate), based on deterioration factors supplied by the 
manufacturer. The NMHC + NOX deterioration factors shall be 
established based on the sum of the pollutants, except as provided in 
paragraph (c)(3)(iv) of this section. When establishing deterioration 
factors for NMHC + NOX, a negative deterioration (emissions 
decrease from the official emissions test result) for one pollutant may 
not offset deterioration of the other pollutant.
    (ii) Separate emission deterioration factors, determined by the 
manufacturer according to the requirements of Sec. 89.118, shall be 
provided in the certification application for each engine-system 
combination. Separate deterioration factors shall be established for 
each regulated pollutant, except that a combined NMHC + NOX 
deterioration factor shall be established for compression-ignition 
nonroad engines not utilizing aftertreatment technology. For smoke 
testing, separate deterioration factors shall also be established for 
the acceleration mode (designated as ``A''), the lugging mode 
(designated as ``B''), and peak opacity (designated as ``C'').
    (iii) Compression-ignition nonroad engines not utilizing 
aftertreatment technology (e.g., particulate traps). For CO, NMHC + 
NOX, and particulate, the official exhaust emission results 
for each emission data engine at the selected test point shall be 
adjusted by addition of the appropriate deterioration factor. However, 
if the deterioration factor supplied by the manufacturer is less than 
zero, it shall be zero for the purposes of this paragraph (c)(3)(iii).
    (iv) Compression-ignition nonroad engines utilizing aftertreatment 
technology (e.g., particulate traps). For CO, NMHC + NOX, and 
particulate, the official exhaust emission results for each emission 
data engine at the selected test point shall be adjusted by 
multiplication by the appropriate deterioration factor. Separate NMHC 
and NOX deterioration factors shall be applied to the results 
for these pollutants prior to combining the results. If the 
deterioration factor supplied by the manufacturer is less than one, it 
shall be one for the purposes of this paragraph (c)(3)(iv).
    (v) For acceleration smoke (``A''), lugging smoke (``B''), and peak 
opacity (``C''), the official exhaust emission results for each emission 
data engine at the selected test point shall be adjusted by the addition 
of the appropriate deterioration factor. However if the deterioration 
supplied by the manufacturer is less than zero, it shall be zero for the 
purposes of this paragraph (c)(3)(v).
    (vi) The emission values to compare with the standards (or family 
emission limits, as appropriate) shall be the adjusted emission values 
of paragraphs (c)(3)(iii) through (v) of this section, rounded to the 
same number of significant figures as contained in the applicable 
standard in accordance with ASTM E29-93a, for each emission data engine. 
This procedure has been incorporated by reference at Sec. 89.6.
    (4) Every test engine of an engine family must comply with all 
applicable standards (or family emission limits, as appropriate), as 
determined in paragraph (c)(3)(vi) of this section, before any engine in 
that family will be certified.
    (d) For engine families included in the averaging, banking, and 
trading program, the families' emission limits (FELs) are used in lieu 
of the applicable federal emission standard.
    (e) For the purposes of setting an NMHC + NOX 
certification level or FEL, one of the following options shall be used 
for the determination of NMHC for an engine family. The manufacturer 
must declare which option is used in its application for certification 
of that engine family.
    (1) The manufacturer may assume that up to two percent of the 
measured THC is methane (NMHC = 0.98 x THC).
    (2) The manufacturer may measure NMHC emissions using a method 
approved by the Administrator prior to the start of testing. This option 
allows the determination of NMHC emissions by subtracting measured 
methane

[[Page 63]]

emissions from measured THC emissions.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57004, Oct. 23, 1998]



Sec. 89.121  Certificate of conformity effective dates.

    The certificate of conformity is valid from the date of issuance by 
EPA until 31 December of the model year or calendar year for which it is 
issued.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.122  Certification.

    (a) If, after a review of the manufacturer's application, request 
for certificate, information obtained from any inspection, and such 
other information as the Administrator may require, the Administrator 
determines that the application is complete and that the engine family 
meets the requirements of this part and the Clean Air Act, the 
Administrator shall issue a certificate of conformity.
    (b) If, after a review of the information described in paragraph (a) 
of this section, the Administrator determines that the requirements of 
this part and the Clean Air Act have not been met, the Administrator 
will deny certification. The Administrator must give a written 
explanation when certification is denied. The manufacturer may request a 
hearing on a denial.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.123  Amending the application and certificate of conformity.

    (a) The manufacturer of nonroad compression-ignition engines must 
notify the Administrator when changes to information required to be 
described in the application for certification are to be made to a 
product line covered by a certificate of conformity. This notification 
must include a request to amend the application or the existing 
certificate of conformity. Except as provided in paragraph (e) of this 
section, the manufacturer shall not make said changes or produce said 
engines prior to receiving approval from EPA.
    (b) A manufacturer's request to amend the application or the 
existing certificate of conformity shall include the following 
information:
    (1) A full description of the change to be made in production or of 
the engine to be added;
    (2) Engineering evaluations or data showing that engines as modified 
or added will comply with all applicable emission standards; and
    (3) A determination whether the manufacturer's original test fleet 
selection is still appropriate, and if the original test fleet selection 
is determined not to be appropriate, proposed test fleet selection(s) 
representing the engines changed or added which would have been required 
if the engines had been included in the original application for 
certification.
    (c) The Administrator may require the manufacturer to perform tests 
on the engine representing the engine to be added or changed.
    (d) Decision by Administrator. (1) Based on the description of the 
proposed amendment and data derived from such testing as the 
Administrator may require or conduct, the Administrator will determine 
whether the proposed change or addition would still be covered by the 
certificate of conformity then in effect.
    (2) If the Administrator determines that the change or new engine(s) 
meets the requirements of this subpart and the Act, the appropriate 
certificate of conformity is amended.
    (3) If the Administrator determines that the changed or new 
engine(s) does not meet the requirements of this subpart and the Act, 
the certificate of conformity will not be amended. The Administrator 
shall provide a written explanation to the manufacturer of the decision 
not to amend the certificate. The manufacturer may request a hearing on 
a denial.
    (e) A manufacturer may make changes in or additions to production 
engines concurrently with notifying the Administrator as required by 
paragraph (a) of this section, if the manufacturer complies with the 
following requirements:
    (1) In addition to the information required in paragraph (b) of this 
section, the manufacturer must supply supporting documentation, test 
data, and engineering evaluations as appropriate

[[Page 64]]

to demonstrate that all affected engines will still meet applicable 
emission standards.
    (2) If, after a review, the Administrator determines additional 
testing is required, the manufacturer must provide required test data 
within 30 days or cease production of the affected engines.
    (3) If the Administrator determines that the affected engines do not 
meet applicable requirements, the Administrator will notify the 
manufacturer to cease production of the affected engines and to recall 
and correct at no expense to the owner all affected engines previously 
produced.
    (4) Election to produce engines under this paragraph will be deemed 
to be a consent to recall all engines which the Administrator determines 
do not meet applicable standards and to cause such nonconformity to be 
remedied at no expense to the owner.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.124  Record retention, maintenance, and submission.

    (a) The manufacturer of any nonroad compression-ignition engine must 
maintain the following adequately organized records:
    (1) Copies of all applications filed with the Administrator.
    (2) A detailed history of each test engine used for certification 
including the following:
    (i) A description of the test engine's construction, including a 
general description of the origin and buildup of the engine, steps taken 
to ensure that it is representative of production engines, description 
of components specially built for the test engine, and the origin and 
description of all emission-related components;
    (ii) A description of the method used for service accumulation, 
including date(s) and the number of hours accumulated;
    (iii) A description of all maintenance, including modifications, 
parts changes, and other servicing performed, and the date(s) and 
reason(s) for such maintenance;
    (iv) A description of all emission tests performed (except tests 
performed by the EPA directly) including routine and standard test 
documentation, as specified in subpart E of this part, date(s) and the 
purpose of each test;
    (v) A description of all tests performed to diagnose engine or 
emission control performance, giving the date and time of each and the 
reason(s) for the test; and
    (vi) A description of any significant event(s) affecting the engine 
during the period covered by the history of the test engine but not 
described by an entry under one of the previous paragraphs of this 
section.
    (3) Information required to be kept by the manufacturer in 
Sec. 89.118(e)(3) for alternatives to service accumulation and testing 
for the determination of a deterioration factor.
    (b) Routine emission test data, such as those reporting test cell 
temperature and relative humidity at start and finish of test and raw 
emission results from each mode or test phase, must be retained for a 
period of one year after issuance of all certificates of conformity to 
which they relate. All other information specified in paragraph (a) of 
this section must be retained for a period of eight years after issuance 
of all certificates of conformity to which they relate.
    (c) Records may be kept in any format and on any media, provided 
that at the Administrator's request, organized, written records in 
English are promptly supplied by the manufacturer.
    (d) The manufacturer must supply, at the Administrator's request, 
copies of any engine maintenance instructions or explanations issued by 
the manufacturer.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57005, Oct. 23, 1998]



Sec. 89.125  Production engines, annual report.

    (a) Upon the Administrator's request, the manufacturer must supply a 
reasonable number of production engines for testing and evaluation. 
These engines must be representative of typical production and must be 
supplied for testing at such time and place and for such reasonable 
periods as the Administrator may require.

[[Page 65]]

    (b) The manufacturer must annually, within 30 days after the end of 
the model year, notify the Administrator of the number of engines 
produced by engine family, by gross power, by displacement, by fuel 
system, and, for engines produced under the provision of Sec. 89.102(g), 
by engine model and purchaser (or shipping destination for engines used 
by the engine manufacturer), or by other categories as the Administrator 
may require.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57005, Oct. 23, 1998]



Sec. 89.126  Denial, revocation of certificate of conformity.

    (a) If, after review of the manufacturer's application, request for 
certification, information obtained from any inspection, and any other 
information the Administrator may require, the Administrator determines 
that one or more test engines do not meet applicable standards (or 
family emission limits, as appropriate), then the Administrator will 
notify the manufacturer in writing, setting forth the basis for this 
determination.
    (b) Notwithstanding the fact that engines described in the 
application may comply with all other requirements of this subpart, the 
Administrator may deny the issuance of, suspend, or revoke a previously 
issued certificate of conformity if the Administrator finds any one of 
the following infractions to be substantial:
    (1) The manufacturer submits false or incomplete information;
    (2) The manufacturer denies an EPA enforcement officer or EPA 
authorized representative the opportunity to conduct authorized 
inspections;
    (3) The manufacturer fails to supply requested information or amend 
its application to include all engines being produced;
    (4) The manufacturer renders inaccurate any test data which it 
submits or otherwise circumvents the intent of the Act or this part;
    (5) The manufacturer denies an EPA enforcement officer or EPA 
authorized representative reasonable assistance (as defined in 
Sec. 89.129(e)).
    (c) If a manufacturer knowingly commits an infraction specified in 
paragraph (b)(1) or (b)(4) of this section, knowingly commits any other 
fraudulent act which results in the issuance of a certificate of 
conformity, or fails to comply with the conditions specified in 
Sec. 89.203(d), Sec. 89.206(c), Sec. 89.209(c) or Sec. 89.210(g), the 
Administrator may deem such certificate void ab initio.
    (d) When the Administrator denies, suspends, revokes, or voids ab 
initio a certificate of conformity the manufacturer will be provided a 
written determination. The manufacturer may request a hearing under 
Sec. 89.127 on the Administrator's decision.
    (e) Any suspension or revocation of a certificate of conformity 
shall extend no further than to forbid the introduction into commerce of 
engines previously covered by the certification which are still in the 
hands of the manufacturer, except in cases of such fraud or other 
misconduct that makes the certification invalid ab initio.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57005, Oct. 23, 1998]



Sec. 89.127  Request for hearing.

    (a) A manufacturer may request a hearing on the Administrator's 
denial, suspension, voiding ab initio or revocation of a certificate of 
conformity.
    (b) The manufacturer's request must be filed within 30 days of the 
Administrator's decision, be in writing, and set forth the 
manufacturer's objections to the Administrator's decision and data to 
support the objections.
    (c) If, after review of the request and supporting data, the 
Administrator finds that the request raises a substantial and factual 
issue, the Administrator will grant the manufacturer's request for a 
hearing.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.128  Hearing procedures.

    (a)(1) After granting a request for a hearing the Administrator 
shall designate a Presiding Officer for the hearing.
    (2) The hearing will be held as soon as practicable at a time and 
place determined by the Administrator or by the Presiding Officer.
    (3) The Administrator may, at his or her discretion, direct that all 
argument

[[Page 66]]

and presentation of evidence be concluded within a specified period 
established by the Administrator. Said period may be no less than 30 
days from the date that the first written offer of a hearing is made to 
the manufacturer. To expedite proceedings, the Administrator may direct 
that the decision of the Presiding Officer (who may, but need not, be 
the Administrator) shall be the final EPA decision.
    (b)(1) Upon appointment pursuant to paragraph (a) of this section, 
the Presiding Officer will establish a hearing file. The file shall 
consist of the following:
    (i) The determination issued by the Administrator under 
Sec. 89.126(d);
    (ii) The request for a hearing and the supporting data submitted 
therewith;
    (iii) All documents relating to the request for certification and 
all documents submitted therewith; and
    (iv) Correspondence and other data material to the hearing.
    (2) The hearing file will be available for inspection by the 
applicant at the office of the Presiding Officer.
    (c) An applicant may appear in person or may be represented by 
counsel or by any other duly authorized representative.
    (d)(1) The Presiding Officer, upon the request of any party or at 
his or her discretion, may arrange for a prehearing conference at a time 
and place he/she specifies. Such prehearing conference will consider the 
following:
    (i) Simplification of the issues;
    (ii) Stipulations, admissions of fact, and the introduction of 
documents;
    (iii) Limitation of the number of expert witnesses;
    (iv) Possibility of agreement disposing of any or all of the issues 
in dispute; and
    (v) Such other matters as may aid in the disposition of the hearing, 
including such additional tests as may be agreed upon by the parties.
    (2) The results of the conference shall be reduced to writing by the 
Presiding Officer and made part of the record.
    (e)(1) Hearings shall be conducted by the Presiding Officer in an 
informal but orderly and expeditious manner. The parties may offer oral 
or written evidence, subject to the exclusion by the Presiding Officer 
of irrelevant, immaterial, and repetitious evidence.
    (2) Witnesses will not be required to testify under oath. However, 
the Presiding Officer shall call to the attention of witnesses that 
their statements may be subject to the provisions of 18 U.S.C. 1001 
which imposes penalties for knowingly making false statements or 
representations or using false documents in any matter within the 
jurisdiction of any department or agency of the United States.
    (3) Any witness may be examined or cross-examined by the Presiding 
Officer, the parties, or their representatives.
    (4) Hearings shall be reported verbatim. Copies of transcripts of 
proceedings may be purchased by the applicant from the reporter.
    (5) All written statements, charts, tabulations, and similar data 
offered in evidence at the hearings shall, upon a showing satisfactory 
to the Presiding Officer of their authenticity, relevancy, and 
materiality, be received in evidence and shall constitute a part of the 
record.
    (6) Oral argument may be permitted at the discretion of the 
Presiding Officer and shall be reported as part of the record unless 
otherwise ordered by the Presiding Officer.
    (f)(1) The Presiding Officer shall make an initial decision which 
shall include written findings and conclusions and the reasons or basis 
regarding all the material issues of fact, law, or discretion presented 
on the record. The findings, conclusions, and written decision shall be 
provided to the parties and made a part of the record. The initial 
decision shall become the decision of the Administrator without further 
proceedings, unless there is an appeal to the Administrator or motion 
for review by the Administrator within 20 days of the date the initial 
decision was filed. If the Administrator has determined under paragraph 
(a) of this section that the decision of the Presiding Officer is final, 
there is no right of appeal to the Administrator.
    (2) On appeal from or review of the initial decision, the 
Administrator shall have all the powers which he or she would have in 
making the initial

[[Page 67]]

decision, including the discretion to require or allow briefs, oral 
argument, the taking of additional evidence, or the remanding to the 
Presiding Officer for additional proceedings. The decision by the 
Administrator may adopt the original decision or shall include written 
findings and conclusions and the reasons or basis therefor on all the 
material issues of fact, law, or discretion presented on the appeal or 
considered in the review.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.129  Right of entry.

    (a) Any manufacturer who has applied for certification of a new 
engine or engine family subject to certification testing under this 
subpart shall admit or cause to be admitted to any of the following 
facilities during operating hours any EPA enforcement officer or EPA 
authorized representative on presentation of credentials.
    (1) Any facility where any such certification testing or any 
procedures or activities connected with such certification testing are 
or were performed;
    (2) Any facility where any new engine which is being, was, or is to 
be tested is present;
    (3) Any facility where any construction process or assembly process 
used in the modification or buildup of such an engine into a 
certification engine is taking place or has taken place; and
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a)(1) 
of this section, any EPA enforcement officer or EPA authorized 
representative shall be allowed:
    (1) To inspect and monitor any part or aspect of such procedures, 
activities, and testing facilities, including, but not limited to, 
monitoring engine preconditioning, emission tests and service 
accumulation, maintenance, and engine storage procedures, and to verify 
correlation or calibration of test equipment;
    (2) To inspect and make copies of any such records, designs, or 
other documents; and
    (3) To inspect and photograph any part or aspect of any such 
certification engine and any components to be used in the construction 
thereof.
    (c) To allow the Administrator to determine whether production 
engines conform in all material respects to the design specifications 
applicable to those engines, as described in the application for 
certification for which a certificate of conformity has been issued, any 
manufacturer shall admit any EPA enforcement officer or EPA authorized 
representative on presentation of credentials to:
    (1) Any facility where any document, design, or procedure relating 
to the translation of the design and construction of engines and 
emission-related components described in the application for 
certification or used for certification testing into production engines 
is located or carried on; and
    (2) Any facility where any engines to be introduced into commerce 
are manufactured or assembled.
    (d) On admission to any such facility referred to in paragraph (c) 
of this section, any EPA enforcement officer or EPA authorized 
representative shall be allowed:
    (1) To inspect and monitor any aspects of such manufacture or 
assembly and other procedures;
    (2) To inspect and make copies of any such records, documents or 
designs; and
    (3) To inspect and photograph any part or aspect of any such new 
engines and any component used in the assembly thereof that are 
reasonably related to the purpose of his or her entry.
    (e) Any EPA enforcement officer or EPA authorized representative 
shall be furnished by those in charge of a facility being inspected with 
such reasonable assistance as he or she may request to help the 
enforcement officer or authorized representative discharge any function 
listed in this paragraph. Each applicant for or recipient of 
certification is required to cause those in charge of a facility 
operated for its benefit to furnish such reasonable assistance without 
charge to EPA whether or not the applicant controls the facility.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services;

[[Page 68]]

the making available on request of personnel of the facility being 
inspected during their working hours to inform the EPA enforcement 
officer or EPA authorized representative of how the facility operates 
and to answer the officer's questions; and the performance on request of 
emission tests on any engine which is being, has been, or will be used 
for certification testing. Such tests shall be nondestructive, but may 
require appropriate service accumulation.
    (2) A manufacturer may be compelled to cause any employee at a 
facility being inspected to appear before an EPA enforcement officer or 
EPA authorized representative. The request for the employee's appearance 
shall be in writing, signed by the Assistant Administrator for Air and 
Radiation, and served on the manufacturer. Any employee who has been 
instructed by the manufacturer to appear will be entitled to be 
accompanied, represented, and advised by counsel.
    (f) The duty to admit or cause to be admitted any EPA enforcement 
officer or EPA authorized representative applies whether or not the 
applicant owns or controls the facility in question and applies both to 
domestic and to foreign manufacturers and facilities. EPA will not 
attempt to make any inspections which it has been informed that local 
law forbids. However, if local law makes it impossible to do what is 
necessary to ensure the accuracy of data generated at a facility, no 
informed judgment that an engine is certifiable or is covered by a 
certificate can properly be based on those data. It is the 
responsibility of the manufacturer to locate its testing and 
manufacturing facilities in jurisdictions where this situation will not 
arise.
    (g) Any entry without 24 hours prior written or oral notification to 
the affected manufacturer shall be authorized in writing by the 
Assistant Administrator for Enforcement.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.130  Rebuild practices.

    (a) The provisions of this section are applicable to engines subject 
to the standards prescribed in Sec. 89.112 and are applicable to the 
process of engine rebuilding (or rebuilding a portion of an engine or 
engine system). This section does not apply to Tier 1 engines rated at 
or above 37 kW. The process of engine rebuilding generally includes 
disassembly, replacement of multiple parts due to wear, and reassembly, 
and also may include the removal of the engine from the vehicle and 
other acts associated with rebuilding an engine.
    (b) When rebuilding an engine, portions of an engine, or an engine 
system, there must be a reasonable technical basis for knowing that the 
resultant engine is equivalent, from an emissions standpoint, to a 
certified configuration (i.e., tolerances, calibrations, 
specifications), and the model year(s) of the resulting engine 
configuration must be identified. A reasonable basis would exist if:
    (1) Parts installed, whether the parts are new, used, or rebuilt, 
are such that a person familiar with the design and function of motor 
vehicle engines would reasonably believe that the parts perform the same 
function with respect to emission control as the original parts; and
    (2) Any parameter adjustment or design element change is made only:
    (i) In accordance with the original engine manufacturer's 
instructions; or
    (ii) Where data or other reasonable technical basis exists that such 
parameter adjustment or design element change, when performed on the 
engine or similar engines, is not expected to adversely affect in-use 
emissions.
    (c) When an engine is being rebuilt and remains installed or is 
reinstalled in the same equipment, it must be rebuilt to a configuration 
of the same or later model year as the original engine. When an engine 
is being replaced, the replacement engine must be an engine of (or 
rebuilt to) a certified configuration that is equivalent, from an 
emissions standpoint, to the engine being replaced.
    (d) At time of rebuild, emission-related codes or signals from on-
board monitoring systems may not be erased or reset without diagnosing 
and responding appropriately to the diagnostic codes, regardless of 
whether the

[[Page 69]]

systems are installed to satisfy requirements in Sec. 89.109 or for 
other reasons and regardless of form or interface. Diagnostic systems 
must be free of all such codes when the rebuilt engine is returned to 
service. Such signals may not be rendered inoperative during the 
rebuilding process.
    (e) When conducting a rebuild without removing the engine from the 
equipment, or during the installation of a rebuilt engine, all critical 
emission-related components listed in 40 CFR part 86, subpart B, not 
otherwise addressed by paragraphs (b) through (d) of this section must 
be checked and cleaned, adjusted, repaired, or replaced as necessary, 
following manufacturer recommended practices.
    (f) Records shall be kept by parties conducting activities included 
in paragraphs (b) through (e) of this section. The records shall include 
at minimum the hours of operation at time of rebuild, a listing of work 
performed on the engine, and emission-related control components 
including a listing of parts and components used, engine parameter 
adjustments, emission-related codes or signals responded to and reset, 
and work performed under paragraph (e) of this section.
    (1) Parties may keep records in whatever format or system they 
choose as long as the records are understandable to an EPA enforcement 
officer or can be otherwise provided to an EPA enforcement officer in an 
understandable format when requested.
    (2) Parties are not required to keep records of information that is 
not reasonably available through normal business practices including 
information on activities not conducted by themselves or information 
that they cannot reasonably access.
    (3) Parties may keep records of their rebuilding practices for an 
engine family rather than on each individual engine rebuilt in cases 
where those rebuild practices are followed routinely.
    (4) Records must be kept for a minimum of two years after the engine 
is rebuilt.

[63 FR 57005, Oct. 23, 1998]



          Subpart C--Averaging, Banking, and Trading Provisions



Sec. 89.201  Applicability.

    Nonroad compression-ignition engines subject to the provisions of 
subpart A of this part are eligible to participate in the averaging, 
banking, and trading program described in this subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.202  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart:
    Averaging for nonroad engines means the exchange of emission credits 
among engine families within a given manufacturer's product line.
    Banking means the retention of nonroad engine emission credits by 
the manufacturer generating the emission credits for use in future model 
year averaging or trading as permitted by these regulations.
    Emission credits represent the amount of emission reduction or 
exceedance, by a nonroad engine family, below or above the emission 
standard, respectively. Emission reductions below the standard are 
considered as ``positive credits,'' while emission exceedances above the 
standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a model year waiting to 
be reported to EPA at the end of the model year. ``Actual credits'' 
refer to emission credits based on actual applicable production/sales 
volume as contained in the end-of-year reports submitted to EPA. Some or 
all of these credits may be revoked if EPA review of the end-of-year 
reports or any subsequent audit action(s) uncovers problems or errors.
    Trading means the exchange of nonroad engine emission credits 
between manufacturers.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]

[[Page 70]]



Sec. 89.203  General provisions.

    (a) The averaging, banking, and trading programs for NOX, 
NMHC+NOX, and PM emissions from eligible nonroad engines are 
described in this subpart. Participation in these programs is voluntary.
    (b) Requirements for Tier 1 engines rated at or above 37 kW. (1) A 
nonroad engine family is eligible to participate in the averaging, 
banking, and trading program for NOX emissions and the 
banking and trading program for PM emissions if it is subject to 
regulation under subpart B of this part with certain exceptions 
specified in paragraph (b)(2) of this section. No averaging, banking, 
and trading program is available for meeting the Tier 1 HC, CO, or smoke 
emission standards specified in subpart B of this part. No averaging 
program is available for meeting the Tier 1 PM emission standards 
specified in subpart B of this part.
    (2) Nonroad engines may not participate in the averaging, banking, 
and trading programs if they are exported or are sold as Blue Sky Series 
engines as described in Sec. 89.112(f). Nonroad engines certified on a 
special test procedure under Sec. 89.114(a), may not participate in the 
averaging, banking and trading programs unless the manufacturer has 
requested that the engines be included in the averaging, banking, and 
trading programs at the time the request for the special test procedure 
is made and has been granted approval by the Administrator for inclusion 
in the averaging, banking, and trading programs.
    (3) A manufacturer may certify one or more nonroad engine families 
at NOX family emission limits (FELs) above or below the Tier 
1 NOX emission standard, provided the summation of the 
manufacturer's projected balance of all NOX credit 
transactions in a given model year is greater than or equal to zero, as 
determined under Sec. 89.207(a). A manufacturer may certify one or more 
nonroad engine families at PM FELs below the Tier 2 PM emission standard 
that will be applicable to those engine families.
    (i) FELs for NOX may not exceed the Tier 1 upper limit 
specified in Sec. 89.112(d).
    (ii) An engine family certified to an FEL is subject to all 
provisions specified in this part, except that the applicable FEL 
replaces the emission standard for the family participating in the 
averaging, banking, and trading program.
    (iii) A manufacturer of an engine family with a NOX FEL 
exceeding the Tier 1 NOX emission standard must obtain 
NOX emission credits sufficient to address the associated 
credit shortfall via averaging, banking, or trading.
    (iv) An engine family with a NOX FEL below the applicable 
Tier 1 standard may generate emission credits for averaging, banking, 
trading, or a combination thereof. An engine family with a PM FEL below 
the Tier 2 standard that will be applicable to that engine family may 
generate emission credits for banking, trading, or a combination 
thereof. Emission credits may not be used to offset an engine family's 
emissions that exceed its applicable FEL. Credits may not be used to 
remedy nonconformity determined by a Selective Enforcement Audit (SEA) 
or by recall (in-use) testing. However, in the case of an SEA failure, 
credits may be used to allow subsequent production of engines for the 
family in question if the manufacturer elects to recertify to a higher 
FEL.
    (4) NOX credits generated in a given model year may be 
used to address credit shortfalls with other engines during that model 
year or in any subsequent model year except as noted under paragraph 
(b)(5)(ii) of this section. PM credits may be used to address credit 
shortfalls with Tier 2 and later engines greater than or equal to 37 kW 
and Tier 1 and later engines less than 37 kW and greater than or equal 
to 19 kW. Credits generated in one model year may not be used for prior 
model years.
    (5) The following provisions apply to the use of Tier 1 
NOX credits for showing compliance with the Tier 2 or Tier 3 
NMHC+NOX standards.
    (i) A manufacturer may use NOX credits from engines 
subject to the Tier 1 NOX standard to address 
NMHC+NOX credit shortfalls with engines in the same averaging 
set subject to Tier 1 NMHC+NOX or Tier 2 NMHC+NOX 
emission standards.

[[Page 71]]

    (ii) A manufacturer may not use NOX credits from engines 
subject to the Tier 1 standards to address NMHC+NOX credit 
shortfalls with engines subject to the Tier 3 NMHC+NOX 
emission standards.
    (c) Requirements for Tier 2 and later engines rated at or above 37 
kW and Tier 1 and later engines rated under 37 kW. (1) A nonroad engine 
family is eligible to participate in the averaging, banking, and trading 
programs for NMHC+NOX emissions and PM emissions if it is 
subject to regulation under subpart B of this part with certain 
exceptions specified in paragraph (c)(2) of this section. No averaging, 
banking, and trading program is available for meeting the CO or smoke 
emission standards specified in subpart B of this part.
    (2) Nonroad engines may not participate in the averaging, banking, 
and trading programs if they are exported or are sold as Blue Sky Series 
engines as described in Sec. 89.112(f). Nonroad engines certified on a 
special test procedure under Sec. 89.114(a), may not participate in the 
averaging, banking and trading programs unless the manufacturer has 
requested that the engines be included in the averaging, banking, and 
trading programs at the time the request for the special test procedure 
is made and has been granted approval by the Administrator for inclusion 
in the averaging, banking, and trading programs.
    (3)(i) A manufacturer may certify one or more nonroad engine 
families at FELs above or below the applicable NMHC+NOX 
emission standard and PM emission standard, provided the summation of 
the manufacturer's projected balance of all NMHC+NOX credit 
transactions and the summation of the manufacturer's projected balance 
of all PM credit transactions in a given model year in a given averaging 
set is greater than or equal to zero, as determined under 
Sec. 89.207(b).
    (A) FELs for NMHC+NOX and FELs for PM may not exceed the 
upper limits specified in Sec. 89.112(d).
    (B) An engine family certified to an FEL is subject to all 
provisions specified in this part, except that the applicable FEL 
replaces the emission standard for the family participating in the 
averaging, banking, and trading program.
    (C) A manufacturer of an engine family with an FEL exceeding the 
applicable emission standard must obtain emission credits sufficient to 
address the associated credit shortfall via averaging, banking, or 
trading, within the restrictions described in Sec. 89.204(c) and 
Sec. 89.206(b)(4).
    (D) An engine family with an FEL below the applicable standard may 
generate emission credits for averaging, banking, trading, or a 
combination thereof. Emission credits may not be used to offset an 
engine family's emissions that exceed its applicable FEL. Credits may 
not be used to remedy nonconformity determined by a Selective 
Enforcement Audit (SEA) or by recall (in-use) testing. However, in the 
case of an SEA failure, credits may be used to allow subsequent 
production of engines for the family in question if the manufacturer 
elects to recertify to a higher FEL.
    (ii)(A) In lieu of generating credits under paragraph (c)(3)(i) of 
this section, a manufacturer may certify one or more nonroad engine 
families rated under 37 kW at family emission limits (FELs) above or 
below the applicable NMHC+NOX emission standard and PM 
emission standard. The summation of the manufacturer's projected balance 
of all NMHC+NOX credit transactions and the summation of the 
manufacturer's projected balance of all PM credit transactions in a 
given model year, as determined under Sec. 89.207(b), are each allowed 
to be less than zero. Separate calculations shall be required for the 
following two categories of engines: engines rated under 19 kW and 
engines rated at or above 19 kW and under 37 kW.
    (B) For each calendar year a negative credit balance exists as of 
December 31, a penalty equal to ten percent of the negative credit 
balance as of December 31 of the calendar year shall be added to the 
negative credit balance. The resulting negative credit balance shall be 
carried into the next calendar year.
    (C) For engines rated under 19 kW, a manufacturer will be allowed to 
carry over a negative credit balance until December 31, 2003. For 
engines rated at or above 19 kW and under 37 kW, a

[[Page 72]]

manufacturer will be allowed to carry over a negative credit balance 
until December 31, 2002. As of these dates, the summation of the 
manufacturer's projected balance of all NMHC+NOX credit 
transactions and the summation of the manufacturer's projected balance 
of all PM credit transactions must each be greater than or equal to 
zero.
    (D) FELs for NMHC+NOX and FELs for PM may not exceed the 
upper limits specified in Sec. 89.112(d).
    (E) An engine family certified to an FEL is subject to all 
provisions specified in this part, except that the applicable 
NMHC+NOX FEL or PM FEL replaces the NMHC+NOX 
emission standard or PM emission standard for the family participating 
in the averaging and banking program.
    (F) A manufacturer of an engine family with an FEL exceeding the 
applicable emission standard must obtain emission credits sufficient to 
address the associated credit shortfall via averaging or banking. The 
exchange of emission credits generated under this program with other 
nonroad engine manufacturers in trading is not allowed.
    (G) An engine family with an FEL below the applicable standard may 
generate emission credits for averaging, banking, or a combination 
thereof. Emission credits may not be used to offset an engine family's 
emissions that exceed its applicable FEL. Credits may not be used to 
remedy nonconformity determined by a Selective Enforcement Audit (SEA) 
or by recall (in-use) testing. However, in the case of an SEA failure, 
credits may be used to allow subsequent production of engines for the 
family in question if the manufacturer elects to recertify to a higher 
FEL.
    (4)(i) Except as noted in paragraphs (c)(4)(ii), (c)(4)(iii), and 
(c)(4)(iv) of this section, credits generated in a given model year may 
be used during that model year or used in any subsequent model year. 
Except as allowed under paragraph (c)(3)(ii) of this section, credits 
generated in one model year may not be used for prior model years.
    (ii) Credits generated from engines rated under 19 kW prior to the 
implementation date of the applicable Tier 2 standards, shall expire on 
December 31, 2007.
    (iii) Credits generated from engines rated under 19 kW under the 
provisions of paragraph (c)(3)(ii) shall expire on December 31, 2003.
    (iv) Credits generated from engines rated at or above 19 kW and 
under 37 kW under the provisions of paragraph (c)(3)(ii) of this section 
shall expire on December 31, 2002.
    (5) Except as provided in paragraph (b)(3) of this section, engine 
families may not generate credits for one pollutant while also using 
credits for another pollutant in the same model year.
    (d) Manufacturers must demonstrate compliance under the averaging, 
banking, and trading programs for a particular model year within 270 
days of the end of the model year. Except as allowed under paragraph 
(c)(3)(ii) of this section, manufacturers that have certified engine 
families to FELs above the applicable emission standards and do not have 
sufficient emission credits to offset the difference between the 
emission standards and the FEL for such engine families will be in 
violation of the conditions of the certificate of conformity for such 
engine families. The certificates of conformity may be voided ab initio 
under Sec. 89.126(c) for those engine families.

[63 FR 57006, Oct. 23, 1998]



Sec. 89.204  Averaging.

    (a) Requirements for Tier 1 engines rated at or above 37 kW. A 
manufacturer may use averaging to offset an emission exceedance of a 
nonroad engine family caused by a NOX FEL above the 
applicable emission standard. NOX credits used in averaging 
may be obtained from credits generated by another engine family in the 
same model year, credits banked in a previous model year, or credits 
obtained through trading.
    (b) Requirements for Tier 2 and later engines rated at or above 37 
kW and Tier 1 and later engines rated under 37 kW. A manufacturer may 
use averaging to offset an emission exceedance of a nonroad engine 
family caused by an NMHC+;NOX FEL or a PM FEL above the 
applicable emission standard. Credits used in averaging may be obtained

[[Page 73]]

from credits generated by another engine family in the same model year, 
credits banked in previous model years that have not expired, or credits 
obtained through trading. The use of credits shall be within the 
restrictions described in paragraph (c) of this section, 
Sec. 89.206(b)(4) and Sec. 89.203(b)(5)(ii).
    (c) Averaging sets for emission credits. The averaging and trading 
of NOX emission credits, NMHC + NOX emission 
credits, and PM emissions credits will only be allowed between engine 
families in the same averaging set. The averaging sets for the averaging 
and trading of NOX emission credits, NMHC + NOX 
emission credits, and PM emission credits for nonroad engines are 
defined as follows:
    (1) Eligible engines rated at or above 19 kW, other than marine 
diesel engines, constitute an averaging set.
    (2) Eligible engines rated under 19 kW, other than marine diesel 
engines, constitute an averaging set.
    (3) Marine diesel engines rated at or above 19 kW constitute an 
averaging set. Emission credits generated from marine diesel engines 
rated at or above 19 kW may be used to address credit shortfalls for 
eligible engines rated at or above 19 kW other than marine diesel 
engines.
    (4) Marine diesel engines rated under 19 kW constitute an averaging 
set. Emission credits generated from marine diesel engines rated under 
19 kW may be used to address credit shortfalls for eligible engines 
rated under 19 kW other than marine diesel engines.

[63 FR 57007, Oct. 23, 1998]



Sec. 89.205  Banking.

    (a) Requirements for Tier 1 engines rated at or above 37 kW. (1) A 
manufacturer of a nonroad engine family with a NOX FEL below 
the applicable standard for a given model year may bank credits in that 
model year for use in averaging and trading in any subsequent model 
year.
    (2) A manufacturer of a nonroad engine family may bank 
NOX credits up to one calendar year prior to the effective 
date of mandatory certification. Such engines must meet the requirements 
of subparts A, B, D, E, F, G, H, I, J, and K of this part.
    (3)(i) A manufacturer of a nonroad engine family may bank PM credits 
from Tier 1 engines under the provisions specified in Sec. 89.207(b) for 
use in averaging and trading in the Tier 2 or later timeframe.
    (ii) Such engine families are subject to all provisions specified in 
subparts A, B, D, E, F, G, H, I, J, and K of this part, except that the 
applicable PM FEL replaces the PM emission standard for the family 
participating in the banking and trading program.
    (b) Requirements for Tier 2 and later engines rated at or above 37 
kW and Tier 1 and later engines rated under 37 kW. (1) A manufacturer of 
a nonroad engine family with an NMHC + NOX FEL or a PM FEL 
below the applicable standard for a given model year may bank credits in 
that model year for use in averaging and trading in any following model 
year.
    (2) For engine rated under 37 kW, a manufacturer of a nonroad engine 
family may bank credits prior to the effective date of mandatory 
certification. Such engines must meet the requirements of subparts A, B, 
D, E, F, G, H, I, J, and K of this part.
    (c) A manufacturer may bank actual credits only after the end of the 
model year and after EPA has reviewed the manufacturer's end-of-year 
reports. During the model year and before submittal of the end-of-year 
report, credits originally designated in the certification process for 
banking will be considered reserved and may be redesignated for trading 
or averaging in the end-of-year report and final report.
    (d) Credits declared for banking from the previous model year that 
have not been reviewed by EPA may be used in averaging or trading 
transactions. However, such credits may be revoked at a later time 
following EPA review of the end-of-year report or any subsequent audit 
actions.

[63 FR 57008, Oct. 23, 1998]



Sec. 89.206  Trading.

    (a) Requirements for Tier 1 engines rated at or above 37 kW. (1) A 
nonroad engine manufacturer may exchange emission credits with other 
nonroad engine manufacturers within the same averaging set in trading.

[[Page 74]]

    (2) Credits for trading can be obtained from credits banked in a 
previous model year or credits generated during the model year of the 
trading transaction.
    (3) Traded credits can be used for averaging, banking, or further 
trading transactions within the restrictions described in 
Sec. 89.204(c).
    (b) Requirements for Tier 2 and later engines rated at or above 37 
kW and Tier 1 and later engines rated under 37 kW. (1) A nonroad engine 
manufacturer may exchange emission credits with other nonroad engine 
manufacturers within the same averaging set in trading.
    (2) Credits for trading can be obtained from credits banked in 
previous model years that have not expired or credits generated during 
the model year of the trading transaction.
    (3) Traded credits can be used for averaging, banking, or further 
trading transactions within the restrictions described in Sec. 89.204(c) 
and paragraph (b)(4) of this section.
    (4) Emission credits generated from engines rated at or above 19 kW 
utilizing indirect fuel injection may not be traded to other 
manufacturers.
    (c) In the event of a negative credit balance resulting from a 
transaction, both the buyer and the seller are liable, except in cases 
deemed involving fraud. Certificates of all engine families 
participating in a negative trade may be voided ab initio under 
Sec. 89.126(c).

[63 FR 57008, Oct. 23, 1998]



Sec. 89.207  Credit calculation.

    (a) Requirements for calculating NOX credits from Tier 1 
engines rated at or above 37 kW. (1) For each participating engine 
family, emission credits (positive or negative) are to be calculated 
according to one of the following equations and rounded, in accordance 
with ASTM E29-93a, to the nearest one-hundredth of a megagram (Mg). This 
ASTM procedure has been incorporated by reference (see Sec. 89.6). 
Consistent units are to be used throughout the equation.
    (i) For determining credit availability from all engine families 
generating credits: Emission credits = (Std-FEL) x (Volume) x (AvgPR) x 
(UL) x (Adjustment) x (10-6)
    (ii) For determining credit usage for all engine families requiring 
credits to offset emissions in excess of the standard:

Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x 
    (10-6)

Where:

Std = the applicable Tier 1 NOX nonroad engine emission 
standard, in grams per kilowatt-hour.
FEL = the NOX family emission limit for the engine family in 
grams per kilowatt-hour.
Volume = the number of nonroad engines eligible to participate in the 
averaging, banking, and trading program within the given engine family 
during the model year. Engines sold to equipment or vehicle 
manufacturers under the provisions of Sec. 89.102(g) shall not be 
included in this number. Quarterly production projections are used for 
initial certification. Actual applicable production/sales volume is used 
for end-of-year compliance determination.
AvgPR = the average power rating of all of the configurations within an 
engine family, calculated on a sales-weighted basis, in kilowatts.
UL = the useful life for the engine family, in hours.
Adjustment = a one-time adjustment, as specified in paragraph (a)(2) of 
this section, to be applied to Tier 1 NOX credits to be 
banked or traded for determining compliance with the Tier 1 
NOX standards or Tier 2 NOX+NMHC standards 
specified in subpart B of this part. Banked credits traded in a 
subsequent model year will not be subject to an additional adjustment. 
Banked credits used in a subsequent model year's averaging program will 
not have the adjustment restored.

    (2) If an engine family is certified to a NOX FEL of 8.0 
g/kW-hr or less, an Adjustment value of 1.0 shall be used in the credit 
generation calculation described in paragraph (a)(1)(i) of this section. 
If an engine family is certified to a NOX FEL above 8.0 g/kW-
hr, an Adjustment value of 0.65 shall be used in the credit generation 
calculation described in paragraph (a)(1)(i) of this section. If the 
credits are to be used by the credit-generating manufacturer for 
averaging purposes in the same model year in which they are generated, 
an Adjustment value of 1.0 shall be used for all engines regardless of 
the level of the NOX FEL. If the credits are to be banked by 
the credit-generating manufacturer and used in a subsequent model year 
for another Tier 1 engine family, an Adjustment value of 1.0

[[Page 75]]

shall be used for all engines regardless of the level of the 
NOX FEL.
    (b) Requirements for calculating NMHC + NOX Credits from 
Tier 2 and later engines rated at or above 37 kW and Tier 1 and later 
engines rated under 37 kW and PM credits from all engines. (1) For each 
participating engine family, NOX + NMHC emission credits and 
PM emission credits (positive or negative) are to be calculated 
according to one of the following equations and rounded, in accordance 
with ASTM E29-93a, to the nearest one-hundredth of a megagram (Mg). This 
procedure has been incorporated by reference (see Sec. 89.6). Consistent 
units are to be used throughout the equation.
    (i) For determining credit availability from all engine families 
generating credits:

Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x 
    (10-6)

    (ii) For determining credit usage for all engine families requiring 
credits to offset emissions in excess of the standard:

Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x 
    (10-6)

Where:

Std = the current and applicable nonroad engine emission standard, in 
grams per kilowatt-hour, except for PM calculations where it is the 
applicable nonroad engine Tier 2 PM emission standard, and except for 
engines rated under 19 kW where it is the applicable nonroad engine Tier 
2 emission standard, in grams per kilowatt-hour. (Engines rated under 19 
kW participating in the averaging and banking program provisions of 
Sec. 89.203(c)(3)(ii) shall use the Tier 1 standard for credit 
calculations.)
FEL = the family emission limit for the engine family in grams per 
kilowatt-hour.
Volume = the number of nonroad engines eligible to participate in the 
averaging, banking, and trading program within the given engine family 
during the model year. Engines sold to equipment or vehicle 
manufacturers under the provisions of Sec. 89.102(g) shall not be 
included in this number. Quarterly production projections are used for 
initial certification. Actual applicable production/sales volume is used 
for end-of-year compliance determination.
AvgPR = the average power rating of all of the configurations within an 
engine family, calculated on a sales-weighted basis, in kilowatts.
UL = the useful life for the given engine family, in hours.

[63 FR 57008, Oct. 23, 1998]



Sec. 89.208  Labeling.

    For all nonroad engines included in the averaging, banking, and 
trading programs, the family emission limits to which the engine is 
certified must be included on the label required in Sec. 89.110.

[63 FR 57009, Oct. 23, 1998]



Sec. 89.209  Certification.

    (a) In the application for certification a manufacturer must:
    (1) Declare its intent to include specific engine families in the 
averaging, banking, and trading programs.
    (2) Submit a statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, cause the 
manufacturer to have a negative credit balance when all credits are 
calculated for all the manufacturer's engine families participating in 
the averaging, banking, and trading programs, except as allowed under 
Sec. 89.203(c)(3)(ii).
    (3) Declare the applicable FELs for each engine family participating 
in averaging, banking, and trading.
    (i) The FELs must be to the same number of significant digits as the 
emission standard for the applicable pollutant.
    (ii) In no case may the FEL exceed the upper limits prescribed in 
Sec. 89.112(d).
    (4) Indicate the projected number of credits generated/needed for 
this family; the projected applicable production/sales volume, by 
quarter; and the values required to calculate credits as given in 
Sec. 89.207.
    (5) Submit calculations in accordance with Sec. 89.207 of projected 
emission credits (positive or negative) based on quarterly production 
projections for each participating family.
    (6)(i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family or 
reserved) of the credits necessary to offset the credit deficit 
according to quarterly projected production, or, if the engine family is 
to be included in the provisions of Sec. 89.203(c)(3)(ii), state that 
the engine

[[Page 76]]

family will be subject to those provisions.
    (ii) If the engine family is projected to generate credits, state 
specifically (manufacturer/engine family or reserved) where the 
quarterly projected credits will be applied.
    (b) All certificates issued are conditional upon manufacturer 
compliance with the provisions of this subpart both during and after the 
model year of production.
    (c) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be deemed void ab 
initio.
    (d) The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-year reports, follow-up audits, and any other verification steps 
deemed appropriate by the Administrator.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57009, Oct. 23, 1998]



Sec. 89.210  Maintenance of records.

    (a) The manufacturer of any nonroad engine that is certified under 
the averaging, banking, and trading program must establish, maintain, 
and retain the following adequately organized and indexed records for 
each such engine produced:
    (1) EPA engine family;
    (2) Engine identification number;
    (3) Engine model year and build date,
    (4) Power rating;
    (5) Purchaser and destination; and
    (6) Assembly plant.
    (b) The manufacturer of any nonroad engine family that is certified 
under the averaging, banking, and trading programs must establish, 
maintain, and retain the following adequately organized and indexed 
records for each such family:
    (1) EPA engine family;
    (2) Family emission limits (FEL);
    (3) Power rating for each configuration tested;
    (4) Projected applicable production/sales volume for the model year; 
and
    (5) Actual applicable production/sales volume for the model year.
    (c) Any manufacturer producing an engine family participating in 
trading reserved credits must maintain the following records on a 
quarterly basis for each engine family in the trading program:
    (1) The engine family;
    (2) The actual quarterly and cumulative applicable production/sales 
volume;
    (3) The values required to calculate credits as given in 
Sec. 89.207;
    (4) The resulting type and number of credits generated/required;
    (5) How and where credit surpluses are dispersed; and
    (6) How and through what means credit deficits are met.
    (d) The manufacturer must retain all records required to be 
maintained under this section for a period of eight years from the due 
date for the end-of-model-year report. Records may be retained as hard 
copy or reduced to microfilm, ADP diskettes, and so forth, depending on 
the manufacturer's record retention procedure; provided, that in every 
case all information contained in the hard copy is retained.
    (e) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (f) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.
    (g) EPA may void ab initio under Sec. 89.126(c) a certificate of 
conformity for an engine family for which the manufacturer fails to 
retain the records required in this section or to provide such 
information to the Administrator upon request.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57009, Oct. 23, 1998]



Sec. 89.211  End-of-year and final reports.

    (a) End-of-year and final reports must indicate the engine family, 
the

[[Page 77]]

actual applicable production/sales volume, the values required to 
calculate credits as given in Sec. 89.207, and the number of credits 
generated/required. Manufacturers must also submit how and where credit 
surpluses were dispersed (or are to be banked) and/or how and through 
what means credit deficits were met. Copies of contracts related to 
credit trading must be included or supplied by the broker, if 
applicable. The report shall include a calculation of credit balances to 
show that the summation of the manufacturer's use of credits results in 
a credit balance equal to or greater than zero, except as allowed under 
Sec. 89.203(c)(3)(ii). Manufacturers participating under the program 
described in Sec. 89.203(c)(3)(ii) shall include the NMHC + 
NOX credit balance and the PM credit balance as of December 
31 of that calendar year.
    (b) The applicable production/sales volume for end-of-year and final 
reports must be based on the location of the point of first retail sale 
(for example, retail customer, dealer, secondary manufacturer) also 
called the final product purchase location.
    (c)(1) End-of-year reports must be submitted within 90 days of the 
end of the model year to: Director, Engine Programs and Compliance 
Division (6405-J), U.S. Environmental Protection Agency, 401 M St., SW., 
Washington, DC 20460.
    (2) Final reports must be submitted within 270 days of the end of 
the model year to: Director, Engine Programs and Compliance Division 
(6405-J), U.S. Environmental Protection Agency, 401 M St., SW., 
Washington, DC 20460.
    (d) Failure by a manufacturer participating in the averaging, 
banking, or trading program to submit any end-of-year or final reports 
in the specified time for all engines is a violation of sections 
203(a)(1) and 213 of the Clean Air Act for each engine.
    (e) A manufacturer generating credits for deposit only who fails to 
submit end-of-year reports in the applicable specified time period (90 
days after the end of the model year) may not use the credits until such 
reports are received and reviewed by EPA. Use of projected credits 
pending EPA review is not permitted in these circumstances.
    (f) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including errors in credit calculation, may be corrected in the 
final report up to 270 days from the end of the model year.
    (g) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year or final report previously submitted to EPA 
under this section, the manufacturer's credits and credit calculations 
will be recalculated. Erroneous positive credits will be void except as 
provided in paragraph (h) of this section. Erroneous negative credit 
balances may be adjusted by EPA.
    (h) If within 270 days of the end of the model year, EPA review 
determines a reporting error in the manufacturer's favor (that is, 
resulting in an increased credit balance) or if the manufacturer 
discovers such an error within 270 days of the end of the model year, 
the credits shall be restored for use by the manufacturer.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57009, Oct. 23, 1998]



Sec. 89.212  Notice of opportunity for hearing.

    Any voiding of the certificate under Secs. 89.203(d), 89.206(c), 
89.209(c) or 89.210(g) will be made only after the manufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Secs. 89.512 and 89.513 and, if a manufacturer requests 
such a hearing, will be made only after an initial decision by the 
Presiding Officer.

[63 FR 57010, Oct. 23, 1998]



              Subpart D--Emission Test Equipment Provisions



Sec. 89.301  Scope; applicability.

    (a) This subpart describes the equipment required in order to 
perform exhaust emission tests on new nonroad compression-ignition 
engines subject to the provisions of subpart B of part 89.
    (b) Exhaust gases, either raw or dilute, are sampled while the test 
engine is operated using an 8-mode test cycle on an engine dynamometer. 
The exhaust gases receive specific component

[[Page 78]]

analysis determining concentration of pollutant, exhaust volume, the 
fuel flow, and the power output during each mode. Emission is reported 
as grams per kilowatt hour (g/kw-hr). See subpart E of this part for a 
complete description of the test procedure.
    (c) General equipment and calibration requirements are given in 
Sec. 89.304 through 89.324. Sections 89.325 through 89.331 set forth 
general test specifications.
    (d) Additional information about system design, calibration 
methodologies, and so forth, for raw gas sampling can be found in part 
86, subpart D of this chapter. Examples for system design, calibration 
methodologies, and so forth, for dilute exhaust gas sampling can be 
found in part 86, subpart N of this chapter.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.302  Definitions.

    The definitions in subpart A of this part apply to this subpart. For 
terms not defined in this part, the definitions in 40 CFR part 86, 
subparts A, D, I, and N, apply to this subpart.

[63 FR 57010, Oct. 23, 1998]



Sec. 89.303  Symbols/abbreviations.

    (a) The abbreviations in Sec. 86.094-3 or part 89.3 of this chapter 
apply to this subpart.
    (b) The abbreviations in Table 1 in appendix A of this subpart apply 
to this subpart. Some abbreviations from Sec. 89.3 have been included 
for the convenience of the reader.
    (c) The symbols in Table 2 in appendix A of this subpart apply to 
this subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.304  Equipment required for gaseous emissions; overview.

    (a) All engines subject to this subpart are tested for exhaust 
emissions. Engines are operated on dynamometers meeting the 
specification given in Sec. 89.306.
    (b) The exhaust is tested for gaseous emissions using a raw gas 
sampling system as described in Sec. 89.412 or a constant volume 
sampling (CVS) system as described in Sec. 89.419. Both systems require 
analyzers (see paragraph (c) of this section) specific to the pollutant 
being measured.
    (c) Analyzers used are a non-dispersive infrared (NDIR) absorption 
type for carbon monoxide and carbon dioxide analysis; a heated flame 
ionization (HFID) type for hydrocarbon analysis; and a chemiluminescent 
detector (CLD) or heated chemiluminescent detector (HCLD) for oxides of 
nitrogen analysis. Sections 89.309 through 89.324 set forth a full 
description of analyzer requirements and specifications.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.305  Equipment measurement accuracy/calibration frequency.

    The accuracy of measurements must be such that the maximum 
tolerances shown in Table 3 in appendix A of this subpart are not 
exceeded. Calibrate all equipment and analyzers according to the 
frequencies shown in Table 3 in appendix A of this subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.306  Dynamometer specifications and calibration weights.

    (a) Dynamometer specifications. The dynamometer test stand and other 
instruments for measurement of power output must meet the accuracy and 
calibration frequency requirements shown in Table 3 in appendix A of 
this subpart. The dynamometer must be capable of performing the test 
cycle described in Sec. 89.410.
    (b) Dynamometer calibration weights. A minimum of six calibration 
weights for each range used are required. The weights must be spaced to 
reflect good engineering judgement such that they cover the range of 
weights required and must be traceable to within 0.5 percent of NIST 
weights. Laboratories located in foreign countries may certify 
calibration weights to local government bureau standards.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.307  Dynamometer calibration.

    (a) If necessary, follow the dynamometer manufacturer's instructions 
for

[[Page 79]]

initial start-up and basic operating adjustments.
    (b) Check the dynamometer torque measurement for each range used by 
the following method:
    (1) Warm up the dynamometer following the dynamometer manufacturer's 
specifications.
    (2) Determine the dynamometer calibration moment arm (a distance/
weight measurement). Dynamometer manufacturer's data, actual 
measurement, or the value recorded from the previous calibration used 
for this subpart may be used.
    (3) When calibrating the engine flywheel torque transducer, any 
lever arm used to convert a weight or a force through a distance into a 
torque must be in a horizontal position (5 degrees).
    (4) Calculate the indicated torque (IT) for each calibration weight 
to be used by:

IT = calibration weight (N) x calibration moment arm (m)

    (5) Attach each calibration weight specified in Sec. 89.306 to the 
moment arm at the calibration distance determined in paragraph (b)(2) of 
this section. Record the power measurement equipment response (N-m) to 
each weight.
    (6) For each calibration weight, compare the torque value measured 
in paragraph (b)(5) of this section to the calculated torque determined 
in paragraph (b)(4) of this section.
    (7) The measured torque must be within either 2 percent of point or 
1 percent of the engine maximum torque of the calculated torque.
    (8) If the measured torque is not within the above requirements, 
adjust or repair the system. Repeat steps in paragraphs (b)(1) through 
(b)(6) of this section with the adjusted or repaired system.
    (c) Optional. A master load-cell or transfer standard may be used to 
verify the torque measurement system.
    (1) The master load-cell and read out system must be calibrated with 
weights at each test weight specified in Sec. 89.306. The calibration 
weights must be traceable to within 0.1 percent of applicable national 
standards.
    (2) Warm up the dynamometer following the equipment manufacturer's 
specifications.
    (3) Attach the master load-cell and loading system.
    (4) Load the dynamometer to a minimum of 6 equally spaced torque 
values as indicated by the master load-cell for each in-use range used.
    (5) The in-use torque measurement must be within 2 percent of the 
torque measured by the master system for each load used.
    (6) If the in-use torque is not within 2 percent of the master 
torque, adjust or repair the system. Repeat steps in paragraphs (c)(2) 
through (c)(5) of this section with the adjusted or repaired system.
    (d) Calibrated resistors may not be used for engine flywheel torque 
transducer calibration, but may be used to span the transducer prior to 
engine testing.
    (e) Perform other engine dynamometer system calibrations as dictated 
by good engineering practice.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.308  Sampling system requirements for gaseous emissions.

    (a) For each component (pump, sample line section, filters, and so 
forth) in the heated portion of the sampling system that has a separate 
source of power or heating element, use engineering judgment to locate 
the coolest portion of that component and monitor the temperature at 
that location. If several components are within an oven, then only the 
surface temperature of the component with the largest thermal mass and 
the oven temperature need be measured.
    (b) If water is removed by condensation, the sample gas temperature 
shall be monitored within the water trap or the sample dewpoint shall be 
monitored downstream. In either case, the indicated temperature shall 
not exceed 7  deg.C.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.309  Analyzers required for gaseous emissions.

    (a) Analyzers. The following instruments are required for analyzing 
the measured gases:
    (1) Carbon Monoxide (CO) analysis. (i) The carbon monoxide analyzer 
must be

[[Page 80]]

of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (2) Carbon Dioxide (CO2) analysis. (i) The carbon dioxide 
analyzer must be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (3) [Reserved]
    (4) Hydrocarbon (HC) analysis. (i) The hydrocarbon analyzer must be 
of the heated flame ionization (HFID) type.
    (ii) If the temperature of the exhaust gas at the sample probe is 
below 190  deg.C, the temperature of the valves, pipework, and so forth, 
must be controlled so as to maintain a wall temperature of 190  deg.C 
 11  deg.C. If the temperature of the exhaust gas at the 
sample probe is above 190  deg.C, the temperature of the valves, 
pipework, and so forth, must be controlled so as to maintain a wall 
temperature greater than 180  deg.C.
    (iii) The FID oven must be capable of maintaining temperature within 
5.5  deg.C of the set point.
    (iv) Fuel and burner air must conform to the specifications in 
Sec. 89.312.
    (v) The percent of oxygen interference must be less than 3 percent, 
as specified in Sec. 89.319(d).
    (5) Oxides of nitrogen (NOX) analysis. (i) This analysis 
device must consist of the subsequent items, following the sample probe, 
in the given order:
    (A) Pipework, valves, and so forth, controlled so as to maintain a 
wall temperature above 60  deg.C.
    (B) A NO2 to NO converter. The NO2 to NO 
converter efficiency must be at least 90 percent.
    (C) For raw analysis, an ice bath or other cooling device located 
after the NOX converter (optional for dilute analysis).
    (D) A chemiluminescent detector (CLD or HCLD).
    (ii) The quench interference must be less than 3.0 percent as 
measured in Sec. 89.318.
    (b) Other gas analyzers yielding equivalent results may be used with 
advance approval of the Administrator.
    (c) The following requirements must be incorporated in each system 
used for testing under this subpart.
    (1) Carbon monoxide and carbon dioxide measurements must be made on 
a dry basis (for raw exhaust measurement only). Specific requirements 
for the means of drying the sample can be found in Sec. 89.309(e).
    (2) Calibration or span gases for the NOX measurement 
system must pass through the NO2 to NO converter.
    (d) The electromagnetic compatibility (EMC) of the equipment must be 
on a level as to minimize additional errors.
    (e) Gas drying. Chemical dryers are not an acceptable method of 
removing water from the sample. Water removal by condensation is 
acceptable. A water trap performing this function and meeting the 
specifications in Sec. 89.308(b) is an acceptable method. Means other 
than condensation may be used only with prior approval from the 
Administrator.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.310  Analyzer accuracy and specifications.

    (a) Measurement accuracy--general. The analyzers must have a 
measuring range which allows them to measure the concentrations of the 
exhaust gas sample pollutants with the accuracies shown in Table 3 in 
Appendix A of this subpart.
    (1) Response time. As necessary, measure and account for the 
response time of the analyzer.
    (2) Precision. The precision of the analyzer must be, at worst, 
1 percent of full-scale concentration for each range used at 
or above 100 ppm (or ppmC) or 2 percent for each range used 
below 100 ppm (or ppmC). The precision is defined as 2.5 times the 
standard deviation(s) of 10 repetitive responses to a given calibration 
or span gas.
    (3) Noise. The analyzer peak-to-peak response to zero and 
calibration or span gases over any 10-second period must not exceed 2 
percent of full-scale chart deflection on all ranges used.
    (4) Zero drift. The analyzer zero-response drift during a 1-hour 
period must be less than 2 percent of full-scale chart deflection on the 
lowest range used. The zero-response is defined as the mean response 
including noise to a

[[Page 81]]

zero-gas during a 30-second time interval.
    (5) Span drift. The analyzer span drift during a 1-hour period must 
be less than 2 percent of full-scale chart deflection on the lowest 
range used. The analyzer span is defined as the difference between the 
span-response and the zero-response. The span-response is defined as the 
mean response including noise to a span gas during a 30-second time 
interval.
    (b) Operating procedure for analyzers and sampling system. Follow 
the start-up and operating instructions of the instrument manufacturer. 
Adhere to the minimum requirements given in Sec. 89.314 to Sec. 89.323.
    (c) Emission measurement accuracy--Bag sampling. (1) Good 
engineering practice dictates that exhaust emission sample analyzer 
readings below 15 percent of full-scale chart deflection should 
generally not be used.
    (2) Some high resolution read-out systems, such as computers, data 
loggers, and so forth, can provide sufficient accuracy and resolution 
below 15 percent of full scale. Such systems may be used provided that 
additional calibrations of at least 4 non-zero nominally equally spaced 
points, using good engineering judgement, below 15 percent of full scale 
are made to ensure the accuracy of the calibration curves. If a gas 
divider is used, the gas divider must conform to the accuracy 
requirements specified in Sec. 89.312(c). The procedure in paragraph 
(c)(3) of this section may be used for calibration below 15 percent of 
full scale.
    (3) The following procedure shall be followed:
    (i) Span the analyzer using a calibration gas meeting the accuracy 
requirements of Sec. 89.312(c), within the operating range of the 
analyzer, and at least 90% of full scale.
    (ii) Generate a calibration over the full concentration range at a 
minimum of 6, approximately equally spaced, points (e.g. 15, 30, 45, 60, 
75, and 90 percent of the range of concentrations provided by the gas 
divider). If a gas divider or blender is being used to calibrate the 
analyzer and the requirements of paragraph (c)(2) of this section are 
met, verify that a second calibration gas between 10 and 20 percent of 
full scale can be named within 2 percent of its certified concentration.
    (iii) If a gas divider or blender is being used to calibrate the 
analyzer, input the value of a second calibration gas (a span gas may be 
used for the CO2 analyzer) having a named concentration between 10 and 
20 percent of full scale. This gas shall be included on the calibration 
curve. Continue adding calibration points by dividing this gas until the 
requirements of paragraph (c)(2) of this section are met.
    (iv) Fit a calibration curve per Sec. 89.319 through Sec. 89.322 for 
the full scale range of the analyzer using the calibration data obtained 
with both calibration gases.
    (d) Emission measurement accuracy--continuous sampling. Analyzers 
used for continuous analysis must be operated such that the measured 
concentration falls between 15 and 100 percent of full-scale chart 
deflection. Exceptions to these limits are:
    (1) The analyzer's response may be less than 15 percent or more than 
100 percent of full scale if automatic range change circuitry is used 
and the limits for range changes are between 15 and 100 percent of full-
scale chart deflection;
    (2) The analyzer's response may be less than 15 percent of full 
scale if:
    (i) Alternative (c)(2) of this section is used to ensure that the 
accuracy of the calibration curve is maintained below 15 percent; or
    (ii) The full-scale value of the range is 155 ppm (or ppmC) or less.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.311  Analyzer calibration frequency.

    (a) Prior to initial use and after major repairs, bench check each 
analyzer (see Sec. 89.315).
    (b) Calibrations are performed as specified in Secs. 89.319 through 
89.324.
    (c) At least monthly, or after any maintenance which could alter 
calibration, the following calibrations and checks are performed.
    (1) Leak check the vacuum side of the system (see Sec. 89.316).
    (2) Check that the analysis system response time has been measured 
and accounted for.

[[Page 82]]

    (3) Verify that the automatic data collection system (if used) meets 
the requirements found in Table 3 in appendix A of this subpart.
    (4) Check the fuel flow measurement instrument to insure that the 
specifications in Table 3 in appendix A of this subpart are met.
    (d) Verify that all NDIR analyzers meet the water rejection ratio 
and the CO2 rejection ratio as specified in Sec. 89.318.
    (e) Verify that the dynamometer test stand and power output 
instrumentation meet the specifications in Table 3 in appendix A of this 
subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.312  Analytical gases.

    (a) The shelf life of all calibration gases must not be exceeded. 
The expiration date of the calibration gases stated by the gas 
manufacturer shall be recorded.
    (b) Pure gases. The required purity of the gases is defined by the 
contamination limits given below. The following gases must be available 
for operation:
    (1) Purified nitrogen (Contamination [le] 1 ppm C, [le] 1 ppm CO, 
[le] 400 ppm CO2, [le] 0.1 ppm NO)
    (2) [Reserved]
    (3) Hydrogen-helium mixture (40  2 percent hydrogen, 
balance helium) (Contamination [le] 31 ppm C, [le] 400 ppm CO)
    (4) Purified synthetic air (Contamination [le] 1 ppm C, [le] 1 ppm 
CO, [le] 400 ppm CO2, [le] 0.1 ppm NO) (Oxygen content 
between 18-21 percent vol.)
    (c) Calibration and span gases. (1) Calibration gas values are to be 
derived from NIST Standard Reference Materials (SRM's) or other 
standardized gas samples and are to be single blends as listed in the 
following paragraph.
    (2) Mixtures of gases having the following chemical compositions 
shall be available:
    (i) C3H8 and purified synthetic air ;
    (ii) C3H8 and purified nitrogen (optional for 
raw measurements);
    (iii) CO and purified nitrogen;
    (iv) NOX and purified nitrogen (the amount of 
NO2 contained in this calibration gas must not exceed 5 
percent of the NO content);
    (v) CO2 and purified nitrogen.
    (3) The true concentration of a span gas must be within 
2 percent of the NIST gas standard. The true concentration 
of a calibration gas must be within 1 percent of the NIST 
gas standard. The use of precision blending devices (gas dividers) to 
obtain the required calibration gas concentrations is acceptable, 
provided that the blended gases are accurate to within 1.5 
percent of NIST gas standards, or other gas standards which have been 
approved by the Administrator. This accuracy implies that primary gases 
used (or blending) must be ``named'' to an accuracy of at least 
1 percent, traceable to NIST or other approved gas 
standards. All concentrations of calibration gas shall be given on a 
volume basis (volume percent or volume ppm).
    (4) The gas concentrations used for calibration and span may also be 
obtained by means of a gas divider, either diluting with purified 
N2 or diluting with purified synthetic air. The accuracy of 
the mixing device must be such that the concentration of the diluted 
gases may be determined to within 2 percent.
    (d) Oxygen interference check gases shall contain propane with 350 
ppmC 75 ppmC hydrocarbon. The three oxygen interference 
gases shall contain 21%  1% O2, 10%  
1% O2, and 5%  1% O2. The 
concentration value shall be determined to calibration gas tolerances by 
chromatographic analysis of total hydrocarbons plus impurities or by 
dynamic blending. Nitrogen shall be the predominant diluent with the 
balance oxygen.
    (e) Fuel for the FID shall be a blend of 40 percent 2 
percent hydrogen with the balance being helium. The mixture shall 
contain less than 1 ppm equivalent carbon response; 98 to 100 percent 
hydrogen fuel may be used with advance approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen for 
raw sampling must be within 1 mole percent of the oxygen concentration 
of the burner air used in the latest oxygen interference check 
(%O2I). If the difference in oxygen concentration is greater 
than 1 mole percent, then the oxygen interference must be checked and, 
if necessary, the analyzer adjusted to meet the %O2I 
requirements. The

[[Page 83]]

burner air must contain less than 2 ppmC hydrocarbon.
    (g) Gases for the methane analyzer shall be single blends of methane 
using air as the diluent.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.313  Initial calibration of analyzers.

    (a) Warming-up time. The warming-up time should be according to the 
recommendations of the manufacturer. If not specified, a minimum of two 
hours shall be allowed for warming up the analyzers.
    (b) NDIR and HFID analyzer. The NDIR analyzer shall be tuned and 
maintained according to the instrument manufacturer's instructions. The 
combustion flame of the HFID analyzer shall be optimized in order to 
meet the specifications in Sec. 89.319(b)(2).
    (c) Zero setting and calibration. (1) Using purified synthetic air 
(or nitrogen), the CO, CO2, NOX, and HC analyzers 
shall be set at zero.
    (2) Introduce the appropriate calibration gases to the analyzers and 
the values recorded. The same gas flow rates shall be used as when 
sampling exhaust.
    (d) Rechecking of zero setting. The zero setting shall be rechecked 
and the procedure described in paragraph (c) of this section repeated, 
if necessary.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.314  Pre- and post-test calibration of analyzers.

    Each operating range used during the test shall be checked prior to 
and after each test in accordance with the following procedure. (A 
chronic need for parameter adjustment can indicate a need for instrument 
maintenance.):
    (a) The calibration is checked by using a zero gas and a span gas 
whose nominal value is between 75 percent and 100 percent of full-scale, 
inclusive, of the measuring range.
    (b) After the end of the final mode, a zero gas and the same span 
gas will be used for rechecking. As an option, the zero and span may be 
rechecked at the end of each mode or each test segment. The analysis 
will be considered acceptable if the difference between the two 
measuring results is less than 2 percent of full scale.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998]



Sec. 89.315  Analyzer bench checks.

    (a) Prior to initial use and after major repairs verify that each 
analyzer complies with the specifications given in Table 3 in appendix A 
of this subpart.
    (b) If a stainless steel NO2 to NO converter is used, 
condition all new or replacement converters. The conditioning consists 
of either purging the converter with air for a minimum of 4 hours or 
until the converter efficiency is greater than 90 percent. The converter 
must be at operational temperature while purging. Do not use this 
procedure prior to checking converter efficiency on in-use converters.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.316  Analyzer leakage and response time.

    (a) Vacuum side leak check. (1) Any location within the analysis 
system where a vacuum leak could affect the test results must be 
checked.
    (2) The maximum allowable leakage rate on the vacuum side is 0.5 
percent of the in-use flow rate for the portion of the system being 
checked. The analyzer flows and bypass flows may be used to estimate the 
in-use flow rates.
    (3) The sample probe and the connection between the sample probe and 
valve V2 (see Figure 1 in appendix B of this subpart) may be excluded 
from the leak check.
    (b) [Reserved]
    (c) The response time shall be accounted for in all emission 
measurement and calculations.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998]



Sec. 89.317  NOX converter check.

    (a) Prior to its introduction into service, and monthly thereafter, 
the chemiluminescent oxides of nitrogen analyzer shall be checked for 
NO2 to NO converter efficiency. Figure 2 in appendix B of 
this subpart is a reference for the following paragraphs.

[[Page 84]]

    (b) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (c) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (d) Connect the outlet of the NOX generator to the sample 
inlet of the oxides of nitrogen analyzer which has been set to the most 
common operating range.
    (e) Introduce into the NOX generator analyzer-system an 
NO-in-nitrogen (N2) mixture with an NO concentration equal to 
approximately 80 percent of the most common operating range. The 
NO2 content of the gas mixture shall be less than 5 percent 
of the NO concentration.
    (f) With the oxides of nitrogen analyzer in the NO mode, record the 
concentration of NO indicated by the analyzer.
    (g) Turn on the NOX generator O2 (or air) 
supply and adjust the O2 (or air) flow rate so that the NO 
indicated by the analyzer is about 10 percent less than indicated in 
paragraph (f) of this section. Record the concentration of NO in this 
NO+O2 mixture.
    (h) Switch the NOX generator to the generation mode and 
adjust the generation rate so that the NO measured on the analyzer is 20 
percent of that measured in paragraph (f) of this section. There must be 
at least 10 percent unreacted NO at this point. Record the concentration 
of residual NO.
    (i) Switch the oxides of nitrogen analyzer to the NOX 
mode and measure total NOX. Record this value.
    (j) Switch off the NOX generator but maintain gas flow 
through the system. The oxides of nitrogen analyzer will indicate the 
NOX in the NO+O2 mixture. Record this value.
    (k) Turn off the NOX generator O2 (or air) 
supply. The analyzer will now indicate the NOX in the 
original NO-in-N2 mixture. This value should be no more than 
5 percent above the value indicated in paragraph (f) of this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998]



Sec. 89.318  Analyzer interference checks.

    (a) Gases present in the exhaust other than the one being analyzed 
can interfere with the reading in several ways. Positive interference 
occurs in NDIR and PMD instruments when the interfering gas gives the 
same effect as the gas being measured, but to a lesser degree. Negative 
interference occurs in NDIR instruments by the interfering gas 
broadening the absorption band of the measured gas and in CLD 
instruments by the interfering gas quenching the radiation. The 
interference checks described in this section are to be made initially 
and after any major repairs that could affect analyzer performance.
    (b) CO analyzer water and CO2 interference checks. Prior 
to its introduction into service and annually thereafter, the NDIR 
carbon monoxide analyzer shall be checked for response to water vapor 
and CO2:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance on the most 
sensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (3) Bubble a mixture of 3 percent CO2 in N2 
through water at room temperature and record analyzer response.
    (4) An analyzer response of more than 1 percent of full scale for 
ranges above 300 ppm full scale or more than 3 ppm on ranges below 300 
ppm full scale requires corrective action. (Use of conditioning columns 
is one form of corrective action which may be taken.)
    (c) NOX analyzer quench check. The two gases of concern 
for CLD (and HCLD) analyzers are CO2 and water vapor. Quench 
responses to these two gases are proportional to their concentrations 
and, therefore, require test techniques to determine quench at the 
highest expected concentrations experienced during testing.
    (1) NOX analyzer CO2 quench check. A 
CO2 span gas having a concentration of 80 percent to 100 
percent of full scale of the maximum operating range used during testing 
shall be passed through the CO2 NDIR analyzer and the value 
recorded as a. It is diluted approximately 50 percent with NO span gas 
and then passed through the CO2 NDIR and CLD (or HCLD), with 
the CO2 and NO values recorded as b and c respectively. The 
CO2 shall then be shut off

[[Page 85]]

and only the NO span gas passed through the CLD (or HCLD) and the NO 
value recorded as d. Percent CO2 quench shall be calculated 
as follows and shall not exceed 3 percent:
[GRAPHIC] [TIFF OMITTED] TR17JN94.001

Where:

a = Undiluted CO2 concentration (percent)
b = Diluted CO2 concentration (percent)
c = Diluted NO concentration (ppm)
d = Undiluted NO concentration (ppm)

    (2) NOX analyzer water quench check. (i) This check 
applies to wet measurements only. An NO span gas having a concentration 
of 80 to 100 percent of full scale of a normal operating range shall be 
passed through the CLD (or HCLD) and the response recorded as D. The NO 
span gas shall then be bubbled through water at room temperature and 
passed through the CLD (or HCLD) and the analyzer response recorded as 
AR. Determine and record the bubbler absolute operating pressure and the 
bubbler water temperature. (It is important that the NO span gas 
contains minimal NO2 concentration for this check. No 
allowance for absorption of NO2 in water has been made in the 
following quench calculations. This test may be optionally run in the NO 
mode to minimize the effect of any NO2 in the NO span gas.)
    (ii) Calculations for water quench must consider dilution of the NO 
span gas with water vapor and scaling of the water vapor concentration 
of the mixture to that expected during testing. Determine the mixture's 
saturated vapor pressure (designated as Pwb) that corresponds to the 
bubbler water temperature. Calculate the water concentration (Z1, 
percent) in the mixture by the following equation:

[GRAPHIC] [TIFF OMITTED] TR17JN94.002

where

GP = analyzer operating pressure (Pa)

    (iii) Calculate the expected dilute NO span gas and water vapor 
mixture concentration (designated as D1) by the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.003

    (iv)(A) The maximum raw or dilute exhaust water vapor concentration 
expected during testing (designated as Wm) can be estimated from the 
CO2 span gas (or as defined in the equation in this paragraph 
and designated as A) criteria in paragraph (c)(1) of this section and 
the assumption of a fuel atom H/C ratio of 1.8:1 as:

Wm(%)=0.9xA(%)

Where:

A = maximum CO2 concentration expected in the sample system during 
testing.

    (B) Percent water quench shall not exceed 3 percent and shall be 
calculated by:
[GRAPHIC] [TIFF OMITTED] TR23OC98.003


[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998; 63 FR 58101, Oct. 29, 1998]



Sec. 89.319  Hydrocarbon analyzer calibration.

    (a) The FID hydrocarbon analyzer shall receive the initial and 
periodic calibration as described in this section.

[[Page 86]]

The HFID used with petroleum-fueled diesel (compression-ignition) 
engines shall be operated to a set point 5.5  deg.C between 
185 and 197  deg.C.
    (b) Initial and periodic optimization of detector response. Prior to 
introduction into service and at least annually thereafter, adjust the 
FID hydrocarbon analyzer for optimum hydrocarbon response as specified 
in this paragraph. Alternate methods yielding equivalent results may be 
used, if approved in advance by the Administrator.
    (1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see 
Sec. 89.312(e)) and zero-grade air.
    (2) Optimize the FID's response on the most common operating range. 
The response is to be optimized with respect to fuel pressure or flow. 
Efforts shall be made to minimize response variations to different 
hydrocarbon species that are expected to be in the exhaust. Good 
engineering judgment is to be used to trade off optimal FID response to 
propane-in-air against reductions in relative responses to other 
hydrocarbons. A good example of trading off response on propane for 
relative responses to other hydrocarbon species is given in Society of 
Automotive Engineers (SAE) Paper No. 770141, ``Optimization of Flame 
Ionization Detector for Determination of Hydrocarbon in Diluted 
Automotive Exhausts''; author Glenn D. Reschke. It is also required that 
the response be set to optimum condition with respect to air flow and 
sample flow. Heated Flame Ionization Detectors (HFIDs) must be at their 
specified operating temperature. One of the following procedures is 
required for FID or HFID optimization:
    (i) The procedure outlined in Society of Automotive Engineers (SAE) 
paper No. 770141, ``Optimization of a Flame Ionization Detector for 
Determination of Hydrocarbon in Diluted Automotive Exhausts''; author, 
Glenn D. Reschke. This procedure has been incorporated by reference at 
Sec. 89.6.
    (ii) The HFID optimization procedures outlined in 40 CFR part 86, 
subpart D.
    (iii) Alternative procedures may be used if approved in advance by 
the Administrator.
    (iv) The procedures specified by the manufacturer of the FID or 
HFID.
    (3) After the optimum flow rates have been determined, record them 
for future reference.
    (c) Initial and periodic calibration. Prior to introduction into 
service, after any maintenance which could alter calibration, and 
monthly thereafter, the FID or HFID hydrocarbon analyzer shall be 
calibrated on all normally used instrument ranges using the steps in 
this paragraph (c). Use the same flow rate and pressures as when 
analyzing samples. Calibration gases shall be introduced directly at the 
analyzer, unless the ``overflow'' calibration option of 40 CFR part 86, 
subpart N, for the HFID is taken. New calibration curves need not be 
generated each month if the existing curve can be verified as continuing 
to meet the requirements of paragraph (c)(3) of this section.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with zero-grade air.
    (3) Calibrate on each used operating range with propane-in-air 
(dilute or raw) or propane-in-nitrogen (raw) calibration gases having 
nominal concentrations starting between 10-15 percent and increasing in 
at least six incremental steps to 90 percent (e.g., 15, 30, 45, 60, 75, 
and 90 percent of that range) of that range. The incremental steps are 
to be spaced to represent good engineering practice. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is 2 percent or less of the value at each data point, concentration 
values may be calculated by use of a single calibration factor for that 
range. If the deviation exceeds 2 percent at each non-zero data point 
and within 0.3 percent of full scale on the zero, the best-
fit non-linear equation which represents the data to within these limits 
shall be used to determine concentration.
    (d) Oxygen interference optimization (required for raw). Choose a 
range where the oxygen interference check gases will fall in the upper 
50 percent. Conduct the test, as outlined in this paragraph, with the 
oven temperature set as required by the instrument manufacturer. Oxygen 
interference check

[[Page 87]]

gas specifications are found in Sec. 89.312(d).
    (1) Zero the analyzer.
    (2) Span the analyzer with the 21% oxygen interference gas specified 
in Sec. 89.312(d).
    (3) Recheck zero response. If it has changed more than 0.5 percent 
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to 
correct problem.
    (4) Introduce the 5 percent and 10 percent oxygen interference check 
gases.
    (5) Recheck the zero response. If it has changed more 1 
percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (designated as 
percent O2I) for each mixture in paragraph (d)(4) of this 
section.

percent O2I = ((B-C) x 100)/B

Where:
A = hydrocarbon concentration (ppmC) of the span gas used in paragraph 
(d)(2) of this section.
B = hydrocarbon concentration (ppmC) of the oxygen interference check 
gases used in paragraph (d)(4) of this section.
C = analyzer response (ppmC) = A/D; where
D = (percent of full-scale analyzer response due to A) x (percent of 
full-scale analyzer response due to B)

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998]



Sec. 89.320  Carbon monoxide analyzer calibration.

    (a) Calibrate the NDIR carbon monoxide as described in this section.
    (b) Initial and periodic interference check. Prior to its 
introduction into service and annually thereafter, the NDIR carbon 
monoxide analyzer shall be checked for response to water vapor and 
CO2 in accordance with Sec. 318.96(b).
    (c) Initial and periodic calibration. Prior to its introduction into 
service, after any maintenance which could alter calibration, and every 
two months thereafter, the NDIR carbon monoxide analyzer shall be 
calibrated. New calibration curves need not be generated every two 
months if the existing curve can be verified as continuing to meet the 
requirements of paragraph (c)(3) of this section.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations starting 
between 10 and 15 percent and increasing in at least six incremental 
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that 
range. The incremental steps are to be spaced to represent good 
engineering practice. For each range calibrated, if the deviation from a 
least-squares best-fit straight line is 2 percent or less of the value 
at each non-zero data point and within  0.3 percent of full 
scale on the zero, concentration values may be calculated by use of a 
single calibration factor for that range. If the deviation exceeds these 
limits, the best-fit non-linear equation which represents the data to 
within these limits shall be used to determine concentration.
    (d) The initial and periodic interference, system check, and 
calibration test procedures specified in part 86, subpart D of this 
chapter may be used in lieu of the procedures specified in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57012, Oct. 23, 1998]



Sec. 89.321  Oxides of nitrogen analyzer calibration.

    (a) The chemiluminescent oxides of nitrogen analyzer shall receive 
the initial and periodic calibration described in this section.
    (b) Prior to its introduction into service, and monthly thereafter, 
the chemiluminescent oxides of nitrogen analyzer is checked for 
NO2 to NO converter efficiency according to Sec. 89.317.
    (c) Initial and periodic calibration. Prior to its introduction into 
service, after any maintenance which could alter calibration, and 
monthly thereafter, the chemiluminescent oxides of nitrogen analyzer 
shall be calibrated on all normally used instrument ranges. New 
calibration curves need not be generated each month if the existing 
curve can be verified as continuing to meet the requirements of 
paragraph (c)(3) of this section. Use the same flow rate as when 
analyzing samples. Proceed as follows:

[[Page 88]]

    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations starting at 
between 10 and 15 percent and increasing in at least six incremental 
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that 
range. The incremental steps are to be spaced to represent good 
engineering practice. For each range calibrated, if the deviation from a 
least-squares best-fit straight line is 2 percent or less of the value 
at each non-zero data point and within  0.3 percent of full 
scale on the zero, concentration values may be calculated by use of a 
single calibration factor for that range. If the deviation exceeds these 
limits, the best-fit non-linear equation which represents the data to 
within these limits shall be used to determine concentration.
    (d) The initial and periodic interference, system check, and 
calibration test procedures specified in part 86, subpart D of this 
chapter may be used in lieu of the procedures specified in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57012, Oct. 23, 1998]



Sec. 89.322  Carbon dioxide analyzer calibration.

    (a) Prior to its introduction into service, after any maintenance 
which could alter calibration, and bi-monthly thereafter, the NDIR 
carbon dioxide analyzer shall be calibrated on all normally used 
instrument ranges. New calibration curves need not be generated each 
month if the existing curve can be verified as continuing to meet the 
requirements of paragraph (a)(3) of this section. Proceed as follows:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
dioxide-in-N2 calibration or span gases having nominal 
concentrations starting between 10 and 15 percent and increasing in at 
least six incremental steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 
90 percent) of that range. The incremental steps are to be spaced to 
represent good engineering practice. For each range calibrated, if the 
deviation from a least-squares best-fit straight line is 2 percent or 
less of the value at each non-zero data point and within  
0.3 percent of full scale on the zero, concentration values may be 
calculated by use of a single calibration factor for that range. If the 
deviation exceeds these limits, the best-fit non-linear equation which 
represents the data to within these limits shall be used to determine 
concentration.
    (b) The initial and periodic interference, system check, and 
calibration test procedures specified in part 86, subpart D of this 
chapter may be used in lieu of the procedures in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57012, Oct. 23, 1998]



Sec. 89.323  NDIR analyzer calibration.

    (a) Detector optimization. If necessary, follow the instrument 
manufacturer's instructions for initial start-up and basic operating 
adjustments.
    (b) Calibration curve. Develop a calibration curve for each range 
used as follows:
    (1) Zero the analyzer.
    (2) Span the analyzer to give a response of approximately 90 percent 
of full-scale chart deflection.
    (3) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat the steps given in paragraphs (b)(1) and 
(b)(2) of this section.
    (4) Record the response of calibration gases having nominal 
concentrations starting between 10 and 15 percent and increasing in at 
least six incremental steps to 90 percent of that range. The incremental 
steps are to be spaced to represent good engineering practice.
    (5) Generate a calibration curve. The calibration curve shall be of 
fourth order or less, have five or fewer coefficients. If any range is 
within 2 percent of being linear a linear calibration may be used. 
Include zero as a data point. Compensation for known impurities in the 
zero gas can be made to the zero-

[[Page 89]]

data point. The calibration curve must fit the data points within 2 
percent of point.
    (6) Optional. A new calibration curve need not be generated if:
    (i) A calibration curve conforming to paragraph (b)(5) of this 
section exists; or
    (ii) The responses generated in paragraph (b)(4) of this section are 
within 1 percent of full scale or 2 percent of point, whichever is less, 
of the responses predicted by the calibration curve for the gases used 
in paragraph (b)(4) of this section.
    (7) If multiple range analyzers are used, the lowest range used must 
meet the curve fit requirements below 15 percent of full scale.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.324  Calibration of other equipment.

    (a) Other test equipment used for testing shall be calibrated as 
often as required by the instrument manufacturer or necessary according 
to good practice.
    (b) If a methane analyzer is used, the methane analyzer shall be 
calibrated prior to introduction into service and monthly thereafter:
    (1) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance.
    (2) Zero the methane analyzer with zero-grade air.
    (3) Calibrate on each normally used operating range with 
CH4 in air with nominal concentrations starting between 10 
and 15 percent and increasing in at least six incremental steps to 90 
percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that range. The 
incremental steps are to be spaced to represent good engineering 
practice. For each range calibrated, if the deviation from a least-
squares best-fit straight line is 2 percent or less of the value at each 
non-zero data point and within  0.3 percent of full scale on 
the zero, concentration values may be calculated by use of a single 
calibration factor for that range. If the deviation exceeds these 
limits, the best-fit non-linear equation which represents the data to 
within these limits shall be used to determine concentration.

[63 FR 57013, Oct. 23, 1998]



Sec. 89.325  Engine intake air temperature measurement.

    (a) Engine intake air temperature measurement must be made within 
122 cm of the engine. The measurement location must be made either in 
the supply system or in the air stream entering the supply system.
    (b) The temperature measurements shall be accurate to within 
2  deg.C.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.326  Engine intake air humidity measurement.

    (a) Humidity conditioned air supply. Air that has had its absolute 
humidity altered is considered humidity- conditioned air. For this type 
of intake air supply, the humidity measurements must be made within the 
intake air supply system and after the humidity conditioning has taken 
place.
    (b) Nonconditioned air supply procedure. Humidity measurements in 
nonconditioned intake air supply systems must be made in the intake air 
stream entering the supply system. Alternatively, the humidity 
measurements can be measured within the intake air supply stream.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.327  Charge cooling.

    For engines with an air-to-air intercooler (or any other low 
temperature charge air cooling device) between the turbocharger 
compressor and the intake manifold, follow SAE J1937. This procedure has 
been incorporated by reference. See Sec. 89.6. The temperature of the 
cooling medium and the temperature of the charge air shall be monitored 
and recorded.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.328  Inlet and exhaust restrictions.

    (a) The manufacturer is liable for emission compliance over the full 
range of restrictions that are specified by the manufacturer for that 
particular engine.

[[Page 90]]

    (b) Perform testing at the following inlet and exhaust restriction 
settings.
    (1) Equip the test engine with an air inlet system presenting an air 
inlet restriction within 5 percent of the upper limit at maximum air 
flow, as specified by the engine manufacturer for a clean air cleaner. A 
system representative of the installed engine may be used. In other 
cases a test shop system may be used.
    (2) The exhaust backpressure must be within 5 percent of the upper 
limit at maximum declared power, as specified by the engine 
manufacturer. A system representative of the installed engine may be 
used. In other cases a test shop system may be used.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57013, Oct. 23, 1998]



Sec. 89.329  Engine cooling system.

    An engine cooling system is required with sufficient capacity to 
maintain the engine at normal operating temperatures as prescribed by 
the engine manufacturer.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.330  Lubricating oil and test fuels.

    (a) Lubricating oil. Use the engine lubricating oil for testing that 
meets the requirements as specified by the manufacturer for a particular 
engine and intended usage. Record the specifications of the lubricating 
oil used for the test.
    (b) Test fuels. (1) Use diesel fuels for testing which are clean and 
bright, with pour and cloud points adequate for operability. The diesel 
fuel may contain nonmetallic additives as follows: Cetane improver, 
metal deactivator, antioxidant, dehazer, antirust, pour depressant, dye, 
dispersant, and biocide.
    (2) Use petroleum fuel meeting the specifications in Table 4 in 
Appendix A of this subpart, or substantially equivalent specifications 
approved by the Administrator, for exhaust emission testing. The grade 
of diesel fuel used must be commercially designated as ``Type 2-D'' 
grade diesel fuel and recommended by the engine manufacturer.
    (3) Testing of Tier 1 engines rated under 37 kW or Tier 2 engines 
rated at or above 37 kW that is conducted by the Administrator shall be 
performed using test fuels that meet the specifications in Table 4 in 
Appendix A of this subpart and that have a sulfur content no higher than 
0.20 weight percent.
    (c) Other fuels may be used for testing provided they meet the 
following qualifications:
    (1) They are commercially available;
    (2) Information acceptable to the Administrator is provided to show 
that only the designated fuel would be used in customer service;
    (3) Use of a fuel listed under paragraph (b) of this section would 
have a detrimental effect on emissions or durability; and
    (4) Fuel specifications are approved in writing by the Administrator 
prior to the start of testing.
    (d) Report the specification range of the fuel to be used under 
paragraphs (b)(2) and (c)(1) through (c)(4) of this section in the 
application for certification in accordance with Sec. 89.115 (a)(8).

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57013, Oct. 23, 1998]



Sec. 89.331  Test conditions.

    (a) General requirements. Calculate all volumes and volumetric flow 
rates at standard conditions for temperature and pressure (0  deg.C and 
101.3 kPa), and these conditions must be used consistently throughout 
all calculations.
    (b) Engine test conditions. Measure the absolute temperature 
(designated as T and expressed in Kelvin) of the engine air at the inlet 
to the engine, and the dry atmospheric pressure (designated as p and 
expressed in kPa), and determine the parameter f according to the 
following provisions:
    (1) Naturally aspirated and mechanically supercharged engines:
    [GRAPHIC] [TIFF OMITTED] TR17JN94.008
    
    (2) Turbocharged engine with or without cooling of inlet air:
    [GRAPHIC] [TIFF OMITTED] TR17JN94.009
    

[[Page 91]]


    (c) For a test to be recognized as valid, the parameter f shall be 
between the limits as shown below:
[GRAPHIC] [TIFF OMITTED] TR17JN94.010


[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]

               Appendix A to Subpart D of Part 89--Tables

                Table 1--Abbreviations Used in Subpart D
CLD...............................  Chemiluminescent detector.
CO................................  Carbon monoxide.
CO2...............................  Carbon dioxide.
HC................................  Hydrocarbons.
HCLD..............................  Heated chemiluminescent detector.
HFID..............................  Heated flame ionization detector.
GC................................  Gas chromatograph.
NDIR..............................  Non-dispersive infra-red analyzer.
NIST..............................  National Institute for Standards and
                                     Testing.
NO................................  Nitric Oxide.
NO2...............................  Nitrogen Dioxide.
NOX...............................  Oxides of nitrogen.
O2................................  Oxygen.


                Table 2--Symbols Used in Subparts D and E
------------------------------------------------------------------------
    Symbol                         Term                         Unit
------------------------------------------------------------------------
conc.........  Concentration (ppm by volume)..............  ppm
f............  Engine specific parameter considering
                atmospheric conditions
FFCB.........  Fuel specific factor for the carbon balance
                calculation
FFD..........  Fuel specific factor for exhaust flow
                calculation on dry basis
FFH..........  Fuel specific factor representing the
                hydrogen to carbon ratio
FFW..........  Fuel specific factor for exhaust flow
                calculation on wet basis
FR...........  Rate of fuel consumed......................  g/h
GAIRW........  Intake air mass flow rate on wet basis.....  kg/h
GAIRD........  Intake air mass flow rate on dry basis.....  kg/h
GEXHW........  Exhaust gas mass flow rate on wet basis....  kg/h
GFuel........  Fuel mass flow rate........................  kg/h
H............  Absolute humidity (water content related to  g/kg
                dry air).
i............  Subscript denoting an individual mode
KH...........  Humidity correction factor
L............  Percent torque related to maximum torque     %
                for the test mode.
mass.........  Pollutant mass flow........................  g/h
nd,i.........  Engine speed (average at the i'th mode       1/min
                during the cycle).
Ps...........  Dry atmospheric pressure...................  kPa
Pd...........  Test ambient saturation vapor pressure at    kPa
                ambient temperature.
P............  Observed brake power output uncorrected....  kW
PAUX.........  Declared total power absorbed by             kW
                auxiliaries fitted for the test.
PM...........  Maximum power measured at the test speed     kW
                under test conditions.
Pi...........  Pi = PM,i + PAUX,i
PB...........  Total barometric pressure (average of the    kPa
                pre-test and post-test values).
Pv...........  Saturation pressure at dew point             kPa
                temperature.
Ra...........  Relative humidity of the ambient air.......  %
S............  Dynamometer setting........................  kW
T............  Absolute temperature at air inlet..........  K
Tbe..........  Air temperature after the charge air cooler  K
                (if applicable) (average).
Tclout.......  Coolant temperature outlet (average).......  K
TDd..........  Absolute dewpoint temperature..............  K
Td,i.........  Torque (average at the i'th mode during the  N-m
                cycle).
TSC..........  Temperature of the intercooled air.........  K
Tref.........  Reference temperature......................  K
VEXHD........  Exhaust gas volume flow rate on dry basis..  m3/h
VAIRW........  Intake air volume flow rate on wet basis...  m3/h
PB...........  Total barometric pressure..................  kPa
VEXHW........  Exhaust gas volume flow rate on wet basis..  m3/h
WF...........  Weighing factor
WFE..........  Effective weighing factor
------------------------------------------------------------------------


         Table 3--Measurement Accuracy and Calibration Frequency
------------------------------------------------------------------------
                                    Calibration          Calibration
No.             Item                 accuracy 1           frequency
------------------------------------------------------------------------
  1  Engine speed.............   2%....  30 days.
  2  Torque...................  Larger of  2% of point
                                 or  1%
                                 of engine maximum.
  3  Fuel consumption (raw       2% of   30 days.
      measurement).              engine maximum.
  4  Air consumption (raw        2% of   As required.
      measurement).              engine maximum.
  5  Coolant temperature......  2 deg.K  As required.
  6  Lubricant temperature....  2 deg.K  As required.
  7  Exhaust backpressure.....   1.0%    As required.
                                 of engine maximum.

[[Page 92]]

 
  8  Inlet depression.........  1.0% of engine       As required.
                                 maximum.
  9  Exhaust gas temperature..  15 deg.  As required.
                                 K.
 10  Air inlet temperature      2 deg.K  As required.
      (combustion air).
 11  Atmospheric pressure.....   0.5%..  As required.
 12  Humidity (combustion air)   0.5...  As required.
      (g of H2O/Kg of dry air).
 13  Fuel temperature.........  2 deg.K  As required.
 14  Temperature with regard    2 deg.K  As required.
      to dilution tunnel.
 15  Dilution air humidity (g    0.5...  As required.
      of H2O/Kg of dry air).
 16  HC analyzer..............   2%....  Monthly or as
                                                      required.
 17  CO analyzer..............   2%....  Once per 60 days or
                                                      as required.
 18  NOX analyzer.............   2%....  Monthly or as
                                                      required.
 19  Methane analyzer.........   2%....  Monthly or as
                                                      required.
 20  NOX converter efficiency   90%................  Monthly.
      check.
 21  CO2 analyzer.............   2%....  Once per 60 days or
                                                      as required.
------------------------------------------------------------------------
\1\ All accuracy requirements pertain to the final recorded value which
  is inclusive of the data acquisition system.


                                    Table 4--Federal Test Fuel Specifications
----------------------------------------------------------------------------------------------------------------
               Item                                   Procedure (ASTM) \1\                     Value (type 2-D)
----------------------------------------------------------------------------------------------------------------
Cetane............................  D613-95.................................................  40-48
Distillation Range:
    IBP,  deg.C...................  D86-97..................................................  171-204
    10% point,  deg.C.............  86-97...................................................  204-238
    50% point,  deg.C.............  86-97...................................................  243-282
    90% point,  deg.C.............  86-97...................................................  293-332
    EP,  deg.C....................  86-97...................................................  321-366
    Gravity, API..................  D287-92.................................................  32-37
Total Sulfur, %mass...............  D129-95 or D2622-98.....................................  0.03--0.40
Hydrocarbon composition:
    Aromatics, %vol...............  D1319-98 or D5186-96....................................  \2\ 10
Paraffins, Naphthenes, Olefins....  D1319-98................................................  (\3\)
Flashpoint,  deg.C (minimum)......  D93-97..................................................  54
Viscosity @ 38 deg.C, Centistokes.  D445-97.................................................  2.0-3.2
----------------------------------------------------------------------------------------------------------------
\1\ All ASTM procedures in this table have been incorporated by reference. See Sec.  89.6.
\2\ Minimum.
\3\ Remainder.


[63 FR 57013, Oct. 23, 1998]

[[Page 93]]

               Appendix B to Subpart D of Part 89--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.000


[[Page 94]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.001



               Subpart E--Exhaust Emission Test Procedures



Sec. 89.401  Scope; applicability.

    (a) This subpart describes the procedures to follow in order to 
perform exhaust emission tests on new nonroad compression-ignition 
engines subject to the provisions of subpart B of this part.
    (b) Exhaust gases, either raw or dilute, are sampled while the test 
engine is operated using the appropriate test cycle on an engine 
dynamometer. The

[[Page 95]]

exhaust gases receive specific component analysis determining 
concentration of pollutant, exhaust volume, the fuel flow (raw 
analysis), and the power output during each mode. Emissions are reported 
as grams per kilowatt hour (g/kW-hr).
    (c) Requirements for emission test equipment and calibrating this 
equipment are found in subpart D of this part.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57015, Oct. 23, 1998]



Sec. 89.402  Definitions.

    The definitions in subpart A of this part apply to this subpart. For 
terms not defined in this part, the definitions in 40 CFR part 86, 
subparts A, D, I, and N, apply to this subpart.

[63 FR 57015, Oct. 23, 1998]



Sec. 89.403  Symbols/abbreviations.

    (a) The abbreviations in Sec. 86.094-3 or Sec. 89.3 of this chapter 
apply to this subpart.
    (b) The abbreviations in Table 1 in appendix A to subpart D also 
apply to this subpart. Some abbreviations from Sec. 89.3 have been 
included for the convenience of the reader.
    (c) The symbols in Table 2 in appendix A to subpart D apply to this 
subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.404  Test procedure overview.

    (a) The test consists of prescribed sequences of engine operating 
conditions to be conducted on an engine dynamometer. The exhaust gases, 
generated raw or dilute during engine operation, are sampled for 
specific component analysis through the analytical train. The test is 
applicable to engines equipped with catalytic or direct-flame 
afterburners, induction system modifications, or other systems, or to 
uncontrolled engines.
    (b) The test is designed to determine the brake-specific emissions 
of hydrocarbons, carbon monoxide, oxides of nitrogen, and particulate 
matter. For more information on particulate matter sampling see 
Sec. 89.112(c). The test cycles consist of various steady-state 
operating modes that include different combinations of engine speeds and 
loads. These procedures require the determination of the concentration 
of each pollutant, exhaust volume, the fuel flow (raw analysis), and the 
power output during each mode. The measured values are weighted and used 
to calculate the grams of each pollutant emitted per kilowatt hour (g/
kW-hr).
    (c)(1) When an engine is tested for exhaust emissions, the complete 
engine shall be tested with all emission control devices installed and 
functioning.
    (2) On air-cooled engines, the fan shall be installed.
    (3) Additional accessories (for example, oil cooler, alternators, or 
air compressors) may be installed but such accessory loading will be 
considered parasitic in nature and observed power shall be used in the 
emission calculation.
    (d) All emission control systems installed on or incorporated in the 
application must be functioning during all procedures in this subpart. 
In cases of component malfunction or failure, maintenance to correct 
component failure or malfunction must be authorized in accordance with 
Sec. 86.094-25 of this chapter.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57015, Oct. 23, 1998]



Sec. 89.405  Recorded information.

    (a) The information described in this section must be recorded, 
where applicable, for each test.
    (b) Engine description and specification. A copy of the information 
specified in this paragraph must accompany each engine sent to the 
Administrator for compliance testing. The manufacturer need not record 
the information specified in this paragraph for each test if the 
information, with the exception of paragraphs (b)(3) and (b)(9) of this 
section, is included in the manufacturer's application for 
certification.
    (1) Engine-system combination.
    (2) Engine identification numbers.
    (3) Number of hours of operation accumulated on engine.
    (4) Rated maximum horsepower and torque.
    (5) Maximum horsepower and torque speeds.
    (6) Engine displacement.
    (7) Governed speed.

[[Page 96]]

    (8) Idle rpm.
    (9) Fuel consumption at maximum power and torque.
    (10) Maximum air flow.
    (11) Air inlet restriction.
    (12) Exhaust pipe diameter(s).
    (13) Maximum exhaust system backpressure.
    (c) Test data; general.
    (1) Engine-system combination.
    (2) Engine identification number.
    (3) Instrument operator.
    (4) Engine operator.
    (5) Number of hours of operation accumulated on the engine prior to 
beginning the warm-up portion of the test.
    (6) Fuel identification.
    (7) Date of most recent analytical assembly calibration.
    (8) All pertinent instrument information such as tuning, gain, 
serial numbers, detector number, and calibration curve numbers. As long 
as this information is available for inspection by the Administrator, it 
may be summarized by system number or analyzer identification numbers.
    (d) Test data; pre-test.
    (1) Date and time of day.
    (2) Test number.
    (3) Intermediate speed and rated speed as defined in Sec. 89.2 and 
maximum observed torque for these speeds.
    (4) Recorder chart or equivalent. Identify the zero traces for each 
range used, and span traces for each range used.
    (5) Air temperature after and pressure drop across the charge air 
cooler (if applicable) at maximum observed torque and rated speed.
    (e) Test data; modal.
    (1) Recorder chart or equivalent. Identify for each test mode the 
emission concentration traces and the associated analyzer range(s). 
Identify the start and finish of each test.
    (2) Observed engine torque.
    (3) Observed engine rpm.
    (4) Record engine torque and engine rpm continuously during each 
mode with a chart recorder or equivalent recording device.
    (5) Intake air flow (for raw mass flow sampling method only) and 
depression for each mode.
    (6) Engine intake air temperature at the engine intake or 
turbocharger inlet for each mode.
    (7) Mass fuel flow (for raw sampling) for each mode.
    (8) Engine intake humidity.
    (9) Coolant temperature outlet.
    (10) Engine fuel inlet temperature at the pump inlet.
    (f) Test data; post-test.
    (1) Recorder chart or equivalent. Identify the zero traces for each 
range used and the span traces for each range used. Identify hangup 
check, if performed.
    (2) Total number of hours of operation accumulated on the engine.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57015, Oct. 23, 1998]



Sec. 89.406  Pre-test procedures.

    (a) Allow a minimum of 30 minutes warmup in the standby or operating 
mode prior to spanning the analyzers.
    (b) Replace or clean the filter elements and then vacuum leak check 
the system per Sec. 89.316(a). Allow the heated sample line, filters, 
and pumps to reach operating temperature.
    (c) Perform the following system checks:
    (1) Check the sample-line temperatures (see Sec. 89.309(a)(4)(ii) 
and (a)(5)(i)(A)).
    (2) Check that the system response time has been accounted for prior 
to sample collection data recording.
    (3) A hang-up check is permitted, but is optional.
    (d) Check analyzer zero and span at a minimum before and after each 
test. Further, check analyzer zero and span any time a range change is 
made or at the maximum demonstrated time span for stability for each 
analyzer used.
    (e) Check system flow rates and pressures.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57015, Oct. 23, 1998]



Sec. 89.407  Engine dynamometer test run.

    (a) Measure and record the temperature of the air supplied to the 
engine, the fuel temperature, the intake air humidity, and the observed 
barometric pressure during the sampling for each mode. The fuel 
temperature shall be

[[Page 97]]

less than or equal to 43C during the sampling for each mode.
    (b) The governor and fuel system shall have been adjusted to provide 
engine performance at the levels reported in the application for 
certification required under Sec. 89.115.
    (c) The following steps are taken for each test:
    (1) Install instrumentation and sample probes as required.
    (2) Perform the pre-test procedure as specified in Sec. 89.406.
    (3) Read and record the general test data as specified in 
Sec. 89.405(c).
    (4) Start cooling system.
    (5) Precondition (warm up) the engine in the following manner:
    (i) For variable-speed engines:
    (A) Operate the engine at idle for 2 to 3 minutes;
    (B) Operate the engine at approximately 50 percent power at the peak 
torque speed for 5 to 7 minutes;
    (C) Operate the engine at rated speed and maximum horsepower for 25 
to 30 minutes;
    (ii) For constant-speed engines:
    (A) Operate the engine at minimum load for 2 to 3 minutes;
    (B) Operate the engine at 50 percent load for 5 to 7 minutes;
    (C) Operate the engine at maximum load for 25 to 30 minutes;
    (iii) Optional. It is permitted to precondition the engine at rated 
speed and maximum horsepower until the oil and water temperatures are 
stabilized. The temperatures are defined as stabilized if they are 
maintained within 2 percent of point on an absolute basis for 2 minutes. 
The engine must be operated a minimum of 10 minutes for this option. 
This optional procedure may be substituted for the procedure in 
paragraph (c)(5)(i)or (c)(5)(ii) of this section;
    (iv) Optional. If the engine has been operating on service 
accumulation for a minimum of 40 minutes, the service accumulation may 
be substituted for the procedure in paragraphs (c)(5)(i) through (iii) 
of this section.
    (6) Read and record all pre-test data specified in Sec. 89.405(d).
    (7) Start the test cycle (see Sec. 89.410) within 20 minutes of the 
end of the warmup. (See paragraph (c)(13) of this section.) A mode 
begins when the speed and load requirements are stabilized to within the 
requirements of Sec. 89.410(b). A mode ends when valid emission sampling 
for that mode ends. For a mode to be valid, the speed and load 
requirements must be maintained continuously during the mode. Sampling 
in the mode may be repeated until a valid sample is obtained as long the 
speed and torque requirements are met.
    (8) Calculate the torque for any mode with operation at rated speed.
    (9) During the first mode with intermediate speed operation, if 
applicable, calculate the torque corresponding to 75 and 50 percent of 
the maximum observed torque for the intermediate speed.
    (10) Record all modal data specified in Sec. 89.405(e) during a 
minimum of the last 60 seconds of each mode.
    (11) Record the analyzer(s) response to the exhaust gas during the a 
minimum of the last 60 seconds of each mode.
    (12) Test modes may be repeated, as long as the engine is 
preconditioned by running the previous mode. In the case of the first 
mode of any cycle, precondition according to paragraph (c)(5) of this 
section.
    (13) If a delay of more than 20 minutes, but less than 4 hours, 
occurs between the end of one mode and the beginning of another mode, 
precondition the engine by running the previous mode. If the delay 
exceeds 4 hours, the test shall include preconditioning (begin at 
paragraph (c)(2) of this section).
    (14) The speed and load points for each mode are listed in Tables 1 
through 4 of Appendix B of this subpart. The engine speed and load shall 
be maintained as specified in Sec. 89.410(b).
    (15) If at any time during a test mode, the test equipment 
malfunctions or the specifications in paragraph (c)(14) of this section 
are not met, the test mode is void and may be aborted. The test mode may 
be restarted by preconditioning with the previous mode.
    (16) Fuel flow and air flow during the idle load condition may be 
determined just prior to or immediately following the dynamometer 
sequence, if longer times are required for accurate measurements.

[[Page 98]]

    (d) Exhaust gas measurements. (1) Measure HC, CO, CO2, 
and NOX concentration in the exhaust sample.
    (2) Each analyzer range that may be used during a test mode must 
have the zero and span responses recorded prior to the execution of the 
test. Only the zero and span for the range(s) used to measure the 
emissions during the test are required to be recorded after the 
completion of the test.
    (3) It is permissible to change filter elements between test modes.
    (4) A leak check is permitted between test segments.
    (5) A hangup check is permitted between test segments.
    (6) If, during the emission measurement portion of a test segment, 
the value of the gauges downstream of the NDIR analyzer(s) G3 or G4 (see 
Figure 1 in appendix B to subpart D) differs by more than 
0.5 kPa from the pretest value, the test segment is void.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57015, Oct. 23, 1998]



Sec. 89.408  Post-test procedures.

    (a) A hangup check is recommended at the completion of the last test 
mode using the following procedure:
    (1) Within 30 seconds introduce a zero-grade gas or room air into 
the sample probe or valve V2 (see Figure 1 in appendix B to subpart D) 
to check the ``hangup zero'' response. Simultaneously start a time 
measurement.
    (2) Select the lowest HC range used during the test.
    (3) Within four minutes of beginning the time measurement in 
paragraph (a)(1) of this section, the difference between the span-zero 
response and the hangup zero response shall not be greater than 5.0 
percent of full scale or 10 ppmC whichever is greater.
    (b) Begin the analyzer span checks within 6 minutes after the 
completion of the last mode in the test. Record for each analyzer the 
zero and span response
    (c) If during the test, the filter element(s) were replaced or 
cleaned, a of Sec. 89.316(a), the test is void.
    (d) Record the post-test data specified in Sec. 89.405(f).
    (e) For a valid test, the zero and span checks performed before and 
after each test for each analyzer must meet the following requirements:
    (1) The span drift (defined as the change in the difference between 
the zero response and the span response) must not exceed 3 percent of 
full-scale chart deflection for each range used.
    (2) The zero response drift must not exceed 3 percent of full-scale 
chart deflection.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.409  Data logging.

    (a) A computer or any other automatic data processing device(s) may 
be used as long as the system meets the requirements of this subpart.
    (b) Determine from the data collection records the analyzer 
responses corresponding to the end of each mode.
    (c) Record data at a minimum of once every 5 seconds.
    (d) Determine the final value for CO2, CO, HC, and 
NOX concentrations by averaging the concentration of each 
point taken during the sample period for each mode.
    (e) For purposes of this section, calibration data includes 
calibration curves, linearity curves, span-gas responses, and zero-gas 
responses.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.410  Engine test cycle.

    (a) Emissions shall be measured using one of the test cycles 
specified in Tables 1 through 4 of Appendix B of this subpart, subject 
to the provisions of paragraphs (a)(1) through (a)(4) of this section. 
These cycles shall be used to test engines on a dynamometer.
    (1) The 8-mode test cycle described in Table 1 of Appendix B of this 
subpart shall be used for all engines, except constant speed engines, 
engines rated under 19 kW, and propulsion marine diesel engines.
    (2) The 5-mode test cycle described in Table 2 of Appendix B of this 
subpart shall be used for constant-speed engines as defined in 
Sec. 89.2. Any engine certified under this test cycle must meet the 
labeling requirements of Sec. 89.110(b)(11).
    (3) The 6-mode test cycle described in Table 3 of Appendix B of this 
subpart

[[Page 99]]

shall be used for variable speed engines rated under 19 kW.
    (4) Notwithstanding the provisions of paragraphs (a)(1) through 
(a)(3) of this section, the 4-mode test cycle described in Table 4 of 
Appendix B of this subpart shall be used for propulsion marine diesel 
engines.
    (5) Notwithstanding the provisions of paragraphs (a)(1) through 
(a)(4) of this section:
    (i) Manufacturers may use the 8-mode test cycle described in Table 1 
of Appendix B of this subpart for:
    (A) Constant speed engines, or variable speed engines rated under 19 
kW; or
    (B) Propulsion marine diesel engines, provided the propulsion marine 
diesel engines are certified in an engine family that includes primarily 
non-marine diesel engines, and the manufacturer obtains advance approval 
from the Administrator.
    (ii) The Administrator may use the 8-mode test cycle specified in 
Table 1 of Appendix B of this subpart during testing of any engine which 
was certified based on emission data collected from that test cycle.
    (b) During each non-idle mode, hold the specified load to within 2 
percent of the engine maximum value and speed to within 2 
percent of point. During each idle mode, speed must be held within the 
manufacturer's specifications for the engine, and the throttle must be 
in the fully closed position and torque must not exceed 5 percent of the 
peak torque value of mode 5.
    (c) For any mode except those involving either idle or full-load 
operation, if the operating conditions specified in paragraph (b) of 
this section cannot be maintained, the Administrator may authorize 
deviations from the specified load conditions. Such deviations shall not 
exceed 10 percent of the maximum torque at the test speed. The minimum 
deviations above and below the specified load necessary for stable 
operation shall be determined by the manufacturer and approved by the 
Administrator prior to the test run.
    (d) Power generated during the idle mode may not be included in the 
calculation of emission results.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.411  Exhaust sample procedure--gaseous components.

    (a) Automatic data collection equipment requirements. The analyzer 
response may be read by automatic data collection (ADC) equipment such 
as computers, data loggers, and so forth. If ADC equipment is used, the 
following is required:
    (1) For bag sample analysis, the analyzer response must be stable at 
greater than 99 percent of the final reading for the dilute exhaust 
sample bag. A single value representing the average chart deflection 
over a 10-second stabilized period shall be stored.
    (2) For continuous analysis systems, a single value representing the 
average integrated concentration over a cycle shall be stored.
    (3) The chart deflections or average integrated concentrations 
required in paragraphs (a)(1) and (a)(2) of this section may be stored 
on long-term computer storage devices such as computer tapes, storage 
discs, punch cards, and so forth, or they may be printed in a listing 
for storage. In either case a chart recorder is not required and records 
from a chart recorder, if they exist, need not be stored.
    (4) If ADC equipment is used to interpret analyzer values, the ADC 
equipment is subject to the calibration specifications of the analyzer 
as if the ADC equipment is part of analyzer system.
    (b) Data records from any one or a combination of analyzers may be 
stored as chart recorder records.
    (c) Bag sample analysis. For bag sample analysis perform the 
following sequence:
    (1) Warm up and stabilize the analyzers; clean and/or replace filter 
elements, conditioning columns (if used), and so forth, as necessary.
    (2) Obtain a stable zero reading.
    (3) Zero and span the analyzers with zero and span gases. The span 
gases must have concentrations between 75 and 100 percent of full-scale 
chart deflection. The flow rates and system pressures during spanning 
shall be approximately the same as those encountered during sampling. A 
sample bag may be used to identify the required analyzer range.
    (4) Recheck zero response. If this zero response differs from the 
zero response

[[Page 100]]

recorded in paragraph (c)(3) of this section by more than 1 percent of 
full scale, then paragraphs (c)(2), (c)(3), and (c)(4) of this section 
must be repeated.
    (5) If a chart recorder is used, identify and record the most recent 
zero and span response as the pre-analysis values.
    (6) If ADC equipment is used, electronically record the most recent 
zero and span response as the pre-analysis values.
    (7) Measure HC, CO, CO2, and NOX background 
concentrations in the sample bag(s) with approximately the same flow 
rates and pressures used in paragraph (c)(3) of this section. 
(Constituents measured continuously do not require bag analysis.)
    (8) A post-analysis zero and span check of each range must be 
performed and the values recorded. The number of events that may occur 
between the pre- and post-analysis checks is not specified. However, the 
difference between pre-analysis zero and span values (recorded in 
paragraph (c)(5) or (c)(6) of this section) versus those recorded for 
the post-analysis check may not exceed the zero drift limit or the span 
drift limit of 2 percent of full-scale chart deflection for any range 
used. Otherwise the test is void.
    (d) Continuous sample analysis. For continuous sample analysis 
perform the following sequence:
    (1) Warm up and stabilize the analyzers; clean and/or replace filter 
elements, conditioning columns (if used), and so forth, as necessary.
    (2) Leak check portions of the sampling system that operate at 
negative gauge pressures when sampling, and allow heated sample lines, 
filters, pumps, and so forth to stabilize at operating temperature.
    (3) Optional: Perform a hangup check for the HFID sampling system:
    (i) Zero the analyzer using zero air introduced at the analyzer 
port.
    (ii) Flow zero air through the overflow sampling system. Check the 
analyzer response.
    (iii) If the overflow zero response exceeds the analyzer zero 
response by 2 percent or more of the HFID full-scale deflection, hangup 
is indicated and corrective action must be taken.
    (iv) The complete system hangup check specified in paragraph (e) of 
this section is recommended as a periodic check.
    (4) Obtain a stable zero reading.
    (5) Zero and span each range to be used on each analyzer operated 
prior to the beginning of the test cycle. The span gases shall have a 
concentration between 75 and 100 percent of full-scale chart deflection. 
The flow rates and system pressures shall be approximately the same as 
those encountered during sampling. The HFID analyzer shall be zeroed and 
spanned either through the overflow sampling system or through the 
analyzer port.
    (6) Re-check zero response. If this zero response differs from the 
zero response recorded in paragraph (d)(5) of this section by more than 
1 percent of full scale, then paragraphs (d)(4), (d)(5), and (d)(6) of 
this section must be repeated.
    (7) If a chart recorder is used, identify and record the most recent 
zero and span response as the pre-analysis values.
    (8) If ADC equipment is used, electronically record the most recent 
zero and span response as the pre-analysis values.
    (9) Collect background HC, CO, CO2, and NOX in 
a sample bag (for dilute exhaust sampling only, see Sec. 89.420).
    (10) Perform a post-analysis zero and span check for each range used 
at the conditions specified in paragraph (d)(5) of this section. Record 
these responses as the post-analysis values.
    (11) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed 3 percent 
for HC, or 2 percent for NOX, CO, and CO2, of full 
scale chart deflection, or the test is void. (If the HC drift is greater 
than 3 percent of full-scale chart deflection, hydrocarbon hangup is 
likely.)
    (12) Determine background levels of NOX, CO, or 
CO2 (for dilute exhaust sampling only) by the bag sample 
technique outlined in paragraph (c) of this section.
    (e) Hydrocarbon hangup. If HC hangup is indicated, the following 
sequence may be performed:
    (1) Fill a clean sample bag with background air.

[[Page 101]]

    (2) Zero and span the HFID at the analyzer ports.
    (3) Analyze the background air sample bag through the analyzer 
ports.
    (4) Analyze the background air through the entire sample probe 
system.
    (5) If the difference between the readings obtained greater than or 
equal to 2 percent of full scale deflection, clean the sample probe and 
the sample line.
    (6) Reassemble the sample system, heat to specified temperature, and 
repeat the procedure in paragraphs (e)(1) through (e)(6) of this 
section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.412  Raw gaseous exhaust sampling and analytical system description.

    (a) Schematic drawing. An example of a sampling and analytical 
system which may be used for testing under this subpart is shown in 
Figure 1 in appendix B to subpart D. All components or parts of 
components that are wetted by the sample or corrosive calibration gases 
shall be either chemically cleaned stainless steel or inert material, 
for example, polytetrafluoroethylene resin. The use of ``gauge savers'' 
or ``protectors'' with nonreactive diaphragms to reduce dead volumes is 
permitted.
    (b) Sample probe. (1) The sample probe shall be a straight, closed-
end, stainless steel, multi-hole probe. The inside diameter shall not be 
greater than the inside diameter of the sample line plus 0.03 cm. The 
wall thickness of the probe shall not be greater than 0.10 cm. The 
fitting that attaches the probe to the exhaust pipe shall be as small as 
practical in order to minimize heat loss from the probe.
    (2) The probe shall have a minimum of three holes. The spacing of 
the radial planes for each hole in the probe must be such that they 
cover approximately equal cross-sectional areas of the exhaust duct. See 
Figure 1 in appendix A to this subpart. The angular spacing of the holes 
must be approximately equal. The angular spacing of any two holes in one 
plane may not be 180 deg. 20 deg. (that is, section view C-C 
of Figure 1 in appendix A to this subpart). The holes should be sized 
such that each has approximately the same flow. If only three holes are 
used, they may not all be in the same radial plane.
    (3) The probe shall extend radially across the exhaust duct. The 
probe must pass through the approximate center and must extend across at 
least 80 percent of the diameter of the duct.
    (c) Sample transfer line. (1) The maximum inside diameter of the 
sample line shall not exceed 1.32 cm.
    (2) If valve V2 is used, the sample probe must connect directly to 
valve V2. The location of optional valve V2 may not be greater than 1.22 
m from the exhaust duct.
    (3) The location of optional valve V16 may not be greater than 61 cm 
from the sample pump.
    (d) Venting. All vents, including analyzer vents, bypass flow, and 
pressure relief vents of regulators, should be vented in such a manner 
to avoid endangering personnel in the immediate area.
    (e) Any variation from the specifications in this subpart including 
performance specifications and emission detection methods may be used 
only with prior approval by the Administrator.
    (f) Additional components, such as instruments, valves, solenoids, 
pumps, switches, and so forth, may be employed to provide additional 
information and coordinate the functions of the component systems.
    (g) The following requirements must be incorporated in each system 
used for raw testing under this subpart.
    (1) [Reserved]
    (2) The sample transport system from the engine exhaust pipe to the 
HC analyzer and the NOX analyzer must be heated as indicated 
in Figure 1 in appendix B of subpart D.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.413  Raw sampling procedures.

    Follow these procedures when sampling for gaseous emissions.
    (a) The gaseous emission sampling probe must be installed at least 
0.5 m or 3 times the diameter of the exhaust pipe--whichever is the 
larger--upstream of the exit of the exhaust gas system.

[[Page 102]]

    (b) In the case of a multi-cylinder engine with a branched exhaust 
manifold, the inlet of the probe shall be located sufficiently far 
downstream so as to ensure that the sample is representative of the 
average exhaust emissions from all cylinders.
    (c) In multi-cylinder engines having distinct groups of manifolds, 
such as in a ``Vee'' engine configuration, it is permissible to:
    (1) Sample after all exhaust pipes have been connected together into 
a single exhaust pipe.
    (2) For each mode, sample from each exhaust pipe and average the 
gaseous concentrations to determine a value for each mode.
    (3) Sample from all exhaust pipes simultaneously with the sample 
lines connected to a common manifold prior to the analyzer. It must be 
demonstrated that the flow rate through each individual sample line is 
4 percent of the average flow rate through all the sample 
lines.
    (4) Use another method, if it has been approved in advance by the 
Administrator.
    (d) All gaseous heated sampling lines shall be fitted with a heated 
filter to extract solid particles from the flow of gas required for 
analysis. The sample line for CO and CO2 analysis may be 
heated or unheated.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.414  Air flow measurement specifications.

    (a) The air flow measurement method used must have a range large 
enough to accurately measure the air flow over the engine operating 
range during the test. Overall measurement accuracy must be  
2 percent of the maximum engine value for all modes. The Administrator 
must be advised of the method used prior to testing.
    (b) When an engine system incorporates devices that affect the air 
flow measurement (such as air bleeds) that result in understated exhaust 
emission results, corrections to the exhaust emission results shall be 
made to account for such effects.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57017, Oct. 23, 1998]



Sec. 89.415  Fuel flow measurement specifications.

    The fuel flow rate measurement instrument must have a minimum 
accuracy of 2 percent of the engine maximum fuel flow rate. The 
controlling parameters are the elapsed time measurement of the event and 
the weight or volume measurement.

[63 FR 57017, Oct. 23, 1998]



Sec. 89.416  Raw exhaust gas flow.

    The exhaust gas flow shall be determined by one of the methods 
described in this section and conform to the tolerances of Table 3 in 
appendix A to subpart D:
    (a) Measurement of the air flow and the fuel flow by suitable 
metering systems (for details see SAE J244. This procedure has been 
incorporated by reference. See Sec. 89.6.) and calculation of the 
exhaust gas flow as follows:

GEXHW = GAIRW + GFUEL    (for wet 
    exhaust mass)

or

VEXHD = VAIRD + (-.767) x GFUEL    (for 
    dry exhaust volume)

or

VEXHW = VAIRW + .749 x GFUEL    (for 
wet exhaust volume)

    (b) Exhaust mass calculation from fuel consumption (see Sec. 89.415) 
and exhaust gas concentrations using the method found in Sec. 89.418.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.417  Data evaluation for gaseous emissions.

    For the evaluation of the gaseous emission recording, the last 60 
seconds of each mode are recorded, and the average values for HC, CO, 
CO2, and NOX during each mode are determined from 
the average concentration readings determined from the corresponding 
calibration data.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

[[Page 103]]



Sec. 89.418  Raw emission sampling calculations.

    (a) The final test results shall be derived through the steps 
described in this section.
    (b) The exhaust gas flow rate GEXHW and VEXHW 
shall be determined for each mode.
    (1) For measurements using the mass flow method, see Sec. 89.416(a).
    (2) For measurements using the fuel consumption and exhaust gas 
concentrations method, use the following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.004


Where:
[GRAPHIC] [TIFF OMITTED] TR23OC98.005

[GRAPHIC] [TIFF OMITTED] TR23OC98.006

[GRAPHIC] [TIFF OMITTED] TR23OC98.007

[GRAPHIC] [TIFF OMITTED] TR23OC98.008


K = 3.5
    (3) Humidity values may be calculated from either one of the 
following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.009


or

[[Page 104]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.010

    (c) When applying GEXHW, the measured ``dry'' 
concentration shall be corrected to a wet basis, if not already measured 
on a wet basis. This section is applicable only for measurements made on 
raw exhaust gas. Correction to a wet basis shall be according to the 
following formula:

ConcWET = Kw x ConcDRY

Where:
KW is determined according to the equations in paragraph 
(c)(1) or (c)(2) of this section.

    (1) For measurements using the mass flow method (see 
Sec. 89.416(a)):
[GRAPHIC] [TIFF OMITTED] TR23OC98.011

[GRAPHIC] [TIFF OMITTED] TR23OC98.012

[GRAPHIC] [TIFF OMITTED] TR23OC98.013

[alpha] = H/C mole ratio of the fuel.

    (2) For measurements using the fuel consumption and exhaust gas 
concentrations method (see Sec. 89.416(b)):
[GRAPHIC] [TIFF OMITTED] TR23OC98.014


Where:
[GRAPHIC] [TIFF OMITTED] TR23OC98.015

    (d) As the NOX emission depends on intake air conditions, 
the NOX concentration shall be corrected for intake air 
temperature and humidity with the factor Kh given in the 
following formula. For engines operating on alternative combustion 
cycles, other correction formulas may be used if they can be justified 
or validated. The formula follows:

[[Page 105]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.016

    (e) The pollutant mass flow for each mode shall be calculated as 
follows:

Gas mass = u x Gas conc. x GEXHW
Gas mass = v x Gas conc. x VEXHD
Gas mass = w x Gas conc. x VEXHW
    The coefficients u (wet), v (dry), and w (wet) are to be used 
according to the following table:

----------------------------------------------------------------------------------------------------------------
                  Gas                           u               v               w                 conc.
----------------------------------------------------------------------------------------------------------------
NOX....................................        0.001587         0.00205        0.00205   ppm.
CO.....................................        0.000966         0.00125        0.00125   ppm.
HC.....................................        0.000478                        0.000618  ppm.
CO2....................................       15.19            19.64          19.64      percent.
----------------------------------------------------------------------------------------------------------------
Note: The given coefficients u, v, and w are calculated for 273.15  deg.K (0  deg.C) and 101.3 kPa. In cases
  where the reference conditions vary from those stated, an error may occur in the calculations.

    (f) The following equations may be used to calculate the 
coefficients u, v, and w in paragraph (e) of this section for other 
conditions of temperature and pressure:
    (1) For the calculation of u, v, and w for NOX (as 
NO2), CO, HC (in paragraph (e) of this section as 
CH1.80), CO2, and O2:

Where:

w = 4.4615.10-5 x M if conc. in ppm
w = 4.4615.10-1 x M if conc. in percent
v = w
u = w/[rho]Air
M = Molecular weight
[rho]Air = Density of dry air at 273.15  deg.K (0  deg.C), 
101.3 kPa = 1.293 kg/m\3\
    (2) For real gases at 273.15  deg.K (0  deg.C) and 101.3 kPa: For 
the calculation of u, v, and w

w = gas x 10-6 if conc. in ppm
v = w
u = w/pAir
pGas = Density of measured gas at 0  deg.C, 101.3 kPas in g/
m3

    (3) General formulas for the calculation of concentrations at 
temperature (designated as T) and pressure (designated as p):


--for ideal gases
[GRAPHIC] [TIFF OMITTED] TR17JN94.017

--for real gases
[GRAPHIC] [TIFF OMITTED] TR17JN94.018


with:

1% = 104 ppm
M = Molecular weight in g/Mo1
Mv = Molecular Volume = 22.414 x 10-3 
m3/Mol for ideal gases
T = reference temperature 273.15 K
p = reference pressure 101.3 kPa
T = Temperature in  deg.C
p = pressure in kPa
pGas = Density of the measured gas at 0  deg.C, 101.3 kPa
Conc. = Gas concentration

    (g)(1) The emission shall be calculated for all individual 
components

[[Page 106]]

in the following way where power at idle is equal to zero:
[GRAPHIC] [TIFF OMITTED] TR23OC98.017

    (2) The weighting factors and the number of modes (n) used in the 
calculation in paragraph (g)(1) of this section are according to 
Sec. 89.410.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57017, Oct. 23, 1998]



Sec. 89.419  Dilute gaseous exhaust sampling and analytical system description.

    (a) General. The exhaust gas sampling system described in this 
section is designed to measure the true mass of gaseous emissions in the 
exhaust of petroleum-fueled nonroad compression-ignition engines. This 
system utilizes the CVS concept (described in Sec. 86.1310-90 of this 
chapter) of measuring mass emissions of HC, CO, and CO2. A 
continuously integrated system is required for HC and NOX 
measurement and is allowed for all CO and CO2 measurements. 
The mass of gaseous emissions is determined from the sample 
concentration and total flow over the test period. As an option, the 
measurement of total fuel mass consumed over a cycle may be substituted 
for the exhaust measurement of CO2. General requirements are 
as follows:
    (1) This sampling system requires the use of a PDP-CVS and a heat 
exchanger or a CFV-CVS with either a heat exchanger or electronic flow 
compensation. Figure 2 in appendix A to this subpart is a schematic 
drawing of the PDP-CVS system. Figure 3 in appendix A to this subpart is 
a schematic drawing of the CFV-CVS system.
    (2) The HC analytical system for petroleum-fueled compression-
ignition engines requires a heated flame ionization detector (HFID) and 
heated sample system (191 11  deg.C).
    (i) The HFID sample must be taken directly from the diluted exhaust 
stream through a heated probe and integrated continuously over the test 
cycle. Unless compensation for varying flow is made, the HFID must be 
used with a constant flow system to ensure a representative sample.
    (ii) The heated probe shall be located in the primary dilution 
tunnel and far enough downstream of the mixing chamber to ensure a 
uniform sample distribution across the CVS duct at the point of 
sampling.
    (3) The CO and CO2 analytical system requires:
    (i) Bag sampling (see Sec. 86.1309-90 of this chapter) and 
analytical capabilities (see Sec. 86.1311-90 of this chapter), as shown 
in Figure 2 and Figure 3 in appendix A to this subpart; or
    (ii) Continuously integrated measurement of diluted CO and 
CO2 meeting the minimum requirements and technical 
specifications contained in paragraph (b)(4) of this section. Unless 
compensation for varying flow is made, a constant flow system must be 
used to ensure a representative sample.
    (4) The NOX analytical system requires a continuously 
integrated measurement of diluted NOX meeting the minimum 
requirements and technical specifications contained in paragraph (b)(4) 
of this section. Unless compensation for varying flow is made, a 
constant flow system must be used to ensure a representative sample.
    (5) Since various configurations can produce equivalent results, 
exact conformance with these drawings is not required. Additional 
components such as instruments, valves, solenoids, pumps, and switches 
may be used to provide additional information and coordinate the 
functions of the component systems. Other components, such as snubbers, 
which are not needed to maintain

[[Page 107]]

accuracy on some systems, may be excluded if their exclusion is based 
upon good engineering judgment.
    (6) Other sampling and/or analytical systems may be used if shown to 
yield equivalent results and if approved in advance by the 
Administrator.
    (b) Component description. The components necessary for exhaust 
sampling shall meet the following requirements:
    (1) Exhaust dilution system. The PDP-CVS shall conform to all of the 
requirements listed for the exhaust gas PDP-CVS in Sec. 86.1309-90(b) of 
this chapter. The CFV-CVS shall conform to all of the requirements 
listed for the exhaust gas CFV-CVS in Sec. 86.1309-90(c) of this 
chapter. In addition, the CVS must conform to the following 
requirements:
    (i) The flow capacity of the CVS must be sufficient to maintain the 
diluted exhaust stream at or below the temperature required for the 
measurement of hydrocarbon emissions noted in the following paragraph 
and to prevent condensation of water at any point in the dilution 
tunnel.
    (ii) The flow capacity of the CVS must be sufficient to maintain the 
diluted exhaust stream in the primary dilution tunnel at a temperature 
of 191  deg.C or less at the sampling zone for hydrocarbon measurement 
and as required to prevent condensation at any point in the dilution 
tunnel. Gaseous emission samples may be taken directly from this 
sampling point.
    (iii) For the CFV-CVS, either a heat exchanger or electronic flow 
compensation is required (see Figure 3 in appendix A to this subpart).
    (iv) For the CFV-CVS when a heat exchanger is used, the gas mixture 
temperature, measured at a point immediately ahead of the critical flow 
venturi, shall be within 11  deg.C) of the average operating 
temperature observed during the test with the simultaneous requirement 
that condensation does not occur. The temperature measuring system 
(sensors and readout) shall have an accuracy and precision of 
2  deg.C. For systems utilizing a flow compensator to 
maintain proportional flow, the requirement for maintaining constant 
temperature is not necessary.
    (v) The primary dilution air shall have a temperature of 25  deg.C 
5  deg.C.
    (2) Continuous HC measurement system. (i) The continuous HC sample 
system (as shown in Figure 2 or 3 in appendix A to this subpart) uses an 
``overflow'' zero and span system. In this type of system, excess zero 
or span gas spills out of the probe when zero and span checks of the 
analyzer are made. The ``overflow'' system may also be used to calibrate 
the HC analyzer per Sec. 86.1321-90(b) of this chapter, although this is 
not required.
    (ii) No other analyzers may draw a sample from the continuous HC 
sample probe, line or system, unless a common sample pump is used for 
all analyzers and the sample line system design reflects good 
engineering practice.
    (iii) The overflow gas flow rates into the sample line shall be at 
least 105 percent of the sample system flow rate.
    (iv) The overflow gases shall enter the heated sample line as close 
as practical to the outside surface of the CVS duct or dilution tunnel.
    (v) The continuous HC sampling system shall consist of a probe 
(which must raise the sample to the specified temperature) and, where 
used, a sample transfer system (which must maintain the specified 
temperature). The continuous hydrocarbon sampling system (exclusive of 
the probe) shall:
    (A) Maintain a wall temperature of 191  deg.C 11  deg.C 
as measured at every separately controlled heated component (that is, 
filters, heated line sections), using permanent thermocouples located at 
each of the separate components.
    (B) Have a wall temperature of 191  deg.C 11  deg.C over 
its entire length. The temperature of the system shall be demonstrated 
by profiling the thermal characteristics of the system where possible at 
initial installation and after any major maintenance performed on the 
system. The profiling shall be accomplished using the insertion 
thermocouple probing technique. The system temperature will be monitored 
continuously during testing at the locations and temperature described 
in Sec. 86.1310-90(b)(3)(v).

[[Page 108]]

    (C) Maintain a gas temperature of 191  deg.C 11  deg.C 
immediately before the heated filter and HFID. These gas temperatures 
will be determined by a temperature sensor located immediately upstream 
of each component.
    (vi) The continuous hydrocarbon sampling probe shall:
    (A) Be defined as the first 25 cm to 76 cm of the continuous 
hydrocarbon sampling system.
    (B) Have a 0.48 cm minimum inside diameter.
    (C) Be installed in the primary dilution tunnel at a point where the 
dilution air and exhaust are well mixed (that is, approximately 10 
tunnel diameters downstream of the point where the exhaust enters the 
dilution tunnel).
    (D) Be sufficiently distant (radially) from other probes and the 
tunnel wall so as to be free from the influence of any wakes or eddies.
    (E) Increase the gas stream temperature to 191  deg.C 11 
 deg.C at the exit of the probe. The ability of the probe to accomplish 
this shall be demonstrated using the insertion thermocouple technique at 
initial installation and after any major maintenance. Compliance with 
the temperature specification shall be demonstrated by continuously 
recording during each test the temperature of either the gas stream or 
the wall of the sample probe at its terminus.
    (vii) The response time of the continuous measurement system shall 
be no greater than:
    (A) 1.5 seconds from an instantaneous step change at the port 
entrance to the analyzer to within 90 percent of the step change.
    (B) 20 seconds from an instantaneous step change at the entrance to 
the sample probe or overflow span gas port to within 90 percent of the 
step change. Analysis system response time shall be coordinated with CVS 
flow fluctuations and sampling time/test cycle offsets if necessary.
    (C) For the purpose of verification of response times, the step 
change shall be at least 60 percent of full-scale chart deflection.
    (3) Primary dilution tunnel. (i) The primary dilution tunnel shall 
be:
    (A) Small enough in diameter to cause turbulent flow (Reynolds 
Number greater than 4000) and of sufficient length to cause complete 
mixing of the exhaust and dilution air;
    (B) At least 46 cm in diameter; (engines below 110 kW may use a 
dilution tunnel that is 20 cm in diameter or larger)
    (C) Constructed of electrically conductive material which does not 
react with the exhaust components; and
    (D) Electrically grounded.
    (ii) The temperature of the diluted exhaust stream inside of the 
primary dilution tunnel shall be sufficient to prevent water 
condensation.
    (iii) The engine exhaust shall be directed downstream at the point 
where it is introduced into the primary dilution tunnel.
    (4) Continuously integrated NOX, CO, and CO2 
measurement systems. (i) The sample probe shall:
    (A) Be in the same plane as the continuous HC probe, but shall be 
sufficiently distant (radially) from other probes and the tunnel wall so 
as to be free from the influences of any wakes or eddies.
    (B) Heated and insulated over the entire length, to prevent water 
condensation, to a minimum temperature of 55  deg.C. Sample gas 
temperature immediately before the first filter in the system shall be 
at least 55  deg.C.
    (ii) The continuous NOX, CO, or CO2 sampling 
and analysis system shall conform to the specifications of part 86, 
subpart D of this chapter with the following exceptions and revisions:
    (A) The system components required to be heated by part 86, subpart 
D of this chapter need only be heated to prevent water condensation, the 
minimum component temperature shall be 55  deg.C.
    (B) The system response shall be no greater than 20 seconds. 
Analysis system response time shall be coordinated with CVS flow 
fluctuations and sampling time/test cycle offsets, if necessary.
    (C) Alternative NOX measurement techniques outlined in 
Sec. 86.346-79 of this chapter are not permitted for NOX 
measurement in this subpart.
    (D) All analytical gases must conform to the specifications of 
Sec. 89.312.
    (E) Any range on a linear analyzer below 155 ppm must have and use a

[[Page 109]]

calibration curve conforming to Sec. 89.310.
    (iii) The chart deflections or voltage output of analyzers with non-
linear calibration curves shall be converted to concentration values by 
the calibration curve(s) specified in Sec. 89.323 before flow correction 
(if used) and subsequent integration takes place.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.420  Background sample.

    (a) Background samples are produced by continuously drawing a sample 
of dilution air during the exhaust collection phase of each test cycle 
mode.
    (1) Individual background samples may be produced and analyzed for 
each mode. Hence, a unique background value will be used for the 
emission calculations for each mode.
    (2) Alternatively, a single background sample may be produced by 
drawing a sample during the collection phase of each of the test cycle 
modes. Hence, a single cumulative background value will be used for the 
emission calculations for each mode.
    (b) For analysis of the individual sample described in paragraph 
(a)(1) of this section, a single value representing the average chart 
deflection over a 10-second stabilized period is stored. All readings 
taken during the 10-second interval must be stable at the final value to 
within 1 percent of full scale.
    (c) Measure HC, CO, CO2, and NOX exhaust and 
background concentrations in the sample bag(s) with approximately the 
same flow rates and pressures used during calibration.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57018, Oct. 23, 1998]



Sec. 89.421  Exhaust gas analytical system; CVS bag sample.

    (a) Schematic drawings. Figure 4 in appendix A to this subpart is a 
schematic drawing of the exhaust gas analytical system used for 
analyzing CVS bag samples from compression- ignition engines. Since 
various configurations can produce accurate results, exact conformance 
with the drawing is not required. Additional components such as 
instruments, valves, solenoids, pumps and switches may be used to 
provide additional information and coordinate the functions of the 
component systems. Other components such as snubbers, which are not 
needed to maintain accuracy in some systems, may be excluded if their 
exclusion is based upon good engineering judgment.
    (b) Major component description. The analytical system, Figure 4 in 
appendix A to this subpart, consists of a flame ionization detector 
(FID) (heated for petroleum-fueled compression-ignition engines to 191 
deg.C 6  deg.C) for the measurement of hydrocarbons, 
nondispersive infrared analyzers (NDIR) for the measurement of carbon 
monoxide and carbon dioxide, and a chemiluminescence detector (CLD) (or 
HCLD) for the measurement of oxides of nitrogen. The exhaust gas 
analytical system shall conform to the following requirements:
    (1) The CLD (or HCLD) requires that the nitrogen dioxide present in 
the sample be converted to nitric oxide before analysis. Other types of 
analyzers may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.
    (2) If CO instruments are used which are essentially free of 
CO2 and water vapor interference, the use of the conditioning 
column may be deleted. (See Secs. 86.1322-84 and 86.1342-90 of this 
chapter.)
    (3) A CO instrument will be considered to be essentially free of 
CO2 and water vapor interference if its response to a mixture 
of 3 percent CO2 in N2, which has been bubbled through water 
at room temperature, produces an equivalent CO response, as measured on 
the most sensitive CO range, which is less than 1 percent of full scale 
CO concentration on ranges above 300 ppm full scale or less than 3 ppm 
on ranges below 300 ppm full scale. (See Sec. 86.1322-84 of this 
chapter.)
    (c) Alternate analytical systems. Analysis systems meeting the 
specifications of part 86, subpart D of this chapter (with the exception 
of Secs. 86.346-79 and 86.347-79) may be used for the testing required 
under this subpart. Heated analyzers may be used in their heated 
configuration.
    (d) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield

[[Page 110]]

equivalent results and if approved in advance by the Administrator.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.422  Dilute sampling procedures--CVS calibration.

    (a) The CVS is calibrated using an accurate flowmeter and restrictor 
valve.
    (1) The flowmeter calibration must be traceable to NIST 
measurements, and will serve as the reference value (NIST ``true'' 
value) for the CVS calibration. (Note: In no case should an upstream 
screen or other restriction which can affect the flow be used ahead of 
the flowmeter unless calibrated throughout the flow range with such a 
device.)
    (2) The CVS calibration procedures are designed for use of a 
``metering venturi'' type flowmeter. Large radius or ASME flow nozzles 
are considered equivalent if traceable to NIST measurements. Other 
measurement systems may be used if shown to be equivalent under the test 
conditions in this section and traceable to NIST measurements.
    (3) Measurements of the various flowmeter parameters are recorded 
and related to flow through the CVS.
    (4) Procedures used by EPA for both PDP-CVS and CFV-CVS are outlined 
below. Other procedures yielding equivalent results may be used if 
approved in advance by the Administrator.
    (b) After the calibration curve has been obtained, verification of 
the entire system may be performed by injecting a known mass of gas into 
the system and comparing the mass indicated by the system to the true 
mass injected. An indicated error does not necessarily mean that the 
calibration is wrong, since other factors can influence the accuracy of 
the system (for example, analyzer calibration, leaks, or HC hangup). A 
verification procedure is found in paragraph (e) of this section.
    (c) PDP-CVS calibration. (1) The following calibration procedure 
outlines the equipment, the test configuration, and the various 
parameters which must be measured to establish the flow rate of the PDP-
CVS pump.
    (i) All the parameters related to the pump are simultaneously 
measured with the parameters related to a flowmeter which is connected 
in series with the pump.
    (ii) The calculated flow rate, in

(cm\3\/s), (at pump inlet absolute pressure and temperature) can then be 
plotted versus a correlation function which is the value of a specific 
combination of pump parameters.
    (iii) The linear equation which relates the pump flow and the 
correlation function is then determined.
    (iv) In the event that a CVS has a multiple speed drive, a 
calibration for each range used must be performed.
    (2) This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Two conditions must be maintained to assure the 
accuracy and integrity of the calibration curve:
    (i) The temperature stability must be maintained during calibration. 
(Flowmeters are sensitive to inlet temperature oscillations; this can 
cause the data points to be scattered. Gradual changes in temperature 
are acceptable as long as they occur over a period of several minutes.)
    (ii) All connections and ducting between the flowmeter and the CVS 
pump must be absolutely void of leakage.
    (3) During an exhaust emission test the measurement of these same 
pump parameters enables the user to calculate the flow rate from the 
calibration equation.
    (4) Connect a system as shown in Figure 5 in appendix A to this 
subpart. Although particular types of equipment are shown, other 
configurations that yield equivalent results may be used if approved in 
advance by the Administrator. For the system indicated, the following 
measurements and accuracies are required:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
             Parameter                     Symbol               Units              Sensor-readout tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)...  PB                   kPa................  .34 kPa

[[Page 111]]

 
Ambient temperature...............  TA                     deg.C............  .3  deg.C
Air temperature into metering       ETI                    deg.C............  1.1  deg.C
 venturi.
Pressure drop between the inlet     EDP                  kPa................  .01 kPa
 and throat of metering venturi.
Air flow..........................  QS                   m3/min.............  .5% of NIST value.
Air temperature at CVS pump inlet.  PTI                    deg.C............  1.1  deg.C
Pressure depression at CVS pump     PPI                  kPa................  .055 kPa
 inlet.
Pressure head at CVS pump outlet..  PPO                  kPa................  .055 kPa
Air temperature at CVS pump outlet  PTO                    deg.C............  1.1  deg.C
 (optional).
Pump revolutions during test        N                    Revs...............  1 Rev.
 period.
Elapsed time for test period......  t                    s..................  .5 s.
----------------------------------------------------------------------------------------------------------------

    (5) After the system has been connected as shown in Figure 5 in 
appendix A to this subpart, set the variable restrictor in the wide open 
position and run the CVS pump for 20 minutes. Record the calibration 
data.
    (6) Reset the restrictor valve to a more restricted condition in an 
increment of pump inlet depression that will yield a minimum of six data 
points for the total calibration. Allow the system to stabilize for 3 
minutes and repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point is 
calculated in standard cubic meters per minute (0  deg.C, 101.3 kPa) 
from the flowmeter data using the manufacturer's prescribed method.
    (ii) The air flow rate is then converted to pump flow, 
Vo, in cubic meter per revolution at absolute pump inlet 
temperature and pressure:
[GRAPHIC] [TIFF OMITTED] TR17JN94.020

Where:

Vo = Pump flow, (m3/rev) at Tp, 
Pp.
Qs = Meter air flow rate in standard cubic meters per minute, 
standard conditions are 0  deg.C, 101.3 kPa.
n=Pump speed in revolutions per minute.
Tp=Pump inlet temperature  deg.K=Pti+273  deg.K, 
Pti=Pump inlet temp  deg.C
Pp=Absolute pump inlet pressure, (kPa)
    = PB - PPI
Where:

PB=barometric pressure, (kPa).
PPI=Pump inlet depression, (kPa).

    (iii) The correlation function at each test point is then calculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR17JN94.021

Xo = correlation function.
[Delta]p = The pressure differential from pump inlet to pump outlet, 
(kPa).
    = Pe-Pp.
Pe = Absolute pump outlet pressure, (kPa)
    = PB+PPO
Where:

PPO=Pressure head at pump outlet, (kPa).

    (iv) A linear least squares fit is performed to generate the 
calibration equation which has the form:

Vo=Do-M(Xo)

Do and M are the intercept and slope constants, respectively, 
          describing the regression line.

    (8) A CVS system that has multiple speeds must be calibrated on each 
speed used. The calibration curves generated for the ranges will be 
approximately parallel and the intercept values, Do, will 
increase as the pump flow range decreases.
    (9) If the calibration has been performed carefully, the calculated 
values from the equation will be within 0.50 percent of the 
measured value of Vo. Values of M will vary from one pump to 
another, but values of Do for pumps of the same make, model, 
and range should agree within 3 percent of each other. 
Calibrations should be performed at pump start-up and after major 
maintenance to assure the stability of the pump slip rate. Analysis of 
mass injection data will also reflect pump slip stability.
    (d) CFV-CVS calibration. (1) Calibration of the CFV is based upon 
the flow equation for a critical venturi. Gas

[[Page 112]]

flow is a function of inlet pressure and temperature:
[GRAPHIC] [TIFF OMITTED] TR17JN94.022

Where:

Qs = flow.
Kv = calibration coefficient.
P = absolute pressure.
T = absolute temperature.

The calibration procedure described in paragraph (d)(3) of this section 
establishes the value of the calibration coefficient at measured values 
of pressure, temperature, and air flow.
    (2) The manufacturer's recommended procedure shall be followed for 
calibrating electronic portions of the CFV.
    (3) Measurements necessary for flow calibration are as follows:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
             Parameter                        Symbol                   Units                  Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)....  PB                       kPa (Inches Hg).......  0.034 (0.01).
Air temperature, flowmeter.........  ETI                      deg.C (deg.F).........  0.14 (0.25).
Pressure depression upstream of LFE  EPI                      kPa(Inches H2O).......  0.012 (0.05).
Pressure drop across LFE matrix....  EDP                      kPa (Inches H2O)......  0.001 (0.005).
Air flow...........................  Qs                       m3/min. (Ft3/min).....  0.5 pct.
CFV inlet depression...............  PPI                      kPa (Inches Hg).......  0.055 (0.016).
CFV outlet pressure................  PPO                      kPa (Inches Hg).......  0.17 (0.05).
Temperature at venturi inlet.......  Tv                       deg.C (deg.F).........  0.28 (0.5)
Specific gravity of manometer fluid  Sp.Gr                    ......................  (1.75 oil).
----------------------------------------------------------------------------------------------------------------

    (4) Set up equipment as shown in Figure 6 in appendix A to subpart 
and eliminate leaks. (Leaks between the flow measuring devices and the 
critical flow venturi will seriously affect the accuracy of the 
calibration.)
    (5) Set the variable flow restrictor to the open position, start the 
blower, and allow the system to stabilize. Record data from all 
instruments.
    (6) Vary the flow restrictor and make at least eight readings across 
the critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibration are to 
be used in the following calculations:
    (i) The air flow rate (designated as Qs) at each test 
point is calculated in standard cubic feet per minute from the flow 
meter data using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each test 
point:
[GRAPHIC] [TIFF OMITTED] TR17JN94.023

Where:

Qs = Flow rate in standard cubic meter per minute, at the 
standard conditions of 0  deg.C, 101.3 kPa.
Tv = Temperature at venturi inlet,  deg.K.
Pv = PB - PPI (= Pressure at venturi inlet, kPA)
Where:

PPI = Venturi inlet pressure depression, (kPa).

    (iii) Plot Kv as a function of venturi inlet pressure. 
For choked flow, Kv will have a relatively constant value. As 
pressure decreases (vacuum increases), the venturi becomes unchoked and 
Kv decreases. (See Figure 7 in appendix A to this subpart.)
    (iv) For a minimum of eight points in the critical region calculate 
an average Kv and the standard deviation.
    (v) If the standard deviation exceeds 0.3 percent of the average 
Kv, take corrective action.
    (e) CVS system verification. The following ``gravimetric'' technique 
can be used to verify that the CVS and analytical instruments can 
accurately measure a mass of gas that has been injected into the system. 
(Verification can also be accomplished by constant flow metering using 
critical flow orifice devices.)
    (1) Obtain a small cylinder that has been charged with 99.5 percent 
or greater propane or carbon monoxide gas (Caution--carbon monoxide is 
poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01 grams.
    (3) Operate the CVS in the normal manner and release a quantity of 
pure propane into the system during the

[[Page 113]]

sampling period (approximately 5 minutes).
    (4) The calculations are performed in the normal way except in the 
case of propane. The density of propane (0.6109 kg/m\3\/carbon atom)) is 
used in place of the density of exhaust hydrocarbons.
    (5) The gravimetric mass is subtracted from the CVS measured mass 
and then divided by the gravimetric mass to determine the percent 
accuracy of the system.
    (6) Good engineering practice requires that the cause for any 
discrepancy greater than 2 percent must be found and 
corrected.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57018, Oct. 23, 1998]



Sec. 89.423   [Reserved]



Sec. 89.424  Dilute emission sampling calculations.

    (a) The final reported emission test results are computed by use of 
the following formula:
[GRAPHIC] [TIFF OMITTED] TR23OC98.018

Where:
Awm = Weighted mass emission level (HC, CO, CO2, 
PM, or NOX) in g/kW-hr.
gi = Mass flow in grams per hour, = grams measured during the 
mode divided by the sample time for the mode.
WFi = Effective weighing factor.
Pi = Power measured during each mode (Power set = zero for 
the idle mode).
    (b) The mass of each pollutant for each mode for bag measurements 
and diesel heat exchanger system measurements is determined from the 
following equations:
    (1) Hydrocarbon mass:

HCmass= Vmix x DensityHC x 
    (HCconc/106)

    (2) Oxides of nitrogen mass:

NOXmass = Vmix x DensityNO2 x KH x 
    (NOXconc/106)

    (3) Carbon monoxide mass:

COmass= Vmixx DensityCOx 
    (COconc/106)

    (4) Carbon dioxide mass:

CO2mass= Vmixx DensityCO2 x 
    (CO2conc/102)

    (c) The mass of each pollutant for the mode for flow compensated 
sample systems is determined from the following equations:
[GRAPHIC] [TIFF OMITTED] TR17JN94.025


[[Page 114]]


[GRAPHIC] [TIFF OMITTED] TR17JN94.026

    (d) Meaning of symbols:
    (1) For hydrocarbon equations:

HCmass= Hydrocarbon emissions, in grams per test mode.
DensityHC= Density of hydrocarbons is (.5800 kg/
m3) for 1 diesel, and (0.5746 kg/m3) for 
2 diesel, assuming an average carbon to hydrogen ratio of 
1:1.93 for 1 diesel, and 1:1.80 for 2 diesel at 20 
deg.C and 101.3 kPa pressure.
HCconc= Hydrocarbon concentration of the dilute exhaust 
sample corrected for background, in ppm carbon equivalent (that is, 
equivalent propane times 3).
[GRAPHIC] [TIFF OMITTED] TR17JN94.027

Where:

HCe= Hydrocarbon concentration of the dilute exhaust bag 
sample or, for diesel heat exchanger systems, average hydrocarbon 
concentration of the dilute exhaust sample as calculated from the 
integrated HC traces, in ppm carbon equivalent. For flow compensated 
sample systems (HCe)i is the instantaneous 
concentration.
HCd= Hydrocarbon concentration of the dilution air as 
measured, in ppm carbon equivalent.

    (2) For oxides of nitrogen equations:

NOXmass = Oxides of nitrogen emissions, in grams per test 
mode.
Density NO2= Density of oxides of nitrogen is 1.913 kg/
m3, assuming they are in the form of nitrogen dioxide, at 20 
deg.C and 101.3 kPa pressure.
NOXconc= Oxides of nitrogen concentration of the dilute 
exhaust sample corrected for background, in ppm:
[GRAPHIC] [TIFF OMITTED] TR17JN94.028

Where:

NOXe= Oxides of nitrogen concentration of the dilute exhaust 
bag sample as measured, in ppm. For flow compensated sample systems 
(NOXe)i is the instantaneous concentration.
NOXd= Oxides of nitrogen concentration of the dilute air as 
measured, in ppm.

    (3) For carbon monoxide equations:

COmass=Carbon monoxide emissions, grams per test mode. 
    DensityCO=Density of carbon monoxide (1.164 kg/
    m3 at 20  deg.C and 101.3 kPa pressure).
COconc=Carbon monoxide concentration of the dilute exhaust 
sample corrected for background, water vapor, and CO2 
extraction, ppm.
[GRAPHIC] [TIFF OMITTED] TR17JN94.029

Where:

COe=Carbon monoxide concentration of the dilute exhaust bag 
sample volume corrected for water vapor and carbon dioxide extraction, 
ppm. For flow compensated

[[Page 115]]

sample systems, (COe)i is the instantaneous 
concentration.

    The following calculation assumes the carbon to hydrogen ratio of 
the fuel is 1:1.85. As an option the measured actual carbon to hydrogen 
ratio may be used:

COe=[1-0.01925CO2e-0.000323R]COem

Where:

COem=Carbon monoxide concentration of the dilute exhaust 
sample as measured, ppm.
CO2e=Carbon dioxide concentration of the dilute exhaust bag 
sample, in percent, if measured. For flow compensated sample systems, 
(CO2e)i is the instantaneous concentration. For 
cases where exhaust sampling of CO2 is not performed, the 
following approximation is permitted:
[GRAPHIC] [TIFF OMITTED] TR17JN94.030

a=Average carbon to hydrogen ratio.
    M \1\ = Fuel mass consumed during the mode.
R=Relative humidity of the dilution air, percent.
COd=Carbon monoxide concentration of the dilution air 
corrected for water vapor extraction, ppm.
    COd=(1-0.000323R)COdm
Where:

    COdm=Carbon monoxide concentration of the dilution air 
sample as measured, ppm.

    Note: If a CO instrument which meets the criteria specified in 
Sec. 86.1311-90 of this chapter is used and the conditioning column has 
been deleted, COem must be substituted directly for 
COe and COdm must be substituted directly for 
COd.
    (4) For carbon dioxide equation:

CO2mass=Carbon dioxide emissions, in grams per test mode.
Density CO2=Density of carbon dioxide is 1.830 kg/
m3, at 20  deg.C and 760 mm Hg pressure.
CO2conc=Carbon dioxide concentration of the dilute exhaust 
sample corrected for background, in percent.
[GRAPHIC] [TIFF OMITTED] TR17JN94.031

Where:

CO2d=Carbon dioxide concentration of the dilution air as 
measured, in percent.
[GRAPHIC] [TIFF OMITTED] TR17JN94.032

    (6) Measured ``dry'' concentrations shall be corrected to a wet 
basis, if not already measured on a wet basis. This section is 
applicable only for measurements made on dilute exhaust gas. Correction 
to a wet basis shall be according to the following formula:

ConcWET = KW x ConcDRY
    Where: KW is determined according to the equation in 
paragraph (d)(6)(i) or (d)(6)(ii), of this section.
    (i) For wet CO2 measurement:
    [GRAPHIC] [TIFF OMITTED] TR23OC98.019
    
    (ii) For dry CO2 measurement:

[[Page 116]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.020

    (iii) For the equations in paragraph (d)(6)(i) and (d)(6)(ii) of 
this section, the following equation applies:
[GRAPHIC] [TIFF OMITTED] TR23OC98.021

    Where: Ha and Hd are the grams of water per 
kilogram of dry air; as illustrated in the following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.022

[GRAPHIC] [TIFF OMITTED] TR23OC98.023

    (e) The final modal reported brake-specific fuel consumption (bsfc) 
shall be computed by use of the following formula:
[GRAPHIC] [TIFF OMITTED] TR23OC98.024

Where:

bsfc = brake-specific fuel consumption for a mode in grams of fuel per 
kilowatt-hour (kW-hr).
M = mass of fuel in grams, used by the engine during a mode.
kW-hr = total kilowatts integrated with respect to time for a mode.
    (f) The mass of fuel for the mode is determined from mass fuel flow 
measurements made during the mode, or from the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.034

Where:

M=Mass of fuel, in grams, used by the engine during the mode.
Gs=Grams of carbon measured during the mode:

[[Page 117]]

[GRAPHIC] [TIFF OMITTED] TR17JN94.035

R2=Grams C in fuel per gram of fuel
Where:

HCmass=hydrocarbon emissions, in grams for the mode
CO2mass=carbon monoxide emissions, in grams for the mode
CO2mass=carbon dioxide emissions, in grams for the mode
[alpha]=The atomic hydrogen to carbon ratio of the fuel.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57018, Oct. 23, 1998]



Sec. 89.425   [Reserved]

[[Page 118]]

               Appendix A to Subpart E of Part 89--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.002


[[Page 119]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.003


[[Page 120]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.004


[[Page 121]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.005


[[Page 122]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.006


[[Page 123]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.007


[[Page 124]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.008

               Appendix B to Subpart E of Part 89--Tables

                              Table 1--8-Mode Test Cycle for Variable-Speed Engines
----------------------------------------------------------------------------------------------------------------
                                                                             Observed
                                                                            torque \2\    Minimum
          Test segment                Mode number       Engine speed \1\   (percent of    time in     Weighting
                                                                               max.         mode       factors
                                                                            observed)    (minutes)
----------------------------------------------------------------------------------------------------------------
1...............................  1..................  Rated.............          100          5.0         0.15
1...............................  2..................  Rated.............           75          5.0         0.15
1...............................  3..................  Rated.............           50          5.0         0.15
1...............................  4..................  Rated.............           10          5.0         0.10
2...............................  5..................  Int...............          100          5.0         0.10
2...............................  6..................  Int...............           75          5.0         0.10
2...............................  7..................  Int...............           50          5.0         0.10
2...............................  8..................  Idle..............            0          5.0         0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed (non-idle):  2 percent of point. Engine speed (idle): Within manufacturer's
  specifications. Idle speed is specified by the manufacturer.
\2\ Torque (non-idle): Throttle fully open for 100 percent points. Other non-idle points:  2 percent
  of engine maximum value. Torque (idle): Throttle fully closed. Load less than 5 percent of peak torque.


                              Table 2--5-Mode Test Cycle for Constant-Speed Engines
----------------------------------------------------------------------------------------------------------------
                                                                             Observed
                                                                            torque \2\    Minimum
                Mode number                        Engine\1\ Speed         (percent of    time in     Weighting
                                                                               max.         mode       factors
                                                                            observed)    (minutes)
----------------------------------------------------------------------------------------------------------------
1.........................................  Rated........................          100          5.0         0.05
2.........................................  Rated........................           75          5.0         0.25
3.........................................  Rated........................           50          5.0         0.30

[[Page 125]]

 
4.........................................  Rated........................           25          5.0         0.30
5.........................................  Rated........................           10          5.0         0.10
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed: 2 percent of point.
\2\ Torque: Throttle fully open for 100 percent point. Other points:  2 percent of engine maximum
  value.


                            Table 3--6-Mode Test Cycle for Engines Rated Under 19 kW
----------------------------------------------------------------------------------------------------------------
                                                                             Observed
                                                                            torque \2\    Minimum
                Mode number                        Engine speed \1\        (percent of    time in     Weighting
                                                                               max.         mode       factors
                                                                            observed)    (minutes)
----------------------------------------------------------------------------------------------------------------
1.........................................  Rated........................          100          5.0         0.09
2.........................................  Rated........................           75          5.0         0.20
3.........................................  Rated........................           50          5.0         0.29
4.........................................  Rated........................           25          5.0         0.30
5.........................................  Rated........................           10          5.0         0.07
6.........................................  Idle.........................            0          5.0         0.05
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed (non-idle):  2 percent of point. Engine speed (idle): Within manufacturer's
  specifications. Idle speed is specified by the manufacturer.
\2\ Torque (non-idle): Throttle fully open for operation at 100 percent point. Other nonidle points:  2 percent of engine maximum value. Torque (idle): Throttle fully closed. Load less than 5 percent of
  peak torque.


                         Table 4--4-Mode Test Cycle for Propulsion Marine Diesel Engines
----------------------------------------------------------------------------------------------------------------
                                                   Engine speed   Observed power
                                                   \1\ (percent    \2\ (percent    Minimum time      Weighting
                   Mode number                        of max.         of max.         in mode         factors
                                                     observed)       observed)       (minutes)
----------------------------------------------------------------------------------------------------------------
1...............................................             100             100             5.0            0.20
2...............................................              91              75             5.0            0.50
3...............................................              80              50             5.0            0.15
4...............................................              63              25             5.0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed:  2 percent of point.
\2\ Power: Throttle fully open for operation at 100 percent point. Other points:  2 percent of
  engine maximum value.


[63 FR 57019, Oct. 23, 1998]

                Subpart F--Selective Enforcement Auditing

Sec. 89.501  Applicability.

    The requirements of subpart F are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.502  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Acceptable quality level (AQL) means the maximum percentage of 
failing engines that can be considered a satisfactory process average 
for sampling inspections.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Inspection criteria means the pass and fail numbers associated with 
a particular sampling plan.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

[[Page 126]]

Sec. 89.503  Test orders.

    (a) A test order addressed to the manufacturer is required for any 
testing under this subpart.
    (b) The test order is signed by the Assistant Administrator for Air 
and Radiation or his or her designee. The test order must be delivered 
in person by an EPA enforcement officer or EPA authorized representative 
to a company representative or sent by registered mail, return receipt 
requested, to the manufacturer's representative who signed the 
application for certification submitted by the manufacturer, pursuant to 
the requirements of the applicable section of subpart B of this part. 
Upon receipt of a test order, the manufacturer must comply with all of 
the provisions of this subpart and instructions in the test order.
    (c) Information included in test order. (1) The test order will 
specify the engine family to be selected for testing, the manufacturer's 
engine assembly plant or associated storage facility or port facility 
(for imported engines) from which the engines must be selected, the time 
and location at which engines must be selected, and the procedure by 
which engines of the specified family must be selected. The test order 
may specify the configuration to be audited and/or the number of engines 
to be selected per day. Engine manufacturers are required to select a 
minimum of four engines per day unless an alternate selection procedure 
is approved pursuant to Sec. 89.507(a), or unless total production of 
the specified configuration is less than four engines per day. If total 
production of the specified configuration is less than four engines per 
day, the manufacturer selects the actual number of engines produced per 
day.
    (2) The test order may include alternate families to be selected for 
testing at the Administrator's discretion in the event that engines of 
the specified family are not available for testing because those engines 
are not being manufactured during the specified time or are not being 
stored at the specified assembly plant, associated storage facilities, 
or port of entry.
    (3) If the specified family is not being manufactured at a rate of 
at least two engines per day in the case of manufacturers specified in 
Sec. 89.508(g)(1), or one engine per day in the case of manufacturers 
specified in Sec. 89.508(g)(2), over the expected duration of the audit, 
the Assistant Administrator or her or his designated representative may 
select engines of the alternate family for testing.
    (4) In addition, the test order may include other directions or 
information essential to the administration of the required testing.
    (d) A manufacturer may submit a list of engine families and the 
corresponding assembly plants, associated storage facilities, or (in the 
case of imported engines) port facilities from which the manufacturer 
prefers to have engines selected for testing in response to a test 
order. In order that a manufacturer's preferred location be considered 
for inclusion in a test order for a particular engine family, the list 
must be submitted prior to issuance of the test order. Notwithstanding 
the fact that a manufacturer has submitted the list, the Administrator 
may order selection at other than a preferred location.
    (e) Upon receipt of a test order, a manufacturer must proceed in 
accordance with the provisions of this subpart.
    (f)(1) During a given model year, the Administrator may not issue to 
a manufacturer more Selective Enforcement Auditing (SEA) test orders 
than an annual limit determined to be the larger of the following 
factors:
    (i) Production factor, determined by dividing the projected nonroad 
engine sales in the United States for that model year, as declared by 
the manufacturer under Sec. 89.505(c)(1), by 16,000 and rounding to the 
nearest whole number. If the projected sales are less than 8,000, this 
factor is one.
    (ii) Family factor, determined by dividing the manufacturer's total 
number of certified engine families by five and rounding to the nearest 
whole number.
    (2) If a manufacturer submits to EPA in writing prior to or during 
the model year a reliable sales projection update or adds engine 
families or deletes engine families from its production, that 
information is used for recalculating

[[Page 127]]

the manufacturer's annual limit of SEA test orders.
    (3) Any SEA test order for which the family fails under Sec. 89.510 
or for which testing is not completed is not counted against the annual 
limit.
    (4) When the annual limit has been met, the Administrator may issue 
additional test orders to test those families for which evidence exists 
indicating noncompliance. An SEA test order issued on this basis will 
include a statement as to the reason for its issuance.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.504  Testing by the Administrator.

    (a) The Administrator may require by test order under Sec. 89.503 
that engines of a specified family be selected in a manner consistent 
with the requirements of Sec. 89.507 and submitted to the Administrator 
at the place designated for the purpose of conducting emission tests. 
These tests will be conducted in accordance with Sec. 89.508 to 
determine whether engines manufactured by the manufacturer conform with 
the regulations with respect to which the certificate of conformity was 
issued.
    (b) Designating official data. (1) Whenever the Administrator 
conducts a test on a test engine or the Administrator and manufacturer 
each conduct a test on the same test engine, the results of the 
Administrator's test comprise the official data for that engine.
    (2) Whenever the manufacturer conducts all tests on a test engine, 
the manufacturer's test data is accepted as the official data, provided 
that if the Administrator makes a determination based on testing 
conducted under paragraph (a) of this section that there is a 
substantial lack of agreement between the manufacturer's test results 
and the Administrator's test results, no manufacturer's test data from 
the manufacturer's test facility will be accepted for purposes of this 
subpart.
    (c) If testing conducted under Sec. 89.503 is unacceptable under 
paragraph (b)(2) of this section, the Administrator must:
    (1) Notify the manufacturer in writing of the Administrator's 
determination that the test facility is inappropriate for conducting the 
tests required by this subpart and the reasons therefor; and
    (2) Reinstate any manufacturer's data upon a showing by the 
manufacturer that the data acquired under Sec. 89.503 was erroneous and 
the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the Administrator 
reconsider the determination in paragraph (b)(2) of this section based 
on data or information which indicates that changes have been made to 
the test facility and these changes have resolved the reasons for 
disqualification.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.505  Maintenance of records; submittal of information.

    (a) The manufacturer of any new nonroad engine subject to any of the 
provisions of this subpart must establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines in accordance with Sec. 89.508 pursuant to a test order issued 
under this subpart, specifically, the equipment requirements specified 
in Secs. 86.884-8 and 86.884-9 of this chapter and the equipment 
requirements specified in Secs. 89.306, 89.308, 89.309, and 89.312.
    (2) Individual records. These records pertain to each audit 
conducted pursuant to this subpart and include:
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the engine when 
the test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the audit;
    (iv) A record and description of any repairs performed prior to and/
or subsequent to approval by the Administrator, giving the date, 
associated time, justification, name(s) of the authorizing personnel, 
and names of all supervisory personnel responsible for the conduct of 
the repair;
    (v) The date the engine was shipped from the assembly plant, 
associated storage facility or port facility, and date the engine was 
received at the testing facility;

[[Page 128]]

    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, to be in accordance with the record 
requirements specified in Sec. 89.404 or Sec. 86.884-10 of this chapter.
    (vii) A brief description of any significant audit events not 
described under paragraph (a)(2) of this section, commencing with the 
test engine selection process and including such extraordinary events as 
engine damage during shipment.
    (3) The manufacturer must record test equipment description, 
pursuant to paragraph (a)(1) of this section, for each test cell that 
can be used to perform emission testing under this subpart.
    (b) The manufacturer must retain all records required to be 
maintained under this subpart for a period of one year after completion 
of all testing in response to a test order. Records may be retained as 
hard copy or reduced to microfilm, floppy disc, and so forth, depending 
upon the manufacturer's record retention procedure; provided, that in 
every case, all the information contained in the hard copy is retained.
    (c) The manufacturer must, upon request by the Administrator, submit 
the following information with regard to engine production:
    (1) Projected production for each engine configuration within each 
engine family for which certification is requested;
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production for the time period designated in the request;
    (3) Number of engines, by configuration and by assembly plant, 
storage facility or port facility, scheduled to be stored at facilities 
for the time period designated in the request; and
    (4) Number of engines, by configuration and assembly plant, produced 
during the time period designated in the request that are complete for 
introduction into commerce.
    (d) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (e) All reports, submissions, notifications, and requests for 
approvals made under this subpart are addressed to: Director, Engine 
Programs and Compliance Division (6405-J), U.S. Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]

Sec. 89.506  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this subpart and a test order issued 
thereunder, EPA enforcement officers or EPA authorized representatives 
may enter during operating hours and upon presentation of credentials 
any of the following places:
    (1) Any facility where any engine to be introduced into commerce, 
including ports of entry, or any emission-related component is 
manufactured, assembled, or stored;
    (2) Any facility where any tests conducted pursuant to a test order 
or any procedures or activities connected with these tests are or were 
performed;
    (3) Any facility where any engine which is being tested, was tested, 
or will be tested is present; and
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers or EPA authorized representatives 
are authorized to perform the following inspection-related activities:
    (1) To inspect and monitor any aspects of engine manufacture, 
assembly, storage, testing and other procedures, and the facilities in 
which these procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including, but not limited to, engine selection, 
preparation, service accumulation, emission test cycles, and maintenance 
and verification of test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection, and testing

[[Page 129]]

of an engine in compliance with a test order; and
    (4) To inspect and photograph any part or aspect of any engine and 
any component used in the assembly thereof that is reasonably related to 
the purpose of the entry.
    (c) EPA enforcement officers or EPA authorized representatives are 
authorized to obtain reasonable assistance without cost from those in 
charge of a facility to help the officers perform any function listed in 
this subpart and they are authorized to request the recipient of a test 
order to make arrangements with those in charge of a facility operated 
for the manufacturer's benefit to furnish reasonable assistance without 
cost to EPA whether or not the recipient controls the facility.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services; the making available 
on an EPA enforcement officer's or EPA authorized representative's 
request of personnel of the facility being inspected during their 
working hours to inform the EPA enforcement officer or EPA authorized 
representative of how the facility operates and to answer the officer's 
or representative's questions; and the performance on request of 
emission tests on any engine which is being, has been, or will be used 
for SEA testing.
    (2) A manufacturer may be compelled to cause the personal appearance 
of any employee at such a facility before an EPA enforcement officer or 
EPA authorized representative by written request for his appearance, 
signed by the Assistant Administrator for Air and Radiation, served on 
the manufacturer. Any such employee who has been instructed by the 
manufacturer to appear will be entitled to be accompanied, represented, 
and advised by counsel.
    (d) EPA enforcement officers or EPA authorized representatives are 
authorized to seek a warrant or court order authorizing the EPA 
enforcement officers or EPA authorized representatives to conduct 
activities related to entry and access as authorized in this section, as 
appropriate, to execute the functions specified in this section. EPA 
enforcement officers or authorized representatives may proceed ex parte 
to obtain a warrant whether or not the EPA enforcement officers or EPA 
authorized representatives first attempted to seek permission of the 
recipient of the test order or the party in charge of the facilities in 
question to conduct activities related to entry and access as authorized 
in this section.
    (e) A recipient of a test order must permit an EPA enforcement 
officer(s) or EPA authorized representative(s) who presents a warrant or 
court order to conduct activities related to entry and access as 
authorized in this section and as described in the warrant or court 
order. The recipient must also cause those in charge of its facility or 
a facility operated for its benefit to permit entry and access as 
authorized in this section pursuant to a warrant or court order whether 
or not the recipient controls the facility. In the absence of a warrant 
or court order, an EPA enforcement officer(s) or EPA authorized 
representative(s) may conduct activities related to entry and access as 
authorized in this section only upon the consent of the recipient of the 
test order or the party in charge of the facilities in question.
    (f) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit an EPA enforcement officer(s) or EPA 
authorized representative(s) to conduct activities related to entry and 
access as authorized in this section if the officer(s) or 
representative(s) appears without a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions where local law does not 
prohibit an EPA enforcement officer(s) or EPA authorized 
representative(s) from conducting the entry and access activities 
specified in this section. EPA will not attempt to make any inspections 
which it has been informed that local foreign law prohibits.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]

Sec. 89.507  Sample selection.

    (a) Engines comprising a test sample will be selected at the 
location and in the manner specified in the test order. If a 
manufacturer determines that the test engines cannot be selected in the 
manner specified in the test order, an

[[Page 130]]

alternative selection procedure may be employed, provided the 
manufacturer requests approval of the alternative procedure prior to the 
start of test sample selection, and the Administrator approves the 
procedure.
    (b) The manufacturer must assemble the test engines of the family 
selected for testing using its normal mass production process for 
engines to be distributed into commerce. If, between the time the 
manufacturer is notified of a test order and the time the manufacturer 
finishes selecting test engines, the manufacturer implements any 
change(s) in its production processes, including quality control, which 
may reasonably be expected to affect the emissions of the engines 
selected, then the manufacturer must, during the audit, inform the 
Administrator of such changes. If the test engines are selected at a 
location where they do not have their operational and emission control 
systems installed, the test order will specify the manner and location 
for selection of components to complete assembly of the engines. The 
manufacturer must assemble these components onto the test engines using 
normal assembly and quality control procedures as documented by the 
manufacturer.
    (c) No quality control, testing, or assembly procedures will be used 
on the test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in assembly procedures pursuant 
to paragraph (b) of this section.
    (d) The test order may specify that an EPA enforcement officer(s) or 
authorized representative(s), rather than the manufacturer, select the 
test engines according to the method specified in the test order.
    (e) The order in which test engines are selected determines the 
order in which test results are to be used in applying the sampling plan 
in accordance with Sec. 89.510.
    (f) The manufacturer must keep on hand all untested engines, if any, 
comprising the test sample until a pass or fail decision is reached in 
accordance with Sec. 89.510(e). The manufacturer may ship any tested 
engine which has not failed the requirements as set forth in 
Sec. 89.510(b). However, once the manufacturer ships any test engine, it 
relinquishes the prerogative to conduct retests as provided in 
Sec. 89.508(i).

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.508  Test procedures.

    (a)(1) For nonroad engines subject to the provisions of this 
subpart, the prescribed test procedures are the nonroad engine 8-mode 
test procedure as described in subpart E of this part, the federal smoke 
test as described in part 86, subpart I of this chapter, and the 
particulate test procedure as adopted in the California Regulations for 
New 1996 and Later Heavy-Duty Off-Road Diesel Cycle Engines. This 
procedure is incorporated by reference. See Sec. 89.6.
    (2) The Administrator may, on the basis of a written application by 
a manufacturer, prescribe test procedures other than those specified in 
paragraph (a)(1) of this section for any nonroad engine he or she 
determines is not susceptible to satisfactory testing using the 
procedures specified in paragraph (a)(1) of this section.
    (b)(1) The manufacturer may not adjust, repair, prepare, or modify 
the engines selected for testing and may not perform any emission tests 
on engines selected for testing pursuant to the test order unless this 
adjustment, repair, preparation, modification, and/or tests are 
documented in the manufacturer's engine assembly and inspection 
procedures and are actually performed or unless these adjustments and/or 
tests are required or permitted under this subpart or are approved in 
advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted any engine 
parameter which the Administrator has determined to be subject to 
adjustment for certification and Selective Enforcement Audit testing in 
accordance with Sec. 89.108, to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator 
in accordance with Sec. 89.108, prior to the performance of any tests. 
However, if the idle speed parameter is one which the Administrator has 
determined to be subject to adjustment, the

[[Page 131]]

Administrator may not adjust it to any setting which causes a lower 
engine idle speed than would have been possible within the physically 
adjustable range of the idle speed parameter if the manufacturer had 
accumulated 125 hours of service on the engine under paragraph (c) of 
this section, all other parameters being identically adjusted for the 
purpose of the comparison. The manufacturer may be requested to supply 
information needed to establish an alternate minimum idle speed. The 
Administrator, in making or specifying these adjustments, may consider 
the effect of the deviation from the manufacturer's recommended setting 
on emission performance characteristics as well as the likelihood that 
similar settings will occur on in-use engines. In determining 
likelihood, the Administrator may consider factors such as, but not 
limited to, the effect of the adjustment on engine performance 
characteristics and surveillance information from similar in-use 
engines.
    (c) Service Accumulation. Prior to performing exhaust emission 
testing on an SEA test engine, the manufacturer may accumulate on each 
engine a number of hours of service equal to the greater of 125 hours or 
the number of hours the manufacturer accumulated during certification on 
the emission data engine corresponding to the family specified in the 
test order.
    (1) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of normal 
production engines. This service accumulation must be consistent with 
the new engine break-in instructions contained in the applicable owner's 
manual.
    (2) The manufacturer must accumulate service at a minimum rate of 16 
hours per engine during each 24-hour period, unless otherwise approved 
by the Administrator.
    (i) The first 24-hour period for service begins as soon as 
authorized checks, inspections, and preparations are completed on each 
engine.
    (ii) The minimum service or mileage accumulation rate does not apply 
on weekends or holidays.
    (iii) If the manufacturer's service or target is less than the 
minimum rate specified (16 hours per day), then the minimum daily 
accumulation rate is equal to the manufacturer's service target.
    (3) Service accumulation must be completed on a sufficient number of 
test engines during consecutive 24-hour periods to assure that the 
number of engines tested per day fulfills the requirements of paragraphs 
(g)(1) and (g)(2) of this section.
    (d) The manufacturer may not perform any maintenance on test engines 
after selection for testing, nor may the Administrator allow deletion of 
any engine from the test sequence, unless requested by the manufacturer 
and approved by the Administrator before any engine maintenance or 
deletion.
    (e) The manufacturer must expeditiously ship test engines from the 
point of selection to the test facility. If the test facility is not 
located at or in close proximity to the point of selection, the 
manufacturer must assure that test engines arrive at the test facility 
within 24 hours of selection. The Administrator may approve more time 
for shipment based upon a request by the manufacturer accompanied by a 
satisfactory justification.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or its 
deletion from the test sequence.
    (g) Whenever a manufacturer conducts testing pursuant to a test 
order issued under this subpart, the manufacturer must notify the 
Administrator within one working day of receipt of the test order as to 
which test facility will be used to comply with the test order. If no 
test cells are available at a desired facility, the manufacturer must 
provide alternate testing capability satisfactory to the Administrator.
    (1) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of 7,500 or greater must 
complete emission testing at a minimum rate of two engines per 24-hour 
period, including each voided test and each smoke test.
    (2) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year

[[Page 132]]

of less than 7,500 must complete emission testing at a minimum rate of 
one engine per 24-hour period, including each voided test and each smoke 
test.
    (3) The Administrator may approve a lower daily rate of emission 
testing based upon a request by a manufacturer accompanied by a 
satisfactory justification.
    (h) The manufacturer must perform test engine selection, shipping, 
preparation, service accumulation, and testing in such a manner as to 
assure that the audit is performed in an expeditious manner.
    (i) Retesting. (1) The manufacturer may retest any engines tested 
during a Selective Enforcement Audit once a fail decision for the audit 
has been reached in accordance with Sec. 89.510(e).
    (2) The Administrator may approve retesting at other times based 
upon a request by the manufacturer accompanied by a satisfactory 
justification.
    (3) The manufacturer may retest each engine a total of three times. 
The manufacturer must test each engine or vehicle the same number of 
times. The manufacturer may accumulate additional service before 
conducting a retest, subject to the provisions of paragraph (c) of this 
section.
    (j) A manufacturer must test engines with the test procedure 
specified in subpart E of this part to demonstrate compliance with the 
exhaust emission standard (or applicable FEL) for oxides of nitrogen. If 
alternate procedures were used in certification pursuant to Sec. 89.114, 
then those alternate procedures must be used.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.509  Calculation and reporting of test results.

    (a) Initial test results are calculated following the applicable 
test procedure specified in Sec. 89.508(a). The manufacturer rounds 
these results, in accordance with ASTM E29-93a, to the number of decimal 
places contained in the applicable emission standard expressed to one 
additional significant figure. This procedure has been incorporated by 
reference. See Sec. 89.6.
    (b) Final test results are calculated by summing the initial test 
results derived in paragraph (a) of this section for each test engine, 
dividing by the number of tests conducted on the engine, and rounding in 
accordance with the procedure specified in paragraph (a) of this section 
to the same number of decimal places contained in the applicable 
standard expressed to one additional significant figure.
    (c) Within five working days after completion of testing of all 
engines pursuant to a test order, the manufacturer must submit to the 
Administrator a report which includes the following information:
    (1) The location and description of the manufacturer's exhaust 
emission test facilities which were utilized to conduct testing reported 
pursuant to this section;
    (2) The applicable standards and/or FEL against which the engines 
were tested;
    (3) A description of the engine and its associated emission-related 
component selection method used;
    (4) For each test conducted;
    (i) Test engine description, including:
    (A) Configuration and engine family identification;
    (B) Year, make, and build date;
    (C) Engine identification number; and
    (D) Number of hours of service accumulated on engine prior to 
testing;
    (ii) Location where service accumulation was conducted and 
description of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all exhaust 
emission tests, whether valid or invalid, and the reason for 
invalidation, if applicable;
    (iv) A complete description of any modification, repair, 
preparation, maintenance, and/or testing which was performed on the test 
engine and has not been reported pursuant to any other paragraph of this 
subpart and will not be performed on all other production engines;
    (v) Where an engine was deleted from the test sequence by 
authorization of the Administrator, the reason for the deletion;
    (vi) Any other information the Administrator may request relevant to 
the determination as to whether the new engines being manufactured by 
the

[[Page 133]]

manufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued; and
    (5) The following statement and endorsement:

    This report is submitted pursuant to sections 213 and 208 of the 
Clean Air Act. This Selective Enforcement Audit was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
89 et seq. and the conditions of the test order. No emission-related 
changes to production processes or quality control procedures for the 
engine family tested have been made between receipt of the test order 
and conclusion of the audit. All data and information reported herein 
is, to the best of (Company Name) knowledge, true and accurate. I am 
aware of the penalties associated with violations of the Clean Air Act 
and the regulations thereunder. (Authorized Company Representative.)

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]

Sec. 89.510  Compliance with acceptable quality level and passing and 
          failing criteria for selective enforcement audits.

    (a) The prescribed acceptable quality level is 40 percent.
    (b) A failed engine is one whose final test results pursuant to 
Sec. 89.509(b), for one or more of the applicable pollutants, exceed the 
applicable emission standard or family emission level.
    (c) The manufacturer must test engines comprising the test sample 
until a pass decision is reached for all pollutants or a fail decision 
is reached for one pollutant. A pass decision is reached when the 
cumulative number of failed engines, as defined in paragraph (b) of this 
section, for each pollutant is less than or equal to the pass decision 
number, as defined in paragraph (d) of this section, appropriate to the 
cumulative number of engines tested. A fail decision is reached when the 
cumulative number of failed engines for one or more pollutants is 
greater than or equal to the fail decision number, as defined in 
paragraph (d) of this section, appropriate to the cumulative number of 
engines tested.
    (d) The pass and fail decision numbers associated with the 
cumulative number of engines tested are determined by using the tables 
in appendix A to this subpart, ``Sampling Plans for Selective 
Enforcement Auditing of Nonroad Engines,'' appropriate to the projected 
sales as made by the manufacturer in its report to EPA under 
Sec. 89.505(c)(1). In the tables in appendix A to this subpart, sampling 
plan ``stage'' refers to the cumulative number of engines tested. Once a 
pass or fail decision has been made for a particular pollutant, the 
number of engines with final test results exceeding the emission 
standard for that pollutant shall not be considered any further for the 
purposes of the audit.
    (e) Passing or failing of an SEA occurs when the decision is made on 
the last engine required to make a decision under paragraph (c) of this 
section.
    (f) The Administrator may terminate testing earlier than required in 
paragraph (c) of this section.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.511  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is suspended with respect to any 
engine failing pursuant to paragraph (b) of Sec. 89.510 effective from 
the time that testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformity for 
a family which does not pass an SEA, pursuant to paragraph 
Sec. 89.510(c), based on the first test or all tests conducted on each 
engine. This suspension will not occur before ten days after failure of 
the audit, unless the manufacturer requests an earlier suspension.
    (c) If the results of testing pursuant to these regulations indicate 
that engines of a particular family produced at one plant of a 
manufacturer do not conform to the regulations with respect to which the 
certificate of conformity was issued, the Administrator may suspend the 
certificate of conformity with respect to that family for engines 
manufactured by the manufacturer at all other plants.
    (d) Notwithstanding the fact that engines described in the 
application may be covered by a certificate of conformity, the 
Administrator may suspend such certificate immediately in whole or in 
part if the Administrator finds any one of the following infractions to 
be substantial:

[[Page 134]]

    (1) The manufacturer refuses to comply with the provisions of a test 
order issued by the Administrator under Sec. 89.503.
    (2) The manufacturer refuses to comply with any of the requirements 
of this subpart.
    (3) The manufacturer submits false or incomplete information in any 
report or information provided to the Administrator under this subpart.
    (4) The manufacturer renders inaccurate any test data submitted 
under this subpart.
    (5) An EPA enforcement officer(s) or EPA authorized 
representative(s) is denied the opportunity to conduct activities 
related to entry and access as authorized in this subpart and a warrant 
or court order is presented to the manufacturer or the party in charge 
of a facility in question.
    (6) An EPA enforcement officer(s) or EPA authorized 
representative(s) is unable to conduct activities related to entry and 
access as authorized in Sec. 89.506 because a manufacturer has located a 
facility in a foreign jurisdiction where local law prohibits those 
activities.
    (e) The Administrator must notify the manufacturer in writing of any 
suspension or revocation of a certificate of conformity in whole or in 
part; a suspension or revocation is effective upon receipt of the 
notification or ten days, except that the certificate is immediately 
suspended with respect to any failed engines as provided for in 
paragraph (a) of this section.
    (f) The Administrator may revoke a certificate of conformity for a 
family when the certificate has been suspended pursuant to paragraph (b) 
or (c) of this section if the proposed remedy for the nonconformity, as 
reported by the manufacturer to the Administrator, is one requiring a 
design change or changes to the engine and/or emission control system as 
described in the application for certification of the affected family.
    (g) Once a certificate has been suspended for a failed engine, as 
provided for in paragraph (a) of this section, the manufacturer must 
take the following actions before the certificate is reinstated for that 
failed engine:
    (1) Remedy the nonconformity.
    (2) Demonstrate that the engine conforms to applicable standards or 
family emission levels by retesting the engine in accordance with these 
regulations.
    (3) Submit a written report to the Administrator, after successful 
completion of testing on the failed engine, which contains a description 
of the remedy and test results for each engine in addition to other 
information that may be required by this part.
    (h) Once a certificate for a failed family has been suspended 
pursuant to paragraph (b) or (c) of this section, the manufacturer must 
take the following actions before the Administrator will consider 
reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the engines, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
future occurrences of the problem, and states the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with these regulations 
by testing engines selected from normal production runs of that engine 
family, at the plant(s), port facility(ies) or associated storage 
facility(ies) specified by the Administrator, in accordance with the 
conditions specified in the initial test order. If the manufacturer 
elects to continue testing individual engines after suspension of a 
certificate, the certificate is reinstated for an engine actually 
determined to be in conformance with the applicable standards or family 
emission levels through testing in accordance with the applicable test 
procedures, provided that the Administrator has not revoked the 
certificate pursuant to paragraph (f) of this section.
    (i) Once the certificate for a family has been revoked under 
paragraph (f) of this section and the manufacturer desires to continue 
introduction into commerce of a modified version of that family, the 
following actions must be taken before the Administrator may consider 
issuing a certificate for that modified family:

[[Page 135]]

    (1) If the Administrator determines that the proposed change(s) in 
engine design may have an effect on emission performance deterioration, 
the Administrator will notify the manufacturer, within five working days 
after receipt of the report in paragraph (g) of this section, whether 
subsequent testing under this subpart is sufficient to evaluate the 
proposed change or changes or whether additional testing is required; 
and
    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer must demonstrate that the modified 
engine family does in fact conform with these regulations by testing 
engines selected from normal production runs of that modified engine 
family in accordance with the conditions specified in the initial test 
order. If the subsequent audit results in passing of the audit, the 
Administrator will reissue the certificate or issue a new certificate, 
as the case may be, to include that family, provided that the 
manufacturer has satisfied the testing requirements of paragraph (i)(1) 
of this section. If the subsequent audit is failed, the revocation 
remains in effect. Any design change approvals under this subpart are 
limited to the family affected by the test order.
    (j) At any time subsequent to an initial suspension of a certificate 
of conformity for a test engine pursuant to paragraph (a) of this 
section, but not later than 15 days (or such other period as may be 
allowed by the Administrator) after notification of the Administrator's 
decision to suspend or revoke a certificate of conformity in whole or in 
part pursuant to paragraph (b), (c), or (f) of this section, a 
manufacturer may request a hearing as to whether the tests have been 
properly conducted or any sampling methods have been properly applied.
    (k) Any suspension of a certificate of conformity under paragraph 
(d) of this section:
    (1) will be in writing and will include the offer of an opportunity 
for a hearing conducted in accordance with Secs. 89.512, 89.513, and 
89.514 and
    (2) need not apply to engines no longer in the hands of the 
manufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section and prior to the commencement of a 
hearing under Sec. 89.512, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend, revoke, or 
void the certificate was based on erroneous information, the 
Administrator will reinstate the certificate.
    (m) To permit a manufacturer to avoid storing non-test engines when 
conducting an audit of a family subsequent to a failure of an SEA and 
while reauditing of the failed family, it may request that the 
Administrator conditionally reinstate the certificate for that family. 
The Administrator may reinstate the certificate subject to the condition 
that the manufacturer consents to recall all engines of that family 
produced from the time the certificate is conditionally reinstated if 
the family fails the subsequent audit at the level of the standard and 
to remedy any nonconformity at no expense to the owner.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.512  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator's decision 
under Sec. 89.511 (b), (c), (d), or (f) to suspend or revoke a 
certificate or disputes the basis for an automatic suspension pursuant 
to Sec. 89.511 (a), the manufacturer may request a public hearing.
    (b) The manufacturer's request must be filed with the Administrator 
not later than 15 days after the Administrator's notification of the 
decision to suspend or revoke, unless otherwise specified by the 
Administrator. The manufacturer must simultaneously serve two copies of 
this request upon the Director of the Engine Programs and Compliance 
Division and file two copies with the Hearing Clerk of the Agency. 
Failure of the manufacturer to request a hearing within the time 
provided constitutes a waiver of the right to a hearing. Subsequent to 
the expiration of the period for requesting a hearing as of right, the 
Administrator may, at her or his discretion and for good cause shown, 
grant the manufacturer a

[[Page 136]]

hearing to contest the suspension or revocation.
    (c) The manufacturer's request for a public hearing must include:
    (1) A statement as to which engine configuration(s) within a family 
is to be the subject of the hearing;
    (2) A concise statement of the issues to be raised by the 
manufacturer at the hearing, except that in the case of the hearing 
requested under Sec. 89.511(j), the hearing is restricted to the 
following issues:
    (i) Whether tests have been properly conducted, specifically, 
whether the tests were conducted in accordance with applicable 
regulations under this part and whether test equipment was properly 
calibrated and functioning;
    (ii) Whether sampling plans have been properly applied, 
specifically, whether sampling procedures specified in appendix A of 
this subpart were followed and whether there exists a basis for 
distinguishing engines produced at plants other than the one from which 
engines were selected for testing which would invalidate the 
Administrator's decision under Sec. 89.511(c);
    (3) A statement specifying reasons why the manufacturer believes it 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the manufacturer's 
position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]

Sec. 89.513  Administrative procedures for public hearing.

    (a) The Presiding Officer is an Administrative Law Judge appointed 
pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as amended).
    (b) The Judicial Officer is an officer or employee of the Agency 
appointed as a Judicial Officer by the Administrator, pursuant to this 
section, who meets the qualifications and performs functions as follows:
    (1) Qualifications. A Judicial Officer may be a permanent or 
temporary employee of the Agency who performs other duties for the 
Agency. The Judicial Officer may not be employed by the Office of 
Enforcement or have any connection with the preparation or presentation 
of evidence for a hearing held pursuant to this subpart. The Judicial 
Officer must be a graduate of an accredited law school and a member in 
good standing of a recognized Bar Association of any state or the 
District of Columbia.
    (2) Functions. The Administrator may consult with the Judicial 
Officer or delegate all or part of the Administrator's authority to act 
in a given case under this section to a Judicial Officer, provided that 
this delegation does not preclude the Judicial Officer from referring 
any motion or case to the Administrator when the Judicial Officer 
determines such referral to be appropriate.
    (c) For the purposes of this section, one or more Judicial Officers 
may be designated. As work requires, a Judicial Officer may be 
designated to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requested under 
Sec. 89.511(j), when it clearly appears from the data and other 
information contained in the request for a hearing that no genuine and 
substantial question of fact or law exists with respect to the issues 
specified in Sec. 89.512(c)(2), the Administrator may enter an order 
denying the request for a hearing and reaffirming the original decision 
to suspend or revoke a certificate of conformity.
    (2) In the case of a hearing requested under Sec. 89.512 to 
challenge a suspension of a certificate of conformity for the reasons 
specified in Sec. 89.511(d), when it clearly appears from the data and 
other information contained in the request for the hearing that no 
genuine and substantial question of fact or law exists with respect to 
the issue of whether the refusal to comply with the provisions of a test 
order or any other requirement of Sec. 89.503 was caused by conditions 
and circumstances outside the control of the manufacturer, the 
Administrator may enter an order denying the request for a hearing and 
suspending the certificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of this 
section has the

[[Page 137]]

force and effect of a final decision of the Administrator, as issued 
pursuant to Sec. 89.515.
    (4) If the Administrator determines that a genuine and substantial 
question of fact or law does exist with respect to any of the issues 
referred to in paragraphs (d)(1) and (d)(2) of this section, the 
Administrator will grant the request for a hearing and publish a notice 
of public hearing in the Federal Register or by such other means as the 
Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section and Sec. 89.512(c) must be filed with the Hearing Clerk of the 
Agency. Filing is considered timely if mailed, as determined by the 
postmark, to the Hearing Clerk within the time allowed by this section 
and Sec. 89.512(b). If filing is to be accomplished by mailing, the 
documents must be sent to the address set forth in the notice of public 
hearing referred to in paragraph (d)(4) of this section.
    (2) To the maximum extent possible, testimony will be presented in 
written form. Copies of written testimony will be served upon all 
parties as soon as practicable prior to the start of the hearing. A 
certificate of service will be provided on or accompany each document or 
paper filed with the Hearing Clerk. Documents to be served upon the 
Director of the Engine Programs and Compliance Division must be sent by 
registered mail to: Director, Engine Programs and Compliance Division 
(6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460. Service by registered mail is complete upon 
mailing.
    (f) Computation of time. (1) In computing any period of time 
prescribed or allowed by this section, except as otherwise provided, the 
day of the act or event from which the designated period of time begins 
to run is not included. Saturdays, Sundays, and federal legal holidays 
are included in computing the period allowed for the filing of any 
document or paper, except that when the period expires on a Saturday, 
Sunday, or federal legal holiday, the period is extended to include the 
next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act is computed from the time of service, except that 
when service is accomplished by mail, three days will be added to the 
prescribed period.
    (g) Consolidation. The Administrator or the Presiding Officer in his 
discretion may consolidate two or more proceedings to be held under this 
section for the purpose of resolving one or more issues whenever it 
appears that consolidation will expedite or simplify consideration of 
these issues. Consolidation does not affect the right of any party to 
raise issues that could have been raised if consolidation had not 
occurred.
    (h) Hearing date. To the extent possible hearings under Sec. 89.512 
will be scheduled to commence within 14 days of receipt of the 
application in Sec. 89.512.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]

Sec. 89.514  Hearing procedures.

    The procedures provided in Sec. 86.1014-84 (i) to (s) apply for 
hearings requested pursuant to Sec. 89.512, suspension, revocation, or 
voiding of a certificate of conformity.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.515  Appeal of hearing decision.

    The procedures provided in Sec. 86.1014-84 (t) to (aa) apply for 
appeals filed with respect to hearings held pursuant to Sec. 89.514.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.516  Treatment of confidential information.

    The provisions for treatment of confidential information as 
described in Sec. 89.7 apply.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

[[Page 138]]

    Appendix A to Subpart F of Part 89--Sampling Plans for Selective 
                 Enforcement Auditing of Nonroad Engines

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
         Annual engine family sales                   Code letter
------------------------------------------------------------------------
20-50.......................................  AA1
20-99.......................................  A
100-299.....................................  B
300-299.....................................  C
500 or greater..............................  D
------------------------------------------------------------------------
\1\ A manufacturer may optionally use either the sampling plan for code
  letter ``AA'' or sampling plan for code letter ``A'' for Selective
  Enforcement Audits of engine families with annual sales between 20 and
  50 engines. Additionally, the manufacturer may switch between these
  plans during the audit.


              Table 2--Sampling Plan for Code Letter ``AA''
                      [Sample inspection criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................            0        (\2\)
4.............................................            0        (\2\)
5.............................................            1            5
6.............................................            1            6
7.............................................            2            6
8.............................................            2            7
9.............................................            3            7
10............................................            3            8
11............................................            4            8
12............................................            4            9
13............................................            5            9
14............................................            5           10
15............................................            6           10
16............................................            6           10
17............................................            7           10
18............................................            8           10
19............................................            8           10
20............................................            9           10
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 3--Sampling Plan for Code Letter ``A''
                      [Sample inspection criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................        (\1\)        (\2\)
4.............................................            0        (\2\)
5.............................................            0        (\2\)
6.............................................            1            6
7.............................................            1            7
8.............................................            2            7
9.............................................            2            8
10............................................            3            8
11............................................            3            8
12............................................            4            9
13............................................            5           10
14............................................            5           10
15............................................            6           11
16............................................            6           11
17............................................            7           12
18............................................            7           12
19............................................            8           13
20............................................            8           13
21............................................            9           14
22............................................           10           14
23............................................           10           15
24............................................           11           15
25............................................           11           16
26............................................           12           16
27............................................           12           17
28............................................           13           17
29............................................           14           17
30............................................           16           17
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 4--Sampling Plan for Code Letter ``B''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................        (\1\)        (\2\)
4.............................................        (\1\)        (\2\)
5.............................................            0        (\2\)
6.............................................            1            6
7.............................................            1            7
8.............................................            2            7
9.............................................            2            8
10............................................            3            8
11............................................            3            9
12............................................            4            9
13............................................            4           10
14............................................            5           10
15............................................            5           11
16............................................            6           12
17............................................            6           12
18............................................            7           13
19............................................            8           13
20............................................            8           14
21............................................            9           14
22............................................            9           15
23............................................           10           15
24............................................           10           16
25............................................           11           16
26............................................           11           17
27............................................           12           17
28............................................           12           18
29............................................           13           18
30............................................           13           19
31............................................           14           19
32............................................           14           20
33............................................           15           20
34............................................           16           21
35............................................           16           21
36............................................           17           22
37............................................           17           22
38............................................           18           22
39............................................           18           22
40............................................           21          22
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


[[Page 139]]


              Table 5--Sampling Plan for Code Letter ``C''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................        (\1\)        (\2\)
4.............................................        (\1\)        (\2\)
5.............................................            0        (\2\)
6.............................................            0            6
7.............................................            1            7
8.............................................            2            7
9.............................................            2            8
10............................................            3            9
11............................................            3            9
12............................................            4           10
13............................................            4           10
14............................................            5           11
15............................................            5           11
16............................................            6           12
17............................................            6           12
18............................................            7           13
19............................................            7           13
20............................................            8           14
21............................................            8           14
22............................................            9           15
23............................................           10           15
24............................................           10           16
25............................................           11           16
26............................................           11           17
27............................................           12           17
28............................................           12           18
29............................................           13           18
30............................................           13           19
31............................................           14           19
32............................................           14           20
33............................................           15           20
34............................................           15           21
35............................................           16           21
36............................................           16           22
37............................................           17           22
38............................................           18           23
39............................................           18           23
40............................................           19           24
41............................................           19           24
42............................................           20           25
43............................................           20           25
44............................................           21           26
45............................................           21           27
46............................................           22           27
47............................................           22           27
48............................................           23           27
49............................................           23           27
50............................................           26          27
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 6--Sampling Plan for Code Letter ``D''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................        (\1\)        (\2\)
4.............................................        (\1\)        (\2\)
5.............................................            0        (\2\)
6.............................................            0            6
7.............................................            1            7
8.............................................            2            8
9.............................................            2            8
10............................................            3            9
11............................................            3            9
12............................................            4           10
13............................................            4           10
14............................................            5           11
15............................................            5           11
16............................................            6           12
17............................................            6           12
18............................................            7           13
19............................................            7           13
20............................................            8           14
21............................................            8           14
22............................................            9           15
23............................................            9           15
24............................................           10           16
25............................................           11           16
26............................................           11           17
27............................................           12           17
28............................................           12           18
29............................................           13           19
30............................................           13           19
31............................................           14           20
32............................................           14           20
33............................................           15           21
34............................................           15           21
35............................................           16           22
36............................................           16           22
37............................................           17           23
38............................................           17           23
39............................................           18           24
40............................................           18           24
41............................................           19           25
42............................................           19           26
43............................................           20           26
44............................................           21           27
45............................................           21           27
46............................................           22           28
47............................................           22           28
48............................................           23           29
49............................................           23           29
50............................................           24           30
51............................................           24           30
52............................................           25           31
53............................................           25           31
54............................................           26           32
55............................................           26           32
56............................................           27           33
57............................................           27           33
58............................................           28           33
59............................................           28           33
60............................................           32          33
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.

         Subpart G--Importation of Nonconforming Nonroad Engines

Sec. 89.601  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
nonroad engines for which the Administrator has promulgated regulations 
under this part prescribing emission standards and nonroad vehicles and 
equipment containing such nonroad engines that

[[Page 140]]

are offered for importation or imported into the United States, but 
which engines, at the time of conditional importation, are not covered 
by certificates of conformity issued under section 213 and section 
206(a) of the Clean Air Act as amended (that is, which are nonconforming 
nonroad engines as defined in Sec. 89.602), and this part. Compliance 
with regulations under this subpart does not relieve any person or 
entity from compliance with other applicable provisions of the Clean Air 
Act.
    (b) Regulations prescribing further procedures for the importation 
of nonroad engines and nonroad vehicles and equipment into the customs 
territory of the United States, as defined in 19 U.S.C. 1202, are set 
forth in U.S. Bureau of Customs regulations.
    (c) For the purposes of this subpart, the term ``nonroad engine'' 
includes all nonroad engines incorporated into nonroad equipment or 
nonroad vehicles at the time they are imported or offered for import 
into the United States.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.602  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Certificate of conformity. The document issued by the Administrator 
under section 213 and section 206(a) of the Act.
    Currently valid certificate of conformity. A certificate of 
conformity for which the current date is within the effective period as 
specified on the certificate of conformity, and which has not been 
withdrawn, superseded, voided, suspended, revoked, or otherwise rendered 
invalid.
    Fifteen working day hold period. The period of time between a 
request for final admission and the automatic granting of final 
admission (unless EPA intervenes) for a nonconforming nonroad engine 
conditionally imported pursuant to Sec. 89.605 or Sec. 89.609. Day one 
of the hold period is the first working day (see definition for 
``working day'' in this section) after the Engine Programs and 
Compliance Division of EPA receives a complete and valid application for 
final admission.
    Independent commercial importer (ICI). An importer who is not an 
original engine manufacturer (OEM) (see definition below), but is the 
entity in whose name a certificate of conformity for a class of nonroad 
engines has been issued.
    Model year for imported engines. The manufacturer's annual 
production period (as determined by the Administrator) which includes 
January 1 of the calendar year; provided, that if the manufacturer has 
no annual production period, the term ``model year'' means the calendar 
year in which a nonroad engine is modified. An independent commercial 
importer (ICI) is deemed to have produced a nonroad engine when the ICI 
has modified (including labeling) the nonconforming nonroad engine to 
meet applicable emission requirements.
    Nonconforming nonroad engine. A nonroad engine which is not covered 
by a certificate of conformity prior to final or conditional admission 
(or for which such coverage has not been adequately demonstrated to EPA) 
and which has not been finally admitted into the United States under the 
provisions of Sec. 89.605 or Sec. 89.609.
    Original engine manufacturer (OEM). The entity which originally 
manufactured the nonroad engine.
    Original production (OP) year. The calendar year in which the 
nonroad engine was originally produced by the OEM.
    Original production (OP) years old. The age of a nonroad engine as 
determined by subtracting the original production year of the nonroad 
engine from the calendar year of importation.
    Production changes. Those changes in nonroad engine configuration, 
equipment, or calibration which are made by an OEM or ICI in the course 
of nonroad engine production and required to be reported under 
Sec. 89.123.
    United States. United States includes the customs territory of the 
United States as defined in 19 U.S.C. 1202, and the Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands.
    Useful life. A period of time as specified in subpart B of this part 
which for a nonconforming nonroad engine begins at the time of resale 
(for a nonroad engine owned by the ICI at the

[[Page 141]]

time of importation) or release to the owner (for a nonroad engine not 
owned by the ICI at the time of importation) of the nonroad engine by 
the ICI after modification and/or testing pursuant to Sec. 89.605 or 
Sec. 89.609.
    Working day. Any day on which federal government offices are open 
for normal business. Saturdays, Sundays, and official federal holidays 
are not working days.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]

Sec. 89.603  General requirements for importation of nonconforming 
          nonroad engines.

    (a) A nonconforming nonroad engine offered for importation into the 
United States is to be imported only by an Independent Commercial 
Importer (ICI) who is a holder of a currently valid certificate of 
conformity unless an exemption or exclusion is granted by the 
Administrator under Sec. 89.611 of this subpart. For a nonroad engine 
imported pursuant to Sec. 89.605, the ICI must hold a currently valid 
certificate of conformity for that specific nonroad engine model.
    (b) Any nonroad engine imported into the United States must have a 
legible unique engine identification number permanently affixed to or 
engraved on the engine.
    (c) Final admission may not be granted unless:
    (1) The nonroad engine is covered by a certificate of conformity 
issued under subpart B of this part in the name of the ICI and the ICI 
has complied with all requirements of Sec. 89.605; or
    (2) The nonroad engine is modified and emission tested in accordance 
with the provisions of Sec. 89.609 and the ICI has complied with all 
other requirements of Sec. 89.609; or
    (3) The nonroad engine is exempted or excluded under Sec. 89.611.
    (d) The ICI must submit to the Engine Programs and Compliance 
Division of EPA a copy of all approved applications for certification 
used to obtain certificates of conformity for the purpose of importing 
nonconforming nonroad engines pursuant to Sec. 89.605 or Sec. 89.609. In 
addition, the ICI must submit to the Engine Programs and Compliance 
Division a copy of all approved production changes implemented pursuant 
to Sec. 89.605 or subpart B of this part. Documentation submitted 
pursuant to this paragraph (d) must be provided to the Engine Programs 
and Compliance Division within 10 working days of approval of the 
certification application (or production change) by EPA.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]

Sec. 89.604  Conditional admission.

    (a) A nonroad engine offered for importation under Sec. 89.605 or 
Sec. 89.609 may be conditionally admitted into the United States. These 
engines are refused final admission, unless at the time of conditional 
admission the importer has submitted to the Administrator a written 
report that the subject nonroad engine has been permitted conditional 
admission pending EPA approval of its application for final admission 
under Sec. 89.605 or Sec. 89.609. This written report is to contain the 
following:
    (1) Identification of the importer of the nonroad engine and the 
importer's address, telephone number, and taxpayer identification 
number;
    (2) Identification of the nonroad engine owner, the owner's address, 
telephone number, and taxpayer identification number;
    (3) Identification of the nonroad engine including make, model, 
identification number, and original production year;
    (4) Information indicating under what provision of these regulations 
the nonroad engine is to be imported;
    (5) Identification of the place where the subject nonroad engine is 
to be stored until EPA approval of the importer's application to the 
Administrator for final admission;
    (6) Authorization for EPA enforcement officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder;
    (7) Identification of the Independent Commercial Importer's (ICI) 
certificate of conformity that permits the ICI to import that nonroad 
engine (for importation under Sec. 89.605 or Sec. 89.609); and

[[Page 142]]

    (8) Such other information as is deemed necessary by the 
Administrator.
    (b) EPA will not require a U.S. Customs Service bond for a 
nonconforming nonroad engine which is imported under Sec. 89.605 or 
Sec. 89.609. The period of conditional admission may not exceed 120 
days. Nonroad engines imported under Sec. 89.605 or Sec. 89.609 may not 
be operated during the period of conditional admission except for that 
operation necessary to comply with the requirements of this subpart. 
During the period of conditional admission applicable to Sec. 89.605 or 
Sec. 89.609, the importer must store the nonroad engine at a location 
where the Administrator has reasonable access to the nonroad engine for 
inspection.
    (c) During the period of conditional admission under Sec. 89.605 or 
Sec. 89.609, an ICI may transfer responsibility of a nonroad engine to 
another qualified ICI for the purposes of complying with this subpart.
    (1) The transferee ICI must be a holder of a currently valid 
certificate of conformity for the specific nonroad engine being 
transferred or be authorized to import the nonroad engine pursuant to 
Sec. 89.609 as of the transfer date. The transferee ICI must comply with 
all the requirements of Sec. 89.603, Sec. 89.604, and either Sec. 89.605 
or Sec. 89.609, as applicable.
    (2) For the purpose of this subpart, the transferee ICI has 
``imported'' the nonroad engine as of the transfer date as designated in 
a written record that is signed by both ICIs.
    (3) The ICI that originally imported the nonroad engine is 
responsible for all requirements of this subpart from the actual date of 
importation until the date of transfer as designated in the written 
record. The transferee ICI is responsible for all requirements of this 
subpart beginning on the date of transfer.
    (4) A copy of the written record is to be submitted to the Engine 
Programs and Compliance Division of EPA within five working days of the 
transfer date.
    (d) Notwithstanding any other requirement of this subpart or U.S. 
Customs Service regulations, an ICI may also assume responsibility for 
the modification and testing of a nonconforming nonroad engine which was 
previously imported by another party. The ICI must be a holder of a 
currently valid certificate of conformity for that specific nonroad 
engine or authorized to import it pursuant to Sec. 89.609 at the time of 
assuming such responsibility. The ICI must comply with all the 
requirements of Sec. 89.603, Sec. 89.604, and either Sec. 89.605 or 
Sec. 89.609, as applicable. For the purposes of this subpart, the ICI 
has ``imported'' the nonroad engine as of the date the ICI assumes 
responsibility for the modification and testing of the nonroad engine. 
The ICI must submit written notification to the Engine Programs and 
Compliance Division of EPA within 10 working days of the assumption of 
that responsibility.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]

Sec. 89.605  Final admission of certified nonroad engines.

    (a) A nonroad engine may be finally admitted into the United States 
upon approval of the ICI's application to the Administrator. The 
application is made by completing EPA forms in accordance with EPA 
instructions. The application contains:
    (1) The information required in Sec. 89.604(a);
    (2) Information demonstrating that the nonroad engine has been 
modified in accordance with a valid certificate of conformity. 
Demonstration is made in one of the following ways:
    (i) The ICI attests that the nonroad engine has been modified in 
accordance with the provisions of the ICI's certificate of conformity; 
presents to EPA a statement written by the applicable Original Engine 
Manufacturer that the Original Engine Manufacturer must provide to the 
ICI, and to EPA, information concerning production changes to the class 
of nonroad engines described in the ICI's application for certification; 
delivers to the Engine Programs and Compliance Division of EPA 
notification by the ICI of any production changes already implemented by 
the Original Engine Manufacturer at the time of application and their 
effect on emissions; and obtains from EPA written approval to use this 
demonstration option; or
    (ii) The ICI attests that the nonroad engine has been modified in 
accordance

[[Page 143]]

with the provisions of the ICI's certificate of conformity. The ICI also 
attests that it has conducted, within 120 days of entry, an applicable 
and valid emission test on every third nonroad engine imported under 
that certificate of conformity to demonstrate compliance with Federal 
emission requirements. The test is to be conducted at a laboratory 
located within the United States. Sequencing of the tests is determined 
by the date of importation of each nonroad engine beginning with the 
prototype nonroad engine used to obtain the applicable certificate of 
conformity. Should the ICI exceed a threshold of 300 nonroad engines 
imported under the certificate of conformity without adjustments or 
other changes in accordance with paragraph (a)(3) of this section, the 
amount of required testing is reduced to every fifth nonroad engine.
    (3) The results of every emission test which the ICI conducted on 
the nonroad engine pursuant to paragraph (a)(2)(ii) of this section. 
Should a subject nonroad engine fail an emission test at any time, the 
following procedures are applicable:
    (i) The ICI may either:
    (A) Conduct one retest that involves no adjustment of the nonroad 
engine from the previous test (for example, adjusting the RPM, timing, 
air-to-fuel ratio, and so forth) other than adjustments to adjustable 
parameters that, upon inspection, were found to be out of tolerance. 
When such an allowable adjustment is made, the parameter may be reset 
only to the specified (that is, nominal) value (and not any other value 
within the tolerance band); or
    (B) Initiate a change in production (production change) under the 
provisions of subpart B of this part that causes the nonroad engine to 
meet federal emission requirements.
    (ii) If the ICI chooses to retest in accordance with paragraph 
(a)(3)(i)(A) of this section:
    (A) The retests are to be completed no later than five working days 
subsequent to the first emission test;
    (B) Should the subject nonroad engine fail the second emission test, 
then the ICI must initiate a change in production (a production change) 
under the provisions of subpart B of this part that causes the nonroad 
engine to meet federal emission requirements.
    (iii) If the ICI chooses to initiate a change in production (a 
production change) under the provisions of subpart B of this part that 
causes the nonroad engine to meet federal requirements, a change 
involving adjustments of adjustable nonroad engine parameters (for 
example, adjusting the RPM, timing, air/fuel ratio) represents a change 
in the specified (that is, nominal) value to be deemed acceptable by 
EPA.
    (iv) A production change made in accordance with this section is to 
be implemented on all subsequent nonroad engines imported under the 
certificate of conformity after the date of importation of the nonroad 
engine which gave rise to the production change.
    (v) Commencing with the first nonroad engine receiving the 
production change, every third nonroad engine imported under the 
certificate of conformity is to be emission tested to demonstrate 
compliance with federal emission requirements until, as in paragraph 
(a)(2)(ii) of this section, a threshold of 300 nonroad engines imported 
under the certificate of conformity is exceeded without adjustments or 
other changes in accordance with paragraph (a)(3)(i)(A) of this section, 
at which time the amount of required emission testing is reduced to 
every fifth nonroad engine.
    (vi) A report concerning these production changes is to be made to 
the Engine Programs and Compliance Division of EPA within ten working 
days of initiation of the production change. The cause of any failure of 
an emission test is to be identified, if known;
    (4) The applicable deterioration factor, if any;
    (5) The emission test results adjusted by the deterioration factor;
    (6) Other information that may be specified by applicable 
regulations or on the certificate of conformity under which the nonroad 
engine has been modified in order to assure compliance with requirements 
of the Act;
    (7) All information required under Sec. 89.610 related to 
maintenance, warranties, and labeling;

[[Page 144]]

    (8) An attestation by the ICI that the ICI is responsible for the 
nonroad engine's compliance with federal emission requirements, 
regardless of whether the ICI owns the nonroad engine imported under 
this section;
    (9) The name, address, and telephone number of the person who the 
ICI prefers to receive EPA notification under Sec. 89.605(c);
    (10) An attestation by the ICI that all requirements of Sec. 89.607 
and Sec. 89.610 have been met; and
    (11) Other information as is deemed necessary by the Administrator.
    (b) EPA approval for final admission of a nonroad engine under this 
section is to be presumed not to have been granted if a requirement of 
this subpart has not been met. This includes, but is not limited to, 
properly modifying the nonroad engine to be in conformity in all 
material respects with the description in the application for 
certification or not complying with the provisions of Sec. 89.605(a)(2) 
or if the final emission test results, adjusted by the deterioration 
factor, if applicable, do not comply with applicable emission standards.
    (c) Except as provided in paragraph (b) of this section, EPA 
approval for final admission of a nonroad engine under this section is 
presumed to have been granted if the ICI does not receive oral or 
written notice from EPA to the contrary within 15 working days of the 
date that the Engine Programs and Compliance Division of EPA receives 
the ICI's application under paragraph (a) of this section. EPA notice of 
nonapproval may be made to any employee of the ICI. It is the 
responsibility of the ICI to ensure that the Engine Programs and 
Compliance Division of EPA receives the application and to confirm the 
date of receipt. During this 15 working day hold period, the nonroad 
engine is to be stored at a location where the Administrator has 
reasonable access to the nonroad engine for the Administrator's 
inspection. The storage is to be within 50 miles of the ICI's testing 
facility to allow the Administrator reasonable access for inspection and 
testing. A storage facility not meeting this criterion must be approved 
in writing by the Administrator prior to the submittal of the ICI's 
application under paragraph (a) of this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]

Sec. 89.606  Inspection and testing of imported nonroad engines.

    (a) In order to allow the Administrator to determine whether an 
ICI's production nonroad engines comply with applicable emission 
requirements or requirements of this subpart, an EPA enforcement officer 
or authorized representative is authorized to conduct inspections and/or 
tests of nonroad engines imported by the ICI. The ICI must admit an EPA 
enforcement officer or authorized representative during operating hours 
to any of the following places upon demand and upon presentation of 
credentials:
    (1) Any facility where any nonroad engine imported by the ICI under 
this subpart was or is being modified, tested, or stored and
    (2) Any facility where any record or other document relating to 
modification, testing, or storage of the nonroad engine, or required to 
be kept by Sec. 89.607, is located. EPA may require inspection or 
testing of nonroad engines at the test facility used by the ICI or at an 
EPA-designated testing facility, with transportation and/or testing 
costs to be borne by the ICI.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, an EPA enforcement officer or authorized representative is 
allowed during operating hours:
    (1) To inspect and monitor any part or aspect of activities relating 
to the ICI's modification, testing, and/or storage of nonroad engines 
imported under this subpart;
    (2) To inspect and make copies of record(s) or document(s) related 
to modification, testing, and storage of a nonroad engine, or required 
by Sec. 89.607; and
    (3) To inspect and photograph any part or aspect of the nonroad 
engine and any component used in the assembly thereof.
    (c) An EPA enforcement officer or authorized representative is to be 
furnished, by those in charge of a facility being inspected, with such 
reasonable

[[Page 145]]

assistance as the officer or representative may request to help 
discharge any function listed in this subpart. An ICI must make 
arrangements with those in charge of a facility operated for its benefit 
to furnish such reasonable assistance without charge to EPA. Reasonable 
assistance includes, but is not limited to, clerical, copying, 
interpretation and translation services, and the making available on 
request of personnel of the facility being inspected during their 
working hours to inform the EPA enforcement officer or authorized 
representative of how the facility operates and to answer any questions.
    (d) The requirements of paragraphs (a), (b), and (c) of this section 
apply whether or not the ICI owns or controls the facility in question. 
It is the ICI's responsibility to make such arrangements as may be 
necessary to assure compliance with paragraphs (a), (b), and (c) of this 
section. Failure to do so, or other failure to comply with paragraphs 
(a), (b), or (c), may result in sanctions as provided for in the Act or 
Sec. 89.612(e).
    (e) Duly designated enforcement officers are authorized to proceed 
ex parte to seek warrants authorizing the inspection or testing of the 
nonroad engines described in paragraph (a) of this section whether or 
not the enforcement officers first attempted to seek permission from the 
ICI or facility owner to inspect such nonroad engines.
    (f) The results of the Administrator's test under this section 
comprise the official test data for the nonroad engine for purposes of 
determining whether the nonroad engine should be permitted final entry 
under Sec. 89.605 or Sec. 89.609.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.607  Maintenance of independent commercial importer's records.

    (a) The Independent Commercial Importer (ICI) subject to any of the 
provisions of this subpart must establish and maintain adequately 
organized and indexed records, correspondence and other applicable 
documents relating to the certification, modification, test, purchase, 
sale, storage, registration, and importation of that nonroad engine. The 
ICI must retain such records for 8 years from the date of final 
admission or exportation of a nonconforming nonroad engine imported by 
the ICI. These records include, but are not limited to:
    (1) The declaration required by U.S. Bureau of Customs regulations.
    (2) Any documents or other written information required by a federal 
government agency to be submitted or retained in conjunction with the 
certification, importation or emission testing (if applicable) of 
nonroad engines;
    (3) All bills of sale, invoices, purchase agreements, purchase 
orders, principal or agent agreements, and correspondence between the 
ICI and the ultimate purchaser of each nonroad engine and between any 
agents of the above parties;
    (4) For nonroad engines imported by an ICI pursuant to Sec. 89.605 
or Sec. 89.609, documents providing parts identification data (including 
calibration changes and part numbers and location of such parts on each 
nonroad engine) associated with the emission control system installed on 
each nonroad engine demonstrating that such emission control system was 
properly installed on such nonroad engine;
    (5) For nonroad engines imported by an ICI pursuant to Sec. 89.605 
or Sec. 89.609, documents demonstrating that, where applicable, each 
nonroad engine was emission tested in accordance with subpart E of this 
part and part 86, subpart I of this chapter;
    (6) Documents providing evidence that the requirements of 
Sec. 89.610 have been met;
    (7) Documents providing evidence of compliance with all relevant 
requirements of the Clean Air Act;
    (8) Documents providing evidence of the initiation of the 15 working 
day hold period (that is, evidence that the application submitted 
pursuant to Sec. 89.605(a) or Sec. 89.609(b) was received by EPA) for 
each nonroad engine imported pursuant to Sec. 89.605 or Sec. 89.609;
    (9) For nonroad engines owned by the ICI at the time of importation, 
documents providing evidence of the date of sale and date of delivery to 
the ultimate purchaser, together with the name, address, and telephone 
number of the ultimate purchaser for each

[[Page 146]]

nonroad engine imported pursuant to Sec. 89.605 or Sec. 89.609;
    (10) For nonroad engines not owned by the ICI at the time of 
importation, documents providing evidence and date of release to the 
owner (including owner's name, address, and telephone number) for each 
nonroad engine imported pursuant to Sec. 89.605 or Sec. 89.609;
    (11) Documents providing evidence of the date of original 
manufacture of the nonroad engine. The importer may substitute an 
alternate date in lieu of the date of original manufacture, provided 
that the substitution of such alternate date is approved in advance by 
the Administrator.
    (b) The ICI is responsible for ensuring the maintenance of records 
required by this section, regardless of whether or not facilities used 
by the ICI to comply with requirements of this subpart are under the 
control of the ICI.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.608  ``In Use'' inspections and recall requirements.

    (a) Nonroad engines which have been imported by an Independent 
Commercial Importer (ICI) pursuant to Sec. 89.605 or Sec. 89.609 and 
finally admitted by EPA may be inspected and emission tested by EPA for 
the recall period specified in Sec. 89.104(b).
    (b) ICIs must maintain for eight years, and provide to EPA upon 
request, a list of owners or ultimate purchasers of all nonroad engines 
imported by the ICI under this subpart.
    (c) The Administrator must notify the ICI whenever the Administrator 
has determined that a substantial number of a class or category of the 
ICI's nonroad engines, although properly maintained and used, do not 
conform to the regulations prescribed under section 213 of the Act when 
in actual use throughout their useful lives. After such notification, 
the recall regulations at subpart H of this part govern the ICI's 
responsibilities. References to a manufacturer in the recall regulations 
apply to the ICI.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.609  Final admission of modification nonroad engines and test 
          nonroad engines.

    (a) A nonroad engine may be imported under this section by an 
Independent Commercial Importer (ICI) possessing a currently valid 
certificate of conformity only if:
    (1) The nonroad engine is six original production years old or 
older; and
    (2) The ICI's name has not been placed on a currently effective EPA 
list of ICIs ineligible to import such modification/test nonroad 
engines, as described in paragraph (e) of this section; and
    (3) The ICI has a currently valid certificate of conformity for the 
same nonroad engine class and fuel type as the nonroad engine being 
imported.
    (b) A nonroad engine conditionally imported under this section may 
be finally admitted into the United States upon approval of the ICI's 
application by the Administrator. The application is to be made by 
completing EPA forms, in accordance with EPA instructions. The ICI 
includes in the application:
    (1) The identification information required in Sec. 89.604;
    (2) An attestation by the ICI that the nonroad engine has been 
modified and tested in accordance with the applicable emission tests as 
specified in Subpart B Sec. 89.119(a) of this part at a laboratory 
within the United States;
    (3) The results of all emission tests;
    (4) The applicable deterioration factor assigned by EPA, if any;
    (5) The emission test results adjusted by the applicable 
deterioration factor;
    (6) All information required under Sec. 89.610 related to 
maintenance, warranties, and labeling;
    (7) An attestation by the ICI that the ICI is responsible for the 
nonroad engine's compliance with federal emission requirements, 
regardless of whether the ICI owns the nonroad engine imported under 
this section;
    (8) The applicable address and telephone number of the ICI, or the 
name, address, and telephone number of the person who the ICI prefers to 
receive EPA notification under Sec. 89.609(d);
    (9) An attestation by the ICI that all requirements of Sec. 89.607-
95 and Sec. 89.610 have been met; and

[[Page 147]]

    (10) Such other information as is deemed necessary by the 
Administrator.
    (c) EPA approval for final admission of a nonroad engine under this 
section is presumed not to have been granted if any requirement of this 
subpart has not been met.
    (d) Except as provided in paragraph (c) of this section, EPA 
approval for final admission of a nonroad engine under this section is 
presumed to have been granted if the ICI does not receive oral or 
written notice from EPA to the contrary within 15 working days of the 
date that the Engine Programs and Compliance Division of EPA receives 
the ICI's application under paragraph (b) of this section. Such EPA 
notice of nonapproval may be made to any employee of the ICI. It is the 
responsibility of the ICI to ensure that the Engine Programs and 
Compliance Division of EPA receives the application and to confirm the 
date of receipt. During this 15 working day hold period, the nonroad 
engine is stored at a location where the Administrator has reasonable 
access to the nonroad engine for the Administrator's inspection. The 
storage is to be within 50 miles of the ICI's testing facility to allow 
the Administrator reasonable access for inspection and testing. A 
storage facility not meeting this criterion must be approved in writing 
by the Administrator prior to the submittal of the ICI's application 
under paragraph (b) of this section.
    (e) EPA list of ICIs ineligible to import nonroad engines for 
modification/test. EPA maintains a current list of ICIs who have been 
determined to be ineligible to import nonroad engines under this 
section. The determination of ineligibility is made in accordance with 
the criteria and procedures in Sec. 89.612(e) of this subpart.
    (f) Inspections. Prior to final admission, a nonroad engine imported 
under this section is subject to special inspections as described in 
Sec. 89.606 with these additional provisions:
    (1) If, in the judgment of the Administrator, a significant number 
of nonroad engines imported by an ICI fail to comply with emission 
requirements upon inspection or retest or if the ICI fails to comply 
with a provision of these regulations that pertain to nonroad engines 
imported pursuant to Sec. 89.609, the ICI may be placed on the EPA list 
of ICIs ineligible to import nonroad engines under this section as 
specified in paragraph (e) of this section and Sec. 89.612(e).
    (2) An individual nonroad engine which fails a retest or inspection 
is to be repaired and retested, as applicable, to demonstrate compliance 
with emission requirements before final admission is granted by EPA.
    (3) Unless otherwise specified by EPA, the ICI bears the costs of 
all retesting under this subsection, including transportation.
    (g) In-use inspection and testing. A nonroad engine imported under 
this section may be tested or inspected by EPA at any time during the 
recall period specified in Sec. 89.104(b), in accordance with 
Sec. 89.608(a). If, in the judgment of the Administrator, a significant 
number of properly maintained and used nonroad engines imported by the 
ICI pursuant to this section fail to meet emission requirements, the 
name of the ICI may be placed on the EPA list of ICIs ineligible to 
import nonroad engines under the modification/test provision as 
specified in paragraph (e) of this section and Sec. 89.612(e).

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]

Sec. 89.610  Maintenance instructions, warranties, emission labeling.

    The provisions of this section are applicable to all nonroad engines 
imported under the provisions of Sec. 89.605 or Sec. 89.609.
    (a) Maintenance instructions. (1) The Independent Commercial 
Importer (ICI) must furnish to the purchaser, or to the owner of each 
nonroad engine imported under Sec. 89.605 or Sec. 89.609 of this 
subpart, written instructions for the maintenance and use of the nonroad 
engine by the purchaser or owner. Each application for final admission 
of a nonroad engine is to provide an attestation that such instructions 
have been or will be (if the ultimate purchaser is unknown) furnished to 
the purchaser or owner of such nonroad engine at the time of sale or 
delivery. The ICI must maintain a record of having furnished such 
instructions.

[[Page 148]]

    (2) For each nonroad engine imported under Sec. 89.609, a copy of 
the maintenance and use instructions is to be maintained in a file 
containing the records for that nonroad engine.
    (3) The maintenance and use instructions are not to contain 
requirements more restrictive than those set forth in Sec. 89.109 
(Maintenance Instructions) and are to be in sufficient detail and 
clarity that a mechanic of average training and ability can maintain or 
repair the nonroad engine.
    (4) For each nonroad engine imported pursuant to Sec. 89.605 or 
Sec. 89.609, ICIs must furnish with each nonroad engine a list of the 
emission control parts, emission-related parts added by the ICI, and the 
emission control and emission-related parts furnished by the Original 
Engine Manufacturer (OEM).
    (5) The information required in this section to be furnished to the 
ultimate purchaser or owner is to be copied and maintained in a file 
containing the records for that nonroad engine prior to submitting each 
application for final admission pursuant to Sec. 89.605(a) or 
Sec. 89.609(b).
    (b) Warranties. (1) ICIs must submit to the Engine Programs and 
Compliance Division of EPA sample copies (including revisions) of any 
warranty documents required by this section prior to importing nonroad 
engines under this subpart.
    (2) ICIs must provide to nonroad engine owners emission warranties 
identical to those required by sections 207(a) of the Act. The warranty 
period for each nonroad engine is to commence on the date the nonroad 
engine is delivered by the ICI to the ultimate purchaser or owner.
    (3) ICIs must provide warranty insurance coverage by a prepaid 
mandatory service insurance policy underwritten by an independent 
insurance company. The policy is to:
    (i) Be subject to the approval of the Administrator if the insurance 
coverage is less than the required warranty;
    (ii) At a minimum, provide coverage for emission-related components 
installed or modified by the ICI and, to the maximum extent possible, 
the emission-related components installed by the OEM;
    (iii) Be transferable to each successive owner for the periods 
specified in Sec. 89.104(c); and
    (iv) Provide that in the absence of an ICI's facility being 
reasonably available (that is, within 50 miles) for performance of 
warranty repairs, the warranty repairs may be performed anywhere.
    (4) ICIs must attest in each application for final admission that 
the warranty requirements have been met, that the mandatory insurance 
has been paid and is in effect, and that certificates and statements of 
the warranties have been or will be provided to the owner or ultimate 
purchaser. A copy of the warranties and evidence that the warranties are 
paid and in effect is to be maintained in a file containing the records 
for each nonroad engine prior to submitting each application for final 
admission pursuant to Sec. 89.605(a) or Sec. 89.609(b).
    (c) Emission labeling. (1) For each nonroad engine imported pursuant 
to Sec. 89.605 or Sec. 89.609, the ICI must affix a permanent legible 
label which identifies each nonroad engine and also satisfies the 
following:
    (i) The label meets all the requirements of Sec. 89.110 and contains 
the following statement ``This nonroad engine was originally produced in 
(month and year of original production). It has been imported and 
modified by (ICI's name, address, and telephone number) to conform to 
United States emission regulations applicable to the (year) model 
year.''
    (ii) If the nonroad engine is owned by the ICI at the time of 
importation, the label also states ``This nonroad engine is warranted 
for five years or 3000 hours of operation from the date of purchase, 
whichever first occurs.''
    (iii) If the nonroad engine is not owned by the ICI at the time of 
importation, the label states ``This nonroad engine is warranted for 
five years or 3000 hours of operation from the date of release to the 
owner, whichever first occurs.''
    (iv) For nonroad engines imported under Sec. 89.609, the label 
clearly states in bold letters that ``This nonroad engine has not been 
manufactured under

[[Page 149]]

a certificate of conformity but conforms to United States emission 
regulations under a modification/test program.'' For all nonroad engines 
imported pursuant to Sec. 89.605 or Sec. 89.609, the label contains the 
vacuum hose routing diagram applicable to the nonroad engines.
    (2) As part of the application to the Administrator for final 
admission of each individual nonroad engine under Sec. 89.609, the ICI 
must maintain a copy of the labels for each nonroad engine in a file 
containing the records for that nonroad engine prior to submitting each 
application for final admission. ICIs importing under Sec. 89.605 or 
Sec. 89.609 must attest to compliance with the preceding labeling 
requirements of this section in each application for final admission.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]

Sec. 89.611  Exemptions and exclusions.

    (a) Individuals, as well as ICIs, are eligible for importing nonroad 
engines into the United States under the provisions of this section, 
unless otherwise specified.
    (b) Notwithstanding other requirements of this subpart, a nonroad 
engine entitled to one of the temporary exemptions of this paragraph may 
be conditionally admitted into the United States if prior written 
approval for the conditional admission is obtained from the 
Administrator. Conditional admission is to be under bond. The 
Administrator may request that the U.S. Customs Service require a 
specific bond amount to ensure compliance with the requirements of the 
Act and this subpart. A written request for approval from the 
Administrator is to contain the identification required in 
Sec. 89.604(a) (except for Sec. 89.604(a)(5)) and information that 
demonstrates that the importer is entitled to the exemption. 
Noncompliance with provisions of this section may result in the 
forfeiture of the total amount of the bond or exportation of the nonroad 
engine. The following temporary exemptions are permitted by this 
paragraph:
    (1) Exemption for repairs or alterations. Upon written approval by 
EPA, an owner of nonroad engines may conditionally import under bond 
such nonroad engines solely for purpose of repair(s) or alteration(s). 
The nonroad engines may not be operated in the United States other than 
for the sole purpose of repair or alteration. They may not be sold or 
leased in the United States and are to be exported upon completion of 
the repair(s) or alteration(s).
    (2) Testing exemption. A test nonroad engine may be conditionally 
imported by a person subject to the requirements of Sec. 89.905. A test 
nonroad engine may be operated in the United States provided that the 
operation is an integral part of the test. This exemption is limited to 
a period not exceeding one year from the date of importation unless a 
request is made by the appropriate importer concerning the nonroad 
engine in accordance with Sec. 89.905(f) for a subsequent one-year 
period.
    (3) Precertification exemption. A prototype nonroad engine for use 
in applying to EPA for certification pursuant to this subpart may be 
conditionally imported subject to applicable provisions of Sec. 89.906 
and the following requirements:
    (i) No more than one prototype nonroad engine for each engine family 
for which an importer is seeking certification is to be imported.
    (ii) The granting of precertification exemptions by the 
Administrator is discretionary. Normally, no more than three outstanding 
precertification exemptions are allowed for each importer. No 
precertification exemption is allowed if the importer requesting the 
exemption is in noncompliance with any requirement of this subpart until 
the noncompliance is corrected.
    (iii) Unless a certificate of conformity is issued for the prototype 
nonroad engine and the nonroad engine is finally admitted pursuant to 
the requirements of Sec. 89.605 within 180 days from the date of entry, 
the total amount of the bond is to be forfeited or the nonroad engine 
exported unless an extension is granted by the Administrator. A request 
for an extension is to be in writing and received by the Administrator 
prior to the date that the precertification exemption expires.
    (iv) Such precertification nonroad engine may not be operated in the

[[Page 150]]

United States other than for the sole purpose of the precertification 
exemption.
    (4) Display exemptions. (i) A nonroad engine intended solely for 
display may be conditionally imported subject to the requirements of 
Sec. 89.907.
    (ii) A display nonroad engine may be imported by any person for 
purposes related to a business or the public interest. Such purposes do 
not include collections normally inaccessible or unavailable to the 
public on a daily basis, display of a nonroad engine at a dealership, 
private use, or other purpose that the Administrator determines is not 
appropriate for display exemptions. A display nonroad engine may not be 
sold in the United States and may not be operated in the United States 
except for the operation incident and necessary to the display purpose.
    (iii) A temporary display exemption is granted for 12 months or for 
the duration of the display purpose, whichever is shorter. Two 
extensions of up to 12 months each are available upon approval by the 
Administrator. In no circumstances, however, may the total period of 
exemption exceed 36 months. The U.S. Customs Service bonds a temporary 
display exemption.
    (c) Notwithstanding any other requirement of this subpart, a nonroad 
engine may be finally admitted into the United States under this 
paragraph if prior written approval for such final admission is obtained 
from the Administrator. Conditional admission of these nonroad engines 
under this subpart is not permitted for the purpose of obtaining such 
written approval from the Administrator. A request for approval is to 
contain the identification information required in Sec. 89.604(a) 
(except for Sec. 89.604(a)(5)) and information that demonstrates that 
the importer is entitled to the exemption or exclusion. The following 
exemptions or exclusions are permitted by this paragraph:
    (1) National security exemption. A nonroad engine may be imported 
under the national security exemption found at Sec. 89.908.
    (2) Hardship exemption. The Administrator may exempt on a case-by-
case basis a nonroad engine from federal emission requirements to 
accommodate unforeseen cases of extreme hardship or extraordinary 
circumstances.
    (3) Exemption for nonroad engines identical to United States 
certified versions.
    (i) A person (including businesses) is eligible for importing a 
nonroad engine into the United States under the provisions of this 
paragraph. An exemption will be granted if the nonroad engine:
    (A) is owned by the importer;
    (B) is not offered for importation for the purpose of resale; and
    (C) is proven to be identical, in all material respects, to a 
nonroad engine certified by the Original Engine Manufacturer (OEM) for 
sale in the United States or is proven to have been modified to be 
identical, in all material respects, to a nonroad engine certified by 
the OEM for sale in the United States according to complete written 
instructions provided by the OEM's United States representative, or his/
her designee.
    (ii) Proof of conformity. (A) Documentation submitted pursuant to 
this section for the purpose of proving conformity of individual nonroad 
engines is to contain sufficiently organized data or evidence 
demonstrating that the nonroad engine identified pursuant to 
Sec. 89.604(a) is identical, in all material respects, to a nonroad 
engine identified in an OEM's application for certification.
    (B) If the documentation does not contain all the information 
required by this part, or is not sufficiently organized, EPA notifies 
the importer of any areas of inadequacy, and that the documentation does 
not receive further consideration until the required information or 
organization is provided.
    (C) If EPA determines that the documentation does not clearly or 
sufficiently demonstrate that a nonroad engine is eligible for 
importation, EPA notifies the importer in writing.
    (D) If EPA determines that the documentation clearly and 
sufficiently demonstrates that a nonroad engine is eligible for 
importation, EPA grants approval for importation and notifies the 
importer in writing. Notwithstanding any other requirement of this 
subpart, the notice constitutes approval for final admission into the 
United States.

[[Page 151]]

    (d) Foreign diplomatic and military personnel may import a 
nonconforming nonroad engine without bond. At the time of admission, the 
importer must submit to the Administrator the written report required in 
Sec. 89.604(a) (except for information required by Sec. 89.604(a)(5)) 
and a statement from the U.S. Department of State confirming 
qualification for this exemption. The nonroad engine may not be sold in 
the United States and must be exported if the individual's diplomatic 
status is no longer applicable, as determined by the Department of 
State, unless subsequently brought into conformity in accordance with 
Secs. 89.605, 89.609, or 89.611(c)(3).
    (e) Competition exclusion. A nonconforming engine may be imported by 
any person provided the importer demonstrates to the Administrator that 
the engine is used to propel a vehicle used solely for competition and 
obtains prior written approval from the Administrator. A nonconforming 
engine imported pursuant to this paragraph may not be operated in the 
United States except for that operation incident and necessary for the 
competition purpose, unless subsequently brought into conformity with 
United States emission requirements in accordance with Secs. 89.605, 
89.609, or 89.611(c)(3).
    (f) Exclusions/exemptions based on date of original manufacture. (1) 
Notwithstanding any other requirements of this subpart, the following 
nonroad engines are excluded, as determined by the engine's gross power 
output, from the requirements of the Act in accordance with section 213 
of the Act and may be imported by any person:
    (i) All nonroad engines greater than or equal to 37 kW but less than 
75 kW originally manufactured prior to January 1, 1998.
    (ii) All nonroad engines greater than or equal to 75 kW but less 
than 130 kW originally manufactured prior to January 1, 1997.
    (iii) All nonroad engines greater than or equal to 130 kW but less 
than or equal to 560 kW originally manufactured prior to January 1, 
1996.
    (iv) All nonroad engines greater than 560 kW originally manufactured 
prior to January 1, 2000.
    (2) Notwithstanding other requirements of this subpart, a nonroad 
engine not subject to an exclusion under Sec. 89.611(f)(1) but greater 
than 20 original production (OP) years old is entitled to an exemption 
from the requirements of the Act, provided that it has not been modified 
in those 20 OP years and it is imported into the United States by an 
ICI. At the time of admission, the ICI must submit to the Administrator 
the written report required in Sec. 89.604(a) (except for information 
required by Sec. 89.604(a)(5)).
    (g) An application for exemption and exclusion provided for in 
paragraphs (b), (c), and (e) of this section is to be mailed to: U.S. 
Environmental Protection Agency, Office of Mobile Sources, Engine 
Programs and Compliance Division (6405-J), 1200 Pennsylvania Ave., NW., 
Washington, DC 20460, Attention: Imports.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57022, Oct. 23, 1998]

Sec. 89.612  Prohibited acts; penalties.

    (a) The importation of a nonroad engine, including a nonroad engine 
incorporated into a nonroad vehicle or nonroad equipment, which is not 
covered by a certificate of conformity other than in accordance with 
this subpart and the entry regulations of the U.S. Customs Service is 
prohibited. Failure to comply with this section is a violation of 
section 213(d) and section 203 of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of a nonroad engine may not:
    (1) Register, license, or operate the nonroad engine in the United 
States;
    (2) Sell or offer the nonroad engine for sale;
    (3) Store the nonroad engine on the premises of a dealer (unless 
approved by the Administrator), owner, or purchaser;
    (4) Relinquish control of the nonroad engine to the owner or 
purchaser; or
    (5) Cause a nonroad engine to be altered in any manner subsequent to 
modification and testing, if applicable, for which an application for 
final admission is based and submitted to the Administrator, unless 
approved in advance by the Administrator.

[[Page 152]]

    (c) A nonroad engine conditionally admitted pursuant to Sec. 89.604 
and not granted final admission within 120 days of such conditional 
admission, or within such additional time as the Administrator and the 
U.S. Customs Service may allow, is deemed to be unlawfully imported into 
the United States in violation of section 213(d) and section 203 of the 
Act, unless the nonroad engine has been delivered to the U.S. Customs 
Service for export or other disposition under applicable Customs laws 
and regulations. A nonroad engine not so delivered is subject to seizure 
by the U.S. Customs Service.
    (d) An importer who violates section 213(d) and section 203 of the 
Act is subject to the provisions of section 209 of the Act and is also 
subject to a civil penalty under section 205 of the Act of not more than 
$25,000 for each nonroad engine subject to the violation. In addition to 
the penalty provided in the Act, where applicable, a person or entity 
who imports an engine under the exemption provisions of Sec. 89.611(b) 
and, who fails to deliver the nonroad engine to the U.S. Customs Service 
is liable for liquidated damages in the amount of the bond required by 
applicable Customs laws and regulations.
    (e)(1) An ICI whose nonroad engines imported under Sec. 89.605 or 
Sec. 89.609 fail to conform to federal emission requirements after 
modification and/or testing or who fails to comply with applicable 
provisions of this subpart, may, in addition to any other applicable 
sanctions and penalties, be subject to any, or all, of the following 
sanctions:
    (i) The ICI's currently held certificates of conformity may be 
revoked or suspended;
    (ii) The ICI may be deemed ineligible to apply for new certificates 
of conformity for up to three years; and
    (iii) The ICI may be deemed ineligible to import nonroad engines 
under Sec. 89.609 in the future and be placed on a list of ICIs 
ineligible to import nonroad engines under the provisions of 
Sec. 89.609.
    (2) Grounds for the actions described in paragraph (e)(1) of this 
section include, but are not limited to, the following:
    (i) Action or inaction by the ICI or the laboratory performing the 
emission test on behalf of the ICI, which results in fraudulent, 
deceitful, or grossly inaccurate representation of any fact or condition 
which affects a nonroad engine's eligibility for admission to the United 
States under this subpart;
    (ii) Failure of a significant number of imported nonroad engines to 
comply with federal emission requirements upon EPA inspection or retest; 
or
    (iii) Failure by an ICI to comply with requirements of this subpart.
    (3) The following procedures govern any decision to suspend, revoke, 
or refuse to issue certificates of conformity under this subpart:
    (i) When grounds appear to exist for the actions described in 
paragraph (e)(1) of this section, the Administrator must notify the ICI 
in writing of any intended suspension or revocation of a certificate of 
conformity, proposed ineligibility to apply for new certificates of 
conformity, or intended suspension of eligibility to conduct 
modification/testing under Sec. 89.609, and the grounds for such action.
    (ii) Except as provided by paragraph (e)(3)(iv), the ICI must take 
the following actions before the Administrator will consider withdrawing 
notice of intent to suspend or revoke the ICI's certificate of 
conformity or to deem the ICI ineligible to apply for new certification 
or to deem the ICI ineligible to perform modification/testing under 
Sec. 89.609:
    (A) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the nonroad engine, describes the 
proposed remedy, including a description of any proposed quality control 
and/or quality assurance measures to be taken by the ICI to prevent the 
future occurrence of the problem, and states the date on which the 
remedies are to be implemented or
    (B) Demonstrate that the nonroad engine does in fact comply with 
applicable regulations in this chapter by retesting, if applicable, the 
nonroad engine in accordance with the applicable emission test specified 
in subpart E of this part.
    (iii) An ICI may request, within 15 calendar days of the 
Administrator's notice of intent to suspend or revoke the ICI's 
certificate of conformity or to deem the ICI ineligible to apply for

[[Page 153]]

new certificates or to deem the ICI ineligible to perform modification/
testing under Sec. 89.609, that the Administrator grant such ICI a 
hearing:
    (A) As to whether the tests, if applicable, have been properly 
conducted,
    (B) As to any substantial factual issue raised by the 
Administrator's proposed action.
    (iv) If, after the Administrator notifies an ICI of the intent to 
suspend or revoke the ICI's certificate of conformity or to deem the ICI 
ineligible to apply for new certificates or to deem the ICI ineligible 
to perform modification/testing under Sec. 89.609 and prior to any final 
suspension or revocation, the ICI demonstrates to the Administrator's 
satisfaction that the decision to initiate suspension or revocation of 
the certificate of conformity or eligibility to perform modification/
testing under Sec. 89.609 was based on erroneous information, the 
Administrator will withdraw the notice of intent.
    (4) Hearings on suspensions and revocations of certificates of 
conformity or of eligibility to apply for new certificates or of 
eligibility to perform modification/testing under Sec. 89.609 will be 
held in accordance with the following:
    (i) The procedures prescribed by this section will apply whenever an 
ICI requests a hearing pursuant to paragraph (e)(3)(iii) of this 
section.
    (ii) Hearings under paragraph (e)(3)(iii) will be held in accordance 
with the procedures outlined in Sec. 86.614 of this chapter, where 
applicable, provided that where Sec. 86.612 is referred to in 
Sec. 86.614: Sec. 86.612(a) is replaced by Sec. 89.612(e)(2); and 
Sec. 86.612(i) is replaced by Sec. 89.612(e)(3)(iii).
    (5) When a hearing is requested under this section and it clearly 
appears from the data or other information contained in the request for 
a hearing, or submitted at the hearing, that no genuine and substantial 
question of fact exists with respect to the issue of whether the ICI 
failed to comply with this subpart, the Administrator will enter an 
order denying the request for a hearing, or terminating the hearing, and 
suspending or revoking the certificate of conformity and/or deeming the 
ICI ineligible to apply for new certificates or to perform modification/
testing under Sec. 89.609.
    (6) In lieu of requesting a hearing under paragraph (e)(3)(iii) of 
this section, an ICI may respond in writing to EPA's charges in the 
notice of intent to suspend or revoke. An ICI's written response must be 
received by EPA within 30 days of the date of EPA's notice of intent. No 
final decision to suspend or revoke will be made before that time.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

Sec. 89.613  Treatment of confidential information.

    The provisions for treatment of confidential information as 
described in Sec. 89.7 apply.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

                      Subpart H--Recall Regulations

Sec. 89.701  Applicability.

    The requirements of subpart H are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89.

Sec. 89.702  Definitions.

    The definitions in subpart A of this part apply to this subpart.

Sec. 89.703  Applicability of part 85, subpart S.

    (a) Nonroad engines subject to provisions of subpart B of this part 
are subject to recall regulations specified in part 85, subpart S of 
this title, except for the items set forth in this section.
    (b) Reference to section 214 of the Clean Air Act in Sec. 85.1801 is 
replaced by reference to section 216 of the Clean Air Act.
    (c) Reference to section 202 of the Act in Sec. 85.1802(a) is 
replaced by reference to section 213 of the Act.
    (d) Reference to ``family particulate emission limits as defined in 
Part 86 promulgated under section 202 of the Act'' in Sec. 85.1803(a) 
and Sec. 85.1805(a)(1) is replaced by reference to family emission 
limits as defined in part 89 promulgated under section 213 of the Act.

[[Page 154]]

    (e) Reference to ``vehicles or engines'' throughout the subpart is 
replaced by reference to ``engines.''

            Subpart I--Emission Defect Reporting Requirements

Sec. 89.801  Applicability.

    The requirements of subpart I are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89. The requirement to 
report emission-related defects affecting a given class or category of 
engines remains applicable for five years from the end of the model year 
in which such engines were manufactured.

Sec. 89.802  Definitions.

    The definitions in subpart A of this part apply to this subpart.

Sec. 89.803  Applicability of part 85, subpart T.

    (a) Nonroad engines subject to provisions of subpart B of this part 
are subject to emission defect reporting requirements specified in part 
85, subpart T of this chapter, except for the items set forth in this 
section.
    (b) Section 85.1901 is replaced by Sec. 89.801.
    (c) Reference to the Clean Air Act, 42 U.S.C. 1857 in 
Sec. 85.1902(a) is replaced by reference to the Clean Air Act, 42 U.S.C. 
7401.
    (d) Reference to the ``approved Application for Certification 
required by 40 CFR 86.077-22 and like provisions of Part 85 and Part 86 
of Title 40 of the Code of Federal Regulations'' in Sec. 85.1902(b) is 
replaced by reference to the approved application for certification 
required by Sec. 89.115 and like provisions of part 89 of this chapter.
    (e) Reference to section 202(d) of the Act in Sec. 85.1902(c) is 
replaced by reference to section 202(d) and section 213 of the Act.
    (f) Reference to section 214 of the Act in Sec. 85.1902 (e) and (f) 
is replaced by reference to section 216 of the Act.
    (g) Reference to ``vehicles or engines'' throughout the subpart is 
replaced by reference to ``engines.''

                     Subpart J--Exemption Provisions

Sec. 89.901  Applicability.

    The requirements of subpart J are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89.

Sec. 89.902  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Exemption means exemption from the prohibitions of Sec. 89.1006.
    Export exemption means an exemption granted under Sec. 89.1004(b) 
for the purpose of exporting new nonroad engines.
    National security exemption means an exemption which may be granted 
under Sec. 89.1004(b) for the purpose of national security.
    Manufacturer-owned nonroad engine means an uncertified nonroad 
engine owned and controlled by a nonroad engine manufacturer and used in 
a manner not involving lease or sale by itself or in a vehicle or piece 
of equipment employed from year to year in the ordinary course of 
business for product development, production method assessment, and 
market promotion purposes.
    Testing exemption means an exemption which may be granted under 
Sec. 89.1004(b) for the purpose of research investigations, studies, 
demonstrations or training, but not including national security.

Sec. 89.903  Application of section 216(10) of the Act.

    (a) For the purpose of determining the applicability of section 
216(10) of the Act, an internal combustion engine (including the fuel 
system) that is not used in a motor vehicle is deemed a nonroad engine 
if it meets the definition in subpart A of this part.
    (b) EPA will maintain a list of nonroad engines that have been 
determined to be excluded because they are used solely for competition. 
This list will be available to the public and may be obtained by writing 
to the following address: Chief, Selective Enforcement Auditing Section, 
Engine Programs and Compliance Division (6405-J), Environmental 
Protection Agency, 1200

[[Page 155]]

Pennsylvania Ave., NW., Washington, DC 20460.
    (c) Upon written request, EPA will make written determinations as to 
whether certain engines are or are not nonroad engines. Engines that are 
determined not to be nonroad engines are excluded from regulations under 
this part.

[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]

Sec. 89.904  Who may request an exemption.

    (a) Any person may request a testing exemption under Sec. 89.905.
    (b) Any nonroad engine manufacturer may request a national security 
exemption under Sec. 89.908.
    (c) For nonroad engine manufacturers, nonroad engines manufactured 
for export purposes are exempt without application, subject to the 
provisions of Sec. 89.909.
    (d) For eligible manufacturers, as determined by Sec. 89.906, 
manufacturer-owned nonroad engines are exempt without application, 
subject to the provisions of Sec. 89.906.
    (e) For any person, display nonroad engines are exempt without 
application, subject to the provisions of Sec. 89.907.

Sec. 89.905  Testing exemption.

    (a) Any person requesting a testing exemption must demonstrate the 
following:
    (1) That the proposed test program has a purpose which constitutes 
an appropriate basis for an exemption in accordance with this section;
    (2) That the proposed test program necessitates the granting of an 
exemption;
    (3) That the proposed test program exhibits reasonableness in scope; 
and
    (4) That the proposed test program exhibits a degree of control 
consonant with the purpose of the test program and EPA's monitoring 
requirements.
    (5) Paragraphs (b), (c), (d), and (e) of this section describe what 
constitutes a sufficient demonstration for each of the four identified 
elements.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose would be research, investigations, studies, 
demonstrations, or training, but not national security. A concise 
statement of purpose is a required item of information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under Sec. 89.1003. In appropriate 
circumstances, time constraints may be a sufficient basis for necessity, 
but the cost of certification alone, in the absence of extraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of engines. 
In this regard, required items of information include:
    (1) An estimate of the program's duration, and
    (2) The maximum number of nonroad engines involved.
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the test;
    (2) The site of the test;
    (3) The time or mileage duration of the test;
    (4) The ownership arrangement with regard to the engines involved in 
the test;
    (5) The intended final disposition of the engines;
    (6) The manner in which the engine identification numbers will be 
identified, recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer of new nonroad engines may request a testing 
exemption to cover nonroad engines intended for use in test programs 
planned or anticipated over the course of a subsequent one-year period. 
Unless otherwise required by the Director, Engine Programs and 
Compliance Division, a manufacturer requesting such an exemption need 
only furnish the information required by paragraphs (a)(1) and (d)(2) of 
this section along with a description of the record-keeping and

[[Page 156]]

control procedures that will be employed to assure that the engines are 
used for purposes consistent with paragraph (a) of this section.

[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]

Sec. 89.906  Manufacturer-owned exemption and precertification 
          exemption.

    (a) Except as provided in paragraph (b) of this section, any 
manufacturer-owned nonroad engine, as defined by Sec. 89.902, is exempt 
from Sec. 89.1003, without application, if the manufacturer complies 
with the following terms and conditions:
    (1) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed information on each exempted 
engine:
    (i) Engine identification number,
    (ii) Use of the engine on exempt status and
    (iii) Final disposition of any engine removed from exempt status; 
and
    (2) The manufacturer must provide right of entry and access to these 
records to EPA authorized representatives as outlined in Sec. 89.506.
    (3) Unless the requirement is waived or an alternate procedure is 
approved by the Director, Engine Programs and Compliance Division, the 
manufacturer must permanently affix a label to each nonroad engine on 
exempt status. This label should:
    (i) Be affixed in a readily visible portion of the engine,
    (ii) Be attached in such a manner that cannot be removed without 
destruction or defacement,
    (iii) State in the English language and in block letters and 
numerals of a color that contrasts with the background of the label, the 
following information:
    (A) The label heading ``Emission Control Information;''
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement, engine family identification, and model 
year of engine; or person of office to be contacted for further 
information about the engine;
    (D) The statement ``This nonroad engine is exempt from the 
prohibitions of 40 CFR 89.1003.''
    (4) No provision of paragraph (a)(3) of this section prevents a 
manufacturer from including any other information it desires on the 
label.
    (b) Any independent commercial importer that desires a 
precertification exemption pursuant to Sec. 89.611(b)(3) and is in the 
business of importing, modifying, or testing uncertified nonroad engines 
for resale under the provisions of subpart G of this part, must apply to 
the Director, Engine Programs and Compliance Division. The Director may 
require such independent commercial importer to submit information 
regarding the general nature of the fleet activities, the number of 
nonroad engines involved, and a demonstration that adequate record-
keeping procedures for control purposes will be employed.

[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]

Sec. 89.907  Display exemption.

    Where an uncertified nonroad engine is a display engine to be used 
solely for display purposes, will only be operated incident and 
necessary to the display purpose, and will not be sold unless an 
applicable certificate of conformity has been received or the engine has 
been finally admitted pursuant to subpart G of this part, no request for 
exemption of the engine is necessary.

Sec. 89.908  National security exemption.

    (a)(1) Any nonroad engine, otherwise subject to this part, which is 
used in a vehicle that exhibits substantial features ordinarily 
associated with military combat such as armor and/or permanently affixed 
weaponry and which will be owned and/or used by an agency of the federal 
government with responsibility for national defense, will be considered 
exempt from these regulations for purposes of national security. No 
request for exemption is necessary.
    (2) Manufacturers may request a national security exemption for any 
nonroad engine, otherwise subject to this part, which does not meet the 
conditions described in paragraph (a)(1) of this section. A manufacturer 
requesting a national security exemption must state the purpose for 
which the exemption is required and the request must be endorsed by an 
agency of the federal

[[Page 157]]

government charged with responsibility for national defense.
    (b) EPA will maintain a list of models of nonroad engines (and the 
vehicles which use them) that have been granted a national security 
exemption under paragraph (a)(2) of this section. This list will be 
available to the public and may be obtained by writing to the following 
address: Group Manager, Engine Compliance Programs Group, Engine 
Programs and Compliance Division (6403J) Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.

[61 FR 52102, Oct. 4, 1996]

Sec. 89.909  Export exemptions.

    (a) A new nonroad engine intended solely for export, and so labeled 
or tagged on the outside of the container and on the engine itself, is 
subject to the provisions of Sec. 89.1003, unless the importing country 
has new nonroad engine emission standards which differ from EPA 
standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards, whatsoever, is deemed to be a country having 
emission standards which differ from EPA standards.
    (c) EPA will maintain a list of foreign countries that have in force 
nonroad emission standards identical to EPA standards and have so 
notified EPA. This list may be obtained by writing to the following 
address: Chief, Selective Enforcement Auditing Section, Manufacturers 
Operations Division (6405-J), Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460. New nonroad engines 
exported to such countries must comply with EPA certification 
regulations.
    (d) It is a condition of any exemption for the purpose of export 
under paragraph (a) of this section, that such exemption is void ab 
initio with respect to a new nonroad engine intended solely for export, 
where such nonroad engine is sold, or offered for sale, to an ultimate 
purchaser or otherwise distributed or introduced into commerce in the 
United States for purposes other than export.

Sec. 89.910  Granting of exemptions.

    (a) If upon completion of the review of an exemption request made 
pursuant to Sec. 89.905 or Sec. 89.908, EPA determines it is appropriate 
to grant such an exemption, a memorandum of exemption is to be prepared 
and submitted to the person requesting the exemption. The memorandum is 
to set forth the basis for the exemption, its scope, and such terms and 
conditions as are deemed necessary. Such terms and conditions generally 
include, but are not limited to, agreements by the applicant to conduct 
the exempt activity in the manner described to EPA, create and maintain 
adequate records accessible to EPA at reasonable times, employ labels 
for the exempt engines setting forth the nature of the exemption, take 
appropriate measures to assure that the terms of the exemption are met, 
and advise EPA of the termination of the activity and the ultimate 
disposition of the engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
is deemed to cover any subject engine only to the extent that the 
specified terms and conditions are complied with. A breach of any term 
or condition causes the exemption to be void ab initio with respect to 
any engine. Consequently, the causing or the performing of an act 
prohibited under Sec. 89.1003(a)(1) or (a)(3), other than in strict 
conformity with all terms and conditions of this exemption, renders the 
person to whom the exemption is granted, and any other person to whom 
the provisions of Sec. 89.1003(a) are applicable, liable to suit under 
sections 204 and 205 of the Act.

Sec. 89.911  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/or the exemption request review procedure should be addressed to: 
Chief, Selective Enforcement Auditing Section, Engine Programs and 
Compliance Division (6405-J), Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.

[63 FR 57022, Oct. 23, 1998]

[[Page 158]]

Sec. 89.912  Treatment of confidential information.

    The provisions for treatment of confidential information as 
described in Sec. 89.7 apply.

      Subpart K--General Enforcement Provisions and Prohibited Acts

Sec. 89.1001  Applicability.

    The requirements of subpart K are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89, and to all nonroad 
vehicles and equipment that contain such nonroad engines.

Sec. 89.1002  Definitions.

    The definitions in subpart A of this part apply to this subpart.

Sec. 89.1003  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1)(i) In the case of a manufacturer of new nonroad engines, 
vehicles, or equipment for distribution in commerce, the sale, or the 
offering for sale, or the introduction, or delivery for introduction, 
into commerce, of any new nonroad engine manufactured after the 
applicable effective date under this part, or any nonroad vehicle or 
equipment containing such engine, unless such engine is covered by a 
certificate of conformity issued (and in effect) under regulations found 
in this part.
    (ii) In the case of any person, except as provided in subpart G of 
this part, the importation into the United States of any new nonroad 
engine manufactured after the applicable effective date under this part, 
or any nonroad vehicle or equipment containing such engine, unless such 
engine is covered by a certificate of conformity issued (and in effect) 
under regulations found in this part.
    (2)(i) For a person to fail or refuse to permit access to or copying 
of records or to fail to make reports or provide information required 
under Sec. 89.1004.
    (ii) For a person to fail or refuse to permit entry, testing, or 
inspection authorized under Secs. 89.129, 89.506 or 89.1004.
    (iii) For a person to fail or refuse to perform tests, or to have 
tests performed as required under Secs. 89.119 or 89.1004.
    (iv) For a person to fail to establish or maintain records as 
required under Sec. 89.1004.
    (3)(i) For a person to remove or render inoperative a device or 
element of design installed on or in a nonroad engine, vehicle or 
equipment in compliance with regulations under this part prior to its 
sale and delivery to the ultimate purchaser, or for a person knowingly 
to remove or render inoperative such a device or element of design after 
the sale and delivery to the ultimate purchaser; or
    (ii) For a person to manufacture, sell or offer to sell, or install, 
a part or component intended for use with, or as part of, a nonroad 
engine, vehicle or equipment, where a principal effect of the part or 
component is to bypass, defeat, or render inoperative a device or 
element of design installed on or in a nonroad engine in compliance with 
regulations issued under this part, and where the person knows or should 
know that the part or component is being offered for sale or installed 
for this use or put to such use; or
    (iii) For a person to deviate from the provisions of Sec. 89.130 
when rebuilding an engine (or rebuilding a portion of an engine or 
engine system).
    (4) For a manufacturer of a new nonroad engine subject to standards 
prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver into commerce, 
a nonroad engine unless the manufacturer has complied with the 
requirements of Sec. 89.1007.
    (ii) To sell, offer for sale, or introduce or deliver into commerce, 
a nonroad engine unless a label or tag is affixed to the engine in 
accordance with Sec. 89.110.
    (iii) To fail or refuse to comply with the requirements of 
Sec. 89.1008.
    (iv) Except as provided in Sec. 89.109, to provide directly or 
indirectly in any communication to the ultimate purchaser or a 
subsequent purchaser that the coverage of a warranty under the Act is 
conditioned upon use of a part, component, or system manufactured by the 
manufacturer or a person acting

[[Page 159]]

for the manufacturer or under its control, or conditioned upon service 
performed by such persons.
    (v) To fail or refuse to comply with the terms and conditions of the 
warranty under Sec. 89.1007.
    (5) For a person to circumvent or attempt to circumvent the 
residence time requirements of paragraph (2)(iii) of the nonroad engine 
definition in Sec. 89.2.
    (6) For a manufacturer of nonroad vehicles or equipment to 
distribute in commerce, sell, offer for sale, or introduce into commerce 
a nonroad vehicle or piece of equipment which contains an engine not 
covered by a certificate of conformity, except as otherwise allowed by 
this part.
    (b) For the purposes of enforcement of this part, the following 
apply:
    (1) Nothing in paragraph (a)(3) of this section is to be construed 
to require the use of manufacturer parts in maintaining or repairing a 
nonroad engine.
    (2) Actions for the purpose of repair or replacement of a device or 
element of design or any other item are not considered prohibited acts 
under Sec. 89.1003(a) if the action is a necessary and temporary 
procedure, the device or element is replaced upon completion of the 
procedure, and the action results in the proper functioning of the 
device or element of design.
    (3) Actions for the purpose of a conversion of a nonroad engine for 
use of a clean alternative fuel (as defined in Title II of the Act) are 
not considered prohibited acts under Sec. 89.1003(a) if:
    (i) the vehicle complies with the applicable standard when operating 
on the alternative fuel, and the device or element is replaced upon 
completion of the conversion procedure, and
    (ii) in the case of engines converted to dual fuel or flexible use, 
the action results in proper functioning of the device or element when 
the nonroad engine operates on conventional fuel.
    (4) Certified nonroad engines shall be used in all vehicles and 
equipment manufactured on or after the applicable model years in 
Sec. 89.112 that are self-propelled, portable, transportable, or are 
intended to be propelled while performing their function, unless the 
manufacturer of the vehicle or equipment can prove that the vehicle or 
equipment will be used in a manner consistent with paragraph (2) of the 
definition of nonroad engine in Sec. 89.2. After the date on which a new 
standard takes effect, nonroad vehicle and equipment manufacturers may 
continue to use nonroad engines built prior to this date that are not 
certified to the standard until inventories of those engines are 
depleted; however, stockpiling of such nonroad engines will be 
considered a violation of this section.
    (5) A manufacturer of nonroad vehicles may install an engine 
certified to the motor vehicle requirements of 40 CFR part 86 in a 
nonroad vehicle or equipment where:
    (i) The subject nonroad vehicle or equipment is designed for travel 
on public streets and highways to get from one job site to another; and
    (ii) The engine serves to propel the vehicle or equipment when it is 
operated on public roads; and
    (iii) There is no adjustment outside of the manufacturer's 
specifications or removal or rendering inoperative of devices or 
elements of design installed on or in the engine by the original engine 
manufacturer for purposes of emission control or any other action that 
may be considered tampering under section 203 of the Clean Air Act or 
paragraph (a)(3) of this section; and
    (iv) A certified nonroad engine is not available with appropriate 
physical or performance characteristics; or
    (v) A state requires the use of an on-highway engine pursuant to a 
waiver granted by EPA under section 209(e) of the Clean Air Act.
    (6) A manufacturer that produces nonroad vehicles or equipment by 
performing modifications to complete or incomplete motor vehicles may 
retain the motor vehicle engine in such vehicle or equipment provided 
that:
    (i) The engine is certified to the motor vehicle requirements of 40 
CFR part 86; and
    (ii) The on-highway vehicle is not available from its manufacturer 
with a certified nonroad engine having appropriate performance 
characteristics; and
    (iii) There is no adjustment outside of the manufacturer's 
specifications or removal or rendering inoperative of devices or 
elements of design installed on

[[Page 160]]

or in the engine or vehicle by the original engine or vehicle 
manufacturer for purposes of emission control, or any other action that 
may be considered tampering under section 203 of the Clean Air Act or 
paragraph (a)(3) of this section.
    (7) A new nonroad engine intended solely to replace a nonroad engine 
in a piece of nonroad equipment, where the engine requiring replacement 
is not certified or is certified to emission standards that are less 
stringent than those in effect when the replacement engine is built, 
shall not be subject to the prohibitions of paragraph (a)(1) of this 
section or to the requirements of Sec. 89.105 and paragraph (b)(4) of 
this section, provided that:
    (i) The engine manufacturer has ascertained that no engine produced 
by itself or by the manufacturer of the engine that is being replaced, 
if different, and certified to the requirements of this subpart, is 
available with the appropriate physical or performance characteristics 
to repower the equipment; and
    (ii) The engine manufacturer or its agent takes ownership and 
possession of the engine being replaced in partial exchange for the 
replacement engine; and
    (iii) The replacement engine is clearly labeled with the following 
language, or similar alternate language approved by the Administrator: 
THIS ENGINE DOES NOT COMPLY WITH FEDERAL NONROAD OR ON-HIGHWAY EMISSION 
REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR ANY PURPOSE OTHER 
THAN AS A REPLACEMENT ENGINE FOR AN ENGINE MANUFACTURED PRIOR TO JANUARY 
1 [INSERT APPROPRIATE YEAR] IS A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY; and
    (iv) In cases where an engine is to be imported for replacement 
purposes under the provisions of this paragraph (b)(7), the term 
``engine manufacturer'' shall not apply to an individual or other entity 
that does not possess a current Certificate of Conformity issued by EPA 
under this part; and
    (v) Where the replacement engine is intended to replace an engine 
that is certified to emission standards that are less stringent than 
those in effect when the replacement engine is built, the replacement 
engine shall be identical in all material respects to a certified 
configuration of the same or later model year as the engine being 
replaced; and
    (vi) Engines sold pursuant to the provisions of this paragraph 
(b)(7) will neither generate nor use emission credits and will not be 
part of any accounting under the averaging, banking and trading program.

[59 FR 31335, June 17, 1994, as amended at 61 FR 58106, Nov. 12, 1996; 
63 FR 57022, Oct. 23, 1998]

Sec. 89.1004  General enforcement provisions.

    (a) Information collection provisions. (1) Every manufacturer of new 
nonroad engines and other persons subject to the requirements of this 
part must establish and maintain records, perform tests where such 
testing is not otherwise reasonably available under this part, make 
reports and provide information the Administrator may reasonably require 
to determine whether the manufacturer or other person has acted or is 
acting in compliance with this part or to otherwise carry out the 
provisions of this part, and must, upon request of an officer or 
employee duly designated by the Administrator, permit the officer or 
employee at reasonable times to have access to and copy such records. 
The manufacturer shall comply in all respects with the requirements of 
subpart I of this part.
    (2) For purposes of enforcement of this part, an officer or employee 
duly designated by the Administrator, upon presenting appropriate 
credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of the 
manufacturer, or of any person whom the manufacturer engaged to perform 
any activity required under paragraph (a) (1) of this section, for the 
purposes of inspecting or observing any activity conducted pursuant to 
paragraph (a)(1) of this section, and
    (ii) To inspect records, files, papers, processes, controls, and 
facilities used in performing an activity required by paragraph (a)(1) 
of this section, by the manufacturer or by a person whom the

[[Page 161]]

manufacturer engaged to perform the activity.
    (b) Exemption provision. The Administrator may exempt a new nonroad 
engine from Sec. 89.1003 upon such terms and conditions as the 
Administrator may find necessary for the purpose of export, research, 
investigations, studies, demonstrations, or training, or for reasons of 
national security.
    (c) Importation provision. (1) A new nonroad engine, vehicle, or 
equipment offered for importation or imported by a person in violation 
of Sec. 89.1003 is to be refused admission into the United States, but 
the Secretary of the Treasury and the Administrator may, by joint 
regulation, provide for deferring a final determination as to admission 
and authorizing the delivery of such a nonroad engine offered for import 
to the owner or consignee thereof upon such terms and conditions 
(including the furnishing of a bond) as may appear to them appropriate 
to insure that the nonroad engine will be brought into conformity with 
the standards, requirements, and limitations applicable to it under this 
part.
    (2) If a nonroad engine is finally refused admission under this 
paragraph, the Secretary of the Treasury shall cause disposition thereof 
in accordance with the customs laws unless it is exported, under 
regulations prescribed by the Secretary, within 90 days of the date of 
notice of the refusal or additional time as may be permitted pursuant to 
the regulations.
    (3) Disposition in accordance with the customs laws may not be made 
in such manner as may result, directly or indirectly, in the sale, to 
the ultimate consumer, of a new nonroad engine that fails to comply with 
applicable standards of the Administrator under this part.
    (d) Export provision. A new nonroad engine intended solely for 
export, and so labeled or tagged on the outside of the container and on 
the engine itself, shall be subject to the provisions of Sec. 89.1003, 
except that if the country that is to receive the engine has emission 
standards that differ from the standards prescribed under subpart B of 
this part, then the engine must comply with the standards of the country 
that is to receive the engine.

Sec. 89.1005  Injunction proceedings for prohibited acts.

    (a) The district courts of the United States have jurisdiction to 
restrain violations of Sec. 89.1003(a).
    (b) Actions to restrain violations of Sec. 89.1003(a) must be 
brought by and in the name of the United States. In an action, subpoenas 
for witnesses who are required to attend a district court in any 
district may run into any other district.

Sec. 89.1006  Penalties.

    (a) Violations. A violation of the requirements of this subpart is a 
violation of the applicable provisions of the Act, including sections 
213(d) and 203, and is subject to the penalty provisions thereunder.
    (1) A person who violates Sec. 89.1003(a)(1), (a)(4), or (a)(6), or 
a manufacturer or dealer who violates Sec. 89.1003(a)(3)(i), is subject 
to a civil penalty of not more than $25,000 for each violation.
    (2) A person other than a manufacturer or dealer who violates 
Sec. 89.1003(a)(3)(i) or any person who violates Sec. 89.1003(a)(3)(ii) 
is subject to a civil penalty of not more than $2,500 for each 
violation.
    (3) A violation with respect to Sec. 89.1003 (a)(1), (a)(3)(i), 
(a)(4), or (a)(6) constitutes a separate offense with respect to each 
nonroad engine.
    (4) A violation with respect to Sec. 89.1003(a)(3)(ii) constitutes a 
separate offense with respect to each part or component. Each day of a 
violation with respect to Sec. 89.1003(a)(5) constitutes a separate 
offense.
    (5) A person who violates Sec. 89.1003(a)(2) or (a)(5) is subject to 
a civil penalty of not more than $25,000 per day of violation.
    (b) Civil actions. The Administrator may commence a civil action to 
assess and recover any civil penalty under paragraph (a) of this 
section.
    (1) An action under this paragraph may be brought in the district 
court of the United States for the district in which the defendant 
resides or has the Administrator's principal place of business, and the 
court has jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessed 
under this

[[Page 162]]

paragraph, the court is to take into account the gravity of the 
violation, the economic benefit or savings (if any) resulting from the 
violation, the size of the violator's business, the violator's history 
of compliance with Title II of the Act, action taken to remedy the 
violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are required to 
attend a district court in any district may run into any other district.
    (c) Administrative assessment of certain penalties--(1) 
Administrative penalty authority. In lieu of commencing a civil action 
under paragraph (b) of this section, the Administrator may assess any 
civil penalty prescribed in paragraph (a) of this section, except that 
the maximum amount of penalty sought against each violator in a penalty 
assessment proceeding shall not exceed $200,000, unless the 
Administrator and the Attorney General jointly determine that a matter 
involving a larger penalty amount is appropriate for administrative 
penalty assessment. Any such determination by the Administrator and the 
Attorney General is not subject to judicial review. Assessment of a 
civil penalty shall be by an order made on the record after opportunity 
for a hearing held in accordance with the procedures found at part 22 of 
this chapter. The Administrator may compromise, or remit, with or 
without conditions, any administrative penalty which may be imposed 
under this section.
    (2) Determining amount. In determining the amount of any civil 
penalty assessed under this paragraph, the Administrator shall take into 
account the gravity of the violation, the economic benefit or savings 
(if any) resulting from the violation, the size of the violator's 
business, the violator's history of compliance with Title II of the Act, 
action taken to remedy the violation, the effect of the penalty on the 
violator's ability to continue in business, and such other matters as 
justice may require.
    (3) Effect of administrator's action. (i) Action by the 
Administrator under this paragraph does not affect or limit the 
Administrator's authority to enforce any provisions of the Act; except 
that any violation with respect to which the Administrator has commenced 
and is diligently prosecuting an action under this paragraph, or for 
which the Administrator has issued a final order not subject to further 
judicial review and for which the violator has paid a penalty assessment 
under this paragraph shall not be the subject of a civil penalty action 
under paragraph (b) of this section.
    (ii) No action by the Administrator under this paragraph shall 
affect a person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this subsection is to 
become final 30 days after its issuance unless a petition for judicial 
review is filed under paragraph (c)(5) of this section.
    (5) Judicial review. A person against whom a civil penalty is 
assessed in accordance with this subsection may seek review of the 
assessment in the United States District Court for the District of 
Columbia or for the district in which the violation is alleged to have 
occurred, in which such person resides, or where the person's principal 
place of business is located, within the 30-day period beginning on the 
date a civil penalty order is issued. The person shall simultaneously 
send a copy of the filing by certified mail to the Administrator and the 
Attorney General. The Administrator shall file in the court within 30 
days a certified copy, or certified index, as appropriate, of the record 
on which the order was issued. The court is not to set aside or remand 
any order issued in accordance with the requirements of this paragraph 
unless substantial evidence does not exist in the record, taken as a 
whole, to support the finding of a violation or unless the 
Administrator's assessment of the penalty constitutes an abuse of 
discretion, and the court is not to impose additional civil penalties 
unless the Administrator's assessment of the penalty constitutes an 
abuse of discretion. In any proceedings, the United States may seek to 
recover civil penalties assessed under this section.
    (6) Collection. (i) If any person fails to pay an assessment of a 
civil penalty

[[Page 163]]

imposed by the Administrator as provided in this part after the order 
making the assessment has become final or after a court in an action 
brought under paragraph (c)(5) of this section has entered a final 
judgment in favor of the Administrator, the Administrator shall request 
that the Attorney General bring a civil action in an appropriate 
district court to recover the amount assessed (plus interest at rates 
established pursuant to section 6621(a)(2) of the Internal Revenue Code 
of 1986 from the date of the final order or the date of final judgment, 
as the case may be). In such an action, the validity, amount, and 
appropriateness of the penalty is not subject to review.
    (ii) A person who fails to pay on a timely basis the amount of an 
assessment of a civil penalty as described in paragraph (c)(6)(i) of 
this section shall be required to pay, in addition to that amount and 
interest, the United States' enforcement expenses, including attorney's 
fees and costs for collection proceedings, and a quarterly nonpayment 
penalty for each quarter during which the failure to pay persists. The 
nonpayment penalty is an amount equal to ten percent of the aggregate 
amount of that person's penalties and nonpayment penalties which are 
unpaid as of the beginning of such quarter.

Sec. 89.1007  Warranty provisions.

    (a) The manufacturer of each nonroad engine must warrant to the 
ultimate purchaser and each subsequent purchaser that the engine is 
designed, built, and equipped so as to conform at the time of sale with 
applicable regulations under section 213 of the Act, and is free from 
defects in materials and workmanship which cause such engine to fail to 
conform with applicable regulations for its warranty period (as 
determined under Sec. 89.104).
    (b) In the case of a nonroad engine part, the manufacturer or 
rebuilder of the part may certify according to Sec. 85.2112 that use of 
the part will not result in a failure of the engine to comply with 
emission standards promulgated in this part.
    (c) For the purposes of this section, the owner of any nonroad 
engine warranted under this part is responsible for the proper 
maintenance of the engine. Proper maintenance includes replacement and 
service, at the owner's expense at a service establishment or facility 
of the owner's choosing, of all parts, items, or devices related to 
emission control (but not designed for emission control) under the terms 
of the last sentence of section 207(a)(3) of the Act, unless such part, 
item, or device is covered by any warranty not mandated by this Act.

[59 FR 31335, June 17, 1994, as amended at 63 FR 57023, Oct. 23, 1998]

Sec. 89.1008  In-use compliance provisions.

    (a) Effective with respect to nonroad vehicles, equipment, and 
engines manufactured during model years 1996 and after:
    (1) If the Administrator determines that a substantial number of any 
class or category of engines, although properly maintained and used, do 
not conform to the regulations prescribed under section 213 of the Act 
when in actual use throughout their recall period (as defined under 
Sec. 89.104(b)), the Administrator shall immediately notify the 
manufacturer of such nonconformity and require the manufacturer to 
submit a plan for remedying the nonconformity of the engines with 
respect to which such notification is given.
    (i) The manufacturer's plan shall provide that the nonconformity of 
any such engines which are properly used and maintained will be remedied 
at the expense of the manufacturer.
    (ii) If the manufacturer disagrees with such determination of 
nonconformity and so advises the Administrator, the Administrator shall 
afford the manufacturer and other interested persons an opportunity to 
present their views and evidence in support thereof at a public hearing. 
Unless, as a result of such hearing, the Administrator withdraws such 
determination of nonconformity, the Administrator shall, within 60 days 
after the completion of such hearing, order the manufacturer to provide 
prompt notification of such nonconformity in accordance with paragraph 
(a)(2) of this section. The manufacturer shall comply in all respects 
with the requirements of subpart G of this part.

[[Page 164]]

    (2) Any notification required to be given by the manufacturer under 
paragraph (a)(1) of this section with respect to any class or category 
of engines shall be given to dealers, ultimate purchasers, and 
subsequent purchasers (if known) in such manner and containing such 
information as required in subparts H and I of this part.
    (3)(i) The manufacturer shall furnish with each new nonroad engine 
written instructions for the proper maintenance and use of the engine by 
the ultimate purchaser as required under Sec. 89.109. The manufacturer 
shall provide in boldface type on the first page of the written 
maintenance instructions notice that maintenance, replacement, or repair 
of the emission control devices and systems may be performed by any 
nonroad engine repair establishment or individual using any nonroad 
engine part which has been certified as provided in Sec. 89.1007(a).
    (ii) The instruction under paragraph (3)(i) of this section must not 
include any condition on the ultimate purchaser's using, in connection 
with such engine, any component or service (other than a component or 
service provided without charge under the terms of the purchase 
agreement) which is identified by brand, trade, or corporate name. 
Subject instructions also must not directly or indirectly distinguish 
between service performed by the franchised dealers of such 
manufacturer, or any other service establishments with which such 
manufacturer has a commercial relationship, and service performed by 
independent nonroad engine repair facilities with which such 
manufacturer has no commercial relationship.
    (iii) The prohibition of paragraph (a)(3)(ii) of this section may be 
waived by the Administrator if:
    (A) The manufacturer satisfies the Administrator that the engine 
will function properly only if the component or service so identified is 
used in connection with such engine, and
    (B) The Administrator finds that such a waiver is in the public 
interest.
    (iv) In addition, the manufacturer shall indicate by means of a 
label or tag permanently affixed to the engine that the engine is 
covered by a certificate of conformity issued for the purpose of 
assuring achievement of emission standards prescribed under section 213 
of the Act. This label or tag shall also contain information relating to 
control of emissions as prescribed under Sec. 89.110.
    (b) The manufacturer bears all cost obligation a dealer incurs as a 
result of a requirement imposed by paragraph (a) of this section. The 
transfer of any such cost obligation from a manufacturer to a dealer 
through franchise or other agreement is prohibited.
    (c) If a manufacturer includes in an advertisement a statement 
respecting the cost or value of emission control devices or systems, the 
manufacturer shall set forth in the statement the cost or value 
attributed to these devices or systems by the Secretary of Labor 
(through the Bureau of Labor Statistics). The Secretary of Labor, and 
his or her representatives, has the same access for this purpose to the 
books, documents, papers, and records of a manufacturer as the 
Comptroller General has to those of a recipient of assistance for 
purposes of section 311 of the Act.
    (d) Any inspection of a nonroad engine for purposes of paragraph 
(a)(1) of this section, after its sale to the ultimate purchaser, is to 
be made only if the owner of such vehicle or engine voluntarily permits 
such inspection to be made, except as may be provided by any state or 
local inspection program.



PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES AT OR 
BELOW 19 KILOWATTS--Table of Contents




                           Subpart A--General

Sec.
90.1  Applicability.
90.2  Effective dates.
90.3  Definitions.
90.4  Treatment of confidential information.
90.5  Acronyms and abbreviations.
90.6  Table and figure numbering; position.
90.7  Reference materials.

       Subpart B--Emission Standards and Certification Provisions

90.101  Applicability.
90.102  Definitions.
90.103  Exhaust emission standards.
90.104  Compliance with emission standards.

[[Page 165]]

90.105  Useful life periods for Phase 2 engines.
90.106  Certificate of conformity.
90.107  Application for certification.
90.108  Certification.
90.109  Requirement of certification--closed crankcase.
90.110  Requirement of certification--prohibited controls.
90.111  Requirement of certification--prohibition of defeat devices.
90.112  Requirement of certification--adjustable parameters.
90.113  In-use testing program for Phase 1 engines.
90.114  Requirement of certification--engine information label.
90.115  Requirement of certification--supplying production engines upon 
          request.
90.116  Certification procedure--determining engine displacement, engine 
          class, and engine families.
90.117  Certification procedure--test engine selection.
90.118  Certification procedure--service accumulation and usage of 
          deterioration factors.
90.119  Certification procedure--testing.
90.120  Certification procedure--use of special test procedures.
90.121  Certification procedure--recordkeeping.
90.122  Amending the application and certificate of conformity.
90.123  Denial, revocation of certificate of conformity.
90.124  Request for hearing.
90.125  Hearing procedures.
90.126  Right of entry and access.

   Subpart C--Certification Averaging, Banking, and Trading Provisions

90.201  Applicability.
90.202  Definitions.
90.203  General provisions.
90.204  Averaging.
90.205  Banking.
90.206  Trading.
90.207  Credit calculation and manufacturer compliance with emission 
          standards.
90.208  Certification.
90.209  Maintenance of records.
90.210  End-of-year and final reports.
90.211  Request for hearing.
90.212  Optional transition year averaging, banking, and trading program 
          for Phase 2 handheld engines.
90.213  Averaging under the optional program.
90.214  Banking under the optional program.
90.215  Trading under the optional program.
90.216  Credit calculation and manufacturer compliance with emission 
          standards under the optional program.
90.217  Certification under the optional program.
90.218  Maintenance of records under the optional program.
90.219  End-of-year and final reports under the optional program.
90.220  Request for hearing.

              Subpart D--Emission Test Equipment Provisions

90.301  Applicability.
90.302  Definitions.
90.303  Symbols, acronyms, abbreviations.
90.304  Test equipment overview.
90.305  Dynamometer specifications and calibration accuracy.
90.306  Dynamometer torque cell calibration.
90.307  Engine cooling system.
90.308  Lubricating oil and test fuels.
90.309  Engine intake air temperature measurement.
90.310  Engine intake air humidity measurement.
90.311  Test conditions.
90.312  Analytical gases.
90.313  Analyzers required.
90.314  Analyzer accuracy and specifications.
90.315  Analyzer initial calibration.
90.316  Hydrocarbon analyzer calibration.
90.317  Carbon monoxide analyzer calibration.
90.318  Oxides of nitrogen analyzer calibration.
90.319  NOX converter check.
90.320  Carbon dioxide analyzer calibration.
90.321  NDIR analyzer calibration.
90.322  Calibration of other equipment.
90.323  Analyzer bench checks.
90.324  Analyzer leakage check.
90.325  Analyzer interference checks.
90.326  Pre- and post-test analyzer calibration.
90.327  Sampling system requirements.
90.328  Measurement equipment accuracy/calibration frequency table.
90.329  Catalyst thermal stress test.

Appendix A to Subpart D of Part 90--Tables
Appendix B to Subpart D of Part 90--Figures

               Subpart E--Gaseous Exhaust Test Procedures

90.401  Applicability.
90.402  Definitions.
90.403  Symbols, acronyms, and abbreviations.
90.404  Test procedure overview.
90.405  Recorded information.
90.406  Engine parameters to be measured and recorded.
90.407  Engine inlet and exhaust systems.
90.408  Pre-test procedures.
90.409  Engine dynamometer test run.
90.410  Engine test cycle.
90.411  Post-test analyzer procedures.
90.412  Data logging.

[[Page 166]]

90.413  Exhaust sample procedure--gaseous components.
90.414  Raw gaseous exhaust sampling and analytical system description.
90.415  Raw gaseous sampling procedures.
90.416  Intake air flow measurement specifications.
90.417  Fuel flow measurement specifications.
90.418  Data evaluation for gaseous emissions.
90.419  Raw emission sampling calculations--gasoline fueled engines.
90.420  CVS concept of exhaust gas sampling system.
90.421  Dilute gaseous exhaust sampling and analytical system 
          description.
90.422  Background sample.
90.423  Exhaust gas analytical system; CVS grab sample.
90.424  Dilute sampling procedures--CVS calibration.
90.425  CVS calibration frequency.
90.426  Dilute emission sampling calculations--gasoline fueled engines.
90.427  Catalyst thermal stress resistance evaluation.

Appendix A to Subpart E of Part 90--Tables
Appendix B to Subpart E of Part 90--Figures

                Subpart F--Selective Enforcement Auditing

90.501  Applicability.
90.502  Definitions.
90.503  Test orders.
90.504  Testing by the Administrator.
90.505  Maintenance of records; submittal of information.
90.506  Right of entry and access.
90.507  Sample selection.
90.508  Test procedures.
90.509  Calculation and reporting of test results.
90.510  Compliance with acceptable quality level and passing and failing 
          criteria for selective enforcement audits.
90.511  Suspension and revocation of certificates of conformity.
90.512  Request for public hearing.
90.513  Administrative procedures for public hearing.
90.514  Hearing procedures.
90.515  Appeal of hearing decision.
90.516  Treatment of confidential information.

Appendix A to Subpart F of Part 90--Sampling Plans for Selective 
          Enforcement Auditing of Small Nonroad Engines

             Subpart G--Importation of Nonconforming Engines

90.601  Applicability.
90.602  Definitions.
90.603  [Reserved]
90.604  General requirements.
90.605-90.610  [Reserved]
90.611  Importation for purposes other than resale.
90.612  Exemptions and exclusions.
90.613  Prohibited acts; penalties.
90.614  Treatment of confidential information.

         Subpart H--Manufacturer Production Line Testing Program

90.701  Applicability.
90.702  Definitions.
90.703  Production line testing by the manufacturer.
90.704  Maintenance of records; submission of information.
90.705  Right of entry and access.
90.706  Engine sample selection.
90.707  Test procedures.
90.708  Cumulative Sum (CumSum) procedure.
90.709  Calculation and reporting of test results.
90.710  Compliance with criteria for production line testing.
90.711  Suspension and revocation of certificates of conformity.
90.712  Request for public hearing.
90.713  Administrative procedures for public hearing.

  Subpart I--Emission-related Defect Reporting Requirements, Voluntary 
                Emission Recall Program, Ordered Recalls

90.801  Applicability.
90.802  Definitions.
90.803  Emission defect information report.
90.804  Voluntary emissions recall.
90.805  Reports, voluntary recall plan filing, record retention.
90.806  Responsibility under other legal provisions preserved.
90.807  Disclaimer of production warranty applicability.
90.808  Ordered recall provisions.

 Subpart J--Exclusion and Exemption of Nonroad Engines From Regulations

90.901  Applicability.
90.902  Definitions.
90.903  Exclusions, application of section 216 (10) and (11) of the Act.
90.904  Who may request an exemption.
90.905  Testing exemption.
90.906  Manufacturer-owned exemption and precertification exemption.
90.907  Display exemption.
90.908  National security exemption.
90.909  Export exemptions.
90.910  Granting of exemptions.
90.911  Submission of exemption requests.

[[Page 167]]

90.912  Treatment of confidential information.

      Subpart K--Prohibited Acts and General Enforcement Provisions

90.1001  Applicability.
90.1002  Definitions.
90.1003  Prohibited acts.
90.1004  General enforcement provisions.
90.1005  Injunction proceedings for prohibited acts.
90.1006  Penalties.

        Subpart L--Emission Warranty and Maintenance Instructions

90.1101  Applicability.
90.1102  Definitions.
90.1103  Emission warranty, warranty period.
90.1104  Furnishing of maintenance instructions to ultimate purchaser.

                   Subpart M--Voluntary In-Use Testing

Sec.
90.1201  Applicability.
90.1202  Definitions.
90.1203  Voluntary Manufacturer In-use testing program.
90.1204  Maintenance, aging and testing of engines.
90.1205  In-use test program reporting requirements.
90.1206  Reserved.
90.1207  Entry and access.
90.1208-90.1249  [Reserved]

    Authority: 42 U.S.C. 7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 
7547, 7549, 7550, and 7601(a).

    Source: 60 FR 34598, July 3, 1995, unless otherwise noted.



                           Subpart A--General



Sec. 90.1  Applicability.

    (a) This part applies to new nonroad spark-ignition engines and 
vehicles with gross power output at or below 19 kilowatts (kW) used for 
any purpose, unless we exclude them under paragraph (d) of this section.
    (b) This part also applies to engines with a gross power output 
above 19 kW if the manufacturer uses the provisions of 40 CFR 1048.615 
or 1051.145(a)(3) to exempt them from the requirements of 40 CFR part 
1048 or 1051, respectively. Compliance with the provisions of this part 
is a required condition of those exemptions.
    (c) [Reserved]
    (d) The following nonroad engines and vehicles are not subject to 
the provisions of this part:
    (1) Engines certified to meet the requirements of 40 CFR part 1051 
(e.g., engines used in snowmobiles). This part nevertheless applies to 
engines used in recreational vehicles if the manufacturer uses the 
provisions of 40 CFR 1051.145(a)(3) to exempt them from the requirements 
of 40 CFR part 1051. Compliance with the provisions of this part is a 
required condition of that exemption.
    (2) Engines used in highway motorcycles. See 40 CFR part 86, subpart 
E.
    (3) Propulsion marine engines. See 40 CFR part 91. This part applies 
with respect to auxiliary marine engines.
    (4) Engines used in aircraft. See 40 CFR part 87.
    (5) Engines certified to meet the requirements of 40 CFR part 1048.
    (6) Hobby engines.
    (7) Engines that are used exclusively in emergency and rescue 
equipment where no certified engines are available to power the 
equipment safely and practically, but not including generators, 
alternators, compressors or pumps used to provide remote power to a 
rescue tool. The equipment manufacturer bears the responsibility to 
ascertain on an annual basis and maintain documentation available to the 
Administrator that no appropriate certified engine is available from any 
source.
    (e) Engines subject to the provisions of this subpart are also 
subject to the provisions found in subparts B through N of this part, 
except that Subparts C, H, M and N of this part apply only to Phase 2 
engines as defined in this subpart.
    (f) Certain text in this part is identified as pertaining to Phase 1 
or Phase 2 engines. Such text pertains only to engines of the specified 
Phase. If no indication of Phase is given, the text pertains to all 
engines, regardless of Phase.

[67 FR 68339, Nov. 8, 2002]



Sec. 90.2  Effective dates.

    (a) This subpart applies to nonroad spark-ignition engines at or 
below 19 kW effective with the 1997 model year.
    (b) Notwithstanding paragraph (a) of this section, this subpart 
applies to

[[Page 168]]

class V engines, as specified in Sec. 90.116(b)(5), that are preempted 
from regulation in California by section 209(e)(1)(A) of the Act, 
effective January 1, 1998.
    (c) Notwithstanding paragraphs (a) and (b) of this section, engines 
used in recreational vehicles with engine rated speed greater than or 
equal to 5,000 rpm and with no installed speed governor are not subject 
to the provisions of this part through the 2005 model year. Starting 
with the 2006 model year, all the requirements of this part apply to 
engines used in these vehicles if they are not included in the scope of 
40 CFR part 1051.

[60 FR 34598, July 3, 1995, as amended at 67 FR 68339, Nov. 8, 2002]



Sec. 90.3  Definitions.

    The following definitions apply to part 90. All terms not defined 
herein have the meaning given them in the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Adjustable parameter means any device, system, or element of design 
which is physically capable of being adjusted (including those which are 
difficult to access) and which, if adjusted, may affect emissions or 
engine performance during emission testing or normal in-use operation.
    Administrator means the Administrator of the Environmental 
Protection Agency or his or her authorized representative.
    Aftertreatment means the passage of exhaust gases through a device 
or system such as a catalyst whose purpose is to chemically alter the 
gases prior to their release to the atmosphere.
    Auxiliary emission control device (AECD) means any element of design 
that senses temperature, vehicle speed, engine RPM, transmission gear, 
or any other parameter for the purpose of activating, modulating, 
delaying, or deactivating the operation of any part of the emission 
control system.
    Certification means, with respect to new nonroad engines, obtaining 
a certificate of conformity for an engine family complying with the 
nonroad engine emission standards and requirements specified in this 
part.
    DF or df means deterioration factor.
    Eligible production or U.S. production means Phase 2 engines 
produced for purposes of being used in the United States, and includes 
any engine exported and subsequently imported in a new piece of 
equipment, but excludes any engine introduced into commerce, by itself 
or in a piece of equipment, for use in a state that has established its 
own emission requirements applicable to such engines pursuant to a 
waiver granted by EPA under section 209(e) of the Clean Air Act.
    Emission control system means any device, system, or element of 
design which controls or reduces the emission of substances from an 
engine.
    Engine as used in this part, refers to nonroad engine.
    Engine family means a group of engines, as specified in Sec. 90.116.
    Engine manufacturer means any person engaged in the manufacturing or 
assembling of new nonroad engines or the importing of such engines for 
resale, or who acts for and is under the control of any such person in 
connection with the distribution of such engines. Engine manufacturer 
does not include any dealer with respect to new nonroad engines received 
by such person in commerce.
    EPA enforcement officer means any officer, employee, or authorized 
representative of the U.S. Environmental Protection Agency so designated 
in writing by the Administrator (or by his or her designee).
    Equipment manufacturer means a manufacturer of equipment using 
engines covered by the provisions of this Part who does not also 
manufacture engines covered by the provisions of this Part.
    Exhaust emissions means matter emitted into the atmosphere from any 
opening downstream from the exhaust port of a nonroad engine.
    Family Emission Limit or FEL means an emission level that is 
declared by the manufacturer to serve in lieu of an emission standard 
for the purposes of certification, production line testing, and 
Selective Enforcement Auditing for engines participating in the 
averaging, banking and trading program. A

[[Page 169]]

declared FEL will also serve in lieu of an emission standard where the 
manufacturer elects to perform voluntary in-use testing under this part. 
An FEL must be expressed to the same number of decimal places as the 
applicable emission standard.
    Fuel system means all components involved in the transport, 
metering, and mixture of the fuel from the fuel tank to the combustion 
chamber(s) including the following: fuel tank, fuel tank cap, fuel pump, 
fuel lines, oil injection metering system, carburetor or fuel injection 
components, and all fuel system vents.
    Gross power means the power measured at the crankshaft or its 
equivalent, the engine being equipped only with the standard accessories 
(such as oil pumps, coolant pumps, and so forth) necessary for its 
operation on the test bed.
    Handheld equipment engine means a nonroad engine that meets the 
requirements specified in Sec. 90.103(a)(2)(I) through (v).
    HC+NOX means total hydrocarbons plus oxides of nitrogen.
    Hobby engines means engines used in reduced-scale models of vehicles 
that are not capable of transporting a person (for example, model 
airplanes).
    Marine engine means an engine that someone installs or intends to 
install on a marine vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel means a vehicle that is capable of operation in water 
but is not capable of operation out of water. Amphibious vehicles are 
not marine vessels.
    Model year (MY) means the manufacturer's annual new model production 
period which includes January 1 of the calendar year, ends no later than 
December 31 of the calendar year, and does not begin earlier than 
January 2 of the previous calendar year. Where a manufacturer has no 
annual new model production period, model year means calendar year.
    New, for the purposes of this part, means a nonroad engine or 
nonroad vehicle the equitable or legal title to which has never been 
transferred to an ultimate purchaser. Where the equitable or legal title 
to the engine or vehicle is not transferred to an ultimate purchaser 
until after the engine or vehicle is placed into service, then the 
engine or vehicle will no longer be new after it is placed into service. 
A nonroad engine or vehicle is placed into service when it is used for 
its functional purposes. With respect to imported nonroad engines or 
nonroad vehicles, the term ``new'' means an engine or vehicle that is 
not covered by a certificate of conformity issued under this part at the 
time of importation, and that is manufactured after the effective date 
of a regulation issued under this part which is applicable to such 
engine or vehicle (or which would be applicable to such engine or 
vehicle had it been manufactured for importation into the United 
States).
    New Class I engine family means any group of engines that employ a 
design that is different from engine families that the engine 
manufacturer has previously certified, and does not include any engine 
family certified on the basis of carryover data or any engine family 
that differs from another engine family solely as a result of a running 
change.
    NMHC+NOX means nonmethane hydrocarbons plus oxides of 
nitrogen.
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, any 
internal combustion engine:
    (i) In or on a piece of equipment that is self-propelled or serves a 
dual purpose by both propelling itself and performing another function 
(such as garden tractors, off-highway mobile cranes, and bulldozers); or
    (ii) In or on a piece of equipment that is intended to be propelled 
while performing its function (such as lawnmowers and string trimmers); 
or
    (iii) That, by itself or in or on a piece of equipment, is portable 
or transportable, meaning designed to be and capable of being carried or 
moved from one location to another. Indicia of transportability include, 
but are not limited

[[Page 170]]

to, wheels, skids, carrying handles, dolly, trailer, or platform.
    (2) An internal combustion engine is not a nonroad engine if:
    (i) The engine is used to propel a motor vehicle or a vehicle used 
solely for competition, or is subject to standards promulgated under 
section 202 of the Act; or
    (ii) The engine is regulated by a federal New Source Performance 
Standard promulgated under section 111 of the Act; or
    (iii) The engine otherwise included in paragraph (1)(iii) of this 
definition remains or will remain at a location for more than 12 
consecutive months or a shorter period of time for an engine located at 
a seasonal source. A location is any site at a building, structure, 
facility, or installation. Any engine (or engines) that replaces an 
engine at a location and that is intended to perform the same or similar 
function as the engine replaced will be included in calculating the 
consecutive time period. An engine located at a seasonal source is an 
engine that remains at a seasonal source during the full annual 
operating period of the seasonal source. A seasonal source is a 
stationary source that remains in a single location on a permanent basis 
(i.e., at least two years) and that operates at that single location 
approximately three months (or more) each year. This paragraph does not 
apply to an engine after the engine is removed from the location.
    Nonroad vehicle means a vehicle that is powered by a nonroad engine 
as defined in this section and that is not a motor vehicle or a vehicle 
used solely for competition. Nonroad vehicle also includes equipment 
that is powered by nonroad engines.
    Nonroad vehicle manufacturer means any person engaged in the 
manufacturing or assembling of new nonroad vehicles or importing such 
vehicles for resale, or who acts for and is under the control of any 
such person in connection with the distribution of such vehicles. A 
nonroad vehicle manufacturer does not include any dealer with respect to 
new nonroad vehicles received by such person in commerce.
    Operating hours means:
    (1) For engine storage areas or facilities, all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the storage area or facility and have access to it.
    (2) For all other areas or facilities, all times during which an 
assembly line is in operation or all times during which testing, 
maintenance, service accumulation, production or compilation of records, 
or any other procedure or activity related to certification testing, to 
translation of designs from the test stage to the production stage, or 
to engine manufacture or assembly is being carried out in a facility.
    Overhead valve engine means an otto-cycle, four stroke engine in 
which the intake and exhaust valves are located above the combustion 
chamber within the cylinder head. Such engines are sometimes referred to 
as ``valve-in-head'' engines.
    Phase 1 engine means any handheld or nonhandheld engine, that was 
produced under a certificate of conformity issued under the regulations 
in this part to the standard levels defined for Phase 1.
    Phase 2 engine means any handheld and nonhandheld engine that was 
produced under a certificate of conformity under the regulations in this 
part to the standards defined for Phase 2 engines.
    Presentation of credentials means the display of the document 
designating a person as an EPA enforcement officer or EPA authorized 
representative.
    Recreational means, for purposes of this part, relating to a vehicle 
intended by the vehicle manufacturer to be operated primarily for 
pleasure.
    Round, rounded or rounding means, unless otherwise specified, that 
numbers will be rounded according to ASTM-E29-93a, which is incorporated 
by reference in this part pursuant to Sec. 90.7.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of components or systems required 
by the manufacturer to be performed on a periodic basis to prevent part 
failure or vehicle or engine malfunction, or those actions anticipated 
as necessary to correct an

[[Page 171]]

overt indication of malfunction or failure for which periodic 
maintenance is not appropriate.
    Side valve engine means an otto-cycle, four stroke engine in which 
the intake and exhaust valves are located to the side of the cylinder, 
not within the cylinder head. Such engines are sometimes referred to as 
``L-head'' engines.
    Small volume engine family means any handheld engine family or any 
nonhandheld engine family whose eligible production in a given model 
year are projected at the time of certification to be no more than 5,000 
engines.
    Small volume engine manufacturer means, for nonhandheld engines, any 
engine manufacturer whose total eligible production of nonhandheld 
engines are projected at the time of certification of a given model year 
to be no more than 10,000 nonhandheld engines. For handheld engines, the 
term small volume engine manufacturer means any engine manufacturer 
whose total eligible production of handheld engines are projected at the 
time of certification of a given model year to be no more than 25,000 
handheld engines.
    Small volume equipment manufacturer means, for nonhandheld 
equipment, any equipment manufacturer whose production of nonhandheld 
equipment subject to regulation under this part or powered by engines 
regulated under this part, does not exceed 5,000 pieces for a given 
model year or annual production period excluding that equipment intended 
for introduction into commerce for use in a state that has established 
its own emission requirements applicable to such equipment or engines in 
such equipment, pursuant to a waiver granted by EPA under section 209(e) 
of the Clean Air Act. For handheld equipment, the term small volume 
equipment manufacturer has the same meaning except that it is limited to 
25,000 pieces of handheld equipment rather than 5,000 pieces of 
nonhandheld equipment.
    Small volume equipment model means, for nonhandheld equipment, any 
unique model of equipment whose production subject to regulations under 
this part or powered by engines regulated under this part, does not 
exceed 500 pieces for a given model year or annual production period 
excluding that equipment intended for introduction into commerce for use 
in a state that has established its own emission requirements applicable 
to such equipment or engines in such equipment, pursuant to a waiver 
granted by EPA under section 209(e) of the Clean Air Act. For handheld 
equipment, the term small volume equipment model has the same meaning 
except that it is limited to 5,000 pieces of handheld equipment, rather 
than 500 pieces of nonhandheld equipment.
    Test engine means the engine or group of engines that a manufacturer 
uses during certification to determine compliance with emission 
standards.
    Ultimate purchaser means, with respect to any new nonroad engine or 
new nonroad vehicle, the first person who in good faith purchases such 
new nonroad engine or vehicle for purposes other than resale.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, the U.S. Virgin Islands, and the Trust 
Territory of the Pacific Islands.
    Used solely for competition means exhibiting features that are not 
easily removed and that would render its use other than in competition 
unsafe, impractical, or highly unlikely.
    Warranty period means the period of time the engine or part is 
covered by the warranty provisions.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15235, Mar. 30, 1999; 65 
FR 24305, Apr. 25, 2000; 67 FR 68339, Nov. 8, 2002]



Sec. 90.4  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this part is entitled to confidential treatment as 
provided by part 2, subpart B of this chapter.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a manufacturer must indicate clearly the items of 
information

[[Page 172]]

claimed confidential by marking, circling, bracketing, stamping, or 
otherwise specifying the confidential information. Furthermore, EPA 
requests, but does not require, that the submitter also provide a second 
copy of its submittal from which all confidential information has been 
deleted. If a need arises to publicly release nonconfidential 
information, EPA will assume that the submitter has accurately deleted 
the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 
Sec. 2.204(c)(2)(i)(A) of this chapter.



Sec. 90.5  Acronyms and abbreviations.

    The following acronyms and abbreviations apply to part 90.

AECD--Auxiliary emission control device
ASME--American Society of Mechanical Engineers
ASTM--American Society for Testing and Materials
CAA--Clean Air Act
CAAA--Clean Air Act Amendments of 1990
CLD--chemiluminescent detector
CO--Carbon monoxide
CO2--Carbon dioxide
EPA--Environmental Protection Agency
FTP--Federal Test Procedure
g/kW-hr--grams per kilowatt hour
HC--hydrocarbons
HCLD--heated chemiluminescent detector
HFID--heated flame ionization detector
ICI--independent Commercial Importer
NDIR--non-dispersive infrared analyzer
NIST--National Institute for Standards and Testing
NO--Nitric oxide
NO2--Nitrogen dioxide
NOX--Oxides of nitrogen
O2--Oxygen
OEM--original equipment manufacturer
PMD--paramagnetic detector
SAE--Society of Automotive Engineers
SEA--Selective Enforcement Auditing
SI--spark-ignition
U.S.C.--United States Code
VOC--Volatile organic compounds
ZROD--zirconiumdioxide sensor



Sec. 90.6  Table and figure numbering; position.

    (a) Tables for each subpart appear in an appendix at the end of the 
subpart. Tables are numbered consecutively by order of appearance in the 
appendix. The table title will indicate the topic.
    (b) Figures for each subpart appear in an appendix at the end of the 
subpart. Figures are numbered consecutively by order of appearance in 
the appendix. The figure title will indicate the topic.



Sec. 90.7  Reference materials.

    (a) Incorporation by reference. The documents in paragraph (b) of 
this section have been incorporated by reference. The incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at U.S. EPA Air and Radiation Docket, room M-1500, 401 M St., 
SW., Washington D.C. 20460, or at the Office of the Federal Register, 
800 North Capitol Street, NW., suite 700, Washington, DC.
    (b) The following paragraphs and tables set forth the material that 
has been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth material from the 
American Society for Testing and Materials which has been incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section(s) of this part, other 
than Sec. 90.7, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from American Society for Testing and 
Materials, 1916 Race St., Philadelphia, PA 19103.

----------------------------------------------------------------------------------------------------------------
              Document number and name                                 40 CFR part 90 reference
----------------------------------------------------------------------------------------------------------------
ASTM D86-93:
    Standard Test Method for Distillation of          Appendix A to subpart D, Table 3.
     Petroleum Products.
ASTM D1319-89:

[[Page 173]]

 
    Standard Test Method for Hydrocarbon Types in     Appendix A to subpart D, Table 3.
     Liquid Petroleum Products by Fluorescent
     Indicator Adsorption.
ASTM D2622-92:
    Standard Test Method for Sulfur in Petroleum      Appendix A to subpart D, Table 3.
     Products by X-ray Spectrometry.
ASTM D2699-92:
    Standard Test Method for Knock Characteristics    Appendix A to subpart D, Table 3.
     of Motor Fuels by the Research Method.
ASTM D2700-92:
    Standard Test Method for Knock Characteristics    Appendix A to subpart D, Table 3.
     of Motor and Aviation Fuels by the Motor Method.
ASTM D3231-89:
    Standard Test Method for Phosphorus in Gasoline.  Appendix A to subpart D, Table 3.
ASTM D3606-92:
    Standard Test Method for Determination of         Appendix A to subpart D, Table 3.
     Benzene and Toluene in Finished Motor and
     Aviation Gasoline by Gas Chromatography.
ASTM D5191-93a:
    Standard Test Method for Vapor Pressure of        Appendix A to subpart D, Table 3.
     Petroleum Products (Mini Method).
ASTM E29-93a:
    Standard Practice for Using Significant Digits    90.116; 90.509.
     in Test Data to Determine Conformance with
     Specifications.
----------------------------------------------------------------------------------------------------------------

    (2) SAE material. The following table sets forth material from the 
Society of Automotive Engineers which has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of this part, other than 
Sec. 90.7, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from Society of Automotive Engineers 
International, 400 Commonwealth Dr., Warrendale, PA 15096-0001.

------------------------------------------------------------------------
                                                             40 CFR part
                  Document number and name                        90
                                                              reference
------------------------------------------------------------------------
SAE J1930 September 1991, Electrical/Electronic Systems           90.114
 Diagnostic Terms, Definitions, Abbreviations and Acronyms.
SAE Paper 770141, Optimization of a Flame Ionization              90.316
 Detector for Determination of Hydrocarbon in Diluted
 Automotive Exhausts, Glenn D. Reschke, 1977...............
------------------------------------------------------------------------



       Subpart B--Emission Standards and Certification Provisions



Sec. 90.101  Applicability.

    The requirements of subpart B are applicable to all nonroad engines 
and vehicles subject to the provisions of subpart A of part 90.



Sec. 90.102  Definitions.

    The definitions in subpart A of part 90 apply to this subpart. All 
terms not defined herein or in subpart A have the meaning given them in 
the Act. The following definitions also apply to this subpart.
    Attitudinal control means the operator regulates either the 
horizontal or vertical position of the equipment, or both.
    Carry means the operator completely bears the weight of the 
equipment, including the engine.
    Support means that the operator holds the equipment in position so 
as to prevent it from falling, slipping or sinking. It is not necessary 
for the entire weight of the equipment to be borne by the operator.



Sec. 90.103  Exhaust emission standards.

    (a) Exhaust emissions for new Phase 1 and Phase 2 nonroad spark 
ignition engines at or below 19 kilowatts (kW), shall not exceed the 
following levels. Throughout this part, NMHC+NOX standards 
are applicable only to natural gas fueled engines at the option of the 
manufacturer, in lieu of HC+NOX standards.

[[Page 174]]



                                   Table 1--Phase 1 Exhaust Emission Standards
                                            [Grams per kilowatt-hour]
----------------------------------------------------------------------------------------------------------------
                                          Hydrocarbons+oxides
        Engine displacement class             of nitrogen        Hydrocarbons   Carbon monoxide     Oxides of
                                                (HC+NOX)                                          nitrogen (NOX)
----------------------------------------------------------------------------------------------------------------
I.......................................               16.1    ...............              519  ...............
II......................................               13.4    ...............              519  ...............
III.....................................  ...................              295              805             5.36
IV......................................  ...................              241              805             5.36
V.......................................  ...................              161              603             5.36
----------------------------------------------------------------------------------------------------------------


              Table 2--Phase 2 Class I-A, Class I-B, and Class I Engine Exhaust Emission Standards
                                            [grams per kilowatt-hour]
----------------------------------------------------------------------------------------------------------------
          Engine class                HC+NOX         NMHC+NOX           CO                Effective date
----------------------------------------------------------------------------------------------------------------
I...............................            16.1            14.8             610  August 1, 2007; in addition,
                                                                                   any Class I engine family
                                                                                   initially produced on or
                                                                                   after August 1, 2003 must
                                                                                   meet the Phase 2 Class I
                                                                                   standards before they may be
                                                                                   introduced into commerce.
I-A.............................              50                             610  2001 Model Year.
I-B.............................              40              37             610  2001 Model Year.
----------------------------------------------------------------------------------------------------------------


                                        Table 3--Phase 2 Class II Engine Exhaust Emission Standards by Model Year
                                                                ]grams per kilowatt-hour]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                       Model Year
---------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                              2005  and
                 Engine Class                          Emission requirement             2001          2002          2003          2004          later
--------------------------------------------------------------------------------------------------------------------------------------------------------
II............................................  HC +NOX                                     18.0          16.6          15.0          13.6          12.1
                                                NMHC+NOX                                    16.7          15.3          14.0          12.7          11.3
                                                CO                                         610           610           610           610           610
--------------------------------------------------------------------------------------------------------------------------------------------------------


                       TABLE 4--Phase 2 Handheld Exhaust Emission Standards by Model Year
                                            [grams per kilowatt-hour]
----------------------------------------------------------------------------------------------------------------
                                                                                 Model year
                                                           -----------------------------------------------------
            Engine class              Emission requirement                                                 2007
                                                              2002     2003     2004     2005     2006     and
                                                                                                          later
----------------------------------------------------------------------------------------------------------------
Class III..........................  HC+NOX...............      238      175      113       50       50       50
                                     CO...................      805      805      805      805      805      805
Class IV...........................  HC+NOX...............      196      148       99       50       50       50
                                     CO...................      805      805      805      805      805      805
Class V............................  HC+NOX...............                        143      119       96       72
                                     CO...................                        603      603      603      603
----------------------------------------------------------------------------------------------------------------

    (1) Each engine displacement class has a unique set of exhaust 
emission standards. Boundaries for each class are indicated in 
Sec. 90.116(b).
    (2) Emission standards for classes III, IV, V may be used only if an 
engine meets at least one of the following requirements:
    (i) The engine must be used in a piece of equipment that is carried 
by the operator throughout the performance of its intended function(s);
    (ii) The engine must be used in a piece of equipment that must 
operate multipositionally, such as upside down or sideways, to complete 
its intended function(s);
    (iii) The engine must be used in a piece of equipment for which the 
combined engine and equipment dry weight is under 14 kilograms, no more 
than two wheels are present on the equipment, and at least one of the 
following attributes is also present:
    (A) The operator must alternately provide support or carry the 
equipment throughout the performance of its intended function(s); (B) 
The operator

[[Page 175]]

must provide support or attitudinal control for the equipment throughout 
the performance of its intended function(s); and
    (C) The engine must be used in a generator or pump;
    (iv) The engine must be used to power one-person augers, with a 
combined engine and equipment dry weight under 20 kilograms;
    (v) The engine must be used in a recreational application, with a 
combined total vehicle dry weight under 20 kilograms;
    (vi) Where a piece of equipment otherwise meeting the requirements 
of paragraph (a)(2)(iii) or (a)(2)(iv) of this section exceeds the 
applicable weight limit, emission standards for class III, IV or V, as 
applicable, may still apply if the equipment exceeds the weight limit by 
no more than the extent necessary to allow for the incremental weight of 
a four stroke engine or the incremental weight of a two stroke engine 
having enhanced emission control acceptable to the Administrator. Any 
manufacturer utilizing this provision to exceed the subject weight 
limitations shall maintain and make available to the Administrator upon 
request, documentation to substantiate that the exceedance of either 
weight limitation is a direct result of application of a four stroke or 
enhanced two stroke engine having the same, less or very similar power 
to two stroke engines that could otherwise be used to power the 
equipment and remain within the weight limitations.
    (3) Notwithstanding paragraph (a)(2) of this section, two stroke 
engines used to power lawnmowers or other nonhandheld equipment may meet 
Phase 1 Class III, IV or V standards and requirements, as appropriate, 
through model year 2002 subject to the provisions of Sec. 90.107(e), (f) 
and (h). Such engines shall not be included in any computations of Phase 
2 averaging, banking, or trading credits or eligible production.
    (4) Notwithstanding paragraph (a)(2) of this section, two-stroke 
engines used to power snowthrowers may meet class III, IV, or V 
standards.
    (5) Notwithstanding paragraph (a)(2) of this section, engines used 
exclusively to power products which are used exclusively in wintertime, 
such as snowthrowers and ice augers, at the option of the engine 
manufacturer, need not certify to or comply with standards regulating 
emissions of HC, NOX, HC+NOX or 
NMHC+NOX, as applicable. If the manufacturer exercises the 
option to certify to standards regulating such emissions, such engines 
must meet such standards. If the engine is to be used in any equipment 
or vehicle other than an exclusively wintertime product such as a 
snowthrower or ice auger, it must be certified to the applicable 
standard regulating emissions of HC, NOX, HC+NOX 
or NMHC+NOX as applicable.
    (6) In lieu of certifying to the applicable Phase 2 standards, small 
volume engine manufacturers as defined in this part may, at their 
option, certify their engine families as Phase 1 engines until the 2010 
model year for nonhandheld engine families excluding Class I-A and Class 
I-B engine families, until the 2008 model year for Class III and Class 
IV engine families, and until the 2010 model year for Class V engine 
families. Such engines shall not exceed the applicable Phase 1 standards 
and are excluded from the averaging, banking and trading program and any 
related credit calculations. Beginning with the 2010 model year for 
nonhandheld engine families, the 2008 model year for Class III and Class 
IV engine families, and the 2010 model year for Class V engine families, 
these engines must meet the applicable Phase 2 standards.
    (7) In lieu of certifying to the applicable Phase 2 standards, 
manufacturers of small volume engine families, as defined in this part 
may, at their option, certify their small volume engine families as 
Phase 1 engines until the 2010 model year for nonhandheld engine 
families excluding Class I-A and Class I-B engine families, until the 
2008 model year for Class III and Class IV engine families, and until 
the 2010 model year for Class V engine families. Such engines shall not 
exceed the applicable Phase 1 standards and are excluded from the 
averaging, banking and trading program and any related credit 
calculations. Beginning with the 2010 model year for nonhandheld engine 
families, the 2008 model year for Class

[[Page 176]]

III and Class IV engine families, and the 2010 model year for Class V 
engine families, these engines must meet the applicable Phase 2 
standards.
    (8) Notwithstanding the standards shown in Table 3 of this section, 
the HC+NOX (NMHC+NOX) standard for Phase 2 Class 
II side valve engine families with annual production of 1000 or less 
shall be 24.0 g/kW-hr (22.0 g/kW-hr) for model years 2010 and later. 
Engines produced subject to this provision may not exceed this standard 
and are excluded from the averaging, banking and trading program and any 
related credit calculations.
    (b) Exhaust emissions will be measured using the procedures set 
forth in subpart E of this part.

[60 FR 34598, July 3, 1995, as amended at 61 FR 58300, Nov. 13, 1996; 62 
FR 42643, Aug. 7, 1997; 64 FR 15236, Mar. 30, 1999; 65 FR 24305, Apr. 
25, 2000; 67 FR 68340, Nov. 8, 2002]



Sec. 90.104  Compliance with emission standards.

    Paragraphs (a) through (c) of this section apply to Phase 1 engines 
only. Paragraphs (d) through (h) of this section apply only to Phase 2 
engines.
    (a) If all test engines representing an engine family have emissions 
less than or equal to each emission standard in a given engine 
displacement class, that family complies with that class of emission 
standards.
    (b) If any test engine representing an engine family has emissions 
greater than any one emission standard in a given engine displacement 
class, that family will be deemed not in compliance with that class of 
emission standards.
    (c) If catalysts are used in an engine family, the engine 
manufacturer must affirm that catalyst durability has been confirmed on 
the basis of the evaluation procedure that is specified in subpart E of 
this part.
    (d) The exhaust emission standards (FELs, where applicable) for 
Phase 2 engines set forth in this part apply to the emissions of the 
engines for their full useful lives as determined pursuant to 
Sec. 90.105.
    (e) For all Phase 2 engines, if all test engines representing an 
engine family have emissions, when properly tested according to 
procedures in this part, less than or equal to each Phase 2 emission 
standard (FEL, where applicable) in a given engine class and given model 
year, when multiplicatively adjusted by the deterioration factor 
determined in this section, that family complies with that class of 
emission standards for purposes of certification. If any test engine 
representing an engine family has emissions adjusted multiplicatively by 
the deterioration factor determined in this section, greater than any 
one emission standard (FEL, where applicable) for a given displacement 
class, that family does not comply with that class of emission 
standards.
    (f) Each engine manufacturer must comply with all provisions of the 
averaging, banking and trading program outlined in subpart C of this 
part for each engine family participating in that program.
    (g)(1) Small volume engine manufacturers and small volume engine 
families may, at their option, take deterioration factors for 
HC+NOX (NMHC+NOX) and CO from Table 1 or Table 2 
of this paragraph (g), or they may calculate deterioration factors for 
HC+NOX (NMHC+NOX) and CO according to the process 
described in paragraph (h) of this section. For technologies that are 
not addressed in Table 1 or Table 2 of this paragraph (g), the 
manufacturer may ask the Administrator to assign a deterioration factor 
prior to the time of certification. The provisions of this paragraph (g) 
do not apply to Class I-A and Class I-B engines.
    (2) Table 1 follows:

[[Page 177]]



      Table 1: Nonhandheld Engine HC+NOX (NMHC+NOX) and CO Assigned Deterioration Factors for Small Volume
                                 Manufacturers and Small Volume Engine Families
----------------------------------------------------------------------------------------------------------------
                                           Side valve engines      Overhead valve
                                         ----------------------        engines
              Engine class                                     ----------------------        Engines with
                                             HC+NOX       CO       HC+NOX                   aftertreatment
                                           (NMHC+NOX)            (NMHC+NOX)     CO
----------------------------------------------------------------------------------------------------------------
Class I.................................           2.1     1.1           1.5     1.1  Dfs must be calculated
                                                                                       using the formula in Sec.
                                                                                        90.104(g)(4).
Class II................................           1.6     1.1           1.4     1.1
----------------------------------------------------------------------------------------------------------------

    (3) Table 2 follows:

 Table 2--Handheld Engine HC+NOX and CO Assigned Deterioration Factors for Small Volume Manufacturers and Small
                                             Volume Engine Families
----------------------------------------------------------------------------------------------------------------
                                         Two-stroke engines1       Four-stroke engines
            Engine class             ----------------------------------------------------      Engines with
                                         HC+NOX         CO         HC+NOX         CO          aftertreatment
----------------------------------------------------------------------------------------------------------------
Class III...........................          1.1          1.1          1.5          1.1  Dfs must be calculated
                                                                                           using the formula in
                                                                                           Sec.  90.104(g)(4).
Class IV............................          1.1          1.1          1.5          1.1
Class V.............................          1.1          1.1          1.5         1.1
----------------------------------------------------------------------------------------------------------------
1 Two-stroke technologies to which these assigned deterioration factors apply include conventional two-strokes,
  compression wave designs, and stratified scavenging designs.

    (4) Formula for calculating deterioration factors for engines with 
aftertreatment:

DF = [(NE * EDF)-(CC * F)]/(NE-CC)

Where:

DF = deterioration factor.
NE = new engine emission levels prior to the catalyst (g/kW-hr)
EDF = deterioration factor for engines without catalyst as shown in 
Table 1 or Table 2 of this paragraph (g)
CC = amount converted at 0 hours in g/kW-hr.
F = 0.8 for HC (NMHC), 0.0 for NOX, and 0.8 for CO for all 
classes of engines.
    (h)(1) Manufacturers shall obtain an assigned df or calculate a df, 
as appropriate, for each regulated pollutant for all Phase 2 engine 
families. Such dfs shall be used for certification, production line 
testing, and Selective Enforcement Auditing.
    (2) For engines not using assigned dfs from Table 1 or Table 2 of 
paragraph (g) of this section, dfs shall be determined as follows:
    (i) On at least one test engine representing the configuration 
chosen to be the most likely to exceed HC+NOX 
(NMHC+NOX) emission standards, (FELs where applicable), and 
constructed to be representative of production engines pursuant to 
Sec. 90.117, conduct full Federal test procedure emission testing 
pursuant to the regulations of subpart E of this part at the number of 
hours representing stabilized emissions pursuant to Sec. 90.118. If more 
than one engine is tested, average the results and round to the same 
number of decimal places contained in the applicable standard, expressed 
to one additional significant figure;
    (ii) Conduct such emission testing again following aging the engine. 
The aging procedure should be designed to allow the manufacturer to 
appropriately predict the in-use emission deterioration expected over 
the useful life of the engine, taking into account the type of wear and 
other deterioration mechanisms expected under typical consumer use which 
could affect emissions performance. If more than one engine is tested, 
average the results and round to the same number of decimal places 
contained in the applicable standard, expressed to one additional 
significant figure;
    (iii) Divide the full useful life emissions (average emissions, if 
applicable) for each regulated pollutant by the stabilized emissions 
(average emissions, if applicable) and round to two significant figures. 
The resulting number

[[Page 178]]

shall be the df, unless it is less than 1.0, in which case the df shall 
be 1.0.
    (iv) At the manufacturer's option additional emission test points 
can be scheduled between the stabilized emission test point and the full 
useful life test period. If intermediate tests are scheduled, the test 
points must be evenly spaced over the full useful life period (plus or 
minus 2 hours) and one such test point shall be at one-half of full 
useful life (plus or minus 2 hours). For each pollutant 
HC+NOX (NMHC+NOX) and CO, a line must be fitted to 
the data points treating the initial test as occurring at hour zero, and 
using the method of least-squares. The deterioration factor is the 
calculated emissions durability period divided by the calculated 
emissions at zero hours.
    (3) EPA may reject a df if it has evidence that the df is not 
appropriate for that family within 30 days of receipt from the 
manufacturer. The manufacturer must retain actual emission test data to 
support its choice of df and furnish that data to the Administrator upon 
request. Manufacturers may request approval by the Administrator of 
alternate procedures for determining deterioration. Any submitted df not 
rejected by EPA within 30 days shall be deemed to have been approved.
    (4) Calculated deterioration factors may cover families and model 
years in addition to the one upon which they were generated if the 
manufacturer submits a justification acceptable to the Administrator in 
advance of certification that the affected engine families can be 
reasonably expected to have similar emission deterioration 
characteristics.
    (5) Engine families that undergo running changes need not generate a 
new df if the manufacturer submits a justification acceptable to the 
Administrator concurrent with the running change that the affected 
engine families can be reasonably expected to have similar emission 
deterioration characteristics.

[60 FR 34598, July 3, 1995, as amended by 64 FR 15237, Mar. 30, 1999; 65 
FR 24306, Apr. 25, 2000]



Sec. 90.105  Useful life periods for Phase 2 engines.

    (a) Manufacturers shall declare the applicable useful life category 
for each engine family at the time of certification as described in this 
section. Such category shall be the category which most closely 
approximates the expected useful lives of the equipment into which the 
engines are anticipated to be installed as determined by the engine 
manufacturer. Manufacturers shall retain data appropriate to support 
their choice of useful life category for each engine family. Such data 
shall be furnished to the Administrator upon request.
    (1) For nonhandheld engines: Manufacturers shall select a useful 
life category from Table 1 of this section at the time of certification. 
Engines with gross power output greater than 19 kW that have an engine 
displacement less than or equal to one liter that optionally certify 
under this part as allowed in Sec. 90.1(a), must certify to a useful 
life period of 1,000 hours.
    (2) Table 1 follows:

     Table 1: Useful Life Categories for Nonhandheld Engines [hours]
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Class I...........................................    125    250     500
Class II..........................................    250    500    1000
Class I-A.........................................     50    125     300
Class I-B.........................................    125    250     500
------------------------------------------------------------------------

    (3) For handheld engines: Manufacturers shall select a useful life 
category from Table 2 of this paragraph (a) at the time of 
certification.
    (4) Table 2 follows:

      Table 2: Useful Life Categories for Handheld Engines (Hours)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Class III..........................................     50    125    300
Class IV...........................................     50    125    300
Class V............................................     50    125    300
------------------------------------------------------------------------

    (5) Data to support a manufacturer's choice of useful life category, 
for a given engine family, may include but are not limited to:
    (i) Surveys of the life spans of the equipment in which the subject 
engines are installed;
    (ii) Engineering evaluations of field aged engines to ascertain when 
engine performance deteriorates to the point

[[Page 179]]

where usefulness and/or reliability is impacted to a degree sufficient 
to necessitate overhaul or replacement;
    (iii) Warranty statements and warranty periods;
    (iv) Marketing materials regarding engine life;
    (v) Failure reports from engine customers; and
    (vi) Engineering evaluations of the durability, in hours, of 
specific engine technologies, engine materials or engine designs.
    (b) [Reserved]

[64 FR 15238, Mar. 30, 1999, as amended at 65 FR 24307, Apr. 25, 2000]



Sec. 90.106  Certificate of conformity.

    (a)(1) Except as provided in Sec. 90.2(b), every manufacturer of new 
engines produced during or after model year 1997 must obtain a 
certificate of conformity covering such engines; however, engines 
manufactured during an annual production period beginning prior to 
September 1, 1996 are not required to be certified.
    (2) Except as required in paragraph (b)(3) of this section, Class II 
engines manufactured during an annual production period beginning prior 
to September 1, 2000 are not required to meet Phase 2 requirements.
    (b)(1) The annual production period begins either when an engine 
family is first produced or on January 2 of the calendar year preceding 
the year for which the model year is designated, whichever date is 
later. The annual production period ends either when the last engine is 
produced or on December 31 of the calendar year for which the model year 
is named, whichever date is sooner.
    (2) Notwithstanding paragraph (b)(1) of this section, annual 
production periods beginning prior to September 1, 1996 may not exceed 
12 months in length.
    (3) Manufacturers who commence an annual production period for a 
Class II engine family between January 1, 2000 and September 1, 2000 
must meet Phase 2 requirements for that family only if that production 
period will exceed 12 months in length.
    (c) Except as provided in paragraph (d) of this section, a 
certificate of conformity is deemed to cover the engines named in such 
certificate and produced during the annual production period, as defined 
in paragraph (b) of this section.
    (d) Except as provided in paragraph (e) of this section, the 
certificate of conformity must be obtained from the Administrator prior 
to selling, offering for sale, introducing into commerce, or importing 
into the United States the new engine. Engines produced prior to the 
effective date of a certificate of conformity may also be covered by the 
certificate, once it is effective, if the following conditions are met:
    (1) The engines conform in all respects to the engines described in 
the application for the certificate of conformity.
    (2) The engines are not sold, offered for sale, introduced into 
commerce, or delivered for introduction into commerce prior to the 
effective date of the certificate of conformity.
    (3) EPA is notified prior to the beginning of production when such 
production will start, and EPA is provided a full opportunity to inspect 
and/or test the engines during and after their production. EPA must have 
the opportunity to conduct SEA production line testing as if the 
vehicles had been produced after the effective date of the certificate.
    (e) Engines that are certified by EPA prior to January 2, 1996 for 
model year 1997 may be delivered for introduction into commerce prior to 
January 2, 1996 once a certificate of conformity has been issued.
    (f) Engines imported by an original equipment manufacturer after 
December 31 of the calendar year for which the model year is named are 
still covered by the certificate of conformity as long as the production 
of the engine was completed before December 31 of that year.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15238, Mar. 30, 1999]



Sec. 90.107  Application for certification.

    (a) For each engine family, the engine manufacturer must submit to 
the Administrator a completed application for a certificate of 
conformity.
    (b) The application must be approved and signed by the authorized 
representative of the manufacturer.

[[Page 180]]

    (c) The application must be updated and corrected by amendment as 
provided in Sec. 90.122 to accurately reflect the manufacturer's 
production.
    (d) Required content. Each application must include the following 
information:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications;
    (2) An explanation of how the emission control system operates, 
including a detailed description of all emission control system 
components (Detailed component calibrations are not required to be 
included; they must be provided if requested, however.), each auxiliary 
emission control device (AECD), and all fuel system components to be 
installed on any production or test engine(s);
    (3) Proposed test engine(s) selection and the rationale for the test 
engine(s) selection;
    (4) Special or alternate test procedures, if applicable;
    (5) The service accumulation period necessary to break in the test 
engine(s) and stabilize emission levels;
    (6) A description of all adjustable operating parameters including 
the following:
    (i) The nominal or recommended setting and the associated production 
tolerances;
    (ii) The intended physically adjustable range;
    (iii) The limits or stops used to establish adjustable ranges;
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range;
    (v) Information relating to why the physical limits or stops used to 
establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are effective in preventing 
adjustment of parameters to settings outside the manufacturer's intended 
physically adjustable ranges on in-use engines; and
    (vi) Information relating to altitude kits to be certified, 
including: a description of the altitude kit; appropriate part numbers; 
the altitude ranges at which the kits must be installed on or removed 
from the engine for proper emissions and engine performance; statements 
to be included in the owner's manual for the engine/equipment 
combination (and other maintenance related literature) that: declare the 
altitude ranges at which the kit must be installed or removed; and state 
that the operation of the engine/equipment at an altitude that differs 
from that at which it was certified, for extended periods of time, may 
increase emissions; and a statement that an engine with the altitude kit 
installed will meet each emission standard throughout its useful life 
(the rationale for this assessment must be documented and retained by 
the manufacturer, and provided to the Administrator upon request);
    (7) The proposed engine information label;
    (8) All test data obtained by the manufacturer on each test engine;
    (9) A statement that the test engine(s), as described in the 
manufacturer's application for certification, has been tested in 
accordance with the applicable test procedures, utilizing the fuels and 
equipment required under subparts D and E of this part, and that on the 
basis of such tests the engine(s) conforms to the requirements of this 
part;
    (10) An unconditional statement certifying that all engines in the 
engine family comply with all requirements of this part and the Clean 
Air Act;
    (11) This paragraph (d)(11) is applicable only to Phase 2 engines.
    (i) Engine manufacturers participating in the averaging, banking and 
trading program as described in subpart C of this part shall declare the 
applicable Family Emission Limit (FEL) for HC+NOX 
(NMHC+NOX).
    (ii) Provide the applicable useful life as determined under 
Sec. 90.105.
    (e)(1) In addition to the information specified in paragraph (d) of 
this section, manufacturers of two-stroke lawnmower engines must submit 
with their application for a certificate of conformity:
    (i) For model year 1997, information establishing the highest number 
of two-stroke lawnmower engines produced in a single annual production 
period from 1992 through 1994. This number will be known as the 
production baseline.

[[Page 181]]

    (ii) For model years 1998 through 2002, information documenting the 
previous year's production and projected production for the current 
year.
    (2) In model year 1997, two-stroke lawnmower engine manufacturers 
may produce up to 100 percent of their production baseline established 
under paragraph (e)(1)(i) of this section.
    (3) In model year 1998, two-stroke lawnmower engine manufacturers 
may produce up to 75 percent of their production baseline.
    (4) From model years 1999 through 2002, two-stroke lawnmower engine 
manufacturers may produce up to 50 percent of their production baseline.
    (5) In model year 2003, two-stroke lawnmower engine manufacturers 
must meet class I or II standards specified in Sec. 90.103(a). If in 
model year 2003 those standards have been superseded by Phase 2 
standards, two-stroke lawnmower engine manufacturers must meet the Phase 
2 standards that are equivalent to the class I or II standards.
    (f) At the Administrator's request, the manufacturer must supply 
such additional information as may be required to evaluate the 
application including, but not limited to, projected nonroad engine 
production.
    (g)(1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided that all of the 
information specified therein is maintained by the engine manufacturer 
as required by Sec. 90.121, and amended, updated, or corrected as 
necessary.
    (2) For the purposes of this paragraph, Sec. 90.121(a)(1) includes 
all information specified in paragraph (d) of this section whether or 
not such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's records at 
any time. At the Administrator's discretion, this review may take place 
either at the manufacturer's facility or at another facility designated 
by the Administrator.
    (h)(1) The Administrator may, upon receipt of a written request from 
an equipment manufacturer, accompanied by sufficient documentation, 
permit two stroke engines produced for nonhandheld equipment other than 
lawnmowers to meet the standards specified in Sec. 90.103(a)(3) under 
the schedule outlined in paragraph (e) of this section. The equipment 
manufacturer must demonstrate to the satisfaction of the Administrator 
that:
    (i) Four stroke engines for such equipment are not available with 
suitable physical or performance characteristics; and
    (ii) The equipment can not be converted to use four stroke engines 
without substantial redesign for which additional lead time is necessary 
to avoid economic hardship.
    (2) The Administrator may waive the phase-in percentages of 
paragraphs (e)(3) and (e)(4) of this section for engines used in low 
volume nonhandheld equipment other than lawnmowers where the equipment 
manufacturer demonstrates to the satisfaction of the Administrator that 
compliance with the production cap is not economically feasible.

[60 FR 34598, July 3, 1995, as amended at 61 FR 20742, May 8, 1996; 62 
FR 42643, Aug. 7, 1997; 64 FR 15238, Mar. 30, 1999; 65 FR 24307, Apr. 
25, 2000]



Sec. 90.108  Certification.

    (a) If, after a review of the manufacturer's submitted application, 
information obtained from any inspection, and such other information as 
the Administrator may require, the Administrator determines that the 
application is complete and that the engine family meets the 
requirements of this part and the Clean Air Act, the Administrator shall 
issue a certificate of conformity.
    (b) The Administrator shall give a written explanation when 
certification is denied. The manufacturer may request a hearing on a 
denial. (See Sec. 90.124 for procedure.)
    (c) For certificates issued for engine families included in the 
averaging, banking and trading program as described in subpart C of this 
part:
    (1) Failure to comply with all applicable averaging, banking and 
trading provisions in this part will be considered to be a failure to 
comply with the terms and conditions upon which the

[[Page 182]]

certificate was issued, and the certificate may be determined to be void 
ab initio.
    (2) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was granted were satisfied or waived.
    (d) The Administrator may, upon request by a manufacturer, waive any 
requirement of this part otherwise necessary for the issuance of a 
certificate. The Administrator may set such conditions in a certificate 
as he or she deems appropriate to assure that the waived requirements 
are either satisfied or are demonstrated, for the subject engines, to be 
inappropriate, irrelevant or met by the application of a different 
requirement under this chapter. The Administrator may indicate on such 
conditional certificates that failure to meet these conditions may 
result in suspension or revocation or the voiding ab initio of the 
certificate.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15238, Mar. 30, 1999]



Sec. 90.109  Requirement of certification--closed crankcase.

    (a) An engine's crankcase must be closed.
    (b) For purposes of this section, ``crankcase'' means the housing 
for the crankshaft and other related internal parts.
    (c) Notwithstanding paragraph (a) of this section, the Administrator 
will allow open crankcases for engines used exclusively to power 
snowthrowers based upon a manufacturer's demonstration that all 
applicable emission standards will be met by the engine for the 
combination of emissions from the crankcase, and exhaust emissions 
measured using the procedures in subpart E of this part. This 
demonstration may be made based upon best engineering judgment. Upon 
request of the Administrator, the manufacturer must provide an 
explanation of any procedure or methodology used to determine that the 
total CO emissions from the crankcase and the exhaust are below the 
applicable standard for CO.

[60 FR 34598, July 3, 1995, as amended at 61 FR 58301, Nov. 13, 1996]



Sec. 90.110  Requirement of certification--prohibited controls.

    (a) An engine may not be equipped with an emission control device, 
system, or element of design for the purpose of complying with emission 
standards if such device, system, or element of design will cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
in its operation or function.
    (b) You may not design your engines with emission-control devices, 
systems, or elements of design that cause or contribute to an 
unreasonable risk to public health, welfare, or safety while operating. 
For example, this would apply if the engine emits a noxious or toxic 
substance it would otherwise not emit that contributes to such an 
unreasonable risk.

[60 FR 34598, July 3, 1995, as amended at 67 FR 68340, Nov. 8, 2002]



Sec. 90.111  Requirement of certification--prohibition of defeat devices.

    (a) An engine may not be equipped with a defeat device.
    (b) For purposes of this section, ``defeat device'' means any 
device, system, or element of design which senses operation outside 
normal emission test conditions and reduces emission control 
effectiveness.
    (1) Defeat device includes any auxiliary emission control device 
(AECD) that reduces the effectiveness of the emission control system 
under conditions which may reasonably be expected to be encountered in 
normal operation and use unless such conditions are included in the test 
procedure.
    (2) Defeat device does not include such items which either operate 
only during engine starting or are necessary to protect the engine (or 
vehicle in which it is installed) against damage or accident during its 
operation.



Sec. 90.112  Requirement of certification--adjustable parameters.

    (a) Engines equipped with adjustable parameters must comply with all 
requirements of this subpart for any specification within the physically 
available range.
    (b) An operating parameter is not considered adjustable if it is 
permanently sealed by the manufacturer or

[[Page 183]]

otherwise not normally accessible using ordinary tools.
    (c) The Administrator may require that adjustable parameters be set 
to any specification within the adjustable range during certification or 
a selective enforcement audit to determine compliance with the 
requirements of this subpart.



Sec. 90.113  In-use testing program for Phase 1 engines.

    (a) This section applies only to Phase 1 engines. In-use testing 
provisions for Phase 2 engines are found in subpart M of this part. At 
the time of certification the engine manufacturer may propose which 
engine families should be included in an in-use test program. EPA will 
approve a manufacturer's test program if the selected engine families 
represent an adequate consideration of the elements listed in paragraphs 
(b) and (c) of this section.
    (b) Number of engines to be tested. The number of engines to be 
tested by a manufacturer is determined by the following method:
    (1) For an engine manufacturer with total projected annual 
production of more than 75,000 engines destined for the United States 
market for that model year, the minimum number of engines to be tested 
may be the lowest of the numbers determined in paragraph (b)(1)(i), (ii) 
or (iii) of this section:
    (i) Divide the manufacturer's total projected annual production of 
small SI engines destined for the United States market for that model 
year by 50,000, and round to the nearest whole number;
    (ii) Test five engines each from 25 percent of all engine families 
certified in that model year; and
    (iii) Test three engines each from 50 percent of all engine families 
certified in that model year.
    (2) An engine manufacturer with total projected annual production of 
75,000 engines or less destined for the United States market for that 
model year may test a minimum of two engines.
    (c) Criteria for selecting test engines. An engine manufacturer may 
select test engines from engine families utilizing the following 
criteria and in the order specified:
    (1) Engine families using emission control technology which most 
likely will be used on Phase 2 engines;
    (2) Engine families using aftertreatment;
    (3) Engine families certified to different emission standards;
    (4) Different engine designs (such as sidevalve head versus overhead 
valve engines);
    (5) Engine families using emission control technology specifically 
installed to achieve compliance with emission standards of this part;
    (6) The engine family with the highest projected annual sales; and
    (7) Engine families which meet the above criteria, but have not been 
included in prior model year in-use testing programs as required by 
these provisions.
    (d) Collection of in-use engines. An engine manufacturer may procure 
in-use engines which have been operated for between half and three-
quarters of the engine's advertised (or projected) useful life. All 
testing may be completed within three years from the date the 
certificate is first issued for an engine family undergoing in-use 
testing.
    (1) Test engines may be procured from sources not associated with 
the engine manufacturer or vehicle manufacturer, except that with prior 
approval of the Administrator, an engine manufacturer with annual sales 
of less than 50,000 engines may obtain in-use engines associated with 
itself or its vehicle manufacturer.
    (2) A test engine should have a maintenance history representative 
of actual in-use conditions.
    (i) A manufacturer may question the end user regarding the 
accumulated usage, maintenance, operating conditions, and storage of the 
test engines.
    (ii) Documents used in the procurement process may be maintained as 
required in Sec. 90.121.
    (3) Maintenance and testing of test engines.
    (i) The manufacturer may perform minimal set-to-spec maintenance on 
a test engine. Maintenance may include only that which is listed in the 
owner's instructions for engines with the

[[Page 184]]

amount of service and age of the acquired test engine.
    (ii) Documentation of all maintenance and adjustments may be 
maintained and retained as required by Sec. 90.121.
    (4) One valid emission test may be conducted for each in-use engine.
    (5) If a selected in-use engine fails to comply with any applicable 
certification emission standard, the manufacturer may determine the 
reason for noncompliance. The manufacturer may report all determinations 
for noncompliance in its annual in-use test result report as described 
below.
    (e) In-use test program reporting. The manufacturer may submit to 
the Administrator by January 30 of each calendar year all emission 
testing results generated from in-use testing. The following information 
may be reported for each test engine:
    (1) Engine family;
    (2) Model;
    (3) Engine serial number;
    (4) Date of manufacture;
    (5) Estimated hours of use;
    (6) Results of all emission testing;
    (7) Summary of all maintenance and/or adjustments performed;
    (8) Summary of all modifications and/or repairs; and
    (9) Determinations of compliance and/or noncompliance.
    (f) The Administrator may approve and/or suggest modifications to a 
manufacturer's in-use testing program.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999]



Sec. 90.114  Requirement of certification--engine information label.

    (a) The engine manufacturer must affix at the time of manufacture a 
permanent and legible label identifying each nonroad engine. The label 
must meet the following requirements:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be durable and readable for the entire engine life;
    (3) Be secured to an engine part necessary for normal engine 
operation and not normally requiring replacement during engine life;
    (4) Be written in English; and
    (5) Be located so as to be readily visible to the average person 
after the engine is installed in the vehicle.
    (b) If the nonroad vehicle obscures the label on the engine, the 
nonroad vehicle manufacturer must attach a supplemental label so that 
this label is readily visible to the average person. The supplemental 
label must:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be secured to a vehicle part necessary for normal operation and 
not normally requiring replacement during the vehicle life; and
    (3) Be identical in content to the label which was obscured.
    (c) The label must contain the following information:
    (1) The heading ``Important Engine Information;''
    (2) The full corporate name and trademark of the engine 
manufacturer;
    (3) The statement, ``This (specify vehicle or engine, as applicable) 
is certified to operate on (specify operating fuel(s));''
    (4) Identification of the Exhaust Emission Control System 
(Abbreviations may be used and must conform to the nomenclature and 
abbreviations provided in the Society of Automotive Engineers procedure 
J1930, ``Electrical/Electronic Systems Diagnostic Terms, Definitions, 
Abbreviations and Acronyms,'' September 1991. This procedure has been 
incorporated by reference. See Sec. 90.7.);
    (5) All engine lubricant requirements;
    (6) Date of engine manufacture [day (optional), month and year];
    (7) The statement ``This engine conforms to [model year] U.S. EPA 
regulations for small nonroad engines.'';
    (8) EPA standardized engine family designation;
    (9) Engine displacement [in cubic centimeters];
    (10) Other information concerning proper maintenance and use or 
indicating compliance or noncompliance with other standards may be 
indicated on the label;
    (11) For Phase 2 engines, the useful life category as determined by 
the manufacturer pursuant to Sec. 90.105. Such useful life category 
shall be shown by one of the following statements to be

[[Page 185]]

appended to the statement required under paragraph (c)(7) of this 
section:
    (i) ``EMISSIONS COMPLIANCE PERIOD: [useful life] HOURS''; or
    (ii) ``EMISSIONS COMPLIANCE PERIOD: CATEGORY [fill in C, B or A as 
indicated and appropriate from the tables in Sec. 90.105], REFER TO 
OWNER'S MANUAL FOR FURTHER INFORMATION'';
    (d) If there is insufficient space on the engine (or on the vehicle 
where a supplemental label is required under paragraph (b) of this 
section) to accommodate a label including all the information required 
in paragraph (c) of this section, the manufacturer may delete or alter 
the label as indicated in this paragraph. The information deleted from 
the label must appear in the owner's manual.
    (1) Exclude the information required in paragraphs (c)(3), (4), and 
(5) of this section. The fuel or lubricant may be specified elsewhere on 
the engine.
    (2) Exclude the information required by paragraph (c)(6) of this 
section, if the date the engine was manufactured is stamped on the 
engine.
    (e) The Administrator may, upon request, waive or modify the label 
content requirements of paragraphs (c) and (d) of this section, provided 
that the intent of such requirements is met.
    (f) Manufacturers electing to use the labeling language of paragraph 
(c)(11)(ii) of this section must provide in the documents intended to be 
conveyed to the ultimate purchaser, the statement:
    (1) For nonhandheld engines: The Emissions Compliance Period 
referred to on the Emissions Compliance label indicates the number of 
operating hours for which the engine has been shown to meet Federal 
emission requirements. For engines less than 66 cc, Category C=50 hours, 
B=125 hours, and A=300 hours. For engines equal to or greater than 66 cc 
but less than 225 cc displacement, Category C=125 hours, B=250 hours, 
and A=500 hours. For engines of 225 cc or more, Category C=250 hours, 
B=500 hours, and A=1000 hours.
    (2) For handheld engines: The Emissions Compliance Period referred 
to on the Emissions Compliance label indicates the number of operating 
hours for which the engine has been shown to meet Federal emission 
requirements. Category C=50 hours, B=125 hours, and A=300 hours.
    (3) The manufacturer must provide, in the same document as the 
statement in paragraph (f)(1) or (f)(2) of this section, a statement of 
the engine's displacement or an explanation of how to readily determine 
the engine's displacement. The Administrator may approve alternate 
language to the statement in paragraph (f)(1) or (f)(2) of this section, 
provided that the alternate language provides the ultimate purchaser 
with a clear description of the number of hours represented by each of 
the three letter categories for the subject engine's displacement.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999; 65 
FR 24307, Apr. 25, 2000]



Sec. 90.115  Requirement of certification--supplying production engines 
upon request.

    Upon the Administrator's request, the manufacturer must supply a 
reasonable number of production engines for testing and evaluation. 
These engines must be representative of typical production and supplied 
for testing at such time and place and for such reasonable periods as 
the Administrator may require.



Sec. 90.116  Certification procedure--determining engine displacement, 
engine class, and engine families.

    (a) Engine displacement must be calculated using nominal engine 
values and rounded to the nearest whole cubic centimeter in accordance 
with ASTM E29-93a. This procedure has been incorporated by reference. 
See Sec. 90.7.
    (1) Class I-A--nonhandheld equipment engines less than 66 cc in 
displacement;
    (2) Class I-B--nonhandheld equipment engines greater than or equal 
to 66 cc but less than 100 cc in displacement;
    (3) Class I--nonhandheld equipment engines greater than or equal to 
100 cc but less than 225 cc in displacement;
    (4) Class II--nonhandheld equipment engines greater than or equal to 
225 cc in displacement;
    (5) Class III--handheld equipment engines less than 20 cc in 
displacement,

[[Page 186]]

    (6) Class IV--handheld equipment engines equal or greater than 20 cc 
but less than 50 cc in displacement, and
    (7) Class V--handheld equipment engines equal to or greater than 50 
cc in displacement.
    (c) The manufacturer's product line will be divided into groupings 
of engine families as specified by paragraph (d) of this section.
    (d) To be classed in the same engine family, engines must be 
identical in all of the following applicable respects:
    (1) The combustion cycle;
    (2) The cooling mechanism;
    (3) The cylinder configuration (inline, vee, opposed, bore spacings, 
and so forth);
    (4) The number of cylinders;
    (5) The engine class;
    (6) The location of valves, where applicable, with respect to the 
cylinder (e.g. side valves or overhead valves);
    (7) The number of catalytic converters, location, volume and 
composition;
    (8) The thermal reactor characteristics;
    (9) The fuel required (e.g. gasoline, natural gas, LPG); and
    (10) The useful life category.
    (e) At the manufacturer's option, engines identical in all the 
respects listed in paragraph (d) of this section may be further divided 
into different engine families if the Administrator determines that they 
may be expected to have different emission characteristics. This 
determination is based upon the consideration of features such as:
    (1) The bore and stroke;
    (2) The combustion chamber configuration;
    (3) The intake and exhaust timing method of actuation (poppet valve, 
reed valve, rotary valve, and so forth);
    (4) The intake and exhaust valve or port sizes, as applicable;
    (5) The fuel system;
    (6) The exhaust system; and
    (7) The method of air aspiration.
    (f) Where engines are of a type which cannot be divided into engine 
families based upon the criteria listed in paragraph (d) of this 
section, the Administrator will establish families for those engines 
based upon the features most related to their emission characteristics.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999; 65 
FR 24308, Apr. 25, 2000]



Sec. 90.117  Certification procedure--test engine selection.

    (a) For Phase 1 engines, the manufacturer must select, from each 
engine family, a test engine that the manufacturer determines to be most 
likely to exceed the emission standard. For Phase 2 engines, the 
manufacturer must select, from each engine family, a test engine of a 
configuration that the manufacturer determines to be most likely to 
exceed the HC+NOX (NMHC+NOX) Family Emission Limit 
(FEL), or HC+NOX (NMHC+NOX) standard if no FEL is 
applicable.
    (b) The test engine must be constructed to be representative of 
production engines.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999]



Sec. 90.118  Certification procedure--service accumulation and usage of 
deterioration factors.

    (a)(1) The test engine must be operated with all emission control 
systems operating properly for a period sufficient to stabilize 
emissions.
    (2) The period sufficient to stabilize emissions may not exceed 12 
hours.
    (b) No maintenance, other than recommended lubrication and filter 
changes, may be performed during service accumulation without the 
Administrator's approval.
    (c) Service accumulation is to be performed in a manner using good 
engineering judgment to ensure that emissions are representative of 
production engines.
    (d) The manufacturer must maintain, and provide to the Administrator 
if requested, records stating the rationale for selecting a service 
accumulation period less than 12 hours and records describing the method 
used to accumulate hours on the test engine(s).
    (e) For purposes of establishing whether Phase 2 engines comply with 
applicable exhaust emission standards or FELs, the test results for each 
regulated pollutant as measured pursuant

[[Page 187]]

to Sec. 90.119 shall be multiplied by the applicable df determined under 
Sec. 90.104 (g) or (h). The product of the two numbers shall be rounded 
to the same number of decimal places contained in the applicable 
standard, and compared against the applicable standard or FEL, as 
appropriate.

[60 FR 34598, July 3, 1995, as amended at 61 FR 20742, May 8, 1996; 64 
FR 15239, Mar. 30, 1999]



Sec. 90.119  Certification procedure--testing.

    (a) Manufacturer testing. The manufacturer must test the test engine 
using the specified test procedures and appropriate test cycle. All test 
results must be reported to the Administrator.
    (1) The test procedure to be used is detailed in Subpart E of this 
part.
    (i) Class I, I-B, and II engines must use Test Cycle A described in 
Subpart E of this part, except that Class I, I-B, and II engine families 
in which 100 percent of the engines sold operate only at rated speed may 
use Test Cycle B described in Subpart E of this part.
    (ii) Class I-A, III, IV, and V engines must use Test Cycle C 
described in subpart E of this part.
    (2) Emission test equipment provisions are described in subpart D of 
this part.
    (b) Administrator testing. (1) The Administrator may require that 
any one or more of the test engines be submitted to the Administrator, 
at such place or places as the Administrator may designate, for the 
purposes of conducting emission tests. The Administrator may specify 
that testing will be conducted at the manufacturer's facility, in which 
case instrumentation and equipment specified by the Administrator must 
be made available by the manufacturer for test operations. Any testing 
conducted at a manufacturer's facility must be scheduled by the 
manufacturer as promptly as possible.
    (2)(i) Whenever the Administrator conducts a test on a test engine, 
the results of that test will, unless subsequently invalidated by the 
Administrator, comprise the official data for the engine and the 
manufacturer's data will not be used in determining compliance with 
emission standards.
    (ii) Prior to the performance of such test, the Administrator may 
adjust or cause to be adjusted any adjustable parameter of the test 
engine which the Administrator has determined to be subject to 
adjustment for certification testing, to any setting within the 
physically adjustable range of that parameter, to determine whether such 
engine conforms to applicable emission standards.
    (iii) For those engine parameters which the Administrator has not 
determined to be subject to adjustment for certification testing, the 
test engine presented to the Administrator for testing will be 
calibrated within the production tolerances applicable to the 
manufacturer specification shown on the engine label or in the owner's 
manual, as specified in the application for certification.
    (c) Use of carryover test data. In lieu of testing, the manufacturer 
may submit, with the Administrator's approval, emission test data used 
to certify substantially similar engine families in previous years. This 
``carryover'' test data is only allowable if the data shows the test 
engine would fully comply with the emission standards for the applicable 
class.
    (d) Scheduled maintenance during testing. No scheduled maintenance 
may be performed during testing of the engine.
    (e) Unscheduled maintenance on test engines. (1) Manufacturers may 
not perform any unscheduled engine, emission control system, or fuel 
system adjustment, repair, removal, disassembly, cleaning, or 
replacement on a test engine without the advance approval of the 
Administrator.
    (2) The Administrator may approve unscheduled maintenance if:
    (i) A preliminary determination has been made that a part failure or 
system malfunction, or the repair of such failure or malfunction, does 
not render the engine unrepresentative of engines in use, and does not 
require direct access to the combustion chamber; and
    (ii) A determination has been made that the need for maintenance or 
repairs is indicated by an overt malfunction such as persistent misfire, 
engine stall, overheating, fluid leakage, or loss of oil pressure.

[[Page 188]]

    (3) Emission measurements may not be used as a means of determining 
the need for unscheduled maintenance under paragraph (e)(2) of this 
section.
    (4) The Administrator must have the opportunity to verify the extent 
of any overt indication of part failure (for example, misfire, stall), 
or an activation of an audible and/or visual signal, prior to the 
manufacturer performing any maintenance related to such overt indication 
or signal.
    (5) Unless approved by the Administrator prior to use, engine 
manufacturers may not use any equipment, instruments, or tools to 
identify malfunctioning, maladjusted, or defective engine components 
unless the same or equivalent equipment, instruments, or tools are 
available at dealerships and other service outlets and are used in 
conjunction with scheduled maintenance on such components.
    (6) If the Administrator determines that part failure or system 
malfunction occurrence and/or repair rendered the engine 
unrepresentative of production engines, the engine cannot be used as a 
test engine.
    (7) Unless waived by the Administrator, complete emission tests are 
required before and after any engine maintenance which may reasonably be 
expected to affect emissions.
    (f) Engine failure. A manufacturer may not use as a test engine any 
engine which incurs major mechanical failure necessitating disassembly 
of the engine. This prohibition does not apply to failures which occur 
after completion of the service accumulation period.

[60 FR 34598, July 3, 1995, as amended at 65 FR 24308, Apr. 25, 2000]



Sec. 90.120  Certification procedure--use of special test procedures.

    (a) Use of special test procedures by EPA. The Administrator may 
establish special test procedures for any engine that the Administrator 
determines is not susceptible to satisfactory testing under the 
specified test procedures set forth in subpart E of this part.
    (b)(1) Use of alternate test procedures by an engine manufacturer. A 
manufacturer may elect to use an alternate test procedure provided that 
it yields results equal to the results from the specified test procedure 
in subpart E, its use is approved in advance by the Administrator, and 
the basis for equivalent results with the specified test procedure is 
fully described in the manufacturer's application.
    (2) An engine manufacturer electing to use alternate test procedures 
is solely responsible for the results obtained. The Administrator may 
reject data generated under test procedures which do not correlate with 
data generated under the specified procedures.
    (c) Optional procedures approved during Phase 1 can be carried over 
to Phase 2, following advance approval by the Administrator, to the 
extent the alternate procedure continues to yield results equal to the 
results from the specified test procedures in subpart E of this part.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999]



Sec. 90.121  Certification procedure--recordkeeping.

    (a) The engine manufacturer must maintain the following adequately 
organized records:
    (1) Copies of all applications filed with the Administrator;
    (2) A copy of all data obtained through the in-use testing program; 
and
    (3) A detailed history of each test engine used for certification 
including the following:
    (i) A description of the test engine's construction, including a 
general description of the origin and buildup of the engine, steps taken 
to insure that it is representative of production engines, description 
of components specially built for the test engine, and the origin and 
description of all emission-related components;
    (ii) A description of the method used for engine service 
accumulation, including date(s) and the number of hours accumulated;
    (iii) A description of all maintenance, including modifications, 
parts changes, and other servicing performed, and the date(s), and 
reason(s) for such maintenance;
    (iv) A description of all emission tests performed including routine 
and

[[Page 189]]

standard test documentation, as specified in subpart E of this part, 
date(s), and the purpose of each test;
    (v) A description of all tests performed to diagnose engine or 
emission control performance, giving the date and time of each and the 
reason(s) for the test; and
    (vi) A description of any significant event(s) affecting the engine 
during the period covered by the history of the test engine but not 
described by an entry under one of the previous paragraphs of this 
section.
    (b) Routine emission test data, such as those reporting test cell 
temperature and relative humidity at start and finish of test and raw 
emission results from each mode or test phase, must be retained for a 
period of one year after issuance of all certificates of conformity to 
which they relate. All other information specified in paragraph (a) of 
this section must be retained for a period of eight years after issuance 
of all certificates of conformity to which they relate.
    (c) Records may be kept in any format and on any media, provided 
that, at the Administrator's request, organized, written records in 
English are promptly supplied by the manufacturer.
    (d) The manufacturer must supply, at the Administrator's request, 
copies of any engine maintenance instructions or explanations issued by 
the manufacturer.



Sec. 90.122  Amending the application and certificate of conformity.

    (a) The engine manufacturer must notify the Administrator when 
either an engine is to be added to a certificate of conformity, an FEL 
is to be changed, or changes are to be made to a product line covered by 
a certificate of conformity. Notification occurs when the manufacturer 
submits an amendment to the original application prior to either 
producing such engines or making such changes to a product line.
    (b) The amendment must request that the engine manufacturer's 
existing certificate of conformity be amended and include the following 
information:
    (1) A full description of the engine to be added or the change(s) to 
be made in production;
    (2) The manufacturer's proposed test engine selection(s); and
    (3) Engineering evaluations or reasons why the original test engine 
is or is not still appropriate.
    (c) The Administrator may require the engine manufacturer to perform 
tests on an engine representing the engine to be added or changed.
    (d) Decision by Administrator. (1) Based on the submitted amendment 
and data derived from such testing as the Administrator may require or 
conduct, the Administrator must determine whether the proposed addition 
or change would still be covered by the certificate of conformity then 
in effect.
    (2) If the Administrator determines that the new or changed 
engine(s) meets the requirements of this subpart and the Act, the 
appropriate certificate of conformity will be amended.
    (3) If the Administrator determines that the proposed amendment 
would not be covered by the certificate of conformity, the Administrator 
must provide a written explanation to the engine manufacturer of his or 
her decision not to amend the certificate. The manufacturer may request 
a hearing on a denial.
    (4) If the Administrator determines that a revised FEL meets the 
requirements of this subpart and the Act, the appropriate certificate of 
conformity will be amended, or a new certificate will be issued to 
reflect the revised FEL. The certificate of conformity is revised 
conditional upon compliance with Sec. 90.207(b).
    (e)(1) Alternatively, an engine manufacturer may make changes in or 
additions to production engines concurrently with amending the 
application as set forth in paragraph (b) of this section, if the 
manufacturer determines that all affected engines will still meet 
applicable emission standards. The engine manufacturer must supply 
supporting documentation, test data, and engineering evaluations as 
appropriate to support its determination.
    (2) If, after a review, the Administrator determines additional 
testing is required, the engine manufacturer must provide required test 
data within

[[Page 190]]

30 days or cease production of the affected engines.
    (3) If the Administrator determines that the affected engines do not 
meet applicable requirements, the Administrator will notify the engine 
manufacturer to cease production of the affected engines.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999]



Sec. 90.123  Denial, revocation of certificate of conformity.

    (a) If, after review of the engine manufacturer's application, 
request for certification, information obtained from any inspection, and 
any other information the Administrator may require, the Administrator 
determines that the test engine does not meet applicable standards and 
requirements, the Administrator will notify the manufacturer in writing, 
setting forth the basis for this determination.
    (b) Notwithstanding the fact that engines described in the 
application may comply with all other requirements of this subpart, the 
Administrator may deny the issuance of or revoke a previously issued 
certificate of conformity if the Administrator finds any one of the 
following infractions to be substantial:
    (1) The engine manufacturer submits false or incomplete information;
    (2) The engine manufacturer denies an EPA enforcement officer or EPA 
authorized representative the opportunity to conduct authorized 
inspections;
    (3) The engine manufacturer fails to supply requested information or 
amend its application to include all engines being produced;
    (4) The engine manufacturer renders inaccurate any test data which 
it submits or otherwise circumvents the intent of the Act or this part; 
or
    (5) The engine manufacturer denies an EPA enforcement officer or EPA 
authorized representative reasonable assistance (as defined in 
Sec. 90.506).
    (c) If a manufacturer knowingly commits an infraction specified in 
paragraph (b)(1) or (b)(4) of this section or knowingly commits any 
fraudulent act which results in the issuance of a certificate of 
conformity, the Administrator may deem such certificate void ab initio.
    (d) When the Administrator denies or revokes a certificate of 
conformity, the engine manufacturer will be provided a written 
determination. The manufacturer may request a hearing on the 
Administrator's decision.
    (e) Any revocation of a certificate of conformity extends no further 
than to forbid the introduction into commerce of those engines 
previously covered by the certification which are still in the 
possession of the engine manufacturer, except in cases of such fraud or 
other misconduct that makes the certification void ab initio.



Sec. 90.124  Request for hearing.

    (a) An engine manufacturer may request a hearing on the 
Administrator's denial or revocation of a certificate of conformity.
    (b) The engine manufacturer's request must be filed within 30 days 
of the Administrator's decision, be in writing, and set forth the 
manufacturer's objections to the Administrator's decision and data to 
support the objections.
    (c) If, after review of the request and supporting data, the 
Administrator finds that the request raises a substantial and factual 
issue, the Administrator will provide the engine manufacturer a hearing.



Sec. 90.125  Hearing procedures.

    The hearing procedures set forth in Secs. 90.513, 90.514, and 90.515 
apply to this subpart.



Sec. 90.126  Right of entry and access.

    Any engine manufacturer that has applied for certification of a new 
engine or engine family subject to certification testing under this 
subpart must admit or cause to be admitted to any applicable facilities 
during operating hours any EPA enforcement officer or EPA authorized 
representative as provided in Sec. 90.506.

[[Page 191]]



   Subpart C--Certification Averaging, Banking, and Trading Provisions

    Source: 64 FR 15239, Mar. 30, 1999, unless otherwise noted.



Sec. 90.201  Applicability.

    The requirements of this subpart C are applicable to all Phase 2 
spark-ignition engines subject to the provisions of subpart A of this 
part except as provided in Sec. 90.103(a). These provisions are not 
applicable to any Phase 1 engines. Participation in the averaging, 
banking and trading program is voluntary, but if a manufacturer elects 
to participate, it must do so in compliance with the regulations set 
forth in this subpart. The provisions of this subpart are applicable for 
HC+NOX (NMHC+NOX) emissions but not for CO 
emissions.



Sec. 90.202  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart:
    Averaging means the exchange of emission credits between engine 
families within a given manufacturer's product line.
    Banking means the retention of emission credits by the manufacturer 
generating the emission credits or obtaining such credits through 
trading, for use in future model year averaging or trading as permitted 
in this part.
    Emission credits represent the amount of emission reduction or 
exceedance, by an engine family, below or above the applicable 
HC+NOX (NMHC+NOX) emission standard, respectively. 
FELs below the standard create ``positive credits,'' while FELs above 
the standard create ``negative credits.'' In addition, ``projected 
credits'' refer to emission credits based on the projected applicable 
production volume of the engine family. ``Reserved credits'' are 
emission credits generated within a model year waiting to be reported to 
EPA at the end of the model year. ``Actual credits'' refer to emission 
credits based on actual applicable production volume as contained in the 
end-of-year reports submitted to EPA. Some or all of these credits may 
be revoked if EPA review of the end-of-year reports or any subsequent 
audit action(s) reveals problems or errors of any nature with credit 
computations.
    Trading means the exchange of emission credits between 
manufacturers.



Sec. 90.203  General provisions.

    (a) The certification averaging, banking, and trading provisions for 
HC+NOX and NMHC+NOX emissions from eligible 
engines are described in this subpart.
    (b) An engine family may use the averaging, banking and trading 
provisions for HC+NOX and NMHC+NOX emissions if it 
is subject to regulation under this part with certain exceptions 
specified in paragraph (c) of this section. HC+NOX and 
NMHC+NOX credits shall be interchangeable subject to the 
limitations on credit generation, credit usage, and other provisions 
described in this subpart.
    (c) A manufacturer shall not include in its calculation of credit 
generation and may exclude from its calculation of credit usage, any new 
engines:
    (1) Which are intended to be exported, unless the manufacturer has 
reason or should have reason to believe that such engines have been or 
will be imported in a piece of equipment; or
    (2) Which are subject to state engine emission standards pursuant to 
a waiver granted by EPA under section 209(e) of the Act, unless the 
manufacturer demonstrates to the satisfaction of the Administrator that 
inclusion of these engines in averaging, banking and trading is 
appropriate.
    (d) For an engine family using credits, a manufacturer may, at its 
option, include its entire production of that engine family in its 
calculation of credit usage for a given model year.
    (e)(1) A manufacturer may certify engine families at Family Emission 
Limits (FELs) above or below the applicable emission standard subject to 
the limitation in paragraph (f) of this section, provided the summation 
of the manufacturer's projected balance of credits from all credit 
transactions for all engine classes in a given model year is greater 
than or equal to zero, as determined under Sec. 90.207 or Sec. 90.216, 
as applicable.

[[Page 192]]

    (2) A manufacturer of an engine family with an FEL exceeding the 
applicable emission standard must obtain positive emission credits 
sufficient to address the associated credit shortfall via averaging, 
banking, or trading.
    (3) A nonhandheld engine family with an FEL below the applicable 
emission standard may generate positive emission credits for averaging, 
banking, or trading, or a combination thereof. A handheld engine family 
with an FEL below the applicable emission standard may generate positive 
emission credits for averaging or trading. A handheld engine family 
meeting the requirements of Sec. 90.205(a)(4) or (5), whichever is 
applicable, may generate positive emission credits for banking.
    (4) In the case of a Selective Enforcement Audit (SEA) failure, 
credits may be used to cover subsequent production of engines for the 
family in question if the manufacturer elects to recertify to a higher 
FEL. Credits may not be used to remedy a nonconformity determined by an 
SEA, except that the Administrator may permit the use of credits to 
address a nonconformity determined by an SEA where the use of such 
credits is one component of a multi-part remedy for the previously 
produced engines and the remedy, including the use of credits and the 
quantity of credits being used, is such that the Administrator is 
satisfied that the manufacturer has strong and lasting incentive to 
accurately verify its new engine emission levels and will set or reset 
its FELs for current and future model years so that production line 
compliance is assured.
    (5) In the case of a production line testing (PLT) failure pursuant 
to subpart H of this part, a manufacturer may revise the FEL based upon 
production line testing results obtained under subpart H of this part 
and upon Administrator approval pursuant to Sec. 90.122(d). The 
manufacturer may use credits to cover both past production and 
subsequent production of the engines as needed as allowed under 
Sec. 90.207(c) or Sec. 90.216(c), as applicable.
    (f) No Phase 2 engine family may have a HC + NOX FEL that 
is greater than 32.2 g/kW-hr for Class I engines, 94 g/kW-hr for Class 
I-A engines, 50 g/kW-hr for Class I-B engines, 26.8 g/kW-hr for Class II 
engines, 336 g/kW-hr for Class III engines, 275 g/kW-hr for Class IV 
engines, or 186 g/kW-hr for Class V engines.
    (g)(1) Credits generated in a given model year by an engine family 
subject to the Phase 2 emission requirements may only be used in 
averaging, banking or trading, as appropriate, for any other engine 
family for which the Phase 2 requirements are applicable. Credits 
generated in one model year may not be used for prior model years, 
except as allowed under Sec. 90.207(c) or Sec. 90.216(c), as applicable.
    (2) For the 2005 model year and for each subsequent model year, 
manufacturers of Class II engines must provide a demonstration that the 
production weighted average FEL for HC+NOX (including 
NMHC+NOX FELs), for all of the manufacturer's Class II 
engines, will not exceed 13.6 g/kW-hr for the 2005 model year, 13.1 g/
kW-hr for the 2006 model year and 12.6 g/kW-hr for the 2007 and each 
subsequent Phase 2 model year. Such demonstration shall be subject to 
the review and approval of the Administrator, shall be provided at the 
time of the first Class II certification of that model year and shall be 
based on projected eligible production for that model year.
    (h) Manufacturers must demonstrate compliance under the averaging, 
banking, and trading provisions for a particular model year by 270 days 
after the end of the model year. Except as provided in Sec. 90.207(c) or 
Sec. 90.216(c), as applicable, an engine family generating negative 
credits for which the manufacturer does not obtain or generate an 
adequate number of positive credits by that date from the same or 
previous model year engines will violate the conditions of the 
certificate of conformity. The certificate of conformity may be voided 
ab initio pursuant to Sec. 90.123 for this engine family.

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24308, Apr. 25, 2000]



Sec. 90.204  Averaging.

    (a) Negative credits from engine families with FELs above the 
applicable emission standard must be offset by positive credits from 
engine families having FELs below the applicable emission standard, as 
allowed under

[[Page 193]]

the provisions of this subpart. Averaging of credits in this manner is 
used to determine compliance under Sec. 90.207(b).
    (b) Cross-class averaging of credits is allowed across all classes 
of nonroad spark-ignition engines at or below 19 kW.
    (c) Credits used in averaging for a given model year may be obtained 
from credits generated in the same model year by another engine family, 
credits banked in previous model years, or credits of the same or 
previous model year obtained through trading subject to the provisions 
of Sec. 90.205(a). The restrictions of this paragraph notwithstanding, 
credits from a given model year may be used to address credit needs of 
previous model year engines as allowed under Sec. 90.207(c).
    (d) The use of credits generated under the early banking provisions 
of Sec. 90.205(b) is subject to regulations under this subpart.

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24308, Apr. 25, 2000]



Sec. 90.205  Banking.

    (a)(1) Beginning August 1, 2007, a manufacturer of a Class I engine 
family with an FEL below the applicable emission standard for a given 
model year may bank credits in that model year for use in averaging and 
trading. For new Class I engine families initially produced during the 
period starting August 1, 2003 through July 31, 2007, a manufacturer of 
a Class I engine family with an FEL below the applicable emission 
standard for a given model year may bank credits in that model year for 
use in averaging and trading.
    (2) Beginning with the 2000 model year, a manufacturer of a Class I-
A or Class I-B engine family with an FEL below the applicable emission 
standard for a given model year may bank credits in that model year for 
use in averaging and trading.
    (3) Beginning with the 2001 model year, a manufacturer of a Class II 
engine family with an FEL below the applicable emission standard for a 
given model year may bank credits in that model year for use in 
averaging and trading.
    (4) For the 2002 through 2004 model years, a manufacturer of a Class 
III or Class IV engine family may bank credits for use in future model 
year averaging and trading from only those Class III or Class IV engine 
families with an FEL at or below 72 g/kW-hr. Beginning with the 2005 
model year, a manufacturer of a Class III or Class IV engine family with 
an FEL below the applicable emission standard may generate credits for 
use in future model year averaging and trading.
    (5) For the 2004 through 2006 model years, a manufacturer of a Class 
V engine family may bank credits for use in future model year averaging 
and trading from only those Class V engine families with an FEL at or 
below 87 g/kW-hr. Beginning with the 2007 model year, a manufacturer of 
a Class V engine family with an FEL below the applicable emission 
standard may generate credits for use in future model year averaging and 
trading.
    (6) Negative credits may be banked only according to the 
requirements under Sec. 90.207(c).
    (b)(1) For Class I engine families initially produced during the 
period beginning with the 1999 model year and prior to August 1, 2003, a 
manufacturer may bank early credits for engines with HC + NOX 
FELs below 16.1 g/kW-hr. All early credits for such Class I engines 
shall be calculated against a HC + NOX level of 20.5 g/kW-hr 
and may continue to be calculated against the 20.5 g/kW-hr level until 
August 1, 2007.
    (2) Beginning with the 1999 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class II engines, a 
manufacturer may bank early credits for all Class II engines with 
HC+NOX FELs below 12.1 g/kW-hr. All early credits for Class 
II engines shall be calculated against a HC+NOX level of 18.0 
g/kW-hr.
    (3) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class III engines, a 
manufacturer may bank early credits for all Class III engines with 
HC+NOX FELs below 72 g/kW-hr. All early credits for Class III 
engines shall be calculated against a HC+NOX level of 238 g/
kW-hr.
    (4) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class IV engines, a 
manufacturer

[[Page 194]]

may bank early credits for all Class IV engines with HC+NOX 
FELs below 72 g/kW-hr. All early credits for Class IV engines shall be 
calculated against a HC+NOX level of 196 g/kW-hr.
    (5) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class V engines, a 
manufacturer may bank early credits for all Class V engines with 
HC+NOX FELs below 87 g/kW-hr. All early credits for Class V 
engines shall be calculated against a HC+NOX level of 143 g/
kW-hr.
    (6) Engines certified under the early banking provisions of this 
paragraph are subject to all of the requirements of this part applicable 
to Phase 2 engines.
    (c) A manufacturer may bank actual credits only after the end of the 
model year and after EPA has reviewed the manufacturer's end-of-year 
reports. During the model year and before submittal of the end-of-year 
report, credits originally designated in the certification process for 
banking will be considered reserved and may be redesignated for trading 
or averaging in the end-of-year report and final report.
    (d) Credits declared for banking from the previous model year that 
have not been reviewed by EPA may be used in averaging or trading 
transactions. However, such credits may be revoked at a later time 
following EPA review of the end-of-year report or any subsequent audit 
actions.

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24308, Apr. 25, 2000]



Sec. 90.206  Trading.

    (a) An engine manufacturer may exchange emission credits with other 
engine manufacturers in trading.
    (b) Credits for trading can be obtained from credits banked in 
previous model years or credits generated during the model year of the 
trading transaction.
    (c) Traded credits can be used for averaging, banking, or further 
trading transactions, subject to Sec. 90.205(a).
    (d) Traded credits are subject to the limitations on use for past 
model years, as set forth in Sec. 90.204(c).
    (e) In the event of a negative credit balance resulting from a 
transaction, both the buyer and the seller are liable, except in cases 
involving fraud. Certificates of all engine families participating in a 
negative trade may be voided ab initio pursuant to Sec. 90.123.

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24309, Apr. 25, 2000]



Sec. 90.207  Credit calculation and manufacturer compliance with emission 
standards.

    (a) For each engine family, HC+NOX [NMHC+NOX] 
certification emission credits (positive or negative) are to be 
calculated according to the following equation and rounded to the 
nearest gram. Consistent units are to be used throughout the equation.

Credits = Productionx(Standard--FEL)xPowerxUseful lifexLoad Factor
Where:

Production = eligible production as defined in this part. Annual 
production projections are used to project credit availability for 
initial certification. Eligible production volume is used in determining 
actual credits for end-of-year compliance determination.
Standard = the current and applicable Small SI engine HC+NOX 
(NMHC+NOX) emission standard in grams per kilowatt hour as 
determined in Sec. 90.103 or, for early credits, the applicable emission 
level as specified in Sec. 90.205(b).
FEL = the family emission limit for the engine family in grams per 
kilowatt hour.
Power = the maximum modal power of the certification test engine, in 
kilowatts, as calculated from the applicable federal test procedure as 
described in this part.
Useful Life = the useful life in hours corresponding to the useful life 
category for which the engine family was certified.
Load Factor = 47 percent (i.e., 0.47) for Test Cycle A and Test Cycle B, 
and 85 percent (i.e., 0.85) for Test Cycle C. For approved alternate 
test procedures, the load factor must be calculated according to the 
following formula:
[GRAPHIC] [TIFF OMITTED] TN05AP99.000


[[Page 195]]


Where:

%MTT modei = percent of the maximum FTP torque for mode i.
%MTS modei = percent of the maximum FTP engine rotational 
speed for mode i.
WF modei = the weighting factor for mode i.

    (b) Manufacturer compliance with the emission standards is 
determined on a corporate average basis at the end of each model year. A 
manufacturer is in compliance when the sum of positive and negative 
emission credits it holds is greater than or equal to zero, except that 
the sum of positive and negative credits may be less than zero as 
allowed under paragraph (c) of this section.
    (c) If, as a result of production line testing as required in 
subpart H of this part, an engine family is determined to be in 
noncompliance pursuant to Sec. 90.710, the manufacturer may raise its 
FEL for past and future production as necessary. Further, a manufacturer 
may carry a negative credit balance (known also as a credit deficit) for 
the subject class and model year and for the next three model years. The 
credit deficit may be no larger than that created by the nonconforming 
family. If the credit deficit still exists after the model year 
following the model year in which the nonconformity occurred, the 
manufacturer must obtain and apply credits to offset the remaining 
credit deficit at a rate of 1.2 grams for each gram of deficit within 
the next two model years. The provisions of this paragraph are subject 
to the limitations in paragraph (d) of this section.
    (d) Regulations elsewhere in this part notwithstanding, if an engine 
manufacturer experiences two or more production line testing failures 
pursuant to the regulations in subpart H of this part in a given model 
year, the manufacturer may raise the FEL of previously produced engines 
only to the extent that such engines represent no more than 10 percent 
of the manufacturer's total eligible production for that model year, as 
determined on the date when the FEL is adjusted. For any additional 
engine families determined to be in noncompliance, the manufacturer must 
conduct offsetting projects approved in advance by the Administrator.
    (e) If, as a result of production line testing under this subpart, a 
manufacturer desires to lower its FEL it may do so subject to 
Sec. 90.708(c).
    (f) Except as allowed at paragraph (c) of this section, when a 
manufacturer is not in compliance with the applicable emission standard 
by the date 270 days after the end of the model year, considering all 
credit calculations and transactions completed by then, the manufacturer 
will be in violation of the regulations in this part and EPA may, 
pursuant to Sec. 90.123, void ab initio the certificates of engine 
families for which the manufacturer has not obtained sufficient positive 
emission credits.

[64 FR 15239, Mar. 30, 1999; 64 FR 16526, Apr. 5, 1999, as amended at 65 
FR 24309, Apr. 25, 2000]



Sec. 90.208  Certification.

    (a) In the application for certification a manufacturer must:
    (1) Submit a statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, cause the 
manufacturer to be in noncompliance under Sec. 90.207(b) when all 
credits are calculated for the manufacturer's engine families.
    (2) Declare an FEL for each engine family for HC+NOX 
(NMHC+NOX). The FEL must have the same number of significant 
digits as the emission standard.
    (3) Indicate the projected number of credits generated/needed for 
this family; the projected applicable eligible annual production volume, 
and the values required to calculate credits as given in Sec. 90.207.
    (4) Submit calculations in accordance with Sec. 90.207 of projected 
emission credits (positive or negative) based on annual production 
projections for each family.
    (5) (i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family or 
reserved) of the credits necessary to offset the credit deficit 
according to projected annual production.
    (ii) If the engine family is projected to generate credits, state 
specifically

[[Page 196]]

(manufacturer/engine family or reserved) where the projected annual 
credits will be applied.
    (iii) The manufacturer may supply the information required by this 
section in the form of a spreadsheet detailing the manufacturer's annual 
production plans and the credits generated or consumed by each engine 
family.
    (b) All certificates issued are conditional upon manufacturer 
compliance with the provisions of this subpart both during and after the 
model year of production.
    (c) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be determined to be void 
ab initio pursuant to Sec. 90.123.
    (d) The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-year reports, follow-up audits, and any other verification steps 
considered appropriate by the Administrator.



Sec. 90.209  Maintenance of records.

    (a) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed records for each engine 
family:
    (1) EPA engine family identification code;
    (2) Family Emission Limit (FEL) or FELs where FEL changes have been 
implemented during the model year;
    (3) Maximum modal power for the certification test engine;
    (4) Projected production volume for the model year; and
    (5) Records appropriate to establish the quantities of engines that 
constitute eligible production as defined in Sec. 90.3 for each FEL.
    (b) Any manufacturer producing an engine family participating in 
trading reserved credits must maintain the following records on an 
annual basis for each such engine family:
    (1) The engine family;
    (2) The actual applicable production volume;
    (3) The values required to calculate credits as given in 
Sec. 90.207;
    (4) The resulting type and number of credits generated/required;
    (5) How and where credit surpluses are dispersed; and
    (6) How and through what means credit deficits are met.
    (c) The manufacturer must retain all records required to be 
maintained under this section for a period of eight years from the due 
date for the end-of-model year report. Records may be retained as hard 
copy or reduced to microfilm, ADP diskettes, and so forth, depending on 
the manufacturer's record retention procedure; provided, that in every 
case all information contained in the hard copy is retained.
    (d) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records, or submit 
information not specifically required by this section, if otherwise 
permitted by law.
    (e) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.
    (f) EPA may, pursuant to Sec. 90.123, void ab initio a certificate 
of conformity for an engine family for which the manufacturer fails to 
retain the records required in this section or to provide such 
information to the Administrator upon request.



Sec. 90.210  End-of-year and final reports.

    (a) End-of-year and final reports must indicate the engine family, 
the engine class, the actual production volume, the values required to 
calculate credits as given in Sec. 90.207, and the number of credits 
generated/required. Manufacturers must also submit how and where credit 
surpluses were dispersed (or are to be banked) and/or how and through 
what means credit deficits were met. Copies of contracts related to 
credit trading must be included or supplied by the broker, if 
applicable. The report must include a calculation of credit balances to 
show that the credit summation for all engines is equal to or greater 
than zero (or less than zero in cases of negative credit

[[Page 197]]

balances as permitted in Sec. 90.207(c)). For model year 2005 and later, 
the report must include a calculation of the production weighted average 
HC+NOX (including NMHC+NOX) FEL for Class II 
engine families to show compliance with the provisions of 
Sec. 90.203(g)(2).
    (b) The calculation of eligible production for end-of-year and final 
reports must be based on engines produced for the United States market, 
excluding engines which are subject to state emission standards pursuant 
to a waiver granted by EPA under section 209(e) of the Act. Upon advance 
written request, the Administrator will consider other methods to track 
engines for credit calculation purposes that provide high levels of 
confidence that eligible production or sales are accurately counted.
    (c)(1)End-of-year reports must be submitted within 90 days of the 
end of the model year to: Manager, Engine Compliance Programs Group 
(6403-J), U.S. Environmental Protection Agency, Washington, DC 20460.
    (2) Unless otherwise approved by the Administrator, final reports 
must be submitted within 270 days of the end of the model year to: 
Manager, Engine Compliance Programs Group (6403-J), U.S. Environmental 
Protection Agency, Washington, DC 20460.
    (d) Failure by a manufacturer to submit any end-of-year or final 
reports in the specified time for any engines subject to regulation 
under this part is a violation of Sec. 90.1003(a)(2) and section 213(d) 
of the Clean Air Act for each engine.
    (e) A manufacturer generating credits for banking only who fails to 
submit end-of-year reports in the applicable specified time period (90 
days after the end of the model year) may not use the credits until such 
reports are received and reviewed by EPA. Use of projected credits 
pending EPA review is not permitted in these circumstances.
    (f) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including errors in credit calculation, may be corrected in the 
final report.
    (g) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year or final report previously submitted to EPA 
under this section, the manufacturer's credits and credit calculations 
must be recalculated. Erroneous positive credits will be void except as 
provided in paragraph (h) of this section. Erroneous negative credit 
balances may be adjusted by EPA.
    (h) If EPA review determines a reporting error in the manufacturer's 
favor (that is, resulting in an increased credit balance) or if the 
manufacturer discovers such an error within 270 days of the end of the 
model year, EPA shall restore the credits for use by the manufacturer.



Sec. 90.211  Request for hearing.

    An engine manufacturer may request a hearing on the Administrator's 
voiding of the certificate under Secs. 90.203(h), 90.206(e), 90.207(f), 
90.208(c), or 90.209(f), pursuant to Sec. 90.124. The procedures of 
Sec. 90.125 shall apply to any such hearing.



Sec. 90.212  Optional transition year averaging, banking, and trading program 
for Phase 2 handheld engines.

    (a) In lieu of the averaging, banking, and trading program described 
in Secs. 90.204 through 90.211, a handheld engine manufacturer may, 
through model year 2010, participate in an optional transition year 
averaging, banking and trading program as described in Secs. 90.213 
through 90.220.
    (b) Under this optional transition year program, if an engine family 
has an FEL below the applicable standard for that year, it can generate 
emission credits as calculated in Sec. 90.216. These credits will be 
determined by subtracting the engine family's FEL from the standard and 
multiplying by the appropriate adjustment factor selected from Tables 1 
through 3 in Sec. 90.216. These credits will be designated as ``Optional 
Transition Year'' credits. These credits, as adjusted by these factors, 
may be used in subsequent model years through model year 2007 to 
demonstrate manufacturer compliance with the applicable standard. 
Beginning in model year 2008 and continuing through model year 2010, 
these optional transition credits can be used to demonstrate compliance 
if, prior to the use of any credits, the manufacturer's average emission 
level as calculated

[[Page 198]]

using the FELs set by the manufacturer is equal to or lower than the 
manufacturer's average emission level using the manufacturer's actual 
production, but substituting values of 72 g/kW-hr for Class III and IV 
engines, and 87 g/kW-hr for Class V engines. Manufacturer will choose to 
participate in this optional transition year program each year and for 
each engine family. Manufacturers will notify EPA of their program 
choice at the time they request certification. Once a family has been 
designated as generating credits under either the optional program or 
the program described in Secs. 90.204 through 90.211, the manufacturer 
may not change that program selection for any of the engines of that 
engine family produced under that model year certification approval.

[65 FR 24309, Apr. 25, 2000]



Sec. 90.213  Averaging under the optional program.

    (a) Negative credits from engine families with FELs above the 
applicable emission standard must be offset by positive credits from 
engine families having FELs below the applicable emission standard, as 
allowed under the provisions of this subpart. Averaging of credits in 
this manner is used to determine compliance under Sec. 90.216(b).
    (b) Cross-class averaging of credits is allowed across all classes 
of nonroad spark-ignition handheld engines at or below 19 kW 
participating in the optional transition year program.
    (c) Credits used in averaging for a given model year may be obtained 
from credits generated in the same model year by another engine family, 
credits banked in previous model years, or credits of the same or 
previous model year obtained through trading. The restrictions of this 
paragraph (c) notwithstanding, credits from a given model year may be 
used to address credit needs of previous model year engines as allowed 
under Sec. 90.216(c).
    (d) The use of credits generated under the early banking provisions 
of Sec. 90.214(b) is subject to regulations under this subpart.

[65 FR 24309, Apr. 25, 2000]



Sec. 90.214  Banking under the optional program.

    (a)(1)-(3) [Reserved]
    (4) For the 2002 through 2004 model years, a manufacturer of a Class 
III or Class IV engine family may bank credits for use in future model 
year averaging and trading from those Class III or Class IV engine 
families with an FEL at or below the applicable standard.
    (5) For the 2004 through 2006 model years, a manufacturer of a Class 
V engine family may bank credits for use in future model year averaging 
and trading from those Class V engine families with an FEL at or below 
the applicable standard.
    (6) Negative credits may be banked only according to the 
requirements under Sec. 90.216(c).
    (b)(1) [Reserved]
    (2) [Reserved]
    (3) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class III engines, a 
manufacturer may bank early credits for all Class III engines with 
HC+NOX FELs below the applicable standard. All early credits 
for Class III engines shall be calculated against a HC+NOX 
level of 238 g/kW-hr.
    (4) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class IV engines, a 
manufacturer may bank early credits for all Class IV engines with 
HC+NOX FELs below the applicable standard. All early credits 
for Class IV engines shall be calculated against a HC+NOX 
level of 196 g/kW-hr.
    (5) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class V engines, a 
manufacturer may bank early credits for all Class V engines with 
HC+NOX FELs below the applicable standard. All early credits 
for Class V engines shall be calculated against a HC+NOX 
level of 143 g/kW-hr.
    (6) Engines certified under the early banking provisions of this 
paragraph are subject to all of the requirements of this part applicable 
to Phase 2 engines.
    (c) A manufacturer may bank actual credits only after the end of the 
model year and after EPA has reviewed the manufacturer's end-of-year 
reports.

[[Page 199]]

During the model year and before submittal of the end-of-year report, 
credits originally designated in the certification process for banking 
will be considered reserved and may be redesignated for trading or 
averaging in the end-of-year report and final report.
    (d) Credits declared for banking from the previous model year that 
have not been reviewed by EPA may be used in averaging or trading 
transactions. However, such credits may be revoked at a later time 
following EPA review of the end-of-year report or any subsequent audit 
actions.

[65 FR 24309, Apr. 25, 2000]



Sec. 90.215  Trading under the optional program.

    (a) An engine manufacturer may exchange emission credits with other 
engine manufacturers in trading.
    (b) Credits for trading can be obtained from credits banked in 
previous model years or credits generated during the model year of the 
trading transaction.
    (c) Traded credits can be used for averaging, banking, or further 
trading transactions.
    (d) Traded credits are subject to the limitations on use for past 
model years, as set forth in Sec. 90.213(c).
    (e) In the event of a negative credit balance resulting from a 
transaction, both the buyer and the seller are liable, except in cases 
involving fraud. Certificates of all engine families participating in a 
negative trade may be voided ab initio pursuant to Sec. 90.123.

[65 FR 24310, Apr. 25, 2000]



Sec. 90.216  Credit calculation and manufacturer compliance with emission 
standards under the optional program.

    (a)(1) For each engine family, HC+NOX 
[NMHC+NOX] certification emission credits (positive or 
negative) are to be calculated according to the following equation and 
rounded to the nearest gram. Consistent units are to be used throughout 
the following equation:

Credits = Production x (Standard-FEL) x Power x Useful life x Load 
Factor x Adjustment Factor

Where:

Production = eligible production as defined in this part. Annual 
production projections are used to project credit availability for 
initial certification. Eligible production volume is used in determining 
actual credits for end-of-year compliance determination.
Standard = the current and applicable Small SI engine HC+NOX 
(NMHC+NOX) emission standard in grams per kilowatt hour as 
determined in Sec. 90.103 or, for early credits, the applicable emission 
level as specified in Sec. 90.214(b).
FEL = the family emission limit for the engine family in grams per 
kilowatt hour.
Power = the maximum modal power of the certification test engine, in 
kilowatts, as calculated from the applicable federal test procedure as 
described in this part.
Useful Life = the useful life in hours corresponding to the useful life 
category for which the engine family was certified.
Load Factor = 85 percent (i.e., 0.85) for Test Cycle C. For approved 
alternate test procedures, the load factor must be calculated according 
to the formula in paragraph (a)(2) of this section:
Adjustment Factor = 1.0, except for purposes of calculating credits for 
banking under the optional transition year program, in which case the 
adjustment factor is listed in Table 1, Table 2, or Table 3 of paragraph 
(a)(3) of this section, whichever is applicable, based on the model year 
of the engine and its certified FEL.

    (2) Use the following formula to calculate the load factor in 
paragraph (a)(1) of this section:
[GRAPHIC] [TIFF OMITTED] TR25AP00.002


[[Page 200]]


Where:

%MTT modei = percent of the maximum FTP torque for mode i.
%MTS modei = percent of the maximum FTP engine rotational 
speed for mode i.
WF modei = the weighting factor for mode i.
    (3) Tables 1, 2, and 3 follow:

            Table 1--Adjustment Factors for Class III Engines
------------------------------------------------------------------------
 Model year 2002 or    Model year 2003     Model year 2004
   earlier engine      engine families     engine families    Adjustment
families with FELs:      with FELs:          with FELs:         factor
------------------------------------------------------------------------
113 g/kW- 87 g/kW- ..................         0.25
 hr                   hr
87-113 g/ 72-87 g/ 72-87 g/        0.50
 kW-hr                kW-hr               kW-hr
72-87 g/  50-72 g/ [le]72 g/kW-hr             1.00
 kW-hr                kW-hr
[le]72 g/kW-hr       [le]50 g/kW-hr      ..................         1.25
------------------------------------------------------------------------


            Table 2--Adjustment Factors for Class IV Engines
------------------------------------------------------------------------
 Model year 2002 or    Model year 2003     Model year 2004
   earlier engine      engine families     engine families    Adjustment
families with FELs:      with FELs:          with FELs:         factor
------------------------------------------------------------------------
99 g/kW-  87 g/kW- ..................         0.25
 hr                   hr
87-99 g/  72-87 g/ 72-87 g/        0.50
 kW-hr                kW-hr               kW-hr
72-87 g/  50-72 g/ [le]72 g/kW-hr             1.00
 kW-hr                kW-hr
[le]72 g/kW-hr       [le]50 g/kW-hr      ..................         1.25
------------------------------------------------------------------------


             Table 3--Adjustment Factors for Class V Engines
------------------------------------------------------------------------
 Model year 2004 or    Model year 2005     Model year 2006
   earlier engine      engine families     engine families    Adjustment
families with FELs:      with FELs:          with FELs:         factor
------------------------------------------------------------------------
96 g/kW-  ..................  ..................         0.25
 hr
87-96 g/  87 g/kW- 72-87 g/        0.50
 kW-hr                hr                  kW-hr
72-87 g/  72-87 g/ [le]72 g/kW-hr             1.00
 kW-hr                kW-hr
[le]72 g/kW-hr       [le]72 g/kW-hr      ..................         1.25
------------------------------------------------------------------------

    (b) Manufacturer compliance with the emission standards is 
determined on a corporate average basis at the end of each model year. A 
manufacturer is in compliance when the sum of positive and negative 
emission credits it holds is greater than or equal to zero, except that 
the sum of positive and negative credits may be less than zero as 
allowed under paragraph (c) of this section.
    (c) If, as a result of production line testing as required in 
subpart H of this part, an engine family is determined to be in 
noncompliance pursuant to Sec. 90.710, the manufacturer may raise its 
FEL for past and future production as necessary. Further, a manufacturer 
may carry a negative credit balance (known also as a credit deficit) for 
the subject class and model year and for the next three model years. The 
credit deficit may be no larger than that created by the nonconforming 
family. If the credit deficit still exists after the model year 
following the model year in which the nonconformity occurred, the 
manufacturer must obtain and apply credits to offset the remaining 
credit deficit at a rate of 1.2 grams for each gram of deficit within 
the next two model years. The provisions of this paragraph (c) are 
subject to the limitations in paragraph (d) of this section.
    (d) Regulations elsewhere in this part notwithstanding, if an engine 
manufacturer experiences two or more production line testing failures 
pursuant to the regulations in subpart H of this part in a given model 
year, the manufacturer may raise the FEL of previously produced engines 
only to the extent that such engines represent no more than 10 percent 
of the manufacturer's total eligible production for that model year, as 
determined on the date when the FEL is adjusted. For any additional 
engine families determined to be in noncompliance, the manufacturer must 
conduct offsetting projects approved in advance by the Administrator.

[[Page 201]]

    (e) If, as a result of production line testing under this subpart, a 
manufacturer desires to lower its FEL it may do so subject to 
Sec. 90.708(c).
    (f) Except as allowed at paragraph (c) of this section, when a 
manufacturer is not in compliance with the applicable emission standard 
by the date 270 days after the end of the model year, considering all 
credit calculations and transactions completed by then, the manufacturer 
will be in violation of these regulations and EPA may, pursuant to 
Sec. 90.123, void ab initio the certificates of engine families for 
which the manufacturer has not obtained sufficient positive emission 
credits.

[65 FR 24310, Apr. 25, 2000]



Sec. 90.217  Certification under the optional program.

    (a) In the application for certification a manufacturer must:
    (1) Submit a statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, cause the 
manufacturer to be in noncompliance under Sec. 90.216(b) when all 
credits are calculated for the manufacturer's engine families.
    (2) Declare an FEL for each engine family for HC+NOX 
(NMHC+NOX). The FEL must have the same number of significant 
digits as the emission standard.
    (3) Indicate the projected number of credits generated/needed for 
this family; the projected applicable eligible annual production volume, 
and the values required to calculate credits as given in Sec. 90.216.
    (4) Submit calculations in accordance with Sec. 90.216 of projected 
emission credits (positive or negative) based on annual production 
projections for each family.
    (5)(i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family or 
reserved) of the credits necessary to offset the credit deficit 
according to projected annual production.
    (ii) If the engine family is projected to generate credits, state 
specifically (manufacturer/engine family or reserved) where the 
projected annual credits will be applied.
    (iii) The manufacturer may supply the information required by this 
section in the form of a spreadsheet detailing the manufacturer's annual 
production plans and the credits generated or consumed by each engine 
family.
    (b) All certificates issued are conditional upon manufacturer 
compliance with the provisions of this subpart both during and after the 
model year of production.
    (c) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be determined to be void 
ab initio pursuant to Sec. 90.123.
    (d) The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-year reports, follow-up audits, and any other verification steps 
considered appropriate by the Administrator.

[65 FR 24311, Apr. 25, 2000]



Sec. 90.218  Maintenance of records under the optional program.

    (a) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed records for each engine 
family:
    (1) EPA engine family identification code;
    (2) Family Emission Limit (FEL) or FELs where FEL changes have been 
implemented during the model year;
    (3) Maximum modal power for the certification test engine;
    (4) Projected production volume for the model year; and
    (5) Records appropriate to establish the quantities of engines that 
constitute eligible production as defined in Sec. 90.3 for each FEL.
    (b) Any manufacturer producing an engine family participating in 
trading reserved credits must maintain the following records on an 
annual basis for each such engine family:
    (1) The engine family;

[[Page 202]]

    (2) The actual applicable production volume;
    (3) The values required to calculate credits as given in 
Sec. 90.216;
    (4) The resulting type and number of credits generated/required;
    (5) How and where credit surpluses are dispersed; and
    (6) How and through what means credit deficits are met.
    (c) The manufacturer must retain all records required to be 
maintained under this section for a period of eight years from the due 
date for the end-of-model year report. Records may be retained as hard 
copy or reduced to microfilm, ADP diskettes, and so forth, depending on 
the manufacturer's record retention procedure; provided, that in every 
case all information contained in the hard copy is retained.
    (d) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records, or submit 
information not specifically required by this section, if otherwise 
permitted by law.
    (e) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.
    (f) EPA may, pursuant to Sec. 90.123, void ab initio a certificate 
of conformity for an engine family for which the manufacturer fails to 
retain the records required in this section or to provide such 
information to the Administrator upon request.

[65 FR 24311, Apr. 25, 2000]



Sec. 90.219  End-of-year and final reports under the optional program.

    (a) End-of-year and final reports must indicate the engine family, 
the engine class, the actual production volume, the values required to 
calculate credits as given in Sec. 90.216, and the number of credits 
generated/required. Manufacturers must also submit how and where credit 
surpluses were dispersed (or are to be banked) and/or how and through 
what means credit deficits were met. Copies of contracts related to 
credit trading must be included or supplied by the broker, if 
applicable. The report must include a calculation of credit balances to 
show that the credit summation for all engines is equal to or greater 
than zero (or less than zero in cases of negative credit balances as 
permitted in Sec. 90.216(c)). For model years 2008 through 2010, the 
report must include a calculation of the production weighted average 
HC+NOX FEL for handheld engine families to show compliance 
with the provisions of Sec. 90.212(b).
    (b) The calculation of eligible production for end-of-year and final 
reports must be based on engines produced for the United States market, 
excluding engines which are subject to state emission standards pursuant 
to a waiver granted by EPA under section 209(e) of the Act. Upon advance 
written request, the Administrator will consider other methods to track 
engines for credit calculation purposes that provide high levels of 
confidence that eligible production or sales are accurately counted.
    (c)(1) End-of-year reports must be submitted within 90 days of the 
end of the model year to: Manager, Engine Compliance Programs Group 
(6403-J), U.S. Environmental Protection Agency, Washington, DC 20460.
    (2) Unless otherwise approved by the Administrator, final reports 
must be submitted within 270 days of the end of the model year to: 
Manager, Engine Compliance Programs Group (6403-J), U.S. Environmental 
Protection Agency, Washington, DC 20460.
    (d) Failure by a manufacturer to submit any end-of-year or final 
reports in the specified time for any engines subject to regulation 
under this part is a violation of Sec. 90.1003(a)(2) and section 213(d) 
of the Clean Air Act for each engine.
    (e) A manufacturer generating credits for banking only who fails to 
submit end-of-year reports in the applicable specified time period (90 
days after the end of the model year) may not use the credits until such 
reports are received and reviewed by EPA. Use of projected credits 
pending EPA review is not permitted in these circumstances.
    (f) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including errors in credit calculation, may be corrected in the 
final report.
    (g) If EPA or the manufacturer determines that a reporting error 
occurred

[[Page 203]]

on an end-of-year or final report previously submitted to EPA under this 
section, the manufacturer's credits and credit calculations must be 
recalculated. Erroneous positive credits will be void except as provided 
in paragraph (h) of this section. Erroneous negative credit balances may 
be adjusted by EPA.
    (h) If EPA review determines a reporting error in the manufacturer's 
favor (that is, resulting in an increased credit balance) or if the 
manufacturer discovers such an error within 270 days of the end of the 
model year, EPA shall restore the credits for use by the manufacturer.

[65 FR 24312, Apr. 25, 2000]



Sec. 90.220  Request for hearing.

    An engine manufacturer may request a hearing on the Administrator's 
voiding of the certificate under Secs. 90.203(h), 90.215(e), 90.216(f), 
90.217(c), or 90.218(f), pursuant to Sec. 90.124. The procedures of 
Sec. 90.125 shall apply to any such hearing.

[65 FR 24312, Apr. 25, 2000]



              Subpart D--Emission Test Equipment Provisions



Sec. 90.301  Applicability.

    (a) This subpart describes the equipment required in order to 
perform exhaust emission tests on new nonroad spark-ignition engines and 
vehicles subject to the provisions of subpart A of this part. Certain 
text in this subpart is identified as pertaining to Phase 1 or Phase 2 
engines. Such text pertains only to engines of the specified Phase. If 
no indication of Phase is given, the text pertains to all engines, 
regardless of Phase.
    (b) Exhaust gases, either raw or dilute, are sampled while the test 
engine is operated using a steady state test cycle on an engine 
dynamometer. The exhaust gases receive specific component analysis 
determining concentration of pollutant. Emission concentrations are 
converted to mass emission rates in grams per hour based on either fuel 
flow, fuel flow and engine intake air flow, or exhaust volume flow. 
Weighted emission rates are reported as grams per brake-kilowatt hour 
(g/kW-hr). See subpart E of this part for a complete description of the 
test procedure.
    (c) Additional information about system design, calibration 
methodologies, and so forth, for raw gas sampling can be found in part 
86, subpart D of this chapter. Examples for system design, calibration 
methodologies, and so forth, for dilute exhaust gas sampling can be 
found in part 86, subpart N of this chapter.
    (d) For Phase 2 Class I, Phase 2 Class I-B, and Phase 2 Class II 
natural gas fueled engines, the following sections from 40 CFR Part 86 
are applicable to this subpart. The requirements of the following 
sections from 40 CFR Part 86 which pertain specifically to the 
measurement and calculation of non-methane hydrocarbon (NMHC) exhaust 
emissions from otto cycle heavy-duty engines must be followed when 
determining the NMHC exhaust emissions from Phase 2 Class I, Phase 2 
Class I-B, and Phase 2 Class II natural gas fueled engines. Those 
sections are: 40 CFR 86.1306-90 Equipment required and specifications; 
overview, 40 CFR 86.1309-90 Exhaust gas sampling system; otto-cycle 
engines, 40 CFR 86.1311-94 Exhaust gas analytical system; CVS bag 
sampling, 40 CFR 86.1313-94(e) Fuel Specification--Natural gas-fuel, 40 
CFR 86.1314-94 Analytical gases, 40 CFR 86.1316-94 Calibrations; 
frequency and overview, 40 CFR 86.1321-94 Hydrocarbon analyzer 
calibration, 40 CFR 86.1325-94 Methane analyzer calibration, 40 CFR 
86.1327-94 Engine dynamometer test procedures, overview, 40 CFR 86.1340-
94 Exhaust sample analysis, 40 CFR 86.1342-94 Calculations; exhaust 
emissions, 40 CFR 86.1344-94(d) Required information--Pre-test data, 40 
CFR 86.1344-94(e) Required information--Test data.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar. 30, 1999; 65 
FR 24312, Apr. 25, 2000]



Sec. 90.302  Definitions.

    The definitions in Sec. 90.3 apply to this subpart. The following 
definitions also apply to this subpart.
    Intermediate speed means the engine speed which is 85 percent of the 
rated speed.
    Natural gas means a fuel whose primary constituent is methane.

[[Page 204]]

    Rated speed means the speed at which the manufacturer specifies the 
maximum rated power of an engine.

[64 FR 15243, Mar. 30, 1999]



Sec. 90.303  Symbols, acronyms, abbreviations.

    (a) The acronyms and abbreviations in Sec. 90.5 apply to this 
subpart.
    (b) The symbols in Table 1 in Appendix A of this subpart apply to 
this subpart.



Sec. 90.304  Test equipment overview.

    (a) All engines subject to this subpart are tested for exhaust 
emissions. Engines are operated on dynamometers meeting the 
specification given in Sec. 90.305.
    (b) The exhaust is tested for gaseous emissions using a raw gas 
sampling system as described in Sec. 90.414 or a constant volume 
sampling (CVS) system as described in Sec. 90.421. Both systems require 
analyzers (see paragraph (c) of this section) specific to the pollutant 
being measured.
    (c) Analyzers used are a non-dispersive infrared (NDIR) absorption 
type for carbon monoxide and carbon dioxide analysis; paramagnetic 
(PMD), zirconia (ZRDO), or electrochemical type (ECS) for oxygen 
analysis; a flame ionization (FID) or heated flame ionization (HFID) 
type for hydrocarbon analysis; and a chemiluminescent detector (CLD) or 
heated chemiluminescent detector (HCLD) for oxides of nitrogen analysis.



Sec. 90.305  Dynamometer specifications and calibration accuracy.

    (a) Dynamometer specifications. The dynamometer test stand and other 
instruments for measurement of speed and power output must meet the 
engine speed and torque accuracy requirements shown in Table 2 in 
Appendix A of this subpart. The dynamometer must be capable of 
performing the test cycle described in Sec. 90.410.
    (b) Dynamometer calibration accuracy. (1) The dynamometer test stand 
and other instruments for measurement of power output must meet the 
calibration frequency shown in Table 2 in Appendix A of this subpart.
    (2) A minimum of three calibration weights for each range used is 
required. The weights must be equally spaced and traceable to within 0.5 
percent of National Institute for Standards and Testing (NIST) weights. 
Laboratories located in foreign countries may certify calibration 
weights to local government bureau standards.



Sec. 90.306  Dynamometer torque cell calibration.

    (a)(1) Any lever arm used to convert a weight or a force through a 
distance into a torque must be used in a horizontal position for 
horizontal shaft dynamometers ( five degrees). For vertical 
shaft dynamometers, a pulley system may be used to convert the 
dynamometer's horizontal loading into the vertical plane.
    (2) Calculate the indicated torque (IT) for each calibration weight 
to be used by:

IT=Moment Arm (meters) x Calibration Weight (Newtons)

    (3) Attach each calibration weight specified in Sec. 90.305(b)(2) to 
the moment arm at the calibration distance determined in paragraph 
(a)(2) of this section. Record the power measurement equipment response 
(N-m) to each weight.
    (4) Compare the torque value measured to the calculated torque.
    (5) The measured torque must be within two percent of the calculated 
torque.
    (6) If the measured torque is not within two percent of the 
calculated torque, adjust or repair the system. Repeat steps in 
paragraphs (a)(1) through (a)(6) of this section with the adjusted or 
repaired system.
    (b) Option. A master load-cell or transfer standard may be used to 
verify the torque measurement system.
    (1) The master load-cell and read out system must be calibrated 
using weights specified in Sec. 90.305(b)(2).
    (2) Attach the master load-cell and loading system.
    (3) Load the dynamometer to a minimum of three equally spaced torque 
values as indicated by the master load-cell for each in-use range used.
    (4) The in-use torque measurement must be within two percent of the 
torque measured by the master system for each load used.

[[Page 205]]

    (5) If the in-use torque is not within two percent of the master 
torque, adjust or repair the system. Repeat steps in paragraphs (b)(2) 
through (b)(4) of this section with the adjusted or repaired system.
    (c) Calibrated resistors may not be used for engine flywheel torque 
transducer calibration, but may be used to span the transducer prior to 
engine testing.
    (d) Other engine dynamometer system calibrations such as speed are 
performed as specified by the dynamometer manufacturer or as dictated by 
good engineering practice.



Sec. 90.307  Engine cooling system.

    An engine cooling system is required with sufficient capacity to 
maintain the engine at normal operating temperatures as prescribed by 
the engine manufacturer. Auxiliary fan(s) may be used to maintain 
sufficient engine cooling during engine dynamometer operation.



Sec. 90.308  Lubricating oil and test fuels.

    (a) Lubricating oil. Use the engine lubricating oil which meets the 
engine manufacturer's specifications for a particular engine and 
intended usage.
    (1) Manufacturers must use engine lubricants representative of 
commercially available engine lubricants.
    (2) For 2-stroke engines, the fuel/oil mixture ratio must be that 
which is recommended by the manufacturer.
    (b) Test Fuels--Certification. (1) The manufacturer must use 
gasoline having the specifications, or substantially equivalent 
specifications approved by the Administrator, as specified in Table 3 in 
Appendix A of this subpart for exhaust emission testing of gasoline 
fueled engines. As an option, manufacturers may use the fuel specified 
in Sec. 86.1313-94(a) of this chapter for gasoline fueled engines.
    (2) Alternative fuels, such as natural gas, propane, and methanol, 
used for exhaust emission testing and service accumulation of 
alternative fuel spark-ignition engines must be representative of 
commercially available alternative fuels.
    (i) The manufacturer shall recommend the alternative fuel to be used 
for certification testing and engine service accumulation in accordance 
with paragraph (b)(3) of this section.
    (ii) The Administrator shall determine the alternative fuel to be 
used for testing and engine service accumulation, taking into 
consideration the alternative fuel recommended by the manufacturer.
    (3) Other fuels may be used for testing provided:
    (i) They are commercially viable;
    (ii) Information acceptable to the Administrator is provided to show 
that only the designated fuel would be used in customer service; and
    (iii) Fuel specifications are approved in writing by the 
Administrator prior to the start of testing.
    (c) Test fuels--service accumulation and aging. Unleaded gasoline 
representative of commercial gasoline generally available through retail 
outlets must be used in service accumulation and aging for gasoline-
fueled spark-ignition engines. As an alternative, the certification test 
fuels specified under paragraph (b) of this section may be used for 
engine service accumulation and aging. Leaded fuel may not be used 
during service accumulation or aging.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar. 30, 1999]



Sec. 90.309  Engine intake air temperature measurement.

    (a) The measurement location must be within 10 cm of the engine 
intake system (i.e., the air cleaner, for most engines.)
    (b) The temperature measurements must be accurate to within 
 2  deg.C.



Sec. 90.310  Engine intake air humidity measurement.

    This section refers to engines which are supplied with intake air 
other than the ambient air in the test cell (i.e., air which has been 
pumped directly to the engine air intake system). For engines which use 
ambient test cell air for the engine intake air, the ambient test cell 
humidity measurement may be used.
    (a) Humidity conditioned air supply. Air that has had its absolute 
humidity altered is considered humidity-conditioned air. For this type 
of intake air supply, the humidity measurements must be made within the 
intake air

[[Page 206]]

supply system and after the humidity conditioning has taken place.
    (b) Unconditioned air supply. Humidity measurements in unconditioned 
intake air supply systems must be made in the intake air stream entering 
the supply system. Alternatively, the humidity measurements can be 
measured within the intake air supply stream.



Sec. 90.311  Test conditions.

    (a) General requirements. (1) Ambient temperature levels encountered 
by the test engine throughout the test sequence may not be less than 20 
deg.C or more than 30  deg.C. All engines must be installed on the test 
bed at their design installation angle to prevent abnormal fuel 
distribution.
    (2) Calculate all volumes and volumetric flow rates at standard 
conditions for temperature and pressure, and use these conditions 
consistently throughout all calculations. Standard conditions for 
temperature and pressure are 25  deg.C and 101.3 kPa.
    (b) Engine test conditions. Measure the absolute temperature 
(designated as T and expressed in Kelvin) of the engine air at the inlet 
to the engine and the dry atmospheric pressure (designated as 
ps and expressed in kPa), and determine the parameter f 
according to the following provisions for naturally aspirated engines:
[GRAPHIC] [TIFF OMITTED] TR03JY95.009


For a certification test to be recognized as valid, the parameter f 
shall be between the limits as shown below: 0.96
Sec. 90.312  Analytical gases.

    (a) The shelf life of a calibration gas may not be exceeded. The 
expiration date stated by the gas supplier must be recorded.
    (b) Pure gases. The required purity of the gases is defined by the 
contamination limits specified in this subsection. The following gases 
must be available for operation:
    (1) Purified nitrogen, also refered to as ``zero-grade nitrogen'' 
(Contamination [le] 1 ppm C, [le] 1 ppm CO, [le] 400 ppm CO2, 
[le] 0.1 ppm NO);
    (2) Purified oxygen (Purity 99.5 percent vol O2);
    (3) Hydrogen-helium mixture (40  2 percent hydrogen, 
balance helium) (Contamination [le] 1 ppm C, [le] 400 ppm CO);
    (4) Purified synthetic air, also refered to as ``zero air'' or 
``zero gas'' (Contamination [le] 1 ppm C, [le] 1 ppm CO, [le] 400 ppm 
CO2, [le] 0.1 ppm NO) (Oxygen content between 18-21 percent 
vol.).
    (c) Calibration and span gases. (1) Calibration gas values are to be 
derived from NIST ``Standard Reference Materials'' (SRM's) and are to be 
single blends as specified in this subsection.
    (2) Mixtures of gases having the following chemical compositions 
must be available:

C3 H8 and purified synthetic air and/or 
C3 H8 and purified nitrogen;
CO and purified nitrogen;
NOX and purified nitrogen (the amount of NO2 
contained in this calibration gas must not exceed five percent of the NO 
content);
CO2 and purified nitrogen.

    Note: For the HFID or FID the manufacturer may choose to use as a 
diluent span gas and the calibration gas either purified synthetic air 
or purified nitrogen. Any mixture of C3 H8 and 
purified synthetic air which contains a concentration of propane higher 
than what a gas supplier considers to be safe may be substituted with a 
mixture of C3 H8 and purified nitrogen. However, 
the manufacturer must be consistent in the choice of diluent (zero air 
or purified nitrogen) between the calibration and span gases. If a 
manufacturer chooses to use C3 H8 and purified 
nitrogen for the calibration gases, then purified nitrogen must be the 
diluent for the span gases.

    (3) The true concentration of a span gas must be within  
two percent of the NIST gas standard. The true concentration of a 
calibration gas must be within  one percent of the NIST gas 
standard. The use of precision blending devices (gas dividers) to obtain 
the required calibration gas concentrations is acceptable. Give all 
concentrations of calibration gas on a volume basis (volume percent or 
volume ppm).
    (4) The gas concentrations used for calibration and span may also be 
obtained by means of a gas divider, diluting either with purified 
N2 or with purified synthetic air. The accuracy of the mixing 
device must be such that the concentration of the diluted gases

[[Page 207]]

may be determined to within  two percent.
    (d) Oxygen interference check gases must contain propane with 350 
ppmC  75 ppmC hydrocarbon. Determine the concentration value 
to calibration gas tolerances by chromatographic analysis of total 
hydrocarbons plus impurities or by dynamic blending. For gasoline fueled 
engines, oxygen contentration must be between 0 and 1 percent 
O2. Nitrogen must be the predominant diluent with the balance 
oxygen.
    (e) Fuel for the hydrocarbon flame ionization detector (HC-FID) must 
be a blend of 40  two percent hydrogen with the balance 
being helium. The mixture must contain less than one ppm equivalent 
carbon response; 98 to 100 percent hydrogen fuel may be used with 
advance approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen 
must be within one mole percent of the oxygen concentration of the 
burner air used in the latest oxygen interference check (percent 
O2 I), see Sec. 90.316(d). If the difference in oxygen 
concentration is greater than one mole percent, then the oxygen 
interference must be checked and, if necessary, the analyzer adjusted to 
meet the percent O2 I requirements. The burner air must 
contain less than two ppmC hydrocarbon.



Sec. 90.313  Analyzers required.

    (a) Analyzers. Analyze measured gases with the following 
instruments:
    (1) Carbon monoxide (CO) analysis. (i) The carbon monoxide analyzer 
shall be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (2) Carbon dioxide (CO2) analysis. (i) The carbon dioxide 
analyzer shall be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (3) Oxygen (O2) analysis. Oxygen (O2) 
analyzers may be of the paramagnetic (PMD), zirconia (ZRDO) or 
electrochemical type (ECS).
    (4) Hydrocarbon (HC) analysis. (i) For Raw Gas Sampling, the 
hydrocarbon analyzer shall be of the heated flame ionization (HFID) 
type. For constant volume sampling, the hydrocarbon analyzer may be of 
the flame ionization (FID) type or of the heated flame ionization (HFID) 
type.
    (ii) For the HFID system, if the temperature of the exhaust gas at 
the sample probe is below 190  deg.C, the temperature of the valves, 
pipe work, and so forth, must be controlled so as to maintain a wall 
temperature of 190  deg.C 11  deg.C. If the temperature of 
the exhaust gas at the sample probe is above 190  deg.C, the temperature 
of the valves, pipe work, and so forth, must be controlled so as to 
maintain a wall temperature greater than 180  deg.C.
    (iii) For the HFID analyzer, the detector, oven, and sample-handling 
components within the oven must be suitable for continuous operation at 
temperatures to 200  deg.C. It must by capable of maintaining 
temperature within 5.5  deg.C of the set point.
    (iv) Fuel and burner air must conform to the specifications in 
Sec. 90.312.
    (v) The percent of oxygen interference must be less than three 
percent, as specified in Sec. 90.316(d).
    (5) Oxides of nitrogen (NOX) analysis.
    (i) This analysis device consists of the following items:
    (A) A NO2 to NO converter. The NO2 to NO 
converter efficiency must be at least 90 percent.
    (B) An ice bath located after the NOX converter 
(optional).
    (C) A chemiluminescent detector (CLD) or heated chemiluminescent 
detector (HCLD).
    (ii) The quench interference must be less than 3.0 percent as 
measured in Sec. 90.325.
    (b) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.
    (c) The following requirements must be incorporated as indicated in 
systems used for testing under this subpart.
    (1) Carbon monoxide and carbon dioxide measurements must be made on 
a dry basis (for raw exhaust measurement only). Specific requirements 
for the means of drying the sample can be found in Sec. 90.313(e).
    (2) Calibration or span gases for the NOX measurement 
system must pass through the NO2 to NO converter.

[[Page 208]]

    (d) The electromagnetic compatibility (EMC) of the equipment must be 
on a level as to minimize additional errors.
    (e) Gas drying. Chemical dryers are not an acceptable method of 
removing water from the sample. Water removal by condensation is 
acceptable. If water is removed by condensation, the sample gas 
temperature or sample dew point must be monitored either within the 
water trap or downstream and its temperature must not exceed 7  deg.C. A 
water trap performing this function is an acceptable method. Means other 
than condensation may be used only with prior approval from the 
Administrator.



Sec. 90.314  Analyzer accuracy and specifications.

    (a) Measurement and accuracy--general. The analyzers must have a 
measuring range which allows them to measure the concentrations of the 
exhaust gas sample pollutants with the accuracies shown in Table 2 in 
Appendix A of this subpart.
    (1) Precision. The precision of the analyzer must be, at worst, two 
percent of full-scale concentration for each range used. The precision 
is defined as 2.5 times the standard deviation(s) of 10 repetitive 
responses to a given calibration or span gas.
    (2) Noise. The analyzer peak-to-peak response to zero and 
calibration or span gases over any 10-second period must not exceed two 
percent of full-scale chart deflection on all ranges used.
    (3) Zero drift. The analyzer zero-response drift during a one-hour 
period must be less than two percent of full-scale chart deflection on 
the lowest range used. The zero-response is defined as the mean response 
including noise to a zero-gas during a 30-second time interval.
    (4) Span drift. The analyzer span drift during a one-hour period 
must be less than two percent of full-scale chart deflection on the 
lowest range used. The analyzer span is defined as the difference 
between the span-response and the zero-response. The span-response is 
defined as the mean response including noise to a span gas during a 30-
second time interval.
    (b) Operating procedure for analyzers and sampling system. Follow 
the start-up and operating instructions of the instrument manufacturer 
or use good engineering practice. Adhere to the minimum requirements 
given in Secs. 90.316 through 90.325 and Sec. 90.409.
    (c) Emission measurement accuracy--Bag sampling. (1) Good 
engineering practice dictates that exhaust emission sample analyzer 
readings below 15 percent of full-scale chart deflection should 
generally not be used.
    (2) Some high resolution read-out systems, such as computers, data 
loggers, and so forth, can provide sufficient accuracy and resolution 
below 15 percent of full scale. Such systems may be used provided that 
additional calibrations are made to ensure the accuracy of the 
calibration curves. The following procedure for calibration below 15 
percent of full scale may be used:
    Note to paragraph (c): If a gas divider is used, the gas divider 
must conform to the accuracy requirements as follows. The use of 
precision blending devices (gas dividers) to obtain the required 
calibration gas concentrations is acceptable, provided that the blended 
gases are accurate to within  1.5 percent of NIST gas 
standards or other gas standards which have been approved by the 
Administrator. This accuracy implies that primary gases used for 
blending must be ``named'' to an accuracy of at least  one 
percent, traceable to NIST or other approved gas standards.
    (i) Span the full analyzer range using a top range calibration gas. 
The span gases must be accurate to within  two percent of 
NIST gas standards or other gas standards which have been approved by 
the Administrator.
    (ii) Generate a calibration curve according to, and meeting the 
requirements, of the sections describing analyzer calibrations which are 
found in Secs. 90.316, 90.317, 90.318, and 90.320.
    (iii) Select a calibration gas (a span gas may be used for 
calibrating the CO2 analyzer) with a concentration between 
the two lowest non-zero gas divider increments. This gas must be 
``named'' to an accuracy of  one percent of NIST gas 
standards or other standards approved by the Administrator.
    (iv) Using the calibration curve fitted to the points generated in 
paragraphs (c)(2) (i) and (ii) of this section, check the concentration 
of the gas selected in paragraph (c)(2)(iii) of this section. The

[[Page 209]]

concentration derived from the curve must be within  2.3 
percent ( 2.8 percent for CO2 span gas) of the 
gas's original named concentration.
    (v) Provided the requirements of paragraph (c)(2)(iv) of this 
section are met, use the gas divider with the gas selected in paragraph 
(c)(2)(iii) of this section and determine the remainder of the 
calibration points. Fit a calibration curve per Secs. 90.316, 90.317, 
90.318, and 90.320 of this chapter for the entire analyzer range.
    (d) Emission measurement accuracy--continuous sampling. Analyzers 
used for continuous analysis must be operated such that the measured 
concentration falls between 15 and 100 percent of full-scale chart 
deflection. Exceptions to these limits are:
    (1) The analyzer's response may be less than 15 percent or more than 
100 percent of full scale if automatic range change circuitry is used 
and the limits for range changes are between 15 and 100 percent of full-
scale chart deflection;
    (2) The analyzer's response may be less than 15 percent of full 
scale if:
    (i) The alternative in paragraph (c)(2) of this section is used to 
ensure that the accuracy of the calibration curve is maintained below 15 
percent; or
    (ii) The full-scale value of the range is 155 ppm (C) or less; or
    (iii) The emissions from the engine are erratic and the integrated 
chart deflection value for the cycle is greater than 15 percent of full 
scale; or
    (iv) The contribution of all data read below the 15 percent level is 
less than 10 percent by mass of the final test results.



Sec. 90.315  Analyzer initial calibration.

    (a) Warming-up time. The warming-up time should be according to the 
recommendations of the manufacturer. If not specified, a minimum of two 
hours should be allowed for warming up the analyzers.
    (b) NDIR, FID, and HFID analyzer. Tune and maintain the NDIR 
analyzer per the instrument manufacturer recommendations or 
specifications or using good engineering practice. The combustion flame 
of the FID or HFID analyzer must be optimized in order to meet the 
specifications in Sec. 90.316(b).
    (c) Zero setting and calibration. Using purified synthetic air (or 
nitrogen), set the CO, CO2, NOX, and HC analyzers 
at zero. Connect the appropriate calibrating gases to the analyzers and 
record the values. Use the same gas flow rates and pressure as when 
sampling exhaust.
    (d) Rechecking of zero setting. Recheck the zero setting and, if 
necessary, repeat the procedure described in paragraph (c) of this 
section.



Sec. 90.316  Hydrocarbon analyzer calibration.

    (a) Calibrate the FID and HFID hydrocarbon analyzer as described in 
this section. Operate the HFID to a set point  5.5  deg.C 
between 185 and 197  deg.C.
    (b) Initial and periodic optimization of detector response. Prior to 
initial use and at least annually thereafter, adjust the FID and HFID 
hydrocarbon analyzer for optimum hydrocarbon response as specified in 
this paragraph. Alternative methods yielding equivalent results may be 
used, if approved in advance by the Administrator.
    (1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see 
Sec. 90.312) and purified synthetic air or zero-grade nitrogen.
    (2) Use of one of the following procedures is required for FID or 
HFID optimization:
    (i) The procedure outlined in Society of Automotive Engineers (SAE) 
paper No. 770141, ``Optimization of a Flame Ionization Detector for 
Determination of Hydrocarbon in Diluted Automotive Exhausts;'' author, 
Glenn D. Reschke. This procedure has been incorporated by reference. See 
Sec. 90.7.
    (ii) The HFID optimization procedures outlined in Sec. 86.331-79 of 
this chapter.
    (iii) Alternative procedures may be used if approved in advance by 
the Administrator.
    (3) After the optimum flow rates have been determined, record them 
for future reference.
    (c) Initial and periodic calibration. Prior to initial use and 
monthly thereafter, or within one month prior to the certification test, 
the FID or HFID hydrocarbon analyzer must be calibrated

[[Page 210]]

on all normally used instrument ranges using the steps in this 
paragraph. Use the same flow rate and pressures as when analyzing 
samples. Introduce calibration gases directly at the analyzer. An 
optional method for dilute sampling described in Sec. 86.1310-
90(b)(3)(i) may be used.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with purified synthetic air or 
zero-grade nitrogen.
    (3) Calibrate on each used operating range with calibration gases 
having nominal concentrations between 10 and 90 percent of that range. A 
minimum of six evenly spaced points covering at least 80 percent of the 
10 to 90 range (64 percent) is required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------


For each range calibrated, if the deviation from a least-squares best-
fit straight line is two percent or less of the value at each data 
point, calculate concentration values by use of a single calibration 
factor for that range. If the deviation exceeds two percent at any 
point, use the best-fit non-linear equation which represents the data to 
within two percent of each test point to determine concentration.
    (d) Oxygen interference optimization. Prior to initial use and 
monthly thereafter, perform the oxygen interference optimization as 
described in this paragraph. Choose a range where the oxygen 
interference check gases will fall in the upper 50 percent. Conduct the 
test, as outlined in this paragraph, with the oven temperature set as 
required by the instrument manufacturer. Oxygen interference check gas 
specifications are found in Sec. 90.312(d).
    (1) Zero the analyzer.
    (2) Span the analyzer with the 21 percent oxygen blend.
    (3) Recheck zero response. If it has changed more than 0.5 percent 
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to 
correct the problem.
    (4) Introduce the five percent and 10 percent oxygen interference 
check gases.
    (5) Recheck the zero response. If it has changed by more than 
 one percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (designated as 
percent O2 I) for each mixture in paragraph (d)(4) of this 
section according to the following equation.
[GRAPHIC] [TIFF OMITTED] TR03JY95.010

Where:

A = hydrocarbon concentration (ppmC) of the span gas used in paragraph 
(d)(2) of this section.

[[Page 211]]

B = hydrocarbon concentration (ppmC) of the oxygen interference check 
gases used in paragraph (d)(4) of this section.

    (7) The percent of oxygen interference (designated as percent 
O2 I) must be less than  three percent for all 
required oxygen interference check gases prior to testing.
    (8) If the oxygen interference is greater than the specifications, 
incrementally adjust the air flow above and below the manufacturer's 
specifications, repeating paragraphs (d)(1) through (d)(7) of this 
section for each flow.
    (9) If the oxygen interference is greater than the specification 
after adjusting the air flow, vary the fuel flow and thereafter the 
sample flow, repeating paragraphs (d)(1) through (d)(7) of this section 
for each new setting.
    (10) If the oxygen interference is still greater than the 
specifications, repair or replace the analyzer, FID fuel, or burner air 
prior to testing. Repeat this section with the repaired or replaced 
equipment or gases.



Sec. 90.317  Carbon monoxide analyzer calibration.

    (a) Calibrate the NDIR carbon monoxide analyzer as described in this 
section.
    (b) Initial and periodic interference. Prior to its initial use and 
annually thereafter, check the NDIR carbon monoxide analyzer for 
response to water vapor and CO2:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance on the most 
sensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Bubble a mixture of three percent CO2 in 
N2 through water at room temperature and record analyzer 
response.
    (4) An analyzer response of more than one percent of full scale for 
ranges above 300 ppm full scale or more than three ppm on ranges below 
300 ppm full scale requires corrective action. (Use of conditioning 
columns is one form of corrective action which may be taken.)
    (c) Initial and periodic calibration. Prior to its initial use and 
monthly thereafter, or within one month prior to the certification test, 
calibrate the NDIR carbon monoxide analyzer.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations between 10 
and 90 percent of that range. A minimum of six evenly spaced points 
covering at least 80 percent of the 10 to 90 range (64 percent) is 
required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------


Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is two percent or less of the value at each data point, calculate 
concentration values by use of a single calibration factor for that 
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent 
of each test point to determine concentration.



Sec. 90.318  Oxides of nitrogen analyzer calibration.

    (a) Calibrate the chemiluminescent oxides of nitrogen analyzer as 
described in this section.
    (b) Initial and Periodic Interference: Prior to its initial use and 
monthly thereafter, or within one month prior to the certification test, 
check the chemiluminescent oxides of nitrogen analyzer for 
NO2 to NO converter efficiency. Figure 1 in Appendix B of 
this

[[Page 212]]

subpart is a reference for paragraphs (b)(1) through (11) of this 
section:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with purified synthetic air 
or zero-grade nitrogen.
    (3) Connect the outlet of the NOX generator to the sample 
inlet of the oxides of nitrogen analyzer which has been set to the most 
common operating range.
    (4) Introduce into the NOX generator analyzer-system an 
NO-in-nitrogen (N2) mixture with an NO concentration equal to 
approximately 80 percent of the most common operating range. The 
NO2 content of the gas mixture must be less than five percent 
of the NO concentration.
    (5) With the oxides of nitrogen analyzer in the NO mode, record the 
concentration of NO indicated by the analyzer.
    (6) Turn on the NOX generator O2 (or air) 
supply and adjust the O2 (or air) flow rate so that the NO 
indicated by the analyzer is about 10 percent less than indicated in 
paragraph (b)(5) of this section. Record the concentration of NO in this 
NO+O2 mixture as value ``c.''
    (7) Switch the NOX generator to the generation mode and 
adjust the generation rate so that the NO measured on the analyzer is 20 
percent of that measured in paragraph (b)(5) of this section. There must 
be at least 10 percent unreacted NO at this point. Record the 
concentration of residual NO as value ``d.''
    (8) Switch the oxides of nitrogen analyzer to the NOX 
mode and measure total NOX. Record this value as ``a.''
    (9) Switch off the NOX generator but maintain gas flow 
through the system. The oxides of nitrogen analyzer will indicate the 
NOX in the NO+O2 mixture. Record this value as 
``b''.
    (10) Turn off the NOX generator O2 (or air) 
supply. The analyzer will now indicate the NOX in the 
original NO-in-N2 mixture. This value should be no more than 
five percent above the value indicated in paragraph (b)(4) of this 
section.
    (11) Calculate the efficiency of the NOX converter by 
substituting the concentrations obtained into the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.049

Where:

a = concentration obtained in paragraph (b)(8),
b = concentration obtained in paragraph (b)(9),
c = concentration obtained in paragraph (b)(6),
d = concentration obtained in paragraph (b)(7).

    If converter efficiency is less than 90 percent, corrective action 
will be required.
    (c) Initial and periodic calibration. Prior to its initial use and 
monthly thereafter, or within one month prior to the certification test, 
calibrate the chemiluminescent oxides of nitrogen analyzer on all 
normally used instrument ranges. Use the same flow rate as when 
analyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with purified synthetic air 
or zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases having nominal concentrations between 10 
and 90 percent of that range. A minimum of six evenly spaced points 
covering at least 80 percent of the 10 to 90 range (64 percent) is 
required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------


[[Page 213]]


Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is two percent or less of the value at each data point, calculate 
concentration values by use of a single calibration factor for that 
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent 
of each test point to determine concentration.
    (d) The initial and periodic interference, system check, and 
calibration test procedures specified in Sec. 86.332-79 of this chapter 
may be used in lieu of the procedures specified in this section.



Sec. 90.319  NOX converter check.

    (a) The efficiency of the converter used for the conversion of 
NO2 to NO is tested as given in paragraphs (a)(1) through 
(a)(8) of this section.
    (1) Using the test setup as shown in Figure 1 in Appendix B of this 
subpart (see also Sec. 90.318 of this chapter) and the procedure 
described in paragraphs (a)(2) through (a)(8) of this section, test the 
efficiency of converters by means of an ozonator.
    (2) Calibrate the HCLD or CLD in the most common operating range 
following the manufacturer's specifications using zero and span gas (the 
NO content of which must amount to about 80 percent of the operating 
range and the NO2 concentration of the gas mixture less than 
five percent of the NO concentration). The NOX analyzer must 
be in the NO mode so that the span gas does not pass through the 
converter. Record the indicated concentration.
    (3) Calculate the efficiency of the NOX converter as 
described in Sec. 90.318(b).
    (4) Via a T-fitting, add oxygen continuously to the gas flow until 
the concentration indicated is about 20 percent less than the indicated 
calibration concentration given in paragraph (a)(2) of this section. 
Record the indicated concentration ``c.'' The ozonator is kept 
deactivated throughout the process.
    (5) Activate the ozonator to generate enough ozone to bring the NO 
concentration down to about 20 percent (minimum 10 percent) of the 
calibration concentration given in paragraph (a)(2) of this section. 
Record the indicated concentration ``d.''

    Note: If, with the analyzer in the most common range, the 
NOX converter can not give a reduction from 80 percent to 20 
percent, then use the highest range which will give the reduction.

    (6) Switch the NO analyzer to the NOX mode which means 
that the gas mixture (consisting of NO, NO2, O2 
and N2) now passes through the converter. Record the 
indicated concentration ``a.''
    (7) Deactivate the ozonator. The mixture of gases described in 
paragraph (a)(6) of this section passes through the converter into the 
detector. Record the indicated concentration ``b.''
    (8) Switched to NO mode with the ozonator deactivated, the flow of 
oxygen or purified synthetic air is also shut off. The NOX 
reading of the analyzer may not deviate by more than  five 
percent of the theoretical value of the figure given in paragraph (a)(2) 
of this section.
    (b) The efficiency of the converter must be tested prior to each 
calibration of the NOX analyzer.
    (c) The efficiency of the converter may not be less than 90 percent.



Sec. 90.320  Carbon dioxide analyzer calibration.

    (a) Prior to its initial use and monthly thereafter, or within one 
month prior to the certification test, calibrate the NDIR carbon dioxide 
analyzer as follows:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
dioxide-in-N2 calibration or span gases having nominal 
concentrations between 10 and 90 percent of that range. A minimum of six 
evenly spaced points covering at least 80 percent of the 10 to 90 range 
(64 percent) is required (see following table).

[[Page 214]]



------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for Calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------


Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is two percent or less of the value at each data point, calculate 
concentration values by use of a single calibration factor for that 
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent 
of each test point to determine concentration.
    (b) The initial and periodic interference, system check, and 
calibration test procedures specified in Secs. 86.316, 86.319, 86.320, 
86.321, and 86.322 of this chapter may be used in lieu of the procedures 
in this section.



Sec. 90.321  NDIR analyzer calibration.

    (a) Detector optimization. If necessary, follow the instrument 
manufacturer's instructions for initial start-up and basic operating 
adjustments.
    (b) Calibration curve. Develop a calibration curve for each range 
used as follows:
    (1) Zero the analyzer.
    (2) Span the analyzer to give a response of approximately 90 percent 
of full-scale chart deflection.
    (3) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat the steps given in paragraphs (b)(1) and 
(b)(2) of this section.
    (4) Record the response of calibration gases having nominal 
concentrations between 10 and 90 percent of full-scale concentration. A 
minimum of six evenly spaced points covering at least 80 percent of the 
10 to 90 range (64 percent) is required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------

    (5) Generate a calibration curve. The calibration curve must be of 
fourth order or less, have five or fewer coefficients, and be of the 
form of the following equation (1) or (2). Include zero as a data point. 
Compensation for known impurities in the zero gas can be made to the 
zero-data point. The calibration curve must fit the data points within 
two percent of point or one percent of full scale, whichever is less.
[GRAPHIC] [TIFF OMITTED] TR03JY95.011

where:

y = concentration
x = chart deflection

    (6) Option. A new calibration curve need not be generated if:
    (i) A calibration curve conforming to paragraph (b)(5) of this 
section exists; or,
    (ii) The responses generated in paragraph (b)(4) of this section are 
within one percent of full scale or two percent of point, whichever is 
less, of the responses predicted by the calibration curve for the gases 
used in paragraph (b)(4) of this section.
    (7) If multiple range analyzers are used, the lowest range used must 
meet the curve fit requirements below 15 percent of full scale.
    (c) Linear calibration criteria. If any range is within two percent 
of being linear, a linear calibration may be

[[Page 215]]

used. To determine if this criterion is met:
    (1) Perform a linear least-square regression on the data generated. 
Use an equation of the form y=mx, where x is the actual chart deflection 
and y is the concentration.
    (2) Use the equation z=y/m to find the linear chart deflection 
(designated as z) for each calibration gas concentration (designated as 
y).
    (3) Determine the linearity (designated as percent L) for each 
calibration gas by:
[GRAPHIC] [TIFF OMITTED] TR03JY95.012

    (4) The linearity criterion is met if the %L is less than 
 two percent for each data point generated. For each 
emission test, use a calibration curve of the form Y=mx. The slope 
(designated as m) is defined for each range by the spanning process.



Sec. 90.322  Calibration of other equipment.

    Calibrate other test equipment used for testing as often as required 
by the test equipment manufacturer or as necessary according to good 
engineering practice.



Sec. 90.323  Analyzer bench checks.

    (a) Prior to initial use and after major repairs, verify that each 
analyzer complies with the specifications given in Table 2 in Appendix A 
of this subpart.
    (b) If a stainless steel NO2 to NO converter is used, 
condition all new or replacement converters. The conditioning consists 
of either purging the converter with air for a minimum of four hours or 
until the converter efficiency is greater than 90 percent. The converter 
must be at operational temperature while purging. Do not use this 
procedure prior to checking converter efficiency on in-use converters.



Sec. 90.324  Analyzer leakage check.

    (a) Vacuum side leak check. (1) Check any location within the 
analysis system where a vacuum leak could affect the test results.
    (2) The maximum allowable leakage rate on the vacuum side is 0.5 
percent of the in-use flow rate for the portion of the system being 
checked. The analyzer flows and bypass flows may be used to estimate the 
in-use flow rates.
    (3) The sample probe and the connection between the sample probe and 
valve V2, see Figure 2 in Appendix B of this subpart, may be excluded 
from the leak check.
    (b) Pressure side leak check. The maximum allowable leakage rate on 
the pressure side is five percent of the in-use flow rate.



Sec. 90.325  Analyzer interference checks.

    (a) Gases present in the exhaust other than the one being analyzed 
can interfere with the reading in several ways. Positive interference 
occurs in NDIR and PMD instruments when the interfering gas gives the 
same effect as the gas being measured, but to a lesser degree. Negative 
interference occurs in NDIR instruments by the interfering gas 
broadening the absorption band of the measured gas, and in CLD 
instruments by the interfering gas quenching the radiation. The 
interference checks described in this section are to be made initially 
and after any major repairs that could affect analyzer performance.
    (b) CO analyzer water and CO2 interference checks. Bubble 
through water at room temperature a CO2 span gas having a 
concentration of between 80 percent and 100 percent inclusive of full 
scale of the maximum operating range used during testing and record the 
analyzer response. For dry measurements, this mixture may be introduced 
into the sample system prior to the water trap. The analyzer response 
must not be more than one percent of full scale for ranges equal to or 
above 300 ppm or more than three ppm for ranges below 300 ppm.

[[Page 216]]

    (c) NOX analyzer quench check. The two gases of concern 
for CLD (and HCLD) analyzers are CO2 and water vapor. Quench 
responses to these two gases are proportional to their concentrations 
and, therefore, require test techniques to determine quench at the 
highest expected concentrations experienced during testing.
    (1) NOX analyzer CO2 quench check. (i) Pass a 
CO2 span gas having a concentration of 80 percent to 100 
percent of full scale of the maximum operating range used during testing 
through the CO2 NDIR analyzer and record the value ``a.''
    (ii) Dilute the CO2 span gas approximately 50 percent 
with NO span gas and pass through the CO2 NDIR and CLD (or 
HCLD). Record the CO2 and NO values as ``b'' and ``c'' 
respectively.
    (iii) Shut off the CO2 and pass only the NO span gas 
through the CLD (or HCLD). Record the NO value as ``d.''
    (iv) Calculate the percent CO2 quench as follows, not to 
exceed three percent:
[GRAPHIC] [TIFF OMITTED] TR03JY95.013

Where:

a = Undiluted CO2 concentration (percent)
b = Diluted CO2 concentration (percent)
c = Diluted NO concentration (ppm)
d = Undiluted NO concentration (ppm)

    (2) NOX analyzer water quench check. (i) This check 
applies to wet measurements only. An NO span gas having a concentration 
of 80 percent to 100 percent of full scale of a normal operating range 
is passed through the CLD (or HCLD) and the response recorded as ``D''. 
The NO span gas is then bubbled through water at room temperature and 
passed through the CLD (or HCLD) and the analyzer's response recorded as 
AR. Determine and record the analyzer's absolute operating pressure and 
the bubbler water temperature. (It is important that the NO span gas 
contains minimal NO2 concentration for this check. No 
allowance for absorption of NO2 in water has been made in the 
following quench calculations.)
    (ii) Calculations for water quench must consider dilution of the NO 
span gas with water vapor and scaling of the water vapor concentration 
of the mixture to that expected during testing. Determine the mixture's 
saturated vapor pressure (designated as Pwb) that corresponds to the 
bubbler water temperature. Calculate the water concentration (``Z1'', 
percent) in the mixture by the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.014


where GP is the analyzer's standard operating pressure (pascals).
    (iii) Calculate the expected dilute NO span gas and water vapor 
mixture concentration (designated as D1) by the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.015



Sec. 90.326  Pre- and post-test analyzer calibration.

    Calibrate the range of each analyzer used during the engine exhaust 
emission test prior to and after each test in accordance with the 
following:
    (a) Make the calibration by using a zero gas and a span gas. The 
span gas value must be between 75 percent and 100 percent of full scale, 
inclusive, of the measuring range.
    (b) Use the same analyzer(s) flow rate and pressure as that used 
during exhaust emission test sampling.
    (c) Warm-up and stabilize the analyzer(s) before the calibration is 
made.
    (d) If necessary clean and/or replace filter elements before 
calibration is made.
    (e) Calibrate analyzer(s) as follows:
    (1) Zero the analyzer using the appropriate zero gas. Adjust 
analyzer zero if

[[Page 217]]

necessary. Zero reading should be stable.
    (2) Span the analyzer using the appropriate span gas for the range 
being calibrated. Adjust the analyzer to the calibration set point if 
necessary.
    (3) Re-check zero and span set points.
    (4) If the response of the zero gas or span gas differs more than 
one percent of full scale, then repeat paragraphs (e) (1) through (3) of 
this section.



Sec. 90.327  Sampling system requirements.

    (a) Sample component surface temperature. For sampling systems which 
use heated components, use engineering judgment to locate the coolest 
portion of each component (pump, sample line section, filters, and so 
forth) in the heated portion of the sampling system that has a separate 
source of power or heating element. Monitor the temperature at that 
location. If several components are within an oven, then only the 
surface temperature of the component with the largest thermal mass and 
the oven temperature need be measured.
    (b) If water is removed by condensation, monitor the sample gas 
temperature or sample dew point either within the water trap or 
downstream. It may not exceed 7  deg.C.



Sec. 90.328  Measurement equipment accuracy/calibration frequency table.

    (a) The accuracy of measurements must be such that the maximum 
tolerances shown in Table 2 in Appendix A of this subpart are not 
exceeded.
    (b) All equipment and analyzers must be calibrated according to the 
frequencies shown in Table 2 in Appendix A of this subpart.
    (c) Prior to initial use and after major repairs, bench check each 
analyzer (see Sec. 90.323).
    (d) Calibrate equipment as specified in Sec. 90.306 and Secs. 90.315 
through 90.322.
    (e) At least monthly, or after any maintenance which could alter 
calibration, perform the following calibrations and checks.
    (1) Leak check the vacuum side of the system (see Sec. 90.324(a)).
    (2) Verify that the automatic data collection system (if used) meets 
the requirements found in Table 2 in Appendix A of this subpart.
    (3) Check the fuel flow measurement instrument to insure that the 
specifications in Table 2 in Appendix A of this subpart are met.
    (f) Verify that all NDIR analyzers meet the water rejection ratio 
and the CO2 rejection ratio as specified in Sec. 90.325.
    (g) Verify that the dynamometer test stand and power output 
instrumentation meet the specifications in Table 2 in Appendix A of this 
subpart.



Sec. 90.329  Catalyst thermal stress test.

    (a) Oven characteristics. The oven used for thermally stressing the 
test catalyst must be capable of maintaining a temperature of 500 
 5  deg.C and 1000  10  deg.C.
    (b) Evaluation gas composition. (1) A synthetic exhaust gas mixture 
is used for evaluating the effect of thermal stress on catalyst 
conversion efficiency.
    (2) The synthetic exhaust gas mixture must have the following 
composition:

------------------------------------------------------------------------
                                                                  Parts
                     Constituent                        Volume     per
                                                        percent  million
------------------------------------------------------------------------
Carbon Monoxide......................................       1    .......
Oxygen...............................................       1.3  .......
Carbon Dioxide.......................................       3.8  .......
Water Vapor..........................................      10    .......
Sulfer dioxide.......................................  ........       20
Oxides of nitrogen...................................  ........      280
Hydrogen.............................................  ........     3500
Hydrocarbon*.........................................  ........     4000
Nitrogen = Balance
------------------------------------------------------------------------
* Propylene/propane ratio = 2/1.

    (c) Phase 2 engines. The catalyst thermal stress test is not 
required for engine families certified to the Phase 2 standards.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar. 30, 1999]

[[Page 218]]

               Appendix A to Subpart D of Part 90--Tables

                   Table 1--Symbols Used in Subpart D
------------------------------------------------------------------------
     Symbol                         Term                        Unit
------------------------------------------------------------------------
CO                Carbon monoxide.........................
CO2               Carbon dioxide..........................
NO                Nitric oxide............................
NO2               Nitrogen dioxide........................
NOX               Oxides of nitrogen......................
O2                Oxygen..................................
conc              Concentration (ppm by volume)...........  ppm
f                 Engine specific parameter considering
                   atmospheric conditions.
FFCB              Fuel specific factor for the carbon
                   balance calculation.
FFD               Fuel specific factor for exhaust flow
                   calculation on dry basis.
FFH               Fuel specific factor representing the
                   hydrogen to carbon ratio.
FFW               Fuel specific factor for exhaust flow
                   calculation on wet basis.
GAIRW             Intake air mass flow rate on wet basis..  kg/h
GAIRD             Intake air mass flow rate on dry basis..  kg/h
GEXHW             Exhaust gas mass flow rate on wet basis.  kg/h
GFuel             Fuel mass flow rate.....................  kg/h
H                 Absolute humidity (water content related  gr/kg
                   to dry air).
i                 Subscript denoting an individual mode...
KH                Humidity correction factor..............
L                 Percent torque related to maximum torque  percent
                   for the test mode.
mass              Pollutant mass flow.....................  g/h
nd,i              Engine speed (average at the i'th mode    1/min
                   during the cycle).
Ps                Dry atmospheric pressure................  kPa
Pd                Test ambient saturation vapor pressure    kPa
                   at ambient temperature.
P                 Gross power output uncorrected..........  kW
PAUX              Declared total power absorbed by          kW
                   auxiliaries fitted for the test.
PM                Maximum power measured at the test speed  kW
                   under test conditions.
Pi                Pi = PM,i + PAUX,i......................
PB                Total barometric pressure (average of     kPa
                   the pre-test and post-test values).
Ra                Relative humidity of the ambient air....  percent
T                 Absolute temperature at air inlet.......  C
Tbe               Air temperature after the charge air      C
                   cooler (if applicable) (average).
Tclout            Coolant temperature outlet (average)....  C
TDd               Absolute dew point temperature..........  C
Td,i              Torque (average at the i'th mode during   N-m
                   the cycle).
TSC               Temperature of the intercooled air......  C
Tref.             Reference temperature...................  C
VEXHD             Exhaust gas volume flow rate on dry       m3/h
                   basis.
VAIRW             Intake air volume flow rate on wet basis  m3/h
PB                Total barometric pressure...............  kPa
VEXHW             Exhaust gas volume flow rate on wet       m3/h
                   basis.
WF                Weighing factor.........................
WFE               Effective weighing factor...............
------------------------------------------------------------------------


                             Table 2--Measurement Calibration Accuracy and Frequency
----------------------------------------------------------------------------------------------------------------
                                           Permissible deviation from reading *
    No.                Item           ----------------------------------------------    Calibration frequency
                                                Non-idle                 Idle
----------------------------------------------------------------------------------------------------------------
1.........  Engine speed.............   2 %.........  Same.............  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
2.........  Torque...................   2 %.........  .................  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
3.........  Fuel consumption.........   2 %.........  5%...  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
4.........  Air consumption..........   2 %.........  5%...  As required.
5.........  Coolant temperature......   2  deg.C....  Same.............  As required.
6.........  Lubricant temperature....   2  deg.C....  Same.............  As required.
7.........  Exhaust back pressure....   5 %.........  Same.............  As required.
8.........  Inlet depression.........   5 %.........  Same.............  As required.
9.........  Exhaust gas temperature..   15  deg.C...  Same.............  As required.
10........  Air inlet temperature       2  deg.C....  Same.............  As required.
             (combustion air).
11........  Atmospheric pressure.....   0.5 %.......  Same.............  As required.
12........  Humidity (combustion air)   3.0 %.......  Same.............  As required.
             (relative).
13........  Fuel temperature.........   2  deg.C....  Same.............  As required.
14........  Temperature with regard     2  deg.C....  Same.............  As required.
             to dilution system.

[[Page 219]]

 
15........  Dilution air humidity....   3 % absolute  Same.............  As required.
16........  HC analyzer..............   2 %**.......  Same.............  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
17........  CO analyzer..............   2 % **......  Same.............  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
18........  NOX analyzer.............   2 % **......  Same.............  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
19........  NOX converter check......  90 %.....................  Same.............  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
20........  CO2 analyzer.............   2 % **......  Same.............  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
----------------------------------------------------------------------------------------------------------------
* All accuracy requirements pertain to the final recorded value which is inclusive of the data acquisition
  system.
** If reading is under 100 ppm then the accuracy shall be  2 ppm.


                                        Table 3--Test Fuel Specifications
----------------------------------------------------------------------------------------------------------------
                Item                           Property                  Tolerances          Procedure (ASTM) 1
----------------------------------------------------------------------------------------------------------------
Sulfur, ppm max.....................  339......................  .........................  D 2622-92
Benzene, max. %.....................  1.5......................  .........................  D 3606-92
RVP, psi............................  8.7......................  0.2..........  D 5191-93a
Octane, R+M/2.......................  87.3.....................  0.5..........  D 2699-92
                                                                                            D 2700-92
IBP,  deg.C.........................  32.8.....................  11.0.........  D 86-93
10 % point,  deg.C..................  53.3.....................  5.5..........  D 86-93
50 % point,  deg.C..................  103.3....................  5.5..........  D 86-93
90 % point,  deg.C..................  165.6....................  5.5..........  D 86-93
End Point, max.  deg.C..............  212.8....................  .........................  D 86-93
Phosphorus, g/liter, max............  0.02.....................  .........................  D 3231-89
Lead, g/liter, max..................  0.02.....................  .........................  ....................
Manganese, g/liter, max.............  0.004....................  .........................  ....................
Aromatics, %........................  32.0.....................  4.0..........  D 1319-89
Olefins, %..........................  9.2......................  4.0..........  D 1319-89
Saturates, %........................  Remainder................  .........................  D 1319-89
----------------------------------------------------------------------------------------------------------------
1 All ASTM procedures in this table have been incorporated by reference. See Sec.  90.7.


[[Page 220]]

               Appendix B to Subpart D of Part 90--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.085


[[Page 221]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.086


[[Page 222]]



               Subpart E--Gaseous Exhaust Test Procedures

Sec. 90.401  Applicability.

    (a) This subpart describes the procedures to follow in order to 
perform exhaust emission tests on new nonroad spark-ignition engines and 
vehicles subject to the provisions of subpart A of part 90. Provisions 
specific to raw gas sampling are in Sec. 90.414 through Sec. 90.419, 
provisions specific to constant volume sampling are in Sec. 90.420 
through Sec. 90.426. All other sections in this subpart apply to both 
raw gas sampling and constant volume sampling except where indicated 
otherwise.
    (b) Requirements for emission test equipment and calibrating this 
equipment are found in subpart D of this part.
    (c) Certain text in this subpart is identified as pertaining to 
Phase 1 or Phase 2 engines. Such text pertains only to engines of the 
specified Phase. If no indication of Phase is given, the text pertains 
to all engines, regardless of Phase.
    (d) For Phase 2 Class I, Phase 2 Class I-B, and Phase 2 Class II 
natural gas fueled engines, the following sections from 40 CFR Part 86 
are applicable to this subpart. The requirements of the following 
sections from 40 CFR Part 86 which pertain specifically to the 
measurement and calculation of non-methane hydrocarbon (NMHC) exhaust 
emissions from otto cycle heavy-duty engines must be followed when 
determining the NMHC exhaust emissions from Phase 2 Class I, Phase 2 
Class I-B, and Phase 2 Class II natural gas fueled engines. Those 
sections are: 40 CFR 86.1327-94 Engine dynamometer test procedures, 
overview, 40 CFR 86.1340-94 Exhaust sample analysis, 40 CFR 86.1342-94 
Calculations; exhaust emissions, 40 CFR 86.1344-94(d) Required 
information--Pre-test data, and 40 CFR 86.1344-94(e) Required 
information--Test data.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999; 65 
FR 24312, Apr. 25, 2000]

Sec. 90.402  Definitions.

    The definitions in Sec. 90.3, Sec. 90.101, and Sec. 90.302 apply to 
this subpart.

Sec. 90.403  Symbols, acronyms, and abbreviations.

    (a) The acronyms and abbreviations in Sec. 90.5 apply to this 
subpart.
    (b) The symbols in Table 1 in Appendix A to Subpart D apply to this 
subpart.

Sec. 90.404  Test procedure overview.

    (a) The test consists of prescribed sequences of engine operating 
conditions to be conducted on an engine dynamometer or equivalent load 
and speed measurement device. The exhaust gases generated during engine 
operation are sampled either raw or dilute and specific components are 
analyzed through the analytical system.
    (b) The test is designed to determine the brake-specific emissions 
of hydrocarbons, carbon monoxide, carbon dioxide, and oxides of nitrogen 
and fuel consumption. For Phase 2 Class I-B, Class I, and Class II 
natural gas fueled engines the test is also designed to determine the 
brake-specific emissions of non-methane hydrocarbons. The test consists 
of three different test cycles which are application specific for 
engines which span the typical operating range of nonroad spark-ignition 
engines. Two cycles exist for Class I-B, I and II engines and one is for 
Class I-A, III, IV, and V engines (see Sec. 90.103(a) and Sec. 90.116(b) 
for the definitions of Class I-A, I-B, and I--V engines). The test 
cycles for Class I-B, I, and II engines consist of one idle mode and 
five power modes at one speed (rated or intermediate). The test cycle 
for Class I-A, III, IV, and V engines consists of one idle mode at idle 
speed and one power mode at rated speed. These procedures require the 
determination of the concentration of each pollutant, fuel flow, and the 
power output during each mode. The measured values are weighted and used 
to calculate the grams of each pollutant emitted per brake kilowatt hour 
(g/kW-hr).
    (c)(1) When an engine is tested for exhaust emissions the complete 
engine must be tested, with all emission control devices installed and 
functioning.
    (2) On air cooled engines, the cooling fan must be installed. For 
engines whose cooling fan serves a dual purpose, such as an air pump/
blower, an external fan may be used to provide the

[[Page 223]]

engine with cooling air and the original cooling fan may be removed.
    (d) All emission control systems installed on or incorporated in the 
application must be functioning during all procedures in this subpart. 
In case of component malfunction or failure, no maintenance is allowed 
without prior approval from the Administrator, in accordance with 
Sec. 90.119.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999; 65 
FR 24312, Apr. 25, 2000]

Sec. 90.405  Recorded information.

    (a) Record the information described in this section for each test, 
where applicable.
    (b) Test data; general. (1) Engine identification number.
    (2) Engine emission control system.
    (3) Test operator(s).
    (4) Number of hours of operation accumulated on the engine prior to 
beginning the warm-up portion of the test (to the nearest tenth hour).
    (5) Fuel identification.
    (6) For 2-stroke engines, fuel/oil mixture ratio.
    (7) Date of most recent analyzer bench calibration.
    (8) All pertinent instrument information such as tuning, gain, 
serial numbers, detector number, and calibration curve(s). As long as 
this information is traceable, it may be summarized by system number or 
analyzer identification numbers.
    (c) Test data; pre-test. (1) Date and time of day.
    (2) Test number.
    (3) Barometric pressure; as an option, barometric pressure can be 
measured as a modal measurement instead of or in addition to a pre- and 
post-test measurement.
    (4) Recorder chart or equivalent. Identify for each test segment 
zero traces for each range used, and span traces for each range used.
    (d) Test data; modal. (1) Recorder chart or equivalent. Identify for 
each test mode the emission concentration traces and the associated 
analyzer range(s).
    (2) Observed engine torque.
    (3) Observed engine rpm.
    (4) Intake air flow if applicable.
    (5) Test cell temperature and humidity for each mode.
    (6) For raw gas testing; fuel flow for each mode. Fuel flow 
measurement is not required for dilute testing, but is allowed. If the 
fuel flow measurement is a volume measurement system, record the fuel 
temperature in the measurement system for fuel density corrections to 
the mass flow rate. If the fuel temperature is within 3  deg.C of the 
calibration temperature, no density correction is required.
    (7) Engine intake temperature and humidity, if applicable.
    (8) Exhaust mixing chamber surface temperature, if applicable.
    (9) Exhaust sample line temperature, if applicable.
    (10) Engine fuel inlet pressure.
    (e) Test data; post-test. (1) Recorder chart or equivalent. Identify 
the hang-up check.
    (2) Recorder chart or equivalent. Identify the zero traces for each 
range used and the span traces for each range used.
    (3) Total number of hours of operation accumulated on the engine (to 
the nearest tenth hour).
    (4) Barometric pressure, post-test segment.

Sec. 90.406  Engine parameters to be measured and recorded.

    Measure or calculate, then record the engine parameters in Table 1 
in Appendix A of this subpart.

Sec. 90.407  Engine inlet and exhaust systems.

    (a) The engine manufacturer is liable for exhaust emission 
compliance over the full range of air inlet filter systems and exhaust 
muffler systems.
    (b) The air inlet filter system and exhaust muffler system 
combination used on the test engine must be the systems expected to 
yield the highest emission levels.

Sec. 90.408  Pre-test procedures.

    (a) Engine service accumulation and stabilization procedure. Use the 
service accumulation procedure determined by the manufacturer for 
exhaust emission stabilizing of an engine, consistent with good 
engineering practice (see Sec. 90.118).

[[Page 224]]

    (1) The manufacturer determines, for each engine family, the number 
of hours at which the engine exhaust emission control system combination 
is stabilized for emission testing. However, this stabilization 
procedure may not exceed 12 hours. The manufacturer must maintain, and 
provide to the Administrator upon request, a record of the rationale 
used in making this determination. If the manufactuer can document that 
at some time prior to the full 12 hour service accumulation period the 
engine emissions are decreasing for the remainder of the 12 hours, the 
service accumulation may be completed at that time. The manufacturer may 
elect to accumulate 12 hours on each test engine within an engine family 
without making this determination.
    (2) During service accumulation, the fuel and lubricants specified 
in Sec. 90.308 must be used.
    (3) Engine maintenance during service accumulation is allowed only 
in accordance with Sec. 90.118.
    (b) Engine pre-test preparation. (1) Drain and charge the fuel 
tank(s) with the specified test fuel (see Sec. 90.308(b)) to 50 percent 
of the tank's nominal capacity. If an external fuel tank is used, the 
engine fuel inlet system pressure must be typical of what the engine 
will see in use.
    (2)(i) Operate the engine on the dynamometer measuring the fuel 
consumption (fuel consumption required only for raw gas sampling method) 
and torque before and after the emission sampling equipment is 
installed, including the sample probe, using the modes specified in the 
following table.

------------------------------------------------------------------------
                                                              Operating
             Engine class                    Test cycle          mode
------------------------------------------------------------------------
(A) I, I-B, II........................  A                              6
(B) I, I-B, II........................  B                              1
(C) I-A, III, IV, V...................  C                              1
------------------------------------------------------------------------

    (ii) These modes are from Table 2 in Appendix A of this subpart. The 
emission sampling equipment may not significantly affect the operational 
characteristics of the engine (typically the results should agree within 
five percent).
    (c) Analyzer pre-test procedures. (1) If necessary, warm up and 
stabilize the analyzer(s) before calibrations are performed.
    (2) Replace or clean the filter elements and then leak check the 
system as required by Sec. 90.324(a). If necessary, allow the heated 
sample line, filters, and pumps to reach operating temperature.
    (3) Perform the following system checks:
    (i) If necessary, check the sample-line temperature. Heated FID 
sample line temperature must be maintained between 110  deg.C and 230 
deg.C; a heated NOX sample line temperature must be 
maintained between 60  deg.C and 230  deg.C.
    (ii) Check that the system response time has been accounted for 
prior to sample collection data recording.
    (iii) A HC hang-up check is permitted (see Sec. 90.413(e)).
    (4) Check analyzer zero and span before and after each test at a 
minimum. Further, check analyzer zero and span any time a range change 
is made or at the maximum demonstrated time span for stability for each 
analyzer used.
    (d) Check system flow rates and pressures and reset, if necessary.

[60 FR 34598, July 3, 1995, as amended at 65 FR 24312, Apr. 25, 2000]

Sec. 90.409  Engine dynamometer test run.

    (a) Engine and dynamometer start-up. (1) Only adjustments in 
accordance with Sec. 90.119 may be made to the test engine prior to 
starting a test.
    (2) If necessary, warm up the dynamometer as recommended by the 
dynamometer manufacturer or use good engineering practice.
    (3) For Phase 1 engines, at the manufacturer's option, the engine 
can be run with the throttle in a fixed position or by using the 
engine's governor (if the engine is manufactured with a governor). In 
either case, the engine speed and load must meet the requirements 
specified in paragraph (b)(12) of this section. For Phase 2 Class I, 
Phase 2 Class I-B, and Phase 2 Class II engines equipped with an engine 
speed governor, the governor must be used to control engine speed during 
all test cycle modes except for Mode 1 or Mode 6, and no external 
throttle control may

[[Page 225]]

be used that interferes with the function of the engine's governor; a 
controller may be used to adjust the governor setting for the desired 
engine speed in Modes 2-5 or Modes 7-10; and during Mode 1 or Mode 6 
fixed throttle operation may be used to determine the 100 percent torque 
value.
    (b) Each test consists of the following steps.
    (1) Record the general test data as specified in Sec. 90.405(b).
    (2) Precondition the engine in the following manner;
    (i) Operate the engine at a power greater than or equal to 50 
percent maximum power at the appropriate speed (rated or intermediate) 
for 20 minutes;
    (ii) Option. If the engine has been operating on service 
accumulation for a minimum of 40 minutes, the service accumulation may 
be substituted for step (i).
    (3) Record all pre-test data specified in Sec. 90.405(c).
    (4) Start the test cycle (see Sec. 90.410) within five minutes of 
the completion of the steps required by paragraph (b)(2) of this 
section.
    (5) Modes are to be performed in the numerical order specified for 
the appropriate test cycle (see ``Mode Points'' Table 2 in Appendix A of 
this subpart).
    (6) For Class I, I-B, and II engines, during the maximum torque mode 
calculate the torque corresponding to 75, 50, 25, and 10 percent of the 
maximum observed torque (see Table 2 in Appendix A to this subpart).
    (7) Once engine speed and load are set for a mode, run the engine 
for a sufficient period of time to achieve thermal stability. At the 
manufacturer's option, determine and document the appropriate criterion 
for thermal stability for each engine family. If the manufacture chooses 
not to make this determination, an acceptable alternative is to run the 
engine at each mode until the cylinder head temperature remains within a 
10  deg.C bandwidth for three minutes. Cylinder head temperature may be 
measured at the base of the spark plug. After stability is achieved, 
emission measurements are initiated.
    (8) Record all modal data specified in Sec. 90.405(d) for a minimum 
time period of the last two minutes of each mode. Longer averaging 
periods are acceptable, but the data averaged must be from a continuous 
time period. The duration of time during which this data is recorded is 
referred to as the ``sampling period.'' The data collected during the 
sampling period is used for modal emission calculations.
    (9) Continuously record the analyzer's response to the exhaust gas 
during each mode.
    (10) Modes may be repeated.
    (11) If a delay of more than one hour occurs between the end of one 
mode and the beginning of another mode, the test is void and must be 
restarted at paragraph (b)(1) of this section.
    (12) The engine speed and load must be maintained within the 
requirements of Sec. 90.410 during the sampling period of each mode. If 
this requirement is not met, the mode is void and must be restarted.
    (13) If at any time during a mode the test equipment malfunctions or 
the specifications in Sec. 90.410 can not be met, the test is void and 
must be aborted. Corrective action should be taken and the test 
restarted.
    (14) If at any time during an operating mode the engine stalls, 
restart the engine immediately and continue the test starting with the 
steps required by paragraph (b)(6) of this section. If the engine will 
not restart within five minutes the test is void. If maintenance is 
required on the engine, advance approval from the Administrator is 
required as specified in Sec. 90.119. After corrective action is taken, 
the engine may be rescheduled for testing. Report the reason for the 
malfunction (if determined) and the corrective action taken.
    (15) Fuel flow and air flow during the idle condition may be 
determined just prior to or immediately following the dynamometer 
sequence, if longer times are required for accurate measurements. If the 
dilute sampling method (Constant Volume Sampling) is used, neither fuel 
flow nor air flow measurements are required.
    (c) Exhaust gas measurements. (1) Measure HC, CO, CO2, 
and NOX concentration in the exhaust sample.
    (2) Each analyzer range that may be used during a test mode must 
have the

[[Page 226]]

zero and span responses recorded prior to the start of the test. Only 
the range(s) used to measure the emissions during the test is required 
to have its zero and span recorded after the completion of the test. 
Depending on the stability of each individual analyzer, more frequent 
zero checks or spans between modes may be necessary.
    (3) It is permitted to change filter elements between modes.
    (4) A leak check is permitted between modes.
    (5) A hang-up check is permitted between modes (see Sec. 90.413).
    (6) If, during the emission measurement portion of a mode, the value 
of the gauges downstream of the NDIR analyzer(s) G3 or G4 (see Figure 2 
in Appendix B of Subpart D), differs by more than 0.5kPa 
from the pretest value, the test mode is void.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999; 65 
FR 24313, Apr. 25, 2000]

Sec. 90.410  Engine test cycle.

    (a) Follow the appropriate 6-mode test cycle for Class I, I-B and II 
engines and 2-mode test cycle for Class I-A, III, IV, and V engines when 
testing spark-ignition engines (see Table 2 in Appendix A of this 
subpart).
    (b) For Phase 1 engines and Phase 2 Class I-A, III, IV, and V, and 
Phase 2 Class I and II engines not equipped with an engine speed 
governor, during each non-idle mode, hold both the specified speed and 
load within  five percent of point. During the idle mode, 
hold speed within  ten percent of the manufacturer's 
specified idle engine speed. For Phase 2 Class I, I-B, and II engines 
equipped with an engine speed governor, during Mode 1 or Mode 6 hold 
both the specified speed and load within  five percent of 
point, during Modes 2-3, or Modes 7-8 hold the specified load with 
 five percent of point, during Modes 4-5 or Modes 9-10, hold 
the specified load within the larger range provided by 0.27 
Nm (0.2 lb-ft), or ten (10) percent of point, 
and during the idle mode hold the specified speed within  
ten percent of the manufacturer's specified idle engine speed (see Table 
1 in Appendix A of this subpart for a description of test Modes). The 
use of alternative test procedures is allowed if approved in advance by 
the Administrator.
    (c) If the operating conditions specified in paragraph (b) of this 
section for Class I, I-B, and II engines using Mode Points 2, 3, 4, and 
5 cannot be maintained, the Administrator may authorize deviations from 
the specified load conditions. Such deviations may not exceed 10 percent 
of the maximum torque at the test speed. The minimum deviations, above 
and below the specified load, necessary for stable operation shall be 
determined by the manufacturer and approved by the Administrator prior 
to the test run.
    (d) Do not include power generated during the idle mode, Mode 11, in 
the calculation of emission results.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999; 65 
FR 24313, Apr. 25, 2000]

Sec. 90.411  Post-test analyzer procedures.

    (a) Perform a HC hang-up check within 60 seconds of the completion 
of the last mode in the test. Use the following procedure:
    (1) Introduce a zero gas or room air into the sample probe or valve 
V2 (see Figure 2 in Appendix B of Subpart D) to check the ``hangup 
zero'' response. Simultaneously start a time measurement.
    (2) Select the lowest HC range used during the test.
    (3) Within four minutes of beginning the time measurement in 
paragraph (a)(1) of this section, the difference between the zero gas 
response and the hang-up zero response may not be greater than 5.0 
percent of full scale or 10 ppmC, whichever is greater.
    (b) Begin the analyzer span checks within six minutes after the 
completion of the last mode in the test. Record for each analyzer the 
zero and span response for each range used during the preceding test or 
test segment.
    (c) If during the test, the filter element(s) were replaced or 
cleaned, a vacuum check must be performed per Sec. 90.324(a) immediately 
after the span checks. If the vacuum side leak check does not meet the 
requirements of Sec. 90.324(a), the test is void.
    (d) Read and record the post-test data specified in Sec. 90.405(e).

[[Page 227]]

    (e) For a valid test, the analyzer drift between the before-segment 
and after-segment span checks for each analyzer must meet the following 
requirements:
    (1) The span drift (defined as the change in the difference between 
the zero response and the span response) may not exceed two percent of 
full-scale chart deflection for each range used.
    (2) The zero response drift may not exceed two percent of full-scale 
chart deflection for each range used above 155 ppm (or ppm C), or three 
percent of full-scale chart deflection for each range below 155 ppm (or 
ppm C).

Sec. 90.412  Data logging.

    (a) A computer or any other automatic data collection (ADC) 
device(s) may be used as long as the system meets the requirements of 
this subpart.
    (b) Determine from the data collection records the analyzer 
responses corresponding to the end of each mode.
    (c) Record data at a minimum of rate of one Hz (one time per 
second).
    (d) Determine the final value for power by averaging the 
individually calculated power points for each value of speed and torque 
recorded during the sampling period. As an alternative, the final value 
for power can be calculated from the average values for speed and 
torque, collected during the sampling period.
    (e) Determine the final value for CO2, CO, HC, and 
NOX concentrations by averaging the concentration of each 
point taken during the sample period for each mode.

Sec. 90.413  Exhaust sample procedure--gaseous components.

    (a) Automatic data collection equipment requirements. The analyzer 
response may be read by automatic data collection (ADC) equipment such 
as computers, data loggers, and so forth. If ADC equipment is used, the 
following is required:
    (1) For dilute grab (``bag'') sample analysis, the analyzer response 
must be stable at greater than 99 percent of the final reading for the 
dilute exhaust sample. The ADC must store a single value representing 
the average chart deflection over a 10-second stabilized period. 
Alternatively, the ADC may store the individual instantaneous chart 
deflections collected over a 10-second stabilized period.
    (2) For continuous analysis systems, the ADC must store a single 
value representing the average integrated concentration over a 
measurement period. Alternatively, the ADC may store the individual 
instantaneous values collected during the measurement period.
    (3) The chart deflections or average integrated concentrations 
required in paragraphs (a)(1) and (a)(2) of this section may be stored 
on long-term computer storage devices such as computer tapes, storage 
discs, punch cards, or they may be printed in a listing for storage. In 
either case a chart recorder is not required and records from a chart 
recorder, if they exist, need not be stored.
    (4) If ADC equipment is used to interpret analyzer values, the ADC 
equipment is subject to the calibration specifications of the analyzer 
as if the ADC equipment is part of analyzer system.
    (b) Data records from any one or a combination of analyzers may be 
stored as chart recorder records.
    (c) Grab sample analysis. For dilute grab sample analysis perform 
the following procedure:
    (1) Calibrate analyzers using the procedure described in 
Sec. 90.326.
    (2) Record the most recent zero and span response as the pre-
analysis values.
    (3) Measure and record HC, CO, CO2, and NOX 
concentrations in the exhaust sample bag(s) and background sample bag(s) 
using the same flow rates and pressures.
    (4) Good engineering practice dictates that exhaust emission sample 
bag analyzer readings below 15 percent of full scale should generally 
not be used.
    (5) A post-analysis zero and span calibration check of each range 
must be performed and the values recorded. The number of events that may 
occur between the pre- and post-checks is not specified. However, the 
difference between pre-analysis zero and span values (recorded in 
paragraph (c)(2) or (c)(3) of this section) versus those recorded for 
the post-analysis check may not exceed the zero drift limit or the span 
drift limit of two percent of full-

[[Page 228]]

scale chart deflection for any range used. Otherwise the analysis is 
void.
    (d) Continuous sample analysis. For continuous sample analysis 
perform the following procedure:
    (1) Calibrate analyzers using the procedure described in 
Sec. 90.326.
    (2) Leak check portions of the sampling system that operate at 
negative gauge pressures when sampling and allow heated sample lines, 
filters, pumps, and so forth to stabilize at operating temperature.
    (3) Option: Determine the HC hang-up for the FID or HFID sampling 
system:
    (i) Zero the analyzer using zero gas introduced at the analyzer 
port.
    (ii) Flow zero gas through the overflow sampling system. Check the 
analyzer response.
    (iii) If the overflow zero response exceeds the analyzer zero 
response by two percent or more of the FID or HFID full-scale 
deflection, hang-up is indicated and corrective action must be taken 
(see paragraph (e) of this section).
    (iv) The complete system hang-up check specified in paragraph (e) of 
this section is recommended as a periodic check.
    (4) If necessary, recalibrate analyzer using the procedure specified 
in paragraph (d)(1) of this section.
    (5) Good engineering practice dictates that analyzers used for 
continuous analysis should be operated such that the measured 
concentration falls between 15 percent and 100 percent of full scale.
    (6) Record the most recent zero and span response as the pre-
analysis values.
    (7) Collect background HC, CO, CO2, and NOX in 
a sample bag (for dilute exhaust sampling only, see Sec. 90.422).
    (8) Perform a post-analysis zero and span check for each range used 
at the conditions specified in paragraph (d)(1) of this section. Record 
these responses as the post-analysis values.
    (9) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed three 
percent for HC, or two percent for NOX, CO, and 
CO2, of full-scale chart deflection, or the test is void. (If 
the HC drift is greater than three percent of full-scale chart 
deflection, HC hang-up is likely.)
    (10) Determine background levels of HC, NOX, CO, or 
CO2 (for dilute exhaust sampling only) by the grab (``bag'') 
technique outlined in paragraph (c) of this section.
    (e) Hydrocarbon hang-up. If HC hang-up is indicated, the following 
procedure may be performed:
    (1) Fill a clean, evacuated sample bag with background air.
    (2) Zero and span the HFID at the analyzer ports.
    (3) Analyze the background air sample bag through the analyzer 
ports.
    (4) Analyze the background air through the entire sample probe 
system.
    (5) If the difference between the readings obtained is two ppm or 
more, clean the sample probe and the sample line.
    (6) Reassemble the sample system, heat to specified temperature, and 
repeat the procedure in paragraphs (e)(1) through (e)(5) of this 
section.

Sec. 90.414  Raw gaseous exhaust sampling and analytical system 
          description.

    (a) Schematic drawing. An example of a sampling and analytical 
system which may be used for testing under this subpart is shown in 
Figure 2 in Appendix B of Subpart D. All components or parts of 
components that are wetted by the sample or corrosive calibration gases 
must be either chemically cleaned stainless steel or inert material 
(e.g., polytetrafluoroethylene resin). The use of ``gauge savers'' or 
``protectors'' with nonreactive diaphragms to reduce dead volumes is 
permitted.
    (b) Sample probe. (1) The sample probe must be a straight, closed 
end, stainless steel, multi-hole probe. The inside diameter may not be 
greater than the inside diameter of the sample line +0.03 cm. The wall 
thickness of the probe may not be greater than 0.10 cm. The fitting that 
attaches the probe to the exhaust pipe must be as small as practical in 
order to minimize heat loss from the probe.
    (2) The probe must have a minimum of three holes. The spacing of the 
radial planes for each hole in the probe

[[Page 229]]

must be such that they cover approximately equal cross-sectional areas 
of the exhaust duct. See Figure 2 in Appendix B of Subpart D. The 
angular spacing of the holes must be approximately equal. The angular 
spacing of any two holes in one plane may not be 180 deg.  
20 deg. (i.e., section view C-C of Figure 2 in Appendix B of Subpart D). 
The holes should be sized such that each has approximately the same 
flow. If only three holes are used, they may not all be in the same 
radial plane.
    (3) The exhaust gas probe must be located in a position which yields 
a well mixed, homogenous sample of the engine exhaust. The probe must 
extend radially across the exhaust gas stream. The probe must pass 
through the approximate center and must extend across at least 80 
percent of the exhaust gas stream. The exact position of the probe may 
vary from engine family to engine family.
    (c) Mixing chamber. The exhaust mixing chamber is located in the 
exhaust system between the muffler and the sample probe. The mixing 
chamber is an optional component of the raw gas sampling equipment.
    (1) The internal volume of the mixing chamber may not be less than 
ten times the cylinder displacement of the engine under test. The shape 
of the mixing chamber must be such that it provides a well mixed, 
homogenous sample at the sample probe location.
    (2) Couple the mixing chamber as closely as possible to the engine 
muffler.
    (3) Maintain the inner surface of the mixing chamber at a minimum 
temperature of 179  deg.C.
    (4) Thermocouple temperature monitoring of the mixing chamber inner 
surface is required to assure wall temperatures specified in paragraph 
(c)(3) of this section. The temperature measurement must be accurate to 
within  5  deg.C.
    (5) The sample probe must extend radially across the exit of the 
mixing chamber. The probe must pass through the approximate center and 
must extend across at least 80 percent of the diameter of the exit. The 
exact position of the probe may vary from engine family to engine 
family. The probe must be located in a position which yields a well 
mixed, homogenous sample of the exhaust.
    (d) Sample transfer line. (1) The maximum inside diameter of the 
sample line may not exceed 1.32 cm.
    (2) If valve V2 in Figure 1 of Appendix B of this subpart is used, 
the sample probe must connect directly to valve V2. The location of 
optional valve V2 in Figure 1 of Appendix B of Subpart D may not be 
greater than 1.22 m from the exhaust duct.
    (3) The location of optional valve V16, Figure 1 of Appendix B of 
this subpart, may not be greater than 61 cm from the sample pump. The 
leakage rate for this section on the pressure side of the sample pump 
may not exceed the leakage rate specification for the vacuum side of the 
pump.
    (e) Venting. All vents, including analyzer vents, bypass flow, and 
pressure relief vents, of regulators should be vented in such a manner 
as to avoid endangering personnel in the immediate area.
    (f) Any variation from the specifications in this subpart, including 
performance specifications and emission detection methods, may be used 
only with prior approval by the Administrator.
    (g) Additional components, such as instruments, valves, solenoids, 
pumps, switches, and so forth, may be employed to provide additional 
information and coordinate the functions of the component systems.
    (h) The following requirements must be incorporated in each system 
used for raw testing under this subpart.
    (1) Take the sample for all components with one sample probe and 
split it internally to the different analyzers.
    (2) Heat the sample transport system from the engine exhaust pipe to 
the HC analyzer for the raw gas sampling method as indicated in Figure 1 
in Appendix B of this subpart. The NOX analyzer for the raw 
gas sampling method may be heated as indicated in Figure 1 in Appendix B 
of this subpart. The HC analyzer and the NOX analyzer for the 
dilute sampling method may be heated as indicated in Figure 1 in 
Appendix B of this subpart.

[[Page 230]]

Sec. 90.415  Raw gaseous sampling procedures.

    Fit all heated sampling lines with a heated filter to extract solid 
particles from the flow of gas required for analysis. The sample line 
for HC measurement must be heated. The sample line for CO, 
CO2 and NOX analysis may be heated or unheated.

Sec. 90.416  Intake air flow measurement specifications.

    (a) If used, the engine intake air flow measurement method used must 
have a range large enough to accurately measure the air flow over the 
engine operating range during the test. Overall measurement accuracy 
must be two percent of full-scale value of the measurement device for 
all modes except the idle mode. For the idle mode, the measurement 
accuracy must be five percent or less of the full-scale 
value. The Administrator must be advised of the method used prior to 
testing.
    (b) When an engine system incorporates devices that affect the air 
flow measurement (such as air bleeds, air injection, pulsed air, and so 
forth) resulting in understated exhaust emission results, make 
corrections to the exhaust emission results to account for such effects.

Sec. 90.417  Fuel flow measurement specifications.

    (a) Fuel flow measurement is required only for raw testing. Fuel 
flow is allowed for dilute testing. If the measured fuel flow is used in 
the dilute calculations for brake-specific fuel consumption (see 
Sec. 90.426(e)), the fuel flow instrument must meet the requirements of 
this section.
    (b) The fuel flow measurement instrument must have a minimum 
accuracy of one percent of full-scale flow rate for each measurement 
range used. An exception is allowed for the idle mode. For this mode, 
the minimum accuracy is  five percent of full-scale flow 
rate for the measurement range used. The controlling parameters are the 
elapsed time measurement of the event and the weight or volume 
measurement.

Sec. 90.418  Data evaluation for gaseous emissions.

    For the evaluation of the gaseous emissions recording, record the 
last four minutes of each mode and determine the average values for HC, 
CO, CO2 and NOX during each mode from the average 
concentration readings determined from the corresponding calibration 
data. Longer averaging times are acceptable, but the sampling period 
which is reported must be a continuous set of data.

Sec. 90.419  Raw emission sampling calculations--gasoline fueled 
          engines.

    (a) Derive the final weighted brake-specific mass emission rates (g/
kW-hr) through the steps described in this section.
    (b) Air and fuel flow method. If both air and fuel flow mass rates 
are measured, use the following equations to determine the weighted 
emission values for the test engine:
[GRAPHIC] [TIFF OMITTED] TR03JY95.016

Where:

WHC = Mass rate of HC in exhaust [g/hr],

[[Page 231]]

GAIRD = Intake air mass flow rate on dry basis [g/hr],
GFUEL = Fuel mass flow rate [g/hr],
MHCexh = Molecular weight of hydrocarbons in the exhaust, see 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.017

Where:

[alpha] = Hydrogen/carbon atomic ratio of the fuel
[beta] = Oxygen/carbon atomic ratio of the fuel
Mexh = Molecular weight of the total exhaust, see the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.018

Where:

WHC = HC volume concentration in exhaust, ppmC wet
WCO = CO percent concentration in the exhaust, wet
DCO = CO percent concentration in the exhaust, dry
WCO2 = CO2 percent concentration in the exhaust, 
wet
DCO2 = CO2 percent concentration in the exhaust, 
dry
WNOX = NO volume concentration in exhaust, ppm wet
WO2 = O2 percent concentration in the exhaust, wet
WH2 = H2 percent concentration in exhaust, wet
K = correction factor to be used when converting dry measurements to a 
wet basis. Therefore, wet concentration=dry concentration x K,
where K is:
[GRAPHIC] [TIFF OMITTED] TR03JY95.019

DH2 = H2 percent concentration in exhaust, dry, 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.020

Wco = Mass rate of CO in exhaust, [g/hr]
Mco = Molecular weight of CO=28.01
WNOx = Mass rate of NOX in exhaust, [g/hr]
MNO2 = Molecular weight of NO2=46.01
KH = Factor for correcting the effects of humidity on 
NO2 formation for 4-stroke gasoline small engines, see the 
equation below:
[GRAPHIC] [TIFF OMITTED] TR03JY95.021

Where:
H = absolute humidity of the intake air in grams of moisture per 
kilogram of dry air, see Sec. 90.426(f) for a method by which H can be 
calculated.

    For two-stroke gasoline engines, KH should be set to 1.
    (c) Fuel flow method. The following equations are to be used when 
fuel flow is selected as the basis for mass emission calculations using 
the raw gas method.

[[Page 232]]

[GRAPHIC] [TIFF OMITTED] TR03JY95.022

Where:
WHC = Mass rate of HC in exhaust, [g/hr]
MHCexh = Molecular weight of hydrocarbons in the exhaust, see 
following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.023

MC = Molecular weight of carbon=12.01 [g/mole]
MH = Molecular weight of hydrogen=1.008 [g/mole]
MO = Molecular weight of oxygen=16.00 [g/mole]
[alpha] = Hydrogen to carbon ratio of the test fuel
[beta] = Oxygen to carbon ratio of the test fuel
MF = Molecular weight of test fuel
GFUEL = Fuel mass flow rate, [g/hr]
TC=Total carbon in exhaust, see following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.024

WCO = CO percent concentration in the exhaust, wet
WCO2 = CO2 percent concentration in the exhaust, 
wet
DCO = CO percent concentration in the exhaust, dry
DCO2 = CO2 percent concentration in the exhaust, 
dry
WHC = HC volume concentration in exhaust, ppmC wet
WNOX = NOX volume concentration in exhaust, ppm 
wet
K = correction factor to be used when converting dry measurements to a 
wet basis. Therefore, wet concentration=dry concentrationxK, where K is:
[GRAPHIC] [TIFF OMITTED] TR03JY95.025

DH2 = H2 percent concentration in exhaust, dry, 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.026

WCO = Mass rate of CO in exhaust, [g/hr]
MCO = Molecular weight of CO = 28.01
WNOX = Mass rate of NOX in exhaust, [g/hr]
MNO2 = Molecular weight of NO2=46.01
KH = Factor for correcting the effects of humidity on 
NO2 formation for 4-stroke gasoline small engines, see the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.027

Where:
H = specific humidity of the intake air in grams of moisture per 
kilogram of dry air.
For two-stroke gasoline engines, KH should be set to 1.

    (d) Calculate the final weighted brake-specific emission rate for 
each individual gas component using the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.028

Where:
AWM = Final weighted brake-specific mass emission rate (HC, 
CO, NOX) [g/kW-hr]
Wi = Mass emission rate during mode i [g/hr]
WFi = Weighting factors for each mode according to 
Sec. 90.410(a)
Pi = Gross average power generated during mode i [kW], 
calculated from the following equation,
[GRAPHIC] [TIFF OMITTED] TR03JY95.029

Where:
speed = average engine speed measured during mode i [rev./minute]
torque = average engine torque measured during mode i [N-m] (e) Compute 
the final reported brake-specific fuel consumption (BSFC) by use of the 
following formula:

[[Page 233]]

[GRAPHIC] [TIFF OMITTED] TR03JY95.030

Where:
BSFC = brake-specific fuel consumption in grams of fuel per kilowatt-
hour (g/kW-hr).
GFUELi = Fuel mass flow rate of the engine during mode i [g/
hr]
WFi = Weighting factors for each mode according to 
Sec. 90.410(a)
Pi = Gross average power generated during mode i [kW].

Sec. 90.420  CVS concept of exhaust gas sampling system.

    (a) A dilute exhaust sampling system is designed to directly measure 
the true mass of emissions in engine exhaust without the necessity of 
measuring either fuel flow or intake air flow. This is accomplished by 
diluting the exhaust produced by a test engine with ambient background 
air and measuring the total diluted exhaust flow rate and the 
concentration of emissions within the dilute flow. Total mass flow of an 
emission is then easily calculated.
    (b) A constant volume sampler (CVS) is typically used to control the 
total amount of dilute flow through the system. As the name implies, a 
CVS restricts flow to a known value dependent only on the dilute exhaust 
temperature and pressure.
    (c) For the testing described in this subpart, a CVS must consist 
of: a mixing tunnel into which the engine exhaust and dilutant 
(background) air are dumped; a dilute exhaust flow metering system; a 
dilute exhaust sample port; a background sample port; a dilute exhaust 
sampling system; and a background sampling system.
    (1) Mixing tunnel. The mixing tunnel must be constructed such that 
complete mixing of the engine exhaust and background air is assured 
prior to the sampling probe.
    (2) Exhaust flow metering system. A dilute exhaust flow metering 
system must be used to control the total flow rate of the dilute engine 
exhaust as described in Sec. 90.421.
    (3) Exhaust sample port. A dilute exhaust sample port must be 
located in or downstream of the mixing tunnel at a point where complete 
mixing of the engine exhaust and background air is assured.
    (4) Background sample port. A dilute exhaust sample port must be 
located in the stream of background air before it is mixed with the 
engine exhaust. The background probe must draw a representative sample 
of the background air during each sampling mode.
    (5) Exhaust sampling system. The dilute exhaust sampling system 
controls the flow of samples from the mixing tunnel to the analyzer 
system. This could be either a continuous sampling system or grab (bag) 
sampling system. If a critical flow venturi (CFV) is used on the dilute 
exhaust sample probe, this system must assure that the sample CFV is in 
choke flow during testing. If no CFV is used, this system must assure a 
constant volumetric flow rate through the dilute exhaust sample probe or 
must incorporate electronic flow compensation.
    (6) Background sampling system. The background sampling system 
controls the flow of samples from the background air supply to the 
analyzer system. This could be either a continuous sampling system or 
grab (bag) sampling system. This system must assure a constant 
volumetric flow rate through the background sample probe.

Sec. 90.421  Dilute gaseous exhaust sampling and analytical system 
          description.

    (a) General. The exhaust gas sampling system described in this 
section is designed to measure the true mass of gaseous emissions in the 
exhaust of nonroad small spark-ignition engines. This system utilizes 
the Constant Volume Sampling (CVS) concept (described in Sec. 90.420) of 
measuring mass emissions of HC, NOX, CO, and CO2. 
Grab sampling for individual modes is an acceptable method of dilute 
testing for all constituents, HC, NOX, CO, and 
CO2. Continuous dilute sampling is not required for any of 
the exhaust constituents, but is allowable for all. Heated sampling is 
not required for any of the constituents, but is allowable for HC and 
NOX. The mass of gaseous emissions is determined from the 
sample concentration and total flow over the

[[Page 234]]

test period. As an option, the measurement of total fuel mass consumed 
over a cycle may be substituted for the exhaust measurement of 
CO2. General requirements are as follows:
    (1) This sampling system requires the use of a Positive Displacement 
Pump--Constant Volume Sampler (PDP-CVS) system with a heat exchanger, or 
a Critical Flow Venturi--Constant Volume Sampler (CFV-CVS) system with 
CFV sample probes and/or a heat exchanger or electronic flow 
compensation. Figure 2 in Appendix B of this subpart is a schematic 
drawing of the PDP-CVS system. Figure 3 in Appendix B of this subpart is 
a schematic drawing of the CFV-CVS system.
    (2) The HC analytical system requires:
    (i) Grab sampling (see Sec. 90.420, and Figure 2 or Figure 3 in 
Appendix B of this subpart) and analytical capabilities (see 
Sec. 90.423, and Figure 4 in Appendix B of this subpart), or
    (ii) Continuously integrated measurement of diluted HC meeting the 
minimum requirements and technical specifications contained in paragraph 
(b)(2) of this section.
    (iii) The dilute HC analytical system for nonroad small spark-
ignition engines does not require a heated flame ionization detector 
(HFID).
    (iv) If used, the HFID sample must be taken directly from the 
diluted exhaust stream through a heated probe and integrated 
continuously over the test cycle.
    (v) The heated probe must be located in the sampling system far 
enough downstream of the mixing area to ensure a uniform sample 
distribution across the CVS duct at the sampling zone.
    (3) The CO and CO2 analytical system requires:
    (i) Grab sampling (see Sec. 90.420, and Figure 2 or Figure 3 in 
Appendix B of this subpart) and analytical capabilities (see 
Sec. 90.423, and Figure 4 in Appendix B of this subpart), or
    (ii) Continuously integrated measurement of diluted CO and 
CO2 meeting the minimum requirements and technical 
specifications contained in paragraph (b)(4) of this section.
    (4) The NOX analytical system requires:
    (i) Grab sampling (see Sec. 90.420, and Figure 2 or Figure 3 in 
Appendix B of this subpart) and analytical capabilities (see 
Sec. 90.423, and Figure 4 in Appendix B of this subpart), or
    (ii) A continuously integrated measurement of diluted NOX 
meeting the minimum requirements and technical specifications contained 
in paragraph (b)(4) of this section.
    (5) Since various configurations can produce equivalent results, 
exact conformance with these drawings is not required. Additional 
components such as instruments, valves, solenoids, pumps, and switches 
may be used to provide additional information and coordinate the 
functions of the component systems. Other components, such as snubbers, 
which are not needed to maintain accuracy on some systems, may be 
excluded if their exclusion is based upon good engineering judgment.
    (6) Other sampling and/or analytical systems may be used if shown to 
yield equivalent results and if approved in advance by the 
Administrator.
    (b) Component description. The components necessary for exhaust 
0sampling must meet the following requirements:
    (1) Exhaust dilution system. The PDP-CVS must conform to all of the 
requirements listed for the exhaust gas PDP-CVS in Sec. 90.420 of this 
chapter. The CFV-CVS must conform to all of the requirements listed for 
the exhaust gas CFV-CVS in Sec. 90.420 of this chapter. In addition, the 
CVS must conform to the following requirements:
    (i) The flow capacity of the CVS must be sufficient to maintain the 
diluted exhaust stream in the dilution system at a temperature of 190 
deg.C or less at the sampling zone for hydrocarbon measurement and as 
required to prevent condensation at any point in the dilution system. 
Gaseous emission samples may be taken directly from this sampling point.
    (ii) For the CFV-CVS, either a heat exchanger or electronic flow 
compensation is required (see Figure 3 in Appendix B of this subpart).
    (iii) For the CFV-CVS when a heat exchanger is used, the gas mixture 
temperature, measured at a point immediately ahead of the critical flow 
venturi, must be within 11  deg.C of the

[[Page 235]]

average operating temperature observed during the test with the 
simultaneous requirement that condensation does not occur. The 
temperature measuring system (sensors and readout) must have an accuracy 
and precision of 2  deg.C. For systems utilizing a flow 
compensator to maintain proportional flow, the requirement for 
maintaining constant temperature is not necessary.
    (2) Continuous HC measurement system. (i) The continuous HC sample 
system (as shown in Figure 2 or 3 in Appendix B of this subpart) uses an 
``overflow'' zero and span system. In this type of system, excess zero 
or span gas spills out of the probe when zero and span checks of the 
analyzer are made.
    (ii) No other analyzers may draw a sample from the continuous HC 
sample probe, line, or system, unless a common sample pump is used for 
all analyzers and the sample line system design reflects good 
engineering practice.
    (iii) The overflow gas flow rates into the sample line must be at 
least 105 percent of the sample system flow rate.
    (iv) The overflow gases must enter the sample line as close as 
practical to the outside surface of the CVS duct or dilution system.
    (v) The continuous HC sampling system consists of a probe (which for 
a HFID analyzer must raise the sample to the specified temperature) and, 
where used, a sample transfer system (which for a HFID must maintain the 
specified temperature). The HFID continuous hydrocarbon sampling system 
(exclusive of the probe) must:
    (A) Maintain a wall temperature of 190 11  deg.C as 
measured at every separately controlled heated component (that is, 
filters, heated line sections), using permanent thermocouples located at 
each of the separate components.
    (B) Have a wall temperature of 190 11  deg.C over its 
entire length. The temperature of the system is demonstrated by 
profiling the thermal characteristics of the system where possible at 
initial installation and after any major maintenance performed on the 
system. The profiling is to be accomplished using the insertion 
thermocouple probing technique. The system temperature must be monitored 
continuously during testing at the locations and temperature described 
in Sec. 90.421(b)(2).
    (C) Maintain a gas temperature of 190 11  deg.C 
immediately before the heated filter and HFID. Determine these gas 
temperatures by a temperature sensor located immediately upstream of 
each component.
    (vi) The continuous hydrocarbon sampling probe:
    (A) Is defined as the first 25.4 to 76.2 cm of the continuous 
hydrocarbon sampling system.
    (B) Has a 0.483 cm minimum inside diameter.
    (C) Is installed in the dilution system at a point where the 
dilution air and exhaust are well mixed and provide a homogenous 
mixture.
    (D) Is sufficiently distant (radially) from other probes and the 
system wall so as to be free from the influence of any wakes or eddies.
    (E) For a continuous HFID sample probe, the probe must increases the 
gas stream temperature to 190 11  deg.C at the exit of the 
probe. Demonstrate the ability of the probe to accomplish this using the 
insertion thermocouple technique at initial installation and after any 
major maintenance. Demonstrate compliance with the temperature 
specification by continuously recording during each test the temperature 
of either the gas stream or the wall of the sample probe at its 
terminus.
    (vii) The response time of the continuous measurement system must be 
taken into account when logging test data.
    (3) Sample mixing. (i) Configure the dilution system to ensure a 
well mixed, homogeneous sample prior to the sampling probe(s).
    (ii) Make the temperature of the diluted exhaust stream inside the 
dilution system sufficient to prevent water condensation.
    (iii) Direct the engine exhaust downstream at the point where it is 
introduced into the dilution system.
    (4) Continuously integrated NOX, CO, and CO2 
measurement systems--(i) Sample probe requirements:
    (A) The sample probe for continously intergrated NOX, CO, 
and CO2 must be in the same plane as the continuous HC probe, 
but sufficiently distant (radially) from other probes and the tunnel

[[Page 236]]

wall so as to be free from the influences of any wakes or eddies.
    (B) The sample probe for continously intergrated NOX, CO, 
and CO2 must be heated and insulated over the entire length, 
to prevent water condensation, to a minimum temperature of 55  deg.C. 
Sample gas temperature immediately before the first filter in the system 
must be at least 55  deg.C.
    (ii) Conform to the continuous NOX, CO, or CO2 
sampling and analysis system to the specifications of part 86, subpart D 
of this chapter with the following exceptions and revisions:
    (A) Heat the system components requiring heating only to prevent 
water condensation, the minimum component temperature is 55  deg.C.
    (B) Coordinate analysis system response time with CVS flow 
fluctuations and sampling time/test cycle offsets, if necessary.
    (C) Use only analytical gases conforming to the specifications of 
Sec. 90.312 of this subpart for calibration, zero and span checks.
    (D) Use a calibration curve conforming to Sec. 90.321 for CO and 
CO2 and Sec. 90.318 for NOX for any range on a 
linear analyzer below 155 ppm.
    (iii) Convert the chart deflections or voltage output of analyzers 
with non-linear calibration curves to concentration values by the 
calibration curve(s) specified in Sec. 90.321 of this chapter before 
flow correction (if used) and subsequent integration takes place.

Sec. 90.422  Background sample.

    (a) Background samples are produced by drawing a sample of the 
dilution air during the exhaust collection phase of each test cycle 
mode.
    (1) An individual background sample may be produced and analyzed for 
each mode. Hence, a unique background value will be used for the 
emission calculations for each mode.
    (2) Alternatively, a single background sample may be produced by 
drawing a sample during the collection phase of each test cycle mode. 
Hence, a single cumulative background value will be used for the 
emission calculations for each mode.
    (b) For analysis of the individual sample described in paragraph 
(a)(1) of this section, a single value representing the average chart 
deflection over a 10-second stabilized period must be stored. All 
readings taken during the data logging period must be stable within 
 one percent of full scale.
    (c) Measure HC, CO, CO2, and NOX exhaust and 
background concentrations in the sample bag(s) with approximately the 
same flow rates and pressures used during calibration.

Sec. 90.423  Exhaust gas analytical system; CVS grab sample.

    (a) Schematic drawings. Figure 4 in Appendix B of this subpart is a 
schematic drawing of the exhaust gas analytical systems used for 
analyzing CVS grab ``bag'' samples from spark-ignition engines. Since 
various configurations can produce accurate results, exact conformance 
with the drawing is not required. Additional components such as 
instruments, valves, solenoids, pumps and switches may be used to 
provide additional information and coordinate the functions of the 
component systems. Other components such as snubbers, which are not 
needed to maintain accuracy in some systems, may be excluded if their 
exclusion is based upon good engineering judgment.
    (b) Major component description. The analytical system, Figure 4 in 
Appendix B of this subpart, consists of a flame ionization detector 
(FID) or a heated flame ionization detector (HFID) for the measurement 
of hydrocarbons, non-dispersive infrared analyzers (NDIR) for the 
measurement of carbon monoxide and carbon dioxide, and a 
chemiluminescence detector (CLD) (or heated CLD (HCLD)) for the 
measurement of oxides of nitrogen. The exhaust gas analytical system 
must conform to the following requirements:
    (1) The CLD (or HCLD) requires that the nitrogen dioxide present in 
the sample be converted to nitric oxide before analysis. Other types of 
analyzers may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.
    (2) If CO instruments are used which are essentially free of 
CO2 and water vapor interference, the use of the conditioning 
column may be deleted. (See Sec. 90.317 and Sec. 90.320.)
    (3) A CO instrument is considered to be essentially free of 
CO2 and water

[[Page 237]]

vapor interference if its response to a mixture of three percent 
CO2 in N2, which has been bubbled through water at 
room temperature, produces an equivalent CO response, as measured on the 
most sensitive CO range, which is less than one percent of full-scale CO 
concentration on ranges above 300 ppm full scale or less than three ppm 
on ranges below 300 ppm full scale. (See Sec. 90.317.)
    (c) Alternate analytical systems. Analysis systems meeting the 
specifications and requirements of this subpart for dilute sampling may 
be used upon approval of the Administrator.
    (d) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.

Sec. 90.424  Dilute sampling procedures--CVS calibration.

    (a) The CVS is calibrated using an accurate flowmeter and restrictor 
valve.
    (1) The flowmeter calibration must be traceable to the National 
Institute for Standards and Testing (NIST) and serves as the reference 
value (NIST ``true'' value) for the CVS calibration. (Note: In no case 
should an upstream screen or other restriction which can affect the flow 
be used ahead of the flowmeter unless calibrated throughout the flow 
range with such a device.)
    (2) The CVS calibration procedures are designed for use of a 
``metering venturi'' type flowmeter. Large radius or American Society of 
Mechanical Engineers (ASME) flow nozzles are considered equivalent if 
traceable to NIST measurements. Other measurement systems may be used if 
shown to be equivalent under the test conditions in this section and 
traceable to NIST measurements.
    (3) Measurements of the various flowmeter parameters are recorded 
and related to flow through the CVS.
    (4) Procedures using both PDP-CVS and CFV-CVS are outlined in the 
following paragraphs. Other procedures yielding equivalent results may 
be used if approved in advance by the Administrator.
    (b) After the calibration curve has been obtained, verification of 
the entire system may be performed by injecting a known mass of gas into 
the system and comparing the mass indicated by the system to the true 
mass injected. An indicated error does not necessarily mean that the 
calibration is wrong, since other factors can influence the accuracy of 
the system (for example, analyzer calibration, leaks, or HC hangup). A 
verification procedure is found in paragraph (e) of this section.
    (c) PDP-CVS calibration. (1) The following calibration procedure 
outlines the equipment, the test configuration, and the various 
parameters which must be measured to establish the flow rate of the CVS 
pump.
    (i) All the parameters related to the pump are simultaneously 
measured with the parameters related to a flowmeter which is connected 
in series with the pump.
    (ii) The calculated flow rate, in cm3/s, (at pump inlet 
absolute pressure and temperature) can then be plotted versus a 
correlation function which is the value of a specific combination of 
pump parameters.
    (iii) The linear equation which relates the pump flow and the 
correlation function is then determined.
    (iv) In the event that a CVS has a multiple speed drive, a 
calibration for each range used must be performed.
    (2) This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Two conditions must be maintained to assure the 
accuracy and integrity of the calibration curve:
    (i) The temperature stability must be maintained during calibration. 
(Flowmeters are sensitive to inlet temperature oscillations; this can 
cause the data points to be scattered. Gradual changes in temperature 
are acceptable as long as they occur over a period of several minutes.)
    (ii) All connections and ducting between the flowmeter and the CVS 
pump must be absolutely void of leakage.
    (3) During an exhaust emission test the measurement of these same 
pump parameters enables the user to calculate the flow rate from the 
calibration equation.

[[Page 238]]

    (4) Connect a system as shown in Figure 5 in Appendix B of this 
subpart. Although particular types of equipment are shown, other 
configurations that yield equivalent results may be used if approved in 
advance by the Administrator. For the system indicated, the following 
measurements and accuracies are required:

                      Calibration Data Measurements
------------------------------------------------------------------------
                                                         Sensor-readout
           Parameter             Symbol      Units         tolerances
------------------------------------------------------------------------
Barometric pressure             PB        kPa          .340
 (corrected).                                           kPa.
Ambient temperature...........  TA          deg.C      .28
                                                        deg.C.
Air temperature into metering   ETI         deg.C      1.11
 venturi.                                               deg.C.
Pressure drop between the       EDP       kPa          0.012
 inlet and throat of metering                           kPa.
 venturi.
Air flow......................  QS        m3/min.      0.5
                                                        percent of NIST
                                                        value.
Air temperature at CVS pump     PTI         deg.C      1.11
 inlet.                                                 deg.C.
Pressure depression at CVS      PPI       kPa          0.055
 pump inlet.                                            kPa.
Pressure head at CVS pump       PPO       kPa          0.055
 outlet.                                                kPa.
Air temperature at CVS pump     PTO         deg.C      1.11
 outlet (optional).                                     deg.C.
Pump revolutions during test    N         Revs         1
 period.                                                Rev.
Elapsed time for test period..  t         s            0.5
                                                        s.
------------------------------------------------------------------------

    (5) After the system has been connected as shown in Figure 5 in 
Appendix B of this subpart, set the variable restrictor in the wide open 
position and run the CVS pump for 20 minutes. Record the calibration 
data.
    (6) Reset the restrictor valve to a more restricted condition in an 
increment of pump inlet depression that will yield a minimum of six data 
points for the total calibration. Allow the system to stabilize for 
three minutes and repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point is 
calculated in standard cubic feet per minute 20  deg.C, 101.3 kPa from 
the flowmeter data using the manufacturer's prescribed method.
    (ii) The air flow rate is then converted to pump flow, 
Vo, in cubic meter per revolution at absolute pump inlet 
temperature and pressure:
[GRAPHIC] [TIFF OMITTED] TR03JY95.031

Where:

Vo = Pump flow, m\3\/rev at Tp, Pp.
Qs = Meter air flow rate in standard cubic meters per minute, 
standard conditions are 20  deg.C, 101.3 kPa.
n = Pump speed in revolutions per minute.
Tp = Absolute pump inlet temperature in Kelvin, =PTI+273 
[ deg.K]
Pp = Absolute pump inlet pressure, kPa. = PB-PPI

Where:

PB = barometric pressure, kPa
PPI = Pump inlet depression, kPa.

    (iii) The correlation function at each test point is then calculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR03JY95.032

Where:

Xo = correlation function.
[Delta]p = The pressure differential from pump inlet to pump outlet 
[kPa]
      [Delta]p = Pe-Pp.

Where:

Pe = Absolute pump outlet pressure [kPa], Pe = 
PB+PPI

    (iv) A linear least squares fit is performed to generate the 
calibration equation which has the form:
[GRAPHIC] [TIFF OMITTED] TR03JY95.033

Where:

Do and M are the intercept and slope constants, respectively, 
describing the regression line.
    (8) A CVS system that has multiple speeds should be calibrated on 
each speed used. The calibration curves generated for the ranges will be 
approximately parallel and the intercept values, Do, will 
increase as the pump flow range decreases.
    (9) If the calibration has been performed carefully, the calculated 
values

[[Page 239]]

from the equation will be within  0.50 percent of the 
measured value of Vo. Values of M will vary from one pump to 
another, but values of Do for pumps of the same make, model, 
and range should agree within  three percent of each other. 
Calibrations should be performed at pump start-up and after major 
maintenance to assure the stability of the pump slip rate. Analysis of 
mass injection data will also reflect pump slip stability.
    (d) CFV-CVS calibration. (1) Calibration of the CFV is based upon 
the flow equation for a critical venturi. Gas flow is a function of 
inlet pressure and temperature:
[GRAPHIC] [TIFF OMITTED] TR03JY95.034

Where:

Qs = flow rate [m\3\/min.]
Kv = calibration coefficient
P = absolute pressure [kPa]
T = absolute temperature [ deg.K]

    The calibration procedure described in paragraph (d)(3) of this 
section establishes the value of the calibration coefficient at measured 
values of pressure, temperature, and air flow.
    (2) The manufacturer's recommended procedure must be followed for 
calibrating electronic portions of the CFV.
    (3) Measurements necessary for flow calibration are as follows:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
            Parameter                    Symbol               Units                      Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric Pressure (corrected).  PB                   kPa                  .34 kPa
Air temperature, into flowmeter.  ETI                    deg.C              .28  deg.C
Pressure drop between the inlet   EDP                  in. H2 O             .05 in H2 O
 and throat of metering venturi.
Air flow........................  QS                   m3/min               .5 percent of NIST value
CFV inlet depression............  PPI                  (kPa)                .055 kPa
Temperature at venturi inlet....  TV                     deg.C              2.22  deg.C
----------------------------------------------------------------------------------------------------------------

    (4) Set up equipment as shown in Figure 6 in Appendix B of this 
subpart and eliminate leaks. (Leaks between the flow measuring devices 
and the critical flow venturi will seriously affect the accuracy of the 
calibration.)
    (5) Set the variable flow restrictor to the open position, start the 
blower, and allow the system to stabilize. Record data from all 
instruments.
    (6) Vary the flow restrictor and make at least eight readings across 
the critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibration are to 
be used in the following calculations:
    (i) Calculate the air flow rate (designated as Qs) at 
each test point in standard cubic feet per minute from the flow meter 
data using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each test 
point:
[GRAPHIC] [TIFF OMITTED] TR03JY95.035

Where:

Qs = Flow rate in standard cubic meters per minute, at the 
standard conditions of 20  deg.C, 101.3 kPa.
Tv = Temperature at venturi inlet,  deg.K.
Pv = Pressure at venturi inlet, kPa = PB - 
PPI

Where:

PPI = Venturi inlet pressure depression, kPa.

    (iii) Plot Kv as a function of venturi inlet pressure. 
For choked flow, Kv will have a relatively constant value. As 
pressure decreases (vacuum increases), the venturi becomes unchoked and 
Kv decreases. (See Figure 7 in Appendix B to Subpart D.)
    (iv) For a minimum of eight points in the critical region, calculate 
an average Kv and the standard deviation.
    (v) If the standard deviation exceeds 0.3 percent of the average 
Kv , take corrective action.
    (e) CVS system verification. The following ``gravimetric'' technique 
may be used to verify that the CVS and analytical instruments can 
accurately measure a mass of gas that has been injected into the system. 
(Verification can also be accomplished by constant

[[Page 240]]

flow metering using critical flow orifice devices.)
    (1) Obtain a small cylinder that has been charged with 99.5 percent 
or greater propane or carbon monoxide gas (CAUTION--carbon monoxide is 
poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01 grams.
    (3) Operate the CVS in the normal manner and release a quantity of 
pure propane into the system during the sampling period (approximately 
five minutes).
    (4) The calculations are performed in the normal way except in the 
case of propane. The density of propane (0.6109 kg/m\3\/carbon atom) is 
used in place of the density of exhaust hydrocarbons.
    (5) The gravimetric mass is subtracted from the CVS measured mass 
and then divided by the gravimetric mass to determine the percent 
accuracy of the system.
    (6) Good engineering practice requires that the cause for any 
discrepancy greater than  two percent must be found and 
corrected.

Sec. 90.425  CVS calibration frequency.

    Calibrate the CVS positive displacement pump or critical flow 
venturi following initial installation, major maintenance, or as 
necessary when indicated by the CVS system verification (described in 
Sec. 90.424(e)).

Sec. 90.426  Dilute emission sampling calculations--gasoline fueled 
          engines.

    (a) The final reported emission test results must be computed by use 
of the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.036

Where:

AWM = Final weighted brake-specific mass emission rate for an 
emission (HC, CO, CO2, or NOX) [g/kW-hr]
Wi = Average mass flow rate of an emission (HC, CO, 
CO2, NOX) from a test engine during mode i [g/hr]
WFi = Weighting factor for each mode i as defined in 
Sec. 90.410(a).
Pi = Gross average power generated during mode i [kW], 
calculated from the following equation,
[GRAPHIC] [TIFF OMITTED] TR03JY95.037

Where:

speed = average engine speed measured during mode i [rev./minute]
torque = average engine torque measured during mode i [N-m]
    KHi = NOX humidity correction factor for mode 
i. This correction factor only affects calculations for tion factor only 
affects calculations for NOX and is equal to one for all 
other emissions. KHi is also equal to 1 for all two-stroke 
engines.

    (b) The mass flow rate, Wi in g/hr, of an emission for 
mode i is determined from the following equations:
[GRAPHIC] [TIFF OMITTED] TR03JY95.038

Where:

Qi = Volumetric flow rate oandard conditions [m\3\/hr at 
STP].
Density = Density of a specific emission (DensityHC, 
DensityCO, DensityCO2, DensityNOx) [g/
m\3\].
DFi = Dilution factor of the dilute exhaust during mode i.
CDi = Concentration of the emission (HC, CO, NOX) 
in dilute exhaust extracted from the CVS during mode i [ppm].
CBi = Concentration of the emission (HC, CO, NOX) 
in the background sample during mode i [ppm].
STP = Standard temperature and pressure. All volumetric calculations 
made for the equations in this section are to be corrected to a standard 
temperature of 20  deg.C and 101.3 kPa.

    (c) Densities for emissions that are to be measured for this test 
procedure are:

DensityHC = 576.8 g/m\3\
DensityNOX = 1912 g/m\3\
DensityCO = 1164 g/m\3\
DensityCO2 = 1829 g/m\3\

    (1) The value of DensityHC above is calculated based on 
the assumption that the fuel used has a carbon to hydrogen ratio of 
1:1.85. For other fuels DensityHC can be calculated from the 
following formula:

[[Page 241]]

[GRAPHIC] [TIFF OMITTED] TR03JY95.039

Where:

MHC = The molecular weight of the hydrocarbon molecule 
divided by the number of carbon atoms in the molecule [g/mole]
RSTP = Ideal gas constant for a gas at STP=0.024065 [m\3\-
mole].

    (2) The idealized molecular weight of the exhaust hydrocarbons, 
i.e., the molecular weight of the hydrocarbon molecule divided by the 
number of carbon atoms in the molecule, MHC, can be 
calculated from the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.040

Where:

MC = Molecular weight of carbon=12.01 [g/mole]
MH = Molecular weight of hydrogen=1.008 [g/mole]
MO = Molecular weight of oxygen=16.00 [g/mole]
[alpha] = Hydrogen to carbon ratio of the test fuel
[beta] = Oxygen to carbon ratio of the test fuel

    (3) The value of DensityNOX above assumes that 
NOX is entirely in the form of NO2
    (d) The dilution factor, DF, is the ratio of the volumetric flow 
rate of the background air to that of the raw engine exhaust. The 
following formula is used to determine DF:
[GRAPHIC] [TIFF OMITTED] TR03JY95.041

Where:

CDHC = Concentration of HC in the dilute sample [ppm]
CDCO = Concentration of CO in the dilute sample [ppm]
CDCO2 = Concentration of CO2 in the dilute sample 
[ppm]

    (e) The humidity correction factor KH is an adjustment 
made to the measured NOX. This corrects for the sensitivity 
that a spark-ignition engine has to the humidity of its combustion air. 
The following formula is used to determine KH for 
NOX calculations:
[GRAPHIC] [TIFF OMITTED] TR03JY95.042

Where:

H = Absolute humidity of the engine intake air [grams of water per 
kilogram of dry air].

    (f) Calculate the absolute humidity of the engine intake air H using 
the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.043

Where:

Pdew = Saturated vapor pressure at the dew point temperature 
[kPa]
Pb = Barometric pressure [kPa].

    (g) Compute the final reported brake-specific fuel consumption 
(BSFC) by use of the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.044

Where:

BSFC = brake-specific fuel consumption in grams of fuel per brake 
kilowatt-hour [g/kW-hr].
GFUELi = mass flow rate of engine fuel during mode i [g/hr]
WFi = Weighting factors for each mode according to 
Sec. 90.410(a)
Pi = Gross average power generated during mode i [kW], 
calculated from the following equation,
[GRAPHIC] [TIFF OMITTED] TR03JY95.045

Where:

speed = average engine speed measured during mode i [rev./minute]
torque = average engine torque measured during mode i [N-m]

    (h) The fuel mass flow rate, Fi, can be either measured 
or calculated using the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.046

Where:

MFUEL = Mass of fuel consumed by the engine during the mode 
[g]
T = Duration of the sampling period [hr]

    (i) The mass of fuel consumed during the mode sampling period, 
MFUEL, can

[[Page 242]]

be calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.047

Where:

Gs = Mass of carbon measured during the mode sampling period 
[g]
R2 = The fuel carbon weight fraction, which is the mass of 
carbon in fuel per mass of fuel [g/g]

    The grams of carbon measured during the mode, Gs, can be 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.048

Where:

HCmass=mass of hydrocarbon emissions for the mode sampling 
period [grams]
CO2mass=mass of carbon monoxide emissions for the mode 
sampling period [grams]
CO2mass=mass of carbon dioxide emissions for the mode 
sampling period [grams]
[alpha]=The atomic hydrogen to carbon ratio of the fuel

Sec. 90.427  Catalyst thermal stress resistance evaluation.

    (a) The purpose of the evaluation procedure specified in this 
section is to determine the effect of thermal stress on catalyst 
conversion efficiency for Phase 1 engines. The thermal stress is imposed 
on the test catalyst by exposing it to quiescent heated air in an oven. 
The evaluation of the effect of such stress on catalyst performance is 
based on the resultant degradation of the efficiency with which the 
conversions of specific pollutants are promoted. The application of this 
evaluation procedure involves the several steps that are described in 
the following paragraphs.
    (b) Determination of initial conversion efficiency. (1) A synthetic 
exhaust gas mixture having the composition specified in Sec. 90.329 is 
heated to a temperature of 450  deg.C  5  deg.C and passed 
through the new test catalyst or, optionally, a test catalyst that has 
been exposed to temperatures less than or equal to 500  deg.C for less 
than or equal to two hours, under flow conditions that are 
representative of anticipated in-use conditions.
    (2) The concentration of each pollutant of interest, that is, 
hydrocarbons, carbon monoxide, or oxides of nitrogen, in the effluent of 
the catalyst is determined by means of the instrumentation that is 
specified for exhaust gas analysis in subpart D of this part.
    (3) The conversion efficiency for each pollutant is determined by:
    (i) Subtracting the effluent concentration from the initial 
concentration;
    (ii) Dividing this result by the initial concentration; and
    (iii) Multiplying this result by 100 percent.
    (c) Imposition of thermal stress. (1) The catalyst is placed in an 
oven that has been pre-heated to 1000  deg.C and the temperature of the 
air in the oven is maintained at 1000  deg.C  10  deg.C for 
six hours.
    (2) The catalyst is removed from the oven and allowed to cool to 
room temperature.
    (d) Determination of final conversion efficiency. The steps listed 
in paragraph (b) of this section are repeated.
    (e) Determination of conversion efficiency degradation.
    (1) The final conversion efficiency determined in paragraph (c) of 
this section is subtracted from the initial conversion efficiency 
determined in paragraph (b) of this section.
    (2) This result is divided by the initial conversion efficiency.
    (3) This result is multiplied by 100 percent.
    (f) Determination of compliance with degradation limit. The percent 
degradation determined in paragraph (e) of this section must not be 
greater than 20 percent.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999]

[[Page 243]]

               Appendix A to Subpart E of Part 90--Tables

      Table 1--Parameters to be Measured or Calculated and Recorded
------------------------------------------------------------------------
                    Parameter                              Units
------------------------------------------------------------------------
Airflow rate (dry), if applicable................  g/h
Fuel flow rate...................................  g/h
Engine Speed.....................................  rpm
Engine Torque Output.............................  N m
Power Output.....................................  kW
Air inlet temperature............................    deg.C
Air humidity.....................................  mg/kg
Coolant temperature (liquid cooled)..............    deg.C
Exhaust mixing chamber surface temperature, if       deg.C
 applicable.
Exhaust sample line temperature, if applicable...    deg.C
Total Accumulated hours of Engine Operation......  h
Barometric Pressure..............................  kPa
------------------------------------------------------------------------


                                             Table 2--Test Cycles for Class I-A, I-B, and Class I-V Engines
--------------------------------------------------------------------------------------------------------------------------------------------------------
                      Mode Speed                          1        2        3        4        5        6        7        8        9        10       11
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Rated Speed
                                                                    Intermediate Speed                Idle
Mode Points--A Cycle.................................  .......  .......  .......  .......  .......        1        2        3        4        5        6
Load Percent--A Cycle................................  .......  .......  .......  .......  .......      100       75       50       25       10        0
Weighting............................................  .......  .......  .......  .......  .......       9%      20%      29%      30%       7%       5%
Mode Points--B Cycle.................................        1        2        3        4        5  .......  .......  .......  .......  .......        6
Load Percent--B Cycle................................      100       75       50       25       10  .......  .......  .......  .......  .......        0
Weighting............................................       9%      20%      29%      30%       7%  .......  .......  .......  .......  .......       5%
Mode Points--C Cycle.................................        1  .......  .......  .......  .......  .......  .......  .......  .......  .......        2
Load Percent--C Cycle................................      100  .......  .......  .......  .......  .......  .......  .......  .......  .......        0
Weighting for Phase 1 Engines........................      90%  .......  .......  .......  .......  .......  .......  .......  .......  .......      10%
Weighting for Phase 2 Engines........................      85%  .......  .......  .......  .......  .......  .......  .......  .......  .......      15%
--------------------------------------------------------------------------------------------------------------------------------------------------------


[60 FR 34598, July 3, 1995, as amended at 65 FR 24313, Apr. 25, 2000]

[[Page 244]]

               Appendix B to Subpart E of Part 90--Figures
      [GRAPHIC] [TIFF OMITTED] TC01MR92.087
      

[[Page 245]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.088


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[GRAPHIC] [TIFF OMITTED] TC01MR92.089


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[GRAPHIC] [TIFF OMITTED] TC01MR92.090


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[GRAPHIC] [TIFF OMITTED] TC01MR92.006


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[GRAPHIC] [TIFF OMITTED] TC01MR92.007


[[Page 250]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.008

                Subpart F--Selective Enforcement Auditing

Sec. 90.501  Applicability.

    The requirements of subpart F shall be applicable to all nonroad 
engines and vehicles subject to the provisions of subpart A of part 90.

Sec. 90.502  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions shall also apply to this subpart.
    Acceptable quality level (AQL) means the maximum percentage of 
failing engines that can be considered a satisfactory process average 
for sampling inspections.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, fuel system, engine calibration, and other parameters as 
designated by the Administrator.
    Inspection criteria means the pass and fail numbers associated with 
a particular sampling plan.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.

Sec. 90.503  Test orders.

    (a) The Administrator shall require any testing under this subpart 
by means of a test order addressed to the manufacturer.
    (b) The test order will be signed by the Assistant Administrator for 
Air and Radiation or his or her designee. The test order will be 
delivered in person by an EPA enforcement officer or EPA authorized 
representative to a company representative or sent by registered mail, 
return receipt requested, to the manufacturer's representative

[[Page 251]]

who signed the application for certification submitted by the 
manufacturer, pursuant to the requirements of the applicable section of 
subpart B of this part. Upon receipt of a test order, the manufacturer 
shall comply with all of the provisions of this subpart and instructions 
in the test order.
    (c) Information included in test order. (1) The test order will 
specify the engine family to be selected for testing, the manufacturer's 
engine assembly plant or associated storage facility or port facility 
(for imported engines) from which the engines must be selected, the time 
and location at which engines must be selected, and the procedure by 
which engines of the specified family must be selected. The test order 
may specify the configuration to be audited and/or the number of engines 
to be selected per day. Engine manufacturers will be required to select 
a minimum of four engines per day unless an alternate selection 
procedure is approved pursuant to Sec. 90.507(a), or unless total 
production of the specified configuration is less than four engines per 
day. If total production of the specified configuration is less than 
four engines per day, the manufacturer will select the actual number of 
engines produced per day.
    (2) The test order may include alternate families to be selected for 
testing at the Administrator's discretion in the event that engines of 
the specified family are not available for testing because those engines 
are not being manufactured during the specified time, or are not being 
stored at the specified assembly plant, associated storage facilities or 
port of entry.
    (3) If the specified family is not being manufactured at a rate of 
at least two engines per day in the case of manufacturers specified in 
Sec. 90.508(g)(1), or one engine per day in the case of manufacturers 
specified in Sec. 90.508(g)(2), over the expected duration of the audit, 
the Assistant Administrator or his or her designated representative may 
select engines of the alternate family for testing.
    (4) In addition, the test order may include other directions or 
information essential to the administration of the required testing.
    (d) A manufacturer may submit a list of engine families and the 
corresponding assembly plants, associated storage facilities, or (in the 
case of imported engines) port facilities from which the manufacturer 
prefers to have engines selected for testing in response to a test 
order. In order that a manufacturer's preferred location be considered 
for inclusion in a test order for a particular engine family, the list 
must be submitted prior to issuance of the test order. Notwithstanding 
the fact that a manufacturer has submitted the list, the Administrator 
may order selection at other than a preferred location.
    (e) Upon receipt of a test order, a manufacturer shall proceed in 
accordance with the provisions of this subpart.
    (f)(1) During a given model year, the Administrator shall not issue 
to a manufacturer more Selective Enforcement Auditing (SEA) test orders 
than an annual limit determined by the following:
    (i) for manufacturers with a projected annual production of less 
than 100,000 engines bound for the United States market for that model 
year, the number is two;
    (ii) for manufacturers with a projected annual production of 100,000 
or more engines bound for the United States market for that model year, 
by dividing the manufacturer's total number of certified engine families 
by five and rounding to the nearest whole number, unless the number of 
engine families is less than eight, in which case the number is two.
    (2) If a manufacturer submits to EPA in writing prior to or during 
the model year a reliable sales projection update or adds engine 
families or deletes engine families from its production, that 
information will be used for recalculating the manufacturer's annual 
limit of SEA test orders.
    (3) Any SEA test order for which the family or configuration, as 
appropriate, fails under Sec. 90.510 or for which testing is not 
completed will not be counted against the annual limit.
    (4) When the annual limit has been met, the Administrator may issue 
additional test orders to test those families or configurations for 
which evidence

[[Page 252]]

exists indicating nonconformity, or for which the Administrator has 
reason to believe are not being appropriately represented or tested in 
Production Line Testing conducted under subpart H of this part, if 
applicable. An SEA test order issued pursuant to this provision will 
include a statement as to the reason for its issuance.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999]

Sec. 90.504  Testing by the Administrator.

    (a) The Administrator may require by test order under Sec. 90.503 
that engines of a specified family be selected in a manner consistent 
with the requirements of Sec. 90.507 and submitted to the Administrator 
at the place designated for the purpose of conducting emission tests. 
These tests will be conducted in accordance with Sec. 90.508 to 
determine whether engines manufactured by the manufacturer conform with 
the regulations with respect to which the certificate of conformity was 
issued.
    (b) Designating official data. (1) Whenever the Administrator 
conducts a test on a test engine or the Administrator and manufacturer 
each conduct a test on the same test engine, the results of the 
Administrator's test will comprise the official data for that engine.
    (2) Whenever the manufacturer conducts all tests on a test engine, 
the manufacturer's test data will be accepted as the official data, 
provided that if the Administrator makes a determination based on 
testing conducted under paragraph (a) of this section that there is a 
substantial lack of agreement between the manufacturer's test results 
and the Administrator's test results, no manufacturer's test data from 
the manufacturer's test facility will be accepted for purposes of this 
subpart.
    (c) If testing conducted under paragraph (a) of this section is 
unacceptable under Sec. 90.503, the Administrator shall:
    (1) Notify the manufacturer in writing of the Administrator's 
determination that the test facility is inappropriate for conducting the 
tests required by this subpart and the reasons therefor; and
    (2) Reinstate any manufacturer's data upon a showing by the 
manufacturer that the data acquired under paragraph (a) of this section 
was erroneous and the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the Administrator 
reconsider his or her determination in paragraph (b)(2) of this section 
based on data or information which indicates that changes have been made 
to the test facility and these changes have resolved the reasons for 
disqualification.

Sec. 90.505  Maintenance of records; submittal of information.

    (a) The manufacturer of any new nonroad engine subject to any of the 
provisions of this subpart shall establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines, as specified in subpart D of this part, in accordance with 
Sec. 90.508 pursuant to a test order issued under this subpart.
    (2) Individual records. These records pertain to each audit 
conducted pursuant to this subpart and shall include:
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the engine when 
the test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the audit;
    (iv) A record and description of any repairs performed prior to and/
or subsequent to approval by the Administrator, giving the date, 
associated time, justification, name(s) of the authorizing personnel, 
and names of all supervisory personnel responsible for the conduct of 
the repair;
    (v) The date the engine was shipped from the assembly plant, 
associated storage facility or port facility and date the engine was 
received at the testing facility;
    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, to be in accordance with the record 
requirements specified in

[[Page 253]]

Sec. Sec. 90.405, 90.406, 90.418, and/or 90.425 as applicable.
    (vii) A brief description of any significant audit events commencing 
with the test engine selection process, but not described under 
paragraph (a)(2) of this section, including such extraordinary events as 
engine damage during shipment.
    (3) The manufacturer shall record test equipment description, 
pursuant to paragraph (a)(1) of this section, for each test cell that 
can be used to perform emission testing under this subpart.
    (b) The manufacturer shall retain all records required to be 
maintained under this subpart for a period of one year after completion 
of all testing in response to a test order. Records may be retained as 
hard copy or reduced to microfilm, floppy disc, and so forth, depending 
upon the manufacturer's record retention procedure, provided that in 
every case all the information contained in the hard copy is retained.
    (c) The manufacturer shall, upon request by the Administrator, 
submit the following information with regard to engine production:
    (1) Projected U.S. sales data for each engine configuration within 
each engine family for which certification is requested;
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production for the time period designated in the request;
    (3) Number of engines, by configuration and by assembly plant, 
storage facility or port facility, scheduled to be stored at facilities 
for the time period designated in the request; and
    (4) Number of engines, by configuration and assembly plant, produced 
during the time period designated in the request that are complete for 
introduction into commerce.
    (d) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (e) The manufacturer shall address all reports, submissions, 
notifications, and requests for approvals made under this subpart to: 
Director, Manufacturers Operations Division, U.S. Environmental 
Protection Agency, 6405-J, 401 M St., SW., Washington, DC 20460.

Sec. 90.506  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this subpart, a test order is issued 
which authorizes EPA enforcement officers or their authorized 
representatives upon presentation of credentials to enter during 
operating hours any of the following places:
    (1) Any facility where any engine to be introduced into commerce, 
including ports of entry, or any emission-related component is 
manufactured, assembled, or stored;
    (2) Any facility where any tests conducted pursuant to a test order 
or any procedures or activities connected with these tests are or were 
performed;
    (3) Any facility where any engine which is being tested, was tested, 
or will be tested is present; and
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers or EPA authorized representatives 
are authorized to perform the following inspection-related activities:
    (1) To inspect and monitor any aspects of engine assembly, storage, 
testing and other procedures, and the facilities in which these 
procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including, but not limited to, engine selection, 
preparation, service accumulation, emission test cycles, and maintenance 
and verification of test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection and testing of an engine in 
compliance with a test order; and
    (4) To inspect and photograph any part or aspect of any engine and 
any component used in the assembly thereof that is reasonably related to 
the purpose of the entry.
    (c) EPA enforcement officers or EPA authorized representatives are 
authorized to obtain reasonable assistance

[[Page 254]]

without cost from those in charge of a facility to help the officers 
perform any function listed in this subpart, and they are authorized to 
request the recipient of a test order to make arrangements with those in 
charge of a facility operated for the manufacturer's benefit to furnish 
reasonable assistance without cost to EPA, whether or not the recipient 
controls the facility.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services, the making available 
on an EPA enforcement officer's or EPA authorized representative's 
request of personnel of the facility being inspected during their 
working hours to inform the EPA enforcement officer or EPA authorized 
representative of how the facility operates and to answer the officer's 
questions, and the performance on request of emission tests on any 
engine which is being, has been, or will be used for SEA testing.
    (2) A manufacturer may be compelled to cause the personal appearance 
of any employee at such a facility before an EPA enforcement officer or 
EPA authorized representative by written request for his or her 
appearance, signed by the Assistant Administrator for Air and Radiation, 
served on the manufacturer. Any such employee who has been instructed by 
the manufacturer to appear will be entitled to be accompanied, 
represented, and advised by counsel.
    (d) EPA enforcement officers or EPA authorized representatives are 
authorized to seek a warrant or court order authorizing the EPA 
enforcement officers or EPA authorized representatives to conduct 
activities related to entry and access as authorized in this section, as 
appropriate, to execute the functions specified in this section. EPA 
enforcement officers or authorized representatives may proceed ex parte 
to obtain a warrant whether or not the EPA enforcement officers or EPA 
authorized representatives first attempted to seek permission of the 
recipient of the test order or the party in charge of the facilities in 
question to conduct activities related to entry and access as authorized 
in this section.
    (e) A recipient of a test order shall permit an EPA enforcement 
officer(s) or EPA authorized representative(s) who presents a warrant or 
court order to conduct activities related to entry and access as 
authorized in this section and as described in the warrant or court 
order. The recipient shall also cause those in charge of its facility or 
a facility operated for its benefit to permit entry and access as 
authorized in this section pursuant to a warrant or court order whether 
or not the recipient controls the facility. In the absence of a warrant 
or court order, an EPA enforcement officer(s) or EPA authorized 
representative(s) may conduct activities related to entry and access as 
authorized in this section only upon the consent of the recipient of the 
test order or the party in charge of the facilities in question.
    (f) It is not a violation of this part or of the Clean Air Act for 
any person to refuse to permit an EPA enforcement officer(s) or an EPA 
authorized representative(s) to conduct activities related to entry and 
access as authorized in this section if the officer or representative 
appears without a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions in which local foreign law 
does not prohibit an EPA enforcement officer(s) or an EPA authorized 
representative(s) from conducting the entry and access activities 
specified in this section. EPA will not attempt to make any inspections 
which it has been informed that local foreign law prohibits.

Sec. 90.507  Sample selection.

    (a) Engines comprising a test sample will be selected at the 
location and in the manner specified in the test order. If a 
manufacturer determines that the test engines cannot be selected in the 
manner specified in the test order, an alternative selection procedure 
may be employed, provided the manufacturer requests approval of the 
alternative procedure prior to the start of test sample selection, and 
the Administrator approves the procedure.
    (b) The manufacturer shall assemble the test engines of the family 
selected for testing using its normal mass production process for 
engines to be distributed into commerce. If, between

[[Page 255]]

the time the manufacturer is notified of a test order and the time the 
manufacturer finishes selecting test engines, the manufacturer 
implements any change(s) in its production processes, including quality 
control, which may reasonably be expected to affect the emissions of the 
engines selected, then the manufacturer shall, during the audit, inform 
the Administrator of such changes. If the test engines are selected at a 
location where they do not have their operational and emission control 
systems installed, the test order will specify the manner and location 
for selection of components to complete assembly of the engines. The 
manufacturer shall assemble these components onto the test engines using 
normal assembly and quality control procedures as documented by the 
manufacturer.
    (c) No quality control, testing, or assembly procedures will be used 
on the test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in assembly procedures pursuant 
to paragraph (b) of this section.
    (d) The test order may specify that an EPA enforcement officer(s) or 
authorized representative(s), rather than the manufacturer, select the 
test engines according to the method specified in the test order.
    (e) The order in which test engines are selected determines the 
order in which test results are to be used in applying the sampling plan 
in accordance with Sec. 90.510.
    (f) The manufacturer shall keep on hand all untested engines, if 
any, comprising the test sample until a pass or fail decision is reached 
in accordance with Sec. 90.510(e). The manufacturer may ship any tested 
engine which has not failed in accordance with Sec. 90.510(b). However, 
once the manufacturer ships any test engine, it relinquishes the 
prerogative to conduct retests as provided in Sec. 90.508(i).

Sec. 90.508  Test procedures.

    (a) For nonroad engines subject to the provisions of this subpart, 
the prescribed test procedures are the appropriate small SI engine test 
procedures as described in subpart E of this part.
    (b)(1) The manufacturer shall not adjust, repair, prepare, or modify 
the engines selected for testing and shall not perform any emission 
tests on engines selected for testing pursuant to the test order unless 
this adjustment, repair, preparation, modification, and/or tests are 
documented in the manufacturer's engine assembly and inspection 
procedures and are actually performed or unless these adjustments and/or 
tests are required or permitted under this subpart or are approved in 
advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted any engine 
parameter which the Administrator has determined to be subject to 
adjustment for certification and Selective Enforcement Audit testing in 
accordance with Sec. 90.112(c), to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator 
in accordance with Sec. 90.112(a), prior to the performance of any 
tests. However, if the idle speed parameter is one which the 
Administrator has determined to be subject to adjustment, the 
Administrator shall not adjust it to any setting which causes a lower 
engine idle speed than would have been possible within the physically 
adjustable range of the idle speed parameter if the manufacturer had 
accumulated 12 hours of service on the engine under paragraph (c) of 
this section, all other parameters being identically adjusted for the 
purpose of the comparison. The manufacturer may be requested to supply 
information needed to establish an alternate minimum idle speed. The 
Administrator, in making or specifying these adjustments, may consider 
the effect of the deviation from the manufacturer's recommended setting 
on emission performance characteristics as well as the likelihood that 
similar settings will occur on in-use engines. In determining 
likelihood, the Administrator may consider factors such as, but not 
limited to, the effect of the adjustment on engine performance 
characteristics and surveillance information from similar in-use 
engines.
    (c) Service Accumulation. Prior to performing exhaust emission 
testing on an SEA test engine, the manufacturer

[[Page 256]]

may accumulate on each engine a number of hours of service equal to the 
greater of 12 hours or the number of hours the manufacturer accumulated 
during certification on the emission data engine corresponding to the 
family specified in the test order.
    (1) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of normal 
production engines. This service accumulation must be consistent with 
the new engine break-in instructions contained in the applicable owner's 
manual.
    (2) The manufacturer shall accumulate service at a minimum rate of 
12 hours per engine during each 24-hour period, unless otherwise 
approved by the Administrator.
    (i) The first 24 hour period for service shall begin as soon as 
authorized checks, inspections, and preparations are completed on each 
engine.
    (ii) The minimum service or mileage accumulation rate does not apply 
on weekends or holidays.
    (iii) If the manufacturer's service or target is less than the 
minimum rate specified (12 hours per day), then the minimum daily 
accumulation rate shall be equal to the manufacturer's service target.
    (3) Service accumulation shall be completed on a sufficient number 
of test engines during consecutive 24-hour periods to assure that the 
number of engines tested per day fulfills the requirements of paragraphs 
(g)(1) and (g)(2) of this section.
    (d) The manufacturer shall not perform any maintenance on test 
engines after selection for testing, nor shall the Administrator allow 
deletion of any engine from the test sequence, unless requested by the 
manufacturer and approved by the Administrator before any engine 
maintenance or deletion.
    (e) The manufacturer shall expeditiously ship test engines from the 
point of selection to the test facility. If the test facility is not 
located at or in close proximity to the point of selection, the 
manufacturer shall assure that test engines arrive at the test facility 
within 24 hours of selection, except that the Administrator may approve 
more time for shipment based upon a request by the manufacturer 
accompanied by a satisfactory justification.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or its 
deletion from the test sequence.
    (g) Whenever a manufacturer conducts testing pursuant to a test 
order issued under this subpart, the manufacturer shall notify the 
Administrator within one working day of receipt of the test order as to 
which test facility will be used to comply with the test order. If no 
test cells are available at a desired facility, the manufacturer must 
provide alternate testing capability satisfactory to the Administrator.
    (1) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of 7,500 or greater shall 
complete emission testing at a minimum rate of two engines per 24-hour 
period, including each voided test.
    (2) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of less than 7,500 shall 
complete emission testing at a minimum rate of one engine per 24-hour 
period, including each voided test.
    (3) The Administrator may approve a lower daily rate of emission 
testing based upon a request by a manufacturer accompanied by a 
satisfactory justification.
    (h) The manufacturer shall perform test engine selection, shipping, 
preparation, service accumulation, and testing in such a manner as to 
assure that the audit is performed in an expeditious manner.
    (i) Retesting. (1) The manufacturer may retest any engines tested 
during a Selective Enforcement Audit once a fail decision for the audit 
has been reached in accordance with Sec. 90.510(e).
    (2) The Administrator may approve retesting at other times based 
upon a request by the manufacturer accompanied by a satisfactory 
justification.
    (3) The manufacturer may retest each engine a total of three times. 
The manufacturer shall test each engine or vehicle the same number of 
times. The

[[Page 257]]

manufacturer may accumulate additional service before conducting a 
retest, subject to the provisions of paragraph (c) of this section.
    (j) A manufacturer may test engines with the test procedure 
specified in subpart E of this part to demonstrate compliance with the 
exhaust emission standards; however, if alternate procedures were used 
in certification pursuant to Sec. 90.120, then those alternate 
procedures shall be used.

Sec. 90.509  Calculation and reporting of test results.

    (a) Initial test results are calculated following the applicable 
test procedure specified in paragraph (a) of Sec. 90.508. The 
manufacturer shall round these results, in accordance with ASTM E29-93a, 
to the number of decimal places contained in the applicable emission 
standard expressed to one additional significant figure. ASTM E29-93a 
has been incorporated by reference. See Sec. 90.7.
    (b)(1) Final test results are calculated by summing the initial test 
results derived in paragraph (a) of this section for each test engine, 
dividing by the number of tests conducted on the engine, and rounding to 
the same number of decimal places contained in the applicable standard. 
For Phase 2 engines only, this result shall be expressed to one 
additional significant figure.
    (2) Final deteriorated test results (for Phase 2 test engines only) 
are calculated by applying the appropriate deterioration factors, from 
the certification process for the engine family, to the final test 
results, and rounding to the same number of decimal places contained in 
the applicable standard.
    (c) Within five working days after completion of testing of all 
engines pursuant to a test order, the manufacturer shall submit to the 
Administrator a report which includes the following information:
    (1) The location and description of the manufacturer's exhaust 
emission test facilities which were utilized to conduct testing reported 
pursuant to this section;
    (2) The applicable standards or compliance levels against which the 
engines were tested;
    (3) A description of the engine and its associated emission-related 
component selection method used;
    (4) For each test conducted;
    (i) Test engine description, including:
    (A) Configuration and engine family identification;
    (B) Year, make and build date;
    (C) Engine identification number; and
    (D) Number of hours of service accumulated on engine prior to 
testing;
    (ii) Location where service accumulation was conducted and 
description of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding and final test results for all exhaust 
emission tests, whether valid or invalid, and the reason for 
invalidation, if applicable;
    (iv) A complete description of any modification, repair, 
preparation, maintenance, and/or testing which was performed on the test 
engine and has not been reported pursuant to any other paragraph of this 
subpart and will not be performed on all other production engines;
    (v) Where an engine was deleted from the test sequence by 
authorization of the Administrator, the reason for the deletion;
    (vi) Any other information the Administrator may request relevant to 
the determination as to whether the new engines being manufactured by 
the manufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued; and
    (5) The following statement and endorsement:
    This report is submitted pursuant to sections 213 and 208 of the 
Clean Air Act. This Selective Enforcement Audit was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
90 et seq. and the conditions of the test order. No emission-related 
changes to production processes or quality control procedures for the 
engine family tested have been made between receipt of the test order 
and conclusion of the audit. All data and information reported herein 
is, to the best of (Company Name) knowledge, true and accurate. I am 
aware of

[[Page 258]]

the penalties associated with violations of the Clean Air Act and the 
regulations thereunder. (Authorized Company Representative.)

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999]

Sec. 90.510  Compliance with acceptable quality level and passing and 
          failing criteria for selective enforcement audits.

    (a) The prescribed acceptable quality level is 40 percent.
    (b) For Phase I engines, a failed engine is an engine whose final 
test results pursuant to Sec. 90.509(b), for one or more of the 
applicable pollutants exceed the emission standard. For Phase 2 engines, 
a failed engine is an engine whose final deteriorated test results 
pursuant to Sec. 90.509(b), for one or more of the applicable pollutants 
exceed the emission standard (FEL, if applicable).
    (c) The manufacturer shall test engines comprising the test sample 
until a pass decision is reached for all pollutants or a fail decision 
is reached for one pollutant. A pass decision is reached when the 
cumulative number of failed engines, as defined in paragraph (b) of this 
section, for each pollutant is less than or equal to the pass decision 
number, as defined in paragraph (d) of this section, appropriate to the 
cumulative number of engines tested. A fail decision is reached when the 
cumulative number of failed engines for one or more pollutants is 
greater than or equal to the fail decision number, as defined in 
paragraph (d) of this section, appropriate to the cumulative number of 
engines tested.
    (d) The pass and fail decision numbers associated with the 
cumulative number of engines tested are determined by using the tables 
in Appendix A to this subpart, ``Sampling Plans for Selective 
Enforcement Auditing of Small Nonroad Engines,'' appropriate to the 
projected sales as made by the manufacturer in its report to EPA under 
Sec. 90.505(c)(1). In the tables in Appendix A to this subpart, sampling 
plan ``stage'' refers to the cumulative number of engines tested. Once a 
pass or fail decision has been made for a particular pollutant, the 
number of engines with final test results exceeding the emission 
standard for that pollutant shall not be considered any further for the 
purposes of the audit.
    (e) Passing or failing of an SEA occurs when the decision is made on 
the last engine test required to make a decision under paragraph (c) of 
this section.
    (f) The Administrator may terminate testing earlier than required in 
paragraph (c) of this section.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999]

Sec. 90.511  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is suspended with respect to any 
engine failing pursuant to Sec. 90.510(b) effective from the time that 
testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformity for 
a family which does not pass an SEA, pursuant to paragraph 
Sec. 90.510(c), based on the first test or all tests conducted on each 
engine. This suspension will not occur before ten days after failure of 
the audit.
    (c) If the results of testing pursuant to these regulations indicate 
that engines of a particular family produced at one plant of a 
manufacturer do not conform to the regulations with respect to which the 
certificate of conformity was issued, the Administrator may suspend the 
certificate of conformity with respect to that family for engines 
manufactured by the manufacturer at all other plants.
    (d) Notwithstanding the fact that engines described in the 
application may be covered by a certificate of conformity, the 
Administrator may suspend such certificate in whole or in part if the 
Administrator finds any one of the following infractions to be 
substantial:
    (1) The manufacturer refuses to comply with the provisions of a test 
order issued by the Administrator under Sec. 90.503.
    (2) The manufacturer refuses to comply with any of the requirements 
of this subpart.
    (3) The manufacturer submits false or incomplete information in any 
report or information provided to the Administrator under this subpart.

[[Page 259]]

    (4) The manufacturer renders inaccurate any test data submitted 
under this subpart.
    (5) An EPA enforcement officer or EPA authorized representative is 
denied the opportunity to conduct activities related to entry and access 
as authorized in this subpart and a warrant or court order is presented 
to the manufacturer or the party in charge of a facility in question.
    (6) An EPA enforcement officer or EPA authorized representative is 
unable to conduct activities related to entry and access as authorized 
in Sec. 90.506 because a manufacturer has located a facility in a 
foreign jurisdiction where local law prohibits those activities.
    (e) The Administrator shall notify the manufacturer in writing of 
any suspension or revocation of a certificate of conformity in whole or 
in part, except that the certificate is immediately suspended with 
respect to any failed engines as provided for in paragraph (a) of this 
section.
    (f) The Administrator may revoke a certificate of conformity for a 
family when the certificate has been suspended pursuant to paragraph (b) 
or (c) of this section if the proposed remedy for the nonconformity, as 
reported by the manufacturer to the Administrator, is one requiring a 
design change or changes to the engine and/or emission control system as 
described in the application for certification of the affected family.
    (g) Once a certificate has been suspended for a failed engine, as 
provided for in paragraph (a) of this section, the manufacturer shall 
take the following actions:
    (1) Before the certificate is reinstated for that failed engine;
    (i) Remedy the nonconformity; and
    (ii) Demonstrate that the engine conforms to applicable standards by 
retesting the engine in accordance with these regulations.
    (2) Submit a written report to the Administrator, after successful 
completion of testing on the failed engine, which contains a description 
of the remedy and test results for each engine in addition to other 
information that may be required by this regulation.
    (h) Once a certificate for a failed family has been suspended 
pursuant to paragraph (b) or (c) of this section, the manufacturer shall 
take the following actions before the Administrator will consider 
reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the engines, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
future occurrences of the problem, and states the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with these regulations 
by testing engines selected from normal production runs of that engine 
family, at the plant(s), port facility(ies) or associated storage 
facility(ies) specified by the Administrator, in accordance with the 
conditions specified in the initial test order. If the manufacturer 
elects to continue testing individual engines after suspension of a 
certificate, the certificate is reinstated for an engine actually 
determined to be in conformance with the applicable standards through 
testing in accordance with the applicable test procedures, provided that 
the Administrator has not revoked the certificate pursuant to paragraph 
(f) of this section.
    (i) Once the certificate has been revoked for a family and the 
manufacturer desires to continue introduction into commerce of a 
modified version of that family, the following actions shall be taken 
before the Administrator may consider issuing a certificate for that 
modified family:
    (1) If the Administrator determines that the proposed change(s) in 
engine design may have an effect on emission performance deterioration, 
the Administrator shall notify the manufacturer, within five working 
days after receipt of the report in paragraph (f) of this section, 
whether subsequent testing under this subpart will be sufficient to 
evaluate the proposed change or changes or whether additional testing 
will be required; and

[[Page 260]]

    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer shall demonstrate that the modified 
engine family does in fact conform with these regulations by testing 
engines selected from normal production runs of that modified engine 
family in accordance with the conditions specified in the initial test 
order. If the subsequent audit results in passing of the audit, the 
Administrator shall reissue the certificate or issue a new certificate, 
as the case may be, to include that family, provided that the 
manufacturer has satisfied the testing requirements of paragraph (i)(1) 
of this section. If the subsequent audit is failed, the revocation 
remains in effect. Any design change approvals under this subpart are 
limited to the family affected by the test order.
    (j) At any time subsequent to an initial suspension of a certificate 
of conformity for a test engine pursuant to paragraph (a) of this 
section, but not later than 15 days or such other period as may be 
allowed by the Administrator after notification of the Administrator's 
decision to suspend or revoke a certificate of conformity in whole or in 
part pursuant to paragraphs (b), (c), or (f) of this section, a 
manufacturer may request a hearing as to whether the tests have been 
properly conducted or any sampling methods have been properly applied.
    (k) Any suspension of a certificate of conformity under paragraph 
(d) of this section shall:
    (1) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Secs. 90.512, 
90.513, and 90.514 and
    (2) Not apply to engines no longer in the possession of the 
manufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section and prior to the commencement of a 
hearing under Sec. 90.512, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend, revoke, or 
void the certificate was based on erroneous information, the 
Administrator shall reinstate the certificate.
    (m) To permit a manufacturer to avoid storing non-test engines when 
conducting an audit of a family subsequent to a failure of an SEA and 
while reauditing the failed family it may request that the Administrator 
conditionally reinstate the certificate for that family. The 
Administrator may reinstate the certificate subject to the condition 
that the manufacturer commits to recall all engines of that family 
produced from the time the certificate is conditionally reinstated if 
the family fails the subsequent audit at the level of the standard and 
to remedy any nonconformity at no expense to the owner.

Sec. 90.512  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator's decision 
to suspend, revoke or void a certificate or disputes the basis for an 
automatic suspension pursuant to Sec. 90.511(a), the manufacturer may 
request a public hearing.
    (b) The manufacturer's request shall be filed with the Administrator 
not later than 15 days after the Administrator's notification of his or 
her decision to suspend, revoke or void, unless otherwise specified by 
the Administrator. The manufacturer shall simultaneously serve two 
copies of this request upon the Director of the Engine Programs and 
Compliance Division and file two copies with the Hearing Clerk of the 
Agency. Failure of the manufacturer to request a hearing within the time 
provided constitutes a waiver of the right to a hearing. Subsequent to 
the expiration of the period for requesting a hearing as of right, the 
Administrator may, in his or her discretion and for good cause shown, 
grant the manufacturer a hearing to contest the suspension, revocation 
or voiding.
    (c) A manufacturer shall include in the request for a public 
hearing:
    (1) A statement as to which engine configuration(s) within a family 
is to be the subject of the hearing;
    (2) A concise statement of the issues to be raised by the 
manufacturer at the hearing, except that in the case of the hearing 
requested under Sec. 90.511(j), the hearing is restricted to the 
following issues:

[[Page 261]]

    (i) Whether tests have been properly conducted (specifically, 
whether the tests were conducted in accordance with applicable 
regulations under this part and whether test equipment was properly 
calibrated and functioning);
    (ii) Whether sampling plans have been properly applied 
(specifically, whether sampling procedures specified in Appendix A of 
this subpart were followed and whether there exists a basis for 
distinguishing engines produced at plants other than the one from which 
engines were selected for testing which would invalidate the 
Administrator's decision under Sec. 90.511(c));
    (3) A statement specifying reasons why the manufacturer believes it 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the manufacturer's 
position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15245, Mar. 30, 1999]

Sec. 90.513  Administrative procedures for public hearing.

    (a) The Presiding Officer shall be an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as 
amended).
    (b) The Judicial Officer shall be an officer or employee of the 
Agency appointed as a Judicial Officer by the Administrator, pursuant to 
this section, who shall meet the qualifications and perform functions as 
follows:
    (1) Qualifications. A Judicial Officer may be a permanent or 
temporary employee of the Agency who performs other duties for the 
Agency. The Judicial Officer shall not be employed by the Office of 
Enforcement or have any connection with the preparation or presentation 
of evidence for a hearing held pursuant to this subpart. The Judicial 
Officer shall be a graduate of an accredited law school and a member in 
good standing of a recognized Bar Association of any state or the 
District of Columbia.
    (2) Functions. The Administrator may consult with the Judicial 
Officer or delegate all or part of the Administrator's authority to act 
in a given case under this section to a Judicial Officer, provided that 
this delegation does not preclude the Judicial Officer from referring 
any motion or case to the Administrator when the Judicial Officer 
determines such referral to be appropriate.
    (c) For the purposes of this section, one or more Judicial Officers 
may be designated. As work requires, a Judicial Officer may be 
designated to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requested under 
Sec. 90.511(j), when it clearly appears from the data and other 
information contained in the request for a hearing that no genuine and 
substantial question of fact exists with respect to the issues specified 
in Sec. 90.512(c)(2), the Administrator shall enter an order denying the 
request for a hearing and reaffirming the original decision to suspend 
or revoke a certificate of conformity, if this decision has been made 
pursuant to Sec. 90.511(e) at any time prior to the decision to deny the 
request for a hearing.
    (2) In the case of a hearing requested under Sec. 90.512 to 
challenge a proposed suspension of a certificate of conformity for the 
reasons specified in Sec. 90.511(d), when it clearly appears from the 
data and other information contained in the request for the hearing that 
no genuine and substantial question of fact exists with respect to the 
issue of whether the refusal to comply with the provisions of a test 
order or any other requirement of Sec. 90.503 was caused by conditions 
and circumstances outside the control of the manufacturer, the 
Administrator shall enter an order denying the request for a hearing and 
suspending the certificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of this 
section has the force and effect of a final decision of the 
Administrator, as issued pursuant to Sec. 90.515.
    (4) If the Administrator determines that a genuine and substantial 
question of fact does exist with respect to any of the issues referred 
to in paragraphs (d)(1) and (d)(2) of this section, the Administrator 
shall grant the request for a hearing and publish a notice

[[Page 262]]

of public hearing in the Federal Register or by such other means as the 
Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section and Sec. 90.512(c) must be filed with the Hearing Clerk of the 
Agency. Filing is considered timely if mailed, as determined by the 
postmark, to the Hearing Clerk within the time allowed by this section 
and Sec. 90.512(b). If filing is to be accomplished by mailing, the 
documents must be sent to the address set forth in the notice of public 
hearing referred to in paragraph (d)(4) of this section.
    (2) To the maximum extent possible, testimony will be presented in 
written form. Copies of written testimony will be served upon all 
parties as soon as practicable prior to the start of the hearing. A 
certificate of service will be provided on or accompany each document or 
paper filed with the Hearing Clerk. Documents to be served upon the 
Director of the Manufacturers Operations Division must be sent by 
registered mail to: Director, Manufacturers Operations Division, U.S. 
Environmental Protection Agency, 6405-J, 401 M St., SW., Washington, DC 
20460. Service by registered mail is complete upon mailing.
    (f) Computation of time. (1) In computing any period of time 
prescribed or allowed by this section, except as otherwise provided, the 
day of the act or event from which the designated period of time begins 
to run is not included. Saturdays, Sundays, and federal legal holidays 
are included in computing the period allowed for the filing of any 
document or paper, except that when the period expires on a Saturday, 
Sunday, or federal legal holiday, the period is extended to include the 
next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act is computed from the time of service, except that 
when service is accomplished by mail, three days will be added to the 
prescribed period.
    (g) Consolidation. The Administrator or the Presiding Officer in his 
or her discretion may consolidate two or more proceedings to be held 
under this section for the purpose of resolving one or more issues 
whenever it appears that consolidation will expedite or simplify 
consideration of these issues. Consolidation does not affect the right 
of any party to raise issues that could have been raised if 
consolidation had not occurred.
    (h) Hearing date. To the extent possible, hearings under Sec. 90.512 
will be scheduled to commence within 14 days of receipt of the 
application in Sec. 90.512.

Sec. 90.514  Hearing procedures.

    The procedures provided in Sec. 86.1014-84 (i) to (s) apply for 
hearings requested pursuant to Sec. 90.512, suspension, revocation, or 
voiding of a certificate of conformity.

Sec. 90.515  Appeal of hearing decision.

    The procedures provided in Sec. 86.1014-84 (t) to (aa) apply for 
appeals filed with respect to hearings held pursuant to Sec. 90.514.

Sec. 90.516  Treatment of confidential information.

    The provisions for treatment of confidential information described 
in Sec. 90.4 apply to this subpart.

    Appendix A to Subpart F of Part 90--Sampling Plans for Selective 
              Enforcement Auditing of Small Nonroad Engines

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
                                                                  Code
                  Annual engine family sales                     letter
------------------------------------------------------------------------
50-99........................................................         A
100-299......................................................         B
300-499......................................................          C
500 or greater...............................................         D
------------------------------------------------------------------------


                                   Table 2--Sample Plan for Code Letter ``A''
                                          [Sample inspection criteria]
----------------------------------------------------------------------------------------------------------------
                                                                       Pass     Fail              Pass     Fail
                               Stage                                   No.      No.     Stage     No.      No.1
----------------------------------------------------------------------------------------------------------------
 1.................................................................    (\1\)    (\2\)       16        6       11
 2.................................................................    (\1\)    (\2\)       17        7       12

[[Page 263]]

 
 3.................................................................    (\1\)    (\2\)       18        7       12
 4.................................................................        0    (\2\)       19        8       13
 5.................................................................        0    (\2\)       20        8       13
 6.................................................................        1        6       21        9       14
 7.................................................................        1        7       22       10       14
 8.................................................................        2        7       23       10       15
 9.................................................................        2        8       24       11       15
10.................................................................        3        8       25       11       16
11.................................................................        3        8       26       12       16
12.................................................................        4        9       27       12       17
13.................................................................        5       10       28       13       17
14.................................................................        5       10       29       14       17
15.................................................................        6       11       30       16      17
----------------------------------------------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 3--Sampling Plan for Code Letter ``B''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                                                          Pass     Fail
                         Stage                            No.      No.
------------------------------------------------------------------------
 1....................................................    (\1\)    (\2\)
 2....................................................    (\1\)    (\2\)
 3....................................................    (\1\)    (\2\)
 4....................................................    (\1\)    (\2\)
 5....................................................        0    (\2\)
 6....................................................        1        6
 7....................................................        1        7
 8....................................................        2        7
 9....................................................        2        8
10....................................................        3        8
11....................................................        3        9
12....................................................        4        9
13....................................................        4       10
14....................................................        5       10
15....................................................        5       11
16....................................................        6       12
17....................................................        6       12
18....................................................        7       13
19....................................................        8       13
10....................................................        8       14
21....................................................        9       14
22....................................................        9       15
23....................................................       10       15
24....................................................       10       16
25....................................................       11       16
26....................................................       11       17
27....................................................       12       17
28....................................................       12       18
29....................................................       13       18
30....................................................       13       19
31....................................................       14       19
32....................................................       14       20
33....................................................       15       20
34....................................................       16       21
35....................................................       16       21
36....................................................       17       22
37....................................................       17       22
38....................................................       18       22
39....................................................       18       22
40....................................................       21      22
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 4--Sampling Plan for Code Letter ``C''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                                                          Pass     Fail
                         Stage                            No.      No.
------------------------------------------------------------------------
 1....................................................    (\1\)    (\2\)
 2....................................................    (\1\)    (\2\)
 3....................................................    (\1\)    (\2\)
 4....................................................    (\1\)    (\2\)
 5....................................................        0    (\2\)
 6....................................................        0        6
 7....................................................        1        7
 8....................................................        2        7
 9....................................................        2        8
10....................................................        3        9
11....................................................        3        9
12....................................................        4       10
13....................................................        4       10
14....................................................        5       11
15....................................................        5       11
16....................................................        6       12
17....................................................        6       12
18....................................................        7       13
19....................................................        7       13
20....................................................        8       14
21....................................................        8       14
22....................................................        9       15
23....................................................       10       15
24....................................................       10       16
25....................................................       11       16
26....................................................       11       17
27....................................................       12       17
28....................................................       12       18
29....................................................       13       18
30....................................................       13       19
31....................................................       14       19
32....................................................       14       20
33....................................................       15       20
34....................................................       15       21
35....................................................       16       21
36....................................................       16       22
37....................................................       17       22
38....................................................       18       23
39....................................................       18       23
40....................................................       19       24
41....................................................       19       24
42....................................................       20       25
43....................................................       20       25
44....................................................       21       26
45....................................................       21       27
46....................................................       22       27

[[Page 264]]

 
47....................................................       22       27
48....................................................       23       27
49....................................................       23       27
50....................................................       26       27
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 5--Sampling Plan for Code Letter ``D''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                                                          Pass     Fail
                         Stage                            No.      No.
------------------------------------------------------------------------
 1....................................................    (\1\)    (\2\)
 2....................................................    (\1\)    (\2\)
 3....................................................    (\1\)    (\2\)
 4....................................................    (\1\)    (\2\)
 5....................................................        0    (\2\)
 6....................................................        0        6
 7....................................................        1        7
 8....................................................        2        8
 9....................................................        2        8
10....................................................        3        9
11....................................................        3        9
12....................................................        4       10
13....................................................        4       10
14....................................................        5       11
15....................................................        5       11
16....................................................        6       12
17....................................................        6       12
18....................................................        7       13
19....................................................        7       13
20....................................................        8       14
21....................................................        8       14
22....................................................        9       15
23....................................................        9       15
24....................................................       10       16
25....................................................       11       16
26....................................................       11       17
27....................................................       12       17
28....................................................       12       18
29....................................................       13       19
30....................................................       13       19
31....................................................       14       20
32....................................................       14       20
33....................................................       15       21
34....................................................       15       21
35....................................................       16       22
36....................................................       16       22
37....................................................       17       23
38....................................................       17       23
39....................................................       18       24
40....................................................       18       24
41....................................................       19       25
42....................................................       19       26
43....................................................       20       26
44....................................................       21       27
45....................................................       21       27
46....................................................       22       28
47....................................................       22       28
48....................................................       23       29
49....................................................       23       29
50....................................................       24       30
51....................................................       24       30
52....................................................       25       31
53....................................................       25       31
54....................................................       26       32
55....................................................       26       32
56....................................................       27       33
57....................................................       27       33
58....................................................       28       33
59....................................................       28       33
60....................................................       32       33
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.

             Subpart G--Importation of Nonconforming Engines

Sec. 90.601  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
engines and vehicles which are offered for importation or imported into 
the United States and for which the Administrator has promulgated 
regulations under subpart B of this part prescribing emission standards, 
but which are not covered by certificates of conformity issued under 
section 213 and section 206(a) of the Clean Air Act (that is, which are 
nonconforming engines as defined below) and under subpart B of this part 
at the time of importation or conditional importation, as applicable. 
Compliance with regulations under this subpart shall not relieve any 
person or entity from compliance with other applicable provisions of the 
Clean Air Act.
    (b) Regulations prescribing further procedures for the importation 
of small SI engines into the Customs territory of the United States, as 
defined in 19 U.S.C. 1202, are set forth in U.S. Customs Service 
regulations.

Sec. 90.602  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Certificate of conformity. The document issued by the Administrator 
under section 213 and section 206(a) of the Act.
    Nonconforming engine. An engine which is not covered by a 
certificate of conformity prior to final or conditional admission (or 
for which such coverage

[[Page 265]]

has not been adequately demonstrated to EPA).
    Original engine manufacturer (OEM). The entity which originally 
manufactured the engine.
    Original production (OP) year. The calendar year in which the engine 
was originally produced by the OEM.
    Original production (OP) years old. The age of an engine as 
determined by subtracting the original production year of the engine 
from the calendar year of importation.
    Production changes. Those changes in the engine configuration, 
equipment or calibration which are made by an OEM in the course of 
engine production and required to be reported under Sec. 90.123.
    United States. United States includes the Customs territory of the 
United States as defined in 19 U.S.C. 1202, and the Virgin Islands, 
Guam, American Samoa and the Commonwealth of the Northern Mariana 
Islands.

Sec. 90.603  [Reserved]

Sec. 90.604  General requirements.

    (a) A nonconforming engine offered for importation into the United 
States may only be imported for purposes other than resale under 
Sec. 90.611, or under the provisions of Sec. 90.612, provided that an 
exemption or exclusion is granted by the Administrator.
    (b) Final admission shall not be granted unless:
    (1) The engine is imported for purposes other than resale under 
Sec. 90.611; or
    (2) The engine is exempted or excluded under Sec. 90.612.
    (c) An engine offered for importation may be admitted into the 
United States. In order to obtain admission, the importer must submit to 
the Administrator a written request for approval containing the 
following:
    (1) Identification of the importer and the importer's address, 
telephone number, and taxpayer identification number;
    (2) Identification of the engine owner, the owner's address, 
telephone number, and taxpayer identification number;
    (3) Identification of the engine including make, model, 
identification number, and original production year;
    (4) Information indicating under what provision of these regulations 
the engine is to be imported;
    (5) Identification of the place where the subject engine is to be 
stored until EPA approval of the importer's application to the 
Administrator for final admission;
    (6) Authorization for EPA enforcement officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder; and
    (7) Such other information as is deemed necessary by the 
Administrator.

Sec. 90.605-90.610  [Reserved]

Sec. 90.611  Importation for purposes other than resale.

    (a) Any individual may import on a one-time basis three or fewer 
nonconforming engines for purposes other than resale. Such importation 
by individuals is permitted without modification to the engines and 
without prior written approval of EPA. Importations under this provision 
shall be made by completing such applications as required by the 
Administrator. Such applications shall contain:
    (1) Identification of the importer of the engine and the importer's 
address, telephone number, and taxpayer identification number;
    (2) Identification of the engine owner, the owner's address, 
telephone number, and taxpayer identification number;
    (3) The number of engines imported under Sec. 90.611 by the 
individual;
    (4) A statement that the individual has not previously imported any 
engines under Sec. 90.611;
    (5) A statement that the individual is not importing the engines for 
the purpose of resale;
    (6) For each engine imported, identification of the engine including 
make, model, identification number, and original production year;
    (7) Information indicating under what provision of these regulations 
the engine is to be imported;
    (8) Authorization for EPA enforcement officers to conduct 
inspections permitted by the Act or regulations thereunder;
    (9) Such other information as is deemed necessary by the 
Administrator.

[[Page 266]]

    (b) EPA will not require a U.S. Customs Service bond for a 
nonconforming engine which is imported under Sec. 90.611.

Sec. 90.612  Exemptions and exclusions.

    (a) Individuals shall be eligible for importing engines into the 
United States under the provisions of this section, unless otherwise 
specified.
    (b) Notwithstanding other requirements of this subpart, an engine 
entitled to one of the temporary exemptions of this paragraph may be 
conditionally admitted into the United States if prior written approval 
for the conditional admission is obtained from the Administrator. 
Conditional admission is to be under U.S. Customs Service bond. The 
Administrator may request that the U.S. Customs Service require a 
specific bond amount to ensure compliance with the requirements of the 
Act and this subpart. A written request for approval from the 
Administrator is to contain the identification required in 
Sec. 90.604(c) and information that demonstrates that the importer is 
entitled to the exemption. Noncompliance with provisions of this section 
may result in the forfeiture of the total amount of the bond or 
exportation of the engine. The following temporary exemptions are 
permitted by this paragraph:
    (1) Exemption for repairs or alterations. Upon written approval by 
EPA, an owner of engines may conditionally import under bond such 
engines solely for purpose of repair(s) or alteration(s). The engines 
may not be operated in the United States other than for the sole purpose 
of repair or alteration. They may not be sold or leased in the United 
States and are to be exported upon completion of the repair(s) or 
alteration(s).
    (2) Testing exemption. A test engine may be conditionally imported 
by a person subject to the requirements of Sec. 90.905. A test engine 
may be operated in the United States provided that the operation is an 
integral part of the test. This exemption is limited to a period not 
exceeding one year from the date of importation unless a request is made 
by the appropriate importer concerning the engine in accordance with 
Sec. 90.905(f) for a subsequent one-year period.
    (3) Display exemptions.
    (i) An engine intended solely for display may be conditionally 
imported subject to the requirements of Sec. 90.907.
    (ii) A display engine may be imported by any person for purposes 
related to a business or the public interest. Such purposes do not 
include collections normally inaccessible or unavailable to the public 
on a daily basis, display of an engine at a dealership, private use, or 
other purpose that the Administrator determines is not appropriate for 
display exemptions. A display engine may not be sold in the United 
States and may not be operated in the United States except for the 
operation incident and necessary to the display purpose.
    (iii) A temporary display exemption will be granted for 12 months 
(one year) or for the duration of the display purpose, whichever is 
shorter. Two extensions of up to 12 months (one year) each are available 
upon approval by the Administrator. In no circumstances, however, may 
the total period of exemption exceed 36 months (three years).
    (c) Notwithstanding any other requirement of this subpart, an engine 
may be finally admitted into the United States under this paragraph if 
prior written approval for such final admission is obtained from the 
Administrator. Conditional admission of these engines under this subpart 
is not permitted for the purpose of obtaining such written approval from 
the Administrator. A request for approval is to contain the 
identification information required in Sec. 90.604(c) and information 
that demonstrates that the importer is entitled to the exemption or 
exclusion. The following exemptions or exclusions are permitted by this 
paragraph:
    (1) National security exemption. An engine may be imported under the 
national security exemption found at Sec. 90.908.
    (2) Hardship exemption. The Administrator may exempt on a case-by-
case basis an engine from federal emission requirements to accommodate 
unforeseen cases of extreme hardship or extraordinary circumstances.
    (3) Exemption for engines identical to United States certified 
versions.

[[Page 267]]

    (i) A person (including businesses) is eligible for importing an 
engine into the United States under the provisions of this paragraph. An 
exemption will be granted if the engine:
    (A) is owned by the importer;
    (B) is not offered for importation for the purpose of resale; and
    (C) is proven to be identical, in all material respects, to an 
engine certified by the original equipment manufacturer (OEM) for sale 
in the United States or is proven to have been modified to be identical, 
in all material respects, to an engine certified by the OEM for sale in 
the United States according to complete written instructions provided by 
the OEM's United States representative, or his/her designee.
    (ii) Proof of Conformity. (A) Documentation submitted pursuant to 
this section for the purpose of proving conformity of individual engines 
is to contain sufficiently organized data or evidence demonstrating that 
the engine identified pursuant to Sec. 90.604(c) is identical, in all 
material respects, to an engine identified in an OEM's application for 
certification.
    (B) If the documentation does not contain all the information 
required by this part, or is not sufficiently organized, EPA will notify 
the importer of any areas of inadequacy, and that the documentation will 
not receive further consideration until the required information or 
organization is provided.
    (C) If EPA determines that the documentation does not clearly or 
sufficiently demonstrate that an engine is eligible for importation, EPA 
will notify the importer in writing.
    (D) If EPA determines that the documentation clearly and 
sufficiently demonstrates that an engine is eligible for importation, 
EPA will grant approval for importation and notify the importer in 
writing.
    (d) Foreign diplomatic and military personnel may import a 
nonconforming engine without bond. At the time of admission, the 
importer shall submit to the Administrator the written report required 
in Sec. 90.604(a) and a statement from the U.S. Department of State 
confirming qualification for this exemption. Foreign military personnel 
may, in lieu of a statement from the U.S. Department of State, submit to 
the Administrator a copy of their orders for duty in the United States. 
The engine may not be sold in the United States and must be exported if 
the individual's diplomatic status is no longer applicable, as 
determined by the Department of State, or the foreign military orders 
for duty in the United States are no longer applicable, unless 
subsequently brought into conformity with U.S. emission requirements.
    (e) Competition exclusion. A nonconforming engine may be 
conditionally admitted by any person provided the importer demonstrates 
to the Administrator that the engine is used to propel a nonroad vehicle 
used solely for competition and obtains prior written approval from the 
Administrator. A nonconforming engine imported pursuant to this 
paragraph may not be operated in the United States except for that 
operation incident and necessary for the competition purpose, unless 
subsequently brought into conformity with United States emission 
requirements in accordance with Sec. 90.612(c)(3).
    (f) Exclusions/exemptions based on date of original manufacture. (1) 
Notwithstanding any other requirements of this subpart, engines 
originally manufactured prior to model year 1997 are excluded from the 
requirements of the Act in accordance with section 213 of the Act and 
may be imported by any person.
    (2) Notwithstanding other requirements of this subpart, an engine 
not subject to an exclusion under Sec. 90.612(f)(1) but greater than 20 
original production (OP) years old is entitled to an exemption from the 
requirements of the Act, provided that it has not been modified in those 
20 OP years. At the time of admission, the importer shall submit to the 
Administrator the written report required in Sec. 90.604(c).
    (g) Applications for exemptions and exclusions provided for in 
paragraphs (b), (c), and (e) of this section are to be mailed to: U.S. 
Environmental Protection Agency, Office of Mobile Sources, Engine 
Compliance Programs Group (6403-J), Washington, DC 20460, Attention: 
Imports.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15245, Mar. 30, 1999]

[[Page 268]]

Sec. 90.613  Prohibited acts; penalties.

    (a) The importation of an engine which is not covered by a 
certificate of conformity other than in accordance with this subpart and 
the entry regulations of the U.S. Customs Service is prohibited. Failure 
to comply with this subpart is a violation of section 213(d) and section 
203 of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of an engine shall not:
    (1) Register, license, or operate the engine in the United States; 
or
    (2) Sell or offer the engine for sale.
    (c) An engine conditionally admitted pursuant to Sec. 90.612(b), 
(d), or (e) and not granted final admission within the period of time 
specified for such conditional admission in the written prior approval 
obtained from EPA, or within such additional time as designated by the 
Administrator, is deemed to be unlawfully imported into the United 
States in violation of section 213(d) and section 203 of the Act, unless 
the engine has been delivered to the U.S. Customs Service for export or 
other disposition under applicable Customs laws and regulations. An 
engine not so delivered is subject to seizure by the U.S. Customs 
Service.
    (d) An importer who violates section 213(d) and section 203 of the 
Act is subject to a civil penalty under section 205 of the Act of not 
more than $25,000 for each engine subject to the violation. In addition 
to the penalty provided in the Act, where applicable, under the 
exemption provisions of Sec. 90.612(b), a person or entity who fails to 
deliver the engine to the U.S. Customs Service is liable for liquidated 
damages in the amount of the bond required by applicable Customs laws 
and regulations.

Sec. 90.614  Treatment of confidential information.

    The provisions for treatment of confidential information described 
in Sec. 90.4 apply to this subpart.

         Subpart H--Manufacturer Production Line Testing Program

    Source: 64 FR 15245, Mar. 30, 1999, unless otherwise noted.

Sec. 90.701  Applicability.

    (a) The requirements of this subpart are applicable to all Phase 2 
nonroad handheld and nonhandheld engines families subject to the 
provisions of subpart A of this part unless otherwise exempted in this 
subpart.
    (b) The procedures described in this subpart are optional for small 
volume engine manufacturers and small volume engine families as defined 
in this part. Small volume engine manufacturers and small volume engine 
families for which the manufacturer opts not to conduct testing under 
this subpart pursuant to this paragraph shall remain subject to the 
Selective Enforcement Auditing procedures of subpart F of this part.
    (c) Engine families for which the manufacturer opts to conduct in-
use testing pursuant to subpart M of this part are exempt from this 
subpart, but shall remain subject to the Selective Enforcement Auditing 
procedures of subpart F of this part.

[64 FR 15245, Mar. 30, 1999, as amended at 65 FR 24313, Apr. 25, 2000

Sec. 90.702  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.

Sec. 90.703  Production line testing by the manufacturer.

    (a) Manufacturers of small SI engines shall test production line 
engines from each engine family according to the provisions of this 
subpart.
    (b) Production line engines must be tested using the test procedure 
specified in subpart E of this part except that the Administrator may 
approve minor variations that the Administrator deems necessary to 
facilitate efficient and economical testing where

[[Page 269]]

the manufacturer demonstrates to the satisfaction of the Administrator 
that such variations will not significantly impact the test results. Any 
adjustable engine parameter must be set to values or positions that are 
within the range recommended to the ultimate purchaser, unless otherwise 
specified by the Administrator. The Administrator may specify values 
within or without the range recommended to the ultimate purchaser.

Sec. 90.704  Maintenance of records; submission of information.

    (a) The manufacturer of any new small SI engine subject to any of 
the provisions of this subpart must establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines in accordance with Sec. 90.703. Subpart D of this part sets 
forth relevant equipment requirements in Secs. 90.304, 90.305, 90.306, 
90.307, 90.308, 90.309, 90.310 and 90.313.
    (2) Individual records. These records pertain to each production 
line test conducted pursuant to this subpart and include:
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the test engine 
when the test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the production line test;
    (iv) A record and description of any adjustment, repair, preparation 
or modification performed prior to and/or subsequent to approval by the 
Administrator pursuant to Sec. 90.707(b)(1), giving the date, associated 
time, justification, name(s) of the authorizing personnel, and names of 
all supervisory personnel responsible for the conduct of the repair;
    (v) If applicable, the date the engine was shipped from the assembly 
plant, associated storage facility or port facility, and the date the 
engine was received at the testing facility;
    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, in accordance with the record requirements 
specified in Secs. 90.405 and 90.406; and
    (vii) A brief description of any significant events during testing 
not otherwise described under paragraph (a)(2) of this section, 
commencing with the test engine selection process and including such 
extraordinary events as engine damage during shipment.
    (3) The manufacturer must establish, maintain and retain general 
records, pursuant to paragraph (a)(1) of this section, for each test 
cell that can be used to perform emission testing under this subpart.
    (b) The manufacturer must retain all records required to be 
maintained under this subpart for a period of one year after completion 
of all testing required for the engine family in a model year. Records 
may be retained as hard copy (i.e., on paper) or reduced to microfilm, 
floppy disk, or some other method of data storage, depending upon the 
manufacturer's record retention procedure; provided, that in every case, 
all the information contained in the hard copy is retained.
    (c) The manufacturer must, upon request by the Administrator, submit 
the following information with regard to engine production:
    (1) Projected production or actual production for each engine 
configuration within each engine family for which certification has been 
requested and/or approved;
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production or actually produced.
    (d) Nothing in this section limits the Administrator's discretion to 
require a manufacturer to establish, maintain, retain or submit to EPA 
information not specified by this section and otherwise permitted by 
law.
    (e) All reports, submissions, notifications, and requests for 
approval made under this subpart must be addressed to: Manager, Engine 
Compliance Programs Group (6403J), U.S. Environmental Protection Agency, 
Washington, DC 20460.
    (f) The manufacturer must electronically submit the results of its 
production line testing using EPA's standardized format. The 
Administrator may

[[Page 270]]

exempt manufacturers from this requirement upon written request with 
supporting justification.

Sec. 90.705  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this subpart or other subparts of 
this part, one or more EPA enforcement officers may enter during 
operating hours and upon presentation of credentials any of the 
following places:
    (1) Any facility, including ports of entry, where any engine to be 
introduced into commerce or any emission-related component is 
manufactured, assembled, or stored;
    (2) Any facility where any test conducted pursuant to this or any 
other subpart or any procedure or activity connected with such test is 
or was performed;
    (3) Any facility where any test engine is present; and
    (4) Any facility where any record required under Sec. 90.704 or 
other document relating to this subpart or any other subpart of this 
part is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers are authorized to perform the 
following inspection-related activities:
    (1) To inspect and monitor any aspect of engine manufacture, 
assembly, storage, testing and other procedures, and to inspect and 
monitor the facilities in which these procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including test engine selection, preparation and service 
accumulation, emission test cycles, and maintenance and verification of 
test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection, and testing of an engine; and
    (4) To inspect and photograph any part or aspect of any engine and 
any component used in the assembly thereof that is reasonably related to 
the purpose of the entry.
    (c) EPA enforcement officers are authorized to obtain reasonable 
assistance without cost from those in charge of a facility to help the 
officers perform any function listed in this subpart and they are 
authorized to request the manufacturer to make arrangements with those 
in charge of a facility operated for the manufacturer's benefit to 
furnish reasonable assistance without cost to EPA.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services; the making available 
on an EPA enforcement officer's request of personnel of the facility 
being inspected during their working hours to inform the EPA enforcement 
officer of how the facility operates and to answer the officer's 
questions; and the performance on request of emission tests on any 
engine which is being, has been, or will be used for production line or 
other testing.
    (2) By written request, signed by the Assistant Administrator for 
Air and Radiation, and served on the manufacturer, a manufacturer may be 
compelled to cause the personal appearance of any employee at such a 
facility before an EPA enforcement officer. Any such employee who has 
been instructed by the manufacturer to appear will be entitled to be 
accompanied, represented, and advised by counsel.
    (d) EPA enforcement officers are authorized to seek a warrant or 
court order authorizing the EPA enforcement officers to conduct the 
activities authorized in this section, as appropriate, to execute the 
functions specified in this section. EPA enforcement officers may 
proceed ex parte to obtain a warrant or court order whether or not the 
EPA enforcement officers first attempted to seek permission from the 
manufacturer or the party in charge of the facility(ies) in question to 
conduct the activities authorized in this section.
    (e) A manufacturer must permit an EPA enforcement officer(s) who 
presents a warrant or court order to conduct the activities authorized 
in this section as described in the warrant or court order. The 
manufacturer must also cause those in charge of its facility or a 
facility operated for its benefit to permit entry and access as 
authorized in this section pursuant to a warrant or court order whether 
or not the manufacturer controls the facility. In

[[Page 271]]

the absence of a warrant or court order, an EPA enforcement officer(s) 
may conduct the activities authorized in this section only upon the 
consent of the manufacturer or the party in charge of the facility(ies) 
in question.
    (f) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit an EPA enforcement officer(s) to conduct the 
activities authorized in this section if the officer(s) appears without 
a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions where local law does not 
prohibit an EPA enforcement officer(s) from conducting the entry and 
access activities specified in this section. EPA will not attempt to 
make any inspections which it has been informed local foreign law 
prohibits.

Sec. 90.706  Engine sample selection.

    (a) At the start of each model year, the small SI engine 
manufacturer will begin to randomly select engines from each engine 
family for production line testing at a rate of one percent of the 
projected production of that family. Each engine will be selected from 
the end of the assembly line.
    (1) For newly certified engine families: After two engines are 
tested, the manufacturer will calculate the required sample size for the 
model year for each pollutant (HC+NOX(NMHC+NOX) 
and CO) according to the Sample Size Equation in paragraph (b) of this 
section.
    (2) For carry-over engine families: After one engine is tested, the 
manufacturer will combine the test with the last test result from the 
previous model year and then calculate the required sample size for the 
model year for each pollutant according to the Sample Size Equation in 
paragraph (b) of this section.
    (b)(1) Manufacturers will calculate the required sample size for the 
model year for each pollutant for each engine family using the Sample 
Size Equation in this paragraph. N is calculated for each pollutant from 
each test result. The higher of the two values for the number N 
indicates the number of tests required for the model year for an engine 
family. N is recalculated for each pollutant after each test. Test 
results used to calculate the variables in the following Sample Size 
Equation must be final deteriorated test results as specified in 
Sec. 90.709(c).
[GRAPHIC] [TIFF OMITTED] TR30MR99.001

Where:

N = required sample size for the model year.
95 = 95% confidence coefficient. It is dependent on the 
actual number of tests completed, n, as specified in the table in 
paragraph (b)(2) of this section. It defines one-tail, 95% confidence 
intervals.
[sigma] = actual test sample standard deviation calculated from the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR30MR99.002

xi = emission test result for an individual engine.
x = mean of emission test results of the actual sample.
FEL = Family Emission Limit or standard if no FEL.
n = The actual number of tests completed in an engine family.

    (2) The following table specifies the Actual Number of Tests (n) & 
1-tail Confidence Coefficients (t95):

----------------------------------------------------------------------------------------------------------------
                               n                                   t95        n        t95        n        t95
----------------------------------------------------------------------------------------------------------------
2.............................................................      6.31        12      1.80        22      1.72
3.............................................................      2.92        13      1.78        23      1.72

[[Page 272]]

 
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   [infin]     1.645
----------------------------------------------------------------------------------------------------------------

    (3) A manufacturer must distribute the testing of the remaining 
number of engines needed to meet the required sample size N, evenly 
throughout the remainder of the model year.
    (4) After each new test, the required sample size, N, is 
recalculated using updated sample means, sample standard deviations and 
the appropriate 95% confidence coefficient.
    (5) A manufacturer must continue testing and updating each engine 
family's sample size calculations according to paragraphs (b)(1) through 
(b)(4) of this section until a decision is made to stop testing as 
described in paragraph (b)(6) of this section or a noncompliance 
decision is made pursuant to Sec. 90.710(b).
    (6) If, at any time throughout the model year, the calculated 
required sample size, N, for an engine family is less than or equal to 
the actual sample size, n, and the sample mean, x, for HC + 
NOX (NMHC+NOX) and CO is less than or equal to the 
FEL or standard if no FEL, the manufacturer may stop testing that engine 
family.
    (7) If, at any time throughout the model year, the sample mean, x, 
for HC + NOX (NMHC+NOX) or CO is greater than the 
FEL or standard if no FEL, the manufacturer must continue testing that 
engine family at the appropriate maximum sampling rate.
    (8) The maximum required sample size for an engine family 
(regardless of the required sample size, N, as calculated in paragraph 
(b)(1) of this section) is the lesser of thirty tests per model year or 
one percent of projected annual production for that engine family for 
that model year.
    (9) Manufacturers may elect to test additional engines. Additional 
engines, whether tested in accordance with the testing procedures 
specified in Sec. 90.707 or not, may not be included in the Sample Size 
and Cumulative Sum equation calculations as defined in paragraph (b)(1) 
of this section and Sec. 90.708(a), respectively. However, such 
additional test results may be used as appropriate to ``bracket'' or 
define the boundaries of the production duration of any emission 
nonconformity determined under this subpart. Such additional test data 
must be identified and provided to EPA with the submittal of the 
official CumSum results.
    (c) The manufacturer must produce and assemble the test engines 
using its normal production and assembly process for engines to be 
distributed into commerce.
    (d) No quality control, testing, or assembly procedures shall be 
used on any test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in production or assembly 
procedures in advance.

[64 FR 15245, Mar. 30, 1999; 64 FR 34313, June 25, 1999; 64 FR 35256, 
June 30, 1999; 64 FR 36423, July 6, 1999]

Sec. 90.707  Test procedures.

    (a)(1) For small SI engines subject to the provisions of this 
subpart, the prescribed test procedures are specified in subpart E of 
this part.
    (2) The Administrator may, on the basis of a written application by 
a manufacturer, prescribe test procedures other than those specified in 
paragraph (a)(1) of this section for any small SI engine the 
Administrator determines is not susceptible to satisfactory testing 
using procedures specified in paragraph (a)(1) of this section.
    (b)(1) The manufacturer may not adjust, repair, prepare, or modify 
any test engine and may not perform any emission test on any test engine 
unless

[[Page 273]]

this adjustment, repair, preparation, modification and/or test is 
documented in the manufacturer's engine assembly and inspection 
procedures and is actually performed by the manufacturer on every 
production line engine or unless this adjustment, repair, preparation, 
modification and/or test is required or permitted under this subpart or 
is approved in advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted any engine 
parameter which the Administrator has determined to be subject to 
adjustment for certification, Production Line Testing and Selective 
Enforcement Audit testing, to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator, 
prior to the performance of any test. However, if the idle speed 
parameter is one which the Administrator has determined to be subject to 
adjustment, the Administrator may not adjust it or require that it be 
adjusted to any setting which causes a lower engine idle speed than 
would have been possible within the physically adjustable range of the 
idle speed parameter if the manufacturer had accumulated 12 hours of 
service on the engine under paragraph (c) of this section, all other 
parameters being identically adjusted for the purpose of the comparison. 
The manufacturer may be requested to supply information necessary to 
establish an alternate minimum idle speed. The Administrator, in making 
or specifying these adjustments, may consider the effect of the 
deviation from the manufacturer's recommended setting on emission 
performance characteristics as well as the likelihood that similar 
settings will occur on in-use engines. In determining likelihood, the 
Administrator may consider factors such as, but not limited to, the 
effect of the adjustment on engine performance characteristics and 
information from similar in-use engines.
    (c) Service accumulation. (1) Unless otherwise approved by the 
Administrator, prior to performing exhaust emission production line 
testing, the manufacturer may accumulate up to 12 hours of service on 
each test engine. For catalyst-equipped engines, the manufacturer must 
accumulate a number of hours equal to the number of hours accumulated to 
represent stabilized emissions on the engine used to obtain 
certification.
    (2) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of 
production line engines.
    (d) Unless otherwise approved by the Administrator, the manufacturer 
may not perform any maintenance on test engines after selection for 
testing.
    (e) If an engine is shipped to a remote facility for production line 
testing, and an adjustment or repair is necessary because of shipment, 
the engine manufacturer must perform the necessary adjustment or repair 
only after the initial test of the engine, except in cases where the 
Administrator has determined that the test would be impossible or unsafe 
to perform or would permanently damage the engine. Engine manufacturers 
must report to the Administrator, in the quarterly report required by 
Sec. 90.709(e), all adjustments or repairs performed on test engines 
prior to each test.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or its 
deletion from the test sequence.
    (g) Testing. A manufacturer must test engines with the test 
procedure specified in subpart E of this part to demonstrate compliance 
with the applicable FEL (or standard where there is no FEL). If 
alternate or special test procedures pursuant to regulations at 
Sec. 90.120 are used in certification, then those alternate procedures 
must be used in production line testing.
    (h) Retesting. (1) If an engine manufacturer reasonably determines 
that an emission test of an engine is invalid because of a procedural 
error, test equipment problem, or engine performance problem that causes 
the engine to be unable to safely perform a valid test, the engine may 
be retested. A test is not invalid simply because the emission results 
are high relative to other engines of the family. Emission results from 
all tests must be reported to EPA.

[[Page 274]]

The engine manufacturer must also include a detailed explanation of the 
reasons for invalidating any test in the quarterly report required in 
Sec. 90.709(e). If a test is invalidated because of an engine 
performance problem, the manufacturer must document in detail the nature 
of the problem and the repairs performed in order to use the after-
repair test results for the original test results.
    (2) Routine retests may be conducted if the manufacturer conducts 
the same number of tests on all engines in the family. The results of 
these tests must be averaged according to procedures of Sec. 90.709.

Sec. 90.708  Cumulative Sum (CumSum) procedure.

    (a) (1) Manufacturers must construct separate CumSum Equations for 
each regulated pollutant (HC+NOX (NMHC+NOX) and 
CO) for each engine family. Test results used to calculate the variables 
in the CumSum Equations must be final deteriorated test results as 
defined in Sec. 90.709(c). The CumSum Equation is constructed as 
follows:

Ci=max[0 0R (Ci-1+Xi-(FEL+F))]

Where:

Ci=The current CumSum statistic.
Ci-1=The previous CumSum statistic. Prior to any 
testing, the CumSum statistic=0 (i.e. C0=0).
Xi=The current emission test result for an individual engine.
FEL=Family Emission Limit (the standard if no FEL).
F=.25x[sigma].

    (2) After each test pursuant to paragraph (a)(1) of this section, 
Ci is compared to the action limit, H, the quantity which the 
CumSum statistic must exceed, in two consecutive tests, before the 
engine family may be determined to be in noncompliance for a regulated 
pollutant for purposes of Sec. 90.710.

Where:

H=The Action Limit. It is 5.0x[sigma], and is a function of the standard 
deviation, [sigma].
[sigma]=is the sample standard deviation and is recalculated after each 
test.

    (b) After each engine is tested, the CumSum statistic shall be 
promptly updated according to the CumSum Equation in paragraph (a) of 
this section.
    (c)(1) If, at any time during the model year, a manufacturer amends 
the application for certification for an engine family as specified in 
Sec. 90.122(a) by performing an engine family modification (i.e. a 
change such as a running change involving a physical modification to an 
engine, a change in specification or setting, the addition of a new 
configuration, or the use of a different deterioration factor) with no 
changes to the FEL (where applicable), all previous sample size and 
CumSum statistic calculations for the model year will remain unchanged.
    (2) If, at any time during the model year, a manufacturer amends the 
application for certification for an engine family as specified in 
Sec. 90.122 (a) by modifying its FEL (where applicable) for future 
production, as a result of an engine family modification, the 
manufacturer must continue its calculations by inserting the new FEL 
into the sample size equation as specified in Sec. 90.706(b)(1) and into 
the CumSum equation in paragraph (a) of this section. All previous 
calculations remain unchanged. If the sample size calculation indicates 
that additional tests are required, then those tests must be performed. 
CumSum statistic calculations must not indicate that the family has 
exceeded the action limit for two consecutive tests. Where applicable, 
the manufacturer's final credit report as required by Sec. 90.210 must 
break out the credits that result from each FEL and corresponding CumSum 
analysis for the set of engines built to each FEL.
    (3) If, at any time during the model year, a manufacturer amends the 
application for certification for an engine family as specified in 
Sec. 90.122 (a) (or for an affected part of the year's production in 
cases where there were one or more mid-year engine family 
modifications), by modifying its FEL (where applicable) for past and/or 
future production, without performing an engine modification, all 
previous sample size and CumSum statistic calculations for the model 
year must be recalculated using the new FEL. If the sample size 
calculation indicates that additional tests are required, then those 
tests must be performed. The CumSum statistic recalculation must not 
indicate that the family has exceeded the action

[[Page 275]]

limit for two consecutive tests. Where applicable, the manufacturer's 
final credit report as required by Sec. 90.210 must break out the 
credits that result from each FEL and corresponding CumSum analysis for 
the set of engines built to each FEL.

Sec. 90.709  Calculation and reporting of test results.

    (a) Initial test results are calculated following the applicable 
test procedure specified in Sec. 90.707 (a). The manufacturer rounds 
these results to the number of decimal places contained in the 
applicable emission standard expressed to one additional significant 
figure.
    (b) Final test results are calculated by summing the initial test 
results derived in paragraph (a) of this section for each test engine, 
dividing by the number of tests conducted on the engine, and rounding to 
the same number of decimal places contained in the applicable standard 
expressed to one additional significant figure.
    (c) The final deteriorated test results for each test engine are 
calculated by applying the appropriate deterioration factors, derived in 
the certification process for the engine to the final test results, and 
rounding to the same number of decimal places contained in the 
applicable standard.
    (d) If, at any time during the model year, the CumSum statistic 
exceeds the applicable action limit, H, in two consecutive tests for any 
regulated pollutant, (HC+NOX (NMHC+NOX) or CO) the 
engine family may be determined to be in noncompliance and the 
manufacturer must notify EPA by contacting its official EPA 
certification representative within ten working days of such exceedance 
by the CumSum statistic.
    (e) Within 45 calendar days of the end of each quarter, each engine 
manufacturer must submit to the Administrator a report which includes 
the following information:
    (1) The location and description of the manufacturer's or other's 
exhaust emission test facilities which were utilized to conduct testing 
reported pursuant to this section;
    (2) Total production and sample sizes, N and n, for each engine 
family;
    (3) The FEL (standard, if no FEL) against which each engine family 
was tested;
    (4) A description of the process to obtain engines on a random 
basis;
    (5) A description of the test engines;
    (6) For each test conducted:
    (i) A description of the test engine, including:
    (A) Configuration and engine family identification;
    (B) Year, make, and build date;
    (C) Engine identification number; and
    (D) Number of hours of service accumulated on engine prior to 
testing;
    (ii) Location where service accumulation was conducted and 
description of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, final test results before and after rounding 
and final deteriorated test results for all exhaust emission tests, 
whether valid or invalid, and the reason for invalidation, if 
applicable;
    (iv) A complete description of any adjustment, modification, repair, 
preparation, maintenance, and/or testing which was performed on the test 
engine, was not reported pursuant to any other paragraph of this 
subpart, and will not be performed on all other production engines;
    (v) A CumSum analysis, as required in Sec. 90.708, of the production 
line test results for each engine family; and
    (vi) Any other information the Administrator may request relevant to 
the determination whether the new engines being manufactured by the 
manufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued;
    (7) For each failed engine as defined in Sec. 90.710(a), a 
description of the remedy and test results for all retests as required 
by Sec. 90.711(g);
    (8) The date of the end of the engine manufacturer's model year 
production for each engine family; and
    (9) The following signed statement and endorsement by an authorized 
representative of the manufacturer:

    This report is submitted pursuant to Sections 213 and 208 of the 
Clean Air Act. This

[[Page 276]]

production line testing program was conducted in complete conformance 
with all applicable regulations under 40 CFR Part 90. No emission-
related changes to production processes or quality control procedures 
for the engine family tested have been made during this production line 
testing program that affect engines from the production line. All data 
and information reported herein is, to the best of (Company Name) 
knowledge, true and accurate. I am aware of the penalties associated 
with violations of the Clean Air Act and the regulations thereunder. 
(Authorized Company Representative.)

Sec. 90.710  Compliance with criteria for production line testing.

    (a) A failed engine is one whose final deteriorated test results 
pursuant to Sec. 90.709(c), for HC+NOX (NMHC+NOX) 
or CO exceeds the applicable Family Emission Limit (FEL) or standard if 
no FEL.
    (b) An engine family shall be determined to be in noncompliance, if 
at any time throughout the model year, the CumSum statistic, 
Ci, for HC+NOX (NMHC+NOX) or CO, is 
greater than the action limit, H, for that pollutant, for two 
consecutive tests.

Sec. 90.711  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is suspended with respect to any 
engine failing pursuant to Sec. 90.710(a) effective from the time that 
testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformity for 
an engine family which is determined to be in noncompliance pursuant to 
Sec. 90.710(b). This suspension will not occur before thirty days after 
the engine family is determined to be in noncompliance and the 
Administrator has notified the manufacturer of its intent to suspend. 
During this thirty day period the Administrator will work with the 
manufacturer to achieve appropriate production line changes to avoid the 
need to halt engine production, if possible. The Administrator will 
approve or disapprove any such production line changes proposed to 
address a family that has been determined to be in noncompliance under 
this subpart within 15 days of receipt. If the Administrator does not 
approve or disapprove such a proposed change within such time period, 
the proposed change shall be considered approved.
    (c) If the results of testing pursuant to the regulations in this 
subpart indicate that engines of a particular family produced at one 
plant of a manufacturer do not conform to the regulations in this part 
with respect to which the certificate of conformity was issued, the 
Administrator may suspend the certificate of conformity with respect to 
that family for engines manufactured by the manufacturer at all other 
plants.
    (d) Notwithstanding the fact that engines described in the 
application for certification may be covered by a certificate of 
conformity, the Administrator may suspend such certificate immediately 
in whole or in part if the Administrator finds any one of the following 
infractions to be substantial:
    (1) The manufacturer refuses to comply with any of the requirements 
of this subpart.
    (2) The manufacturer submits false or incomplete information in any 
report or information provided to the Administrator under this subpart.
    (3) The manufacturer renders inaccurate any test data submitted 
under this subpart.
    (4) An EPA enforcement officer is denied the opportunity to conduct 
activities authorized in this subpart and a warrant or court order is 
presented to the manufacturer or the party in charge of the facility in 
question.
    (5) An EPA enforcement officer is unable to conduct activities 
authorized in Sec. 90.705 because a manufacturer has located its 
facility in a foreign jurisdiction where local law prohibits those 
activities.
    (e) The Administrator shall notify the manufacturer in writing of 
any suspension or revocation of a certificate of conformity in whole or 
in part, except that the certificate is immediately suspended with 
respect to any failed engines as provided for in paragraph (a) of this 
section.
    (f) The Administrator may revoke a certificate of conformity for an 
engine family after the certificate has been suspended pursuant to 
paragraph (b) or (c) of this section if the proposed remedy for the 
nonconformity, as reported

[[Page 277]]

by the manufacturer to the Administrator, is one requiring a design 
change or changes to the engine and/or emission control system as 
described in the application for certification of the affected engine 
family.
    (g) Once a certificate has been suspended for a failed engine, as 
provided for in paragraph (a) of this section, the manufacturer must 
take the following actions before the certificate is reinstated for that 
failed engine:
    (1) Remedy the nonconformity;
    (2) Demonstrate that the engine conforms to the applicable standards 
(FELs, where applicable) by retesting the engine in accordance with 
these regulations; and
    (3) Submit a written report to the Administrator, described in 
Sec. 90.709(e)(7), after successful completion of testing on the failed 
engine, which contains a description of the remedy and test results for 
each engine in addition to other information that may be required by 
this part.
    (h) Once a certificate for a failed engine family has been suspended 
pursuant to paragraph (b) or (c) of this section, the manufacturer must 
take the following actions before the Administrator will consider 
reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the engines, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
future occurrences of the problem, and states the date on which the 
remedies will be implemented; and
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with the regulations 
of this part by testing as many engines as needed so that the CumSum 
statistic, as calculated in Sec. 90.708(a), falls below the action 
limit. Such testing must comply with the provisions of this part. If the 
manufacturer elects to continue testing individual engines after 
suspension of a certificate, the certificate is reinstated for any 
engine actually determined to be in conformance with the Family Emission 
Limits (or standards if no FEL) through testing in accordance with the 
applicable test procedures, provided that the Administrator has not 
revoked the certificate pursuant to paragraph (f) of this section.
    (i) Once the certificate has been revoked for an engine family, if 
the manufacturer desires to continue introduction into commerce of a 
modified version of that family, the following actions must be taken 
before the Administrator may issue a certificate for that modified 
family:
    (1) If the Administrator determines that the proposed change(s) in 
engine design may have an effect on emission performance deterioration, 
the Administrator shall notify the manufacturer within five working days 
after receipt of the report in paragraph (h)(1) of this section whether 
subsequent testing under this subpart will be sufficient to evaluate the 
proposed change or changes or whether additional testing will be 
required;
    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer must demonstrate that the modified 
engine family does in fact conform with the regulations of this part by 
testing as many engines as needed from the modified engine family so 
that the CumSum statistic, as calculated in Sec. 90.708(a) using the 
newly assigned FEL if applicable, falls below the action limit; and
    (3) When the requirements of paragraphs (i)(1) and (i)(2) of this 
section are met, the Administrator shall reissue the certificate or 
issue a new certificate, as the case may be, to include that family. As 
long as the CumSum statistic remains above the action limit, the 
revocation remains in effect.
    (j) At any time subsequent to a suspension of a certificate of 
conformity for a test engine pursuant to paragraph (a) of this section, 
but not later than 15 days (or such other period as may be allowed by 
the Administrator) after notification of the Administrator's decision to 
suspend or revoke a certificate of conformity in whole or in part 
pursuant to paragraph (b), (c), or (f) of this section, a manufacturer 
may request a hearing as to whether the tests have

[[Page 278]]

been properly conducted or any sampling methods have been properly 
applied.
    (k) Any suspension of a certificate of conformity under paragraph 
(d) of this section shall:
    (1) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Secs. 90.712 
and 90.713; and
    (2) Not apply to engines no longer in the possession of the 
manufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section and prior to the commencement of a 
hearing under Sec. 90.712, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend or revoke the 
certificate was based on erroneous information, the Administrator shall 
reinstate the certificate.
    (m) To permit a manufacturer to avoid storing non-test engines while 
conducting subsequent testing of the noncomplying family, a manufacturer 
may request that the Administrator conditionally reinstate the 
certificate for that family. The Administrator may reinstate the 
certificate subject to the following condition: the manufacturer must 
commit to performing offsetting measures that remedy the nonconformity 
at no expense to the owners, and which are approved in advance by the 
Administrator for all engines of that family produced from the time the 
certificate is conditionally reinstated if the CumSum statistic does not 
fall below the action limit.

Sec. 90.712  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator's decision 
to suspend or revoke a certificate or disputes the basis for an 
automatic suspension pursuant to Sec. 90.711(a), the manufacturer may 
request a public hearing.
    (b) The manufacturer's request shall be filed with the Administrator 
not later than 15 days after the Administrator's notification of his or 
her decision to suspend or revoke, unless otherwise specified by the 
Administrator. The manufacturer shall simultaneously serve two copies of 
this request upon the Manager of the Engine Compliance Programs Group 
and file two copies with the Hearing Clerk for the Agency. Failure of 
the manufacturer to request a hearing within the time provided 
constitutes a waiver of the right to a hearing. Subsequent to the 
expiration of the period for requesting a hearing as of right, the 
Administrator may, in his or her discretion and for good cause shown, 
grant the manufacturer a hearing to contest the suspension or 
revocation.
    (c) A manufacturer shall include in the request for a public 
hearing:
    (1) A statement as to which engine configuration(s) within a family 
is to be the subject of the hearing; and
    (2) A concise statement of the issues to be raised by the 
manufacturer at the hearing, except that in the case of the hearing 
requested under Sec. 90.711(j), the hearing is restricted to the 
following issues:
    (i) Whether tests have been properly conducted (specifically, 
whether the tests were conducted in accordance with applicable 
regulations under this part and whether test equipment was properly 
calibrated and functioning);
    (ii) Whether sampling plans and statistical analyses have been 
properly applied (specifically, whether sampling procedures and 
statistical analyses specified in this subpart were followed and whether 
there exists a basis for distinguishing engines produced at plants other 
than the one from which engines were selected for testing which would 
invalidate the Administrator's decision under Sec. 90.711(c));
    (3) A statement specifying reasons why the manufacturer believes it 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the manufacturer's 
position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.

Sec. 90.713  Administrative procedures for public hearing.

    The administrative procedures for a public hearing requested under 
this subpart shall be those procedures set forth in the regulations 
found at Secs. 90.513 through 90.516. References in

[[Page 279]]

Sec. 90.513 to Sec. 90.511(j), Sec. 90.512(c)(2), Sec. 90.511(e), 
Sec. 90.512, Sec. 90.511(d), Sec. 90.503, Sec. 90.512(c) and 
Sec. 90.512(b) shall be deemed to mean Sec. 90.711(j), 
Sec. 90.712(c)(2), Sec. 90.711(e), Sec. 90.712, Sec. 90.711(d), 
Sec. 90.703, and Sec. 90.712(c) and Sec. 90.712(b), respectively. 
References to ``test orders'' in Sec. 90.513 are not applicable.

  Subpart I--Emission-Related Defect Reporting Requirements, Voluntary 
                Emission Recall Program, Ordered Recalls

Sec. 90.801  Applicability.

    (a) The requirements of subpart I are applicable to all nonroad 
engines and vehicles subject to the provisions of subpart A of part 90. 
The requirement to report emission-related defects affecting a given 
class or category of engines will remain applicable for five years from 
the end of the calendar year in which such engines were manufactured.
    (b) Phase 2 engines subject to provisions of subpart B of this part 
are subject to recall regulations specified in 40 CFR part 85, subpart 
S, except as otherwise provided in this section.
    (c) Reference to section 214 of the Clean Air Act in 40 CFR 
85.1801(a) is deemed to mean section 216 of the Clean Air Act.
    (d) Reference to section 202 of the Act in 40 CFR 85.1802(a) is 
deemed to mean section 213 of the Act.
    (e) Reference to ``family particulate emission limits'' as defined 
in part 86 promulgated under section 202 of the Act'' in 40 CFR 
85.1803(a) and 85.1805(a)(1) is deemed to mean ``family emission 
limits'' as defined in subpart C of this part 90 promulgated under 
section 213 of the Act''.
    (f) Reference to ``vehicles or engines'' throughout 40 CFR part 85, 
subpart S is deemed to mean ``Phase 2 nonroad small SI engines at or 
below 19 kW.''
    (g) In addition to the requirements in 40 CFR 85.1805(a)(9) for 
Phase 2 engines include a telephone number provided by the manufacturer, 
which may be used to report difficulty in obtaining recall repairs.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15251, Mar. 30, 1999]

Sec. 90.802  Definitions.

    The definitions in subpart A of this part apply to this subpart. All 
terms not defined herein or in subpart A have the meaning given them in 
the Act. The definitions of 40 CFR 85.1801 also apply to this part.
    Emission-related defect means a defect in design, materials, or 
workmanship in a device, system, or assembly described in the approved 
application for certification which affects any applicable parameter or 
specification enumerated in 40 CFR part 85, Appendix VIII.
    Voluntary emission recall means a repair, adjustment, or 
modification program voluntarily initiated and conducted by a 
manufacturer to remedy any emission-related defect for which 
notification of engine owners has been provided.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15251, Mar. 30, 1999]

Sec. 90.803  Emission defect information report.

    (a) A manufacturer must file a defect information report whenever, 
on the basis of data obtained subsequent to the effective date of these 
regulations:
    (1) The manufacturer determines, in accordance with procedures 
established by the manufacturer to identify either safety-related or 
performance defects, that a specific emission-related defect exists; and
    (2) A specific emission-related defect exists in 25 or more engines 
of a given engine family manufactured in the same certificate or model 
year.
    (b) No report must be filed under this section for any emission-
related defect corrected prior to the sale of the affected engines to 
ultimate purchasers.
    (c) The manufacturer must submit defect information reports to EPA's 
Engine Compliance Programs Group not more than 15 working days after an 
emission-related defect is found to affect 25 or more engines 
manufactured in the same certificate or model year. Information required 
by paragraph (d) of this section that is either not available within 15 
working days or is significantly revised must be submitted to EPA's 
Engine Compliance Programs Group as it becomes available.

[[Page 280]]

    (d) Each defect report must contain the following information in 
substantially the format outlined below:
    (1) The manufacturer's corporate name.
    (2) A description of the defect.
    (3) A description of each class or category of engines potentially 
affected by the defect including make, model, model year, calendar year 
produced, and any other information required to identify the engines 
affected.
    (4) For each class or category of engine described in response to 
paragraph (d)(3) of this section, the following must also be provided:
    (i) The number of engines known or estimated to have the defect and 
an explanation of the means by which this number was determined.
    (ii) The address of the plant(s) at which the potentially defective 
engines were produced.
    (5) An evaluation of the emissions impact of the defect and a 
description of any operational problems which a defective engine might 
exhibit.
    (6) Available emission data which relate to the defect.
    (7) An indication of any anticipated manufacturer follow-up.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15251, Mar. 30, 1999]

Sec. 90.804  Voluntary emissions recall.

    (a) When any manufacturer initiates a voluntary emissions recall 
campaign involving 25 or more engines, the manufacturer must submit a 
report describing the manufacturer's voluntary emissions recall plan as 
prescribed by this section within 15 working days of the date owner 
notification was begun. The report must contain the following:
    (1) A description of each class or category of engines recalled 
including the number of engines to be recalled, the model year, the 
make, the model, and such other information as may be required to 
identify the engines recalled;
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments, or other changes to be made to 
correct the engines affected by the emission-related defect;
    (3) A description of the method by which the manufacturer will 
notify engine owners and, if applicable, the method by which the 
manufacturer will determine the names and addresses of engine owners;
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
recall plan, an explanation of the manufacturer's reasons for imposing 
any such conditions, and a description of the proof to be required of an 
engine owner to demonstrate compliance with any such conditions;
    (5) A description of the procedure to be followed by engine owners 
to obtain correction of the nonconformity. This may include designation 
of the date on or after which the owner can have the nonconformity 
remedied, the time reasonably necessary to perform the labor to remedy 
the defect, and the designation of facilities at which the defect can be 
remedied;
    (6) A description of the class of persons other than dealers and 
authorized warranty agents of the manufacturer who will remedy the 
defect;
    (7) When applicable, three copies of any letters of notification to 
be sent engine owners;
    (8) A description of the system by which the manufacturer will 
assure that an adequate supply of parts is available to perform the 
repair under the plan, and that the supply remains both adequate and 
responsive to owner demand;
    (9) Three copies of all necessary instructions to be sent to those 
persons who are to perform the repair under the recall plan;
    (10) A description of the impact of the proposed changes on fuel 
consumption, performance, and safety of each class or category of 
engines to be recalled;
    (11) A sample of any label to be applied to engines which 
participated in the voluntary recall campaign.
    (b) The manufacturer must submit at least one report on the progress 
of the recall campaign. Such report must be submitted no later than 18 
months from the date notification was begun and include the following 
information:
    (1) The methods used to notify both engine owners, dealers and other 
individuals involved in the recall campaign;

[[Page 281]]

    (2) The number of engines known or estimated to be affected by the 
emission-related defect and an explanation of the means by which this 
number was determined;
    (3) The number of engines actually receiving repair under the plan; 
and
    (4) The number of engines determined to be ineligible for remedial 
action due to a failure to properly maintain or use such engines.

Sec. 90.805  Reports, voluntary recall plan filing, record retention.

    (a) Send the defect report, voluntary recall plan, and the voluntary 
recall progress report to: Group Manager, Engine Compliance Programs 
Group, (6403-J), Environmental Protection Agency, Washington, DC 20460.
    (b) Retain the information gathered by the manufacturer to compile 
the reports for not less than five years from the date of the 
manufacture of the engines. The manufacturer must make this information 
available to duly authorized officials of the EPA upon request.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15251, Mar. 30, 1999]

Sec. 90.806  Responsibility under other legal provisions preserved.

    The filing of any report under the provisions of this subpart does 
not affect a manufacturer's responsibility to file reports or 
applications, obtain approval, or give notice under any provision of 
law.

Sec. 90.807  Disclaimer of production warranty applicability.

    (a) The act of filing an Emission Defect Information Report is 
inconclusive as to the existence of a defect subject to the warranty 
provided by subpart L of this part.
    (b) A manufacturer may include on each page of its Emission Defect 
Information Report a disclaimer stating that the filing of a Defect 
Information Report pursuant to these regulations is not conclusive as to 
the applicability of the warranty provided by subpart L of this part.

Sec. 90.808  Ordered recall provisions.

    (a) Effective with respect to Phase 2 small SI engines:
    (1) If the Administrator determines that a substantial number of any 
class or category of engines, although properly maintained and used, do 
not conform to the regulations prescribed under section 213 of the Act 
when in actual use throughout their useful life (as defined under 
Sec. 90.105), the Administrator shall immediately notify the 
manufacturer of such nonconformity and require the manufacturer to 
submit a plan for remedying the nonconformity of the engines with 
respect to which such notification is given.
    (i) The manufacturer's plan shall provide that the nonconformity of 
any such engines which are properly used and maintained will be remedied 
at the expense of the manufacturer.
    (ii) If the manufacturer disagrees with such determination of 
nonconformity and so advises the Administrator, the Administrator shall 
afford the manufacturer and other interested persons an opportunity to 
present their views and evidence in support thereof at a public hearing. 
Unless, as a result of such hearing, the Administrator withdraws such 
determination of nonconformity, the Administrator shall, within 60 days 
after the completion of such hearing, order the manufacturer to provide 
prompt notification of such nonconformity in accordance with paragraph 
(a)(2) of this section. The manufacturer shall comply in all respects 
with the requirements of this subpart.
    (2) Any notification required to be given by the manufacturer under 
paragraph (a)(1) of this section with respect to any class or category 
of engines shall be given to dealers, ultimate purchasers, and 
subsequent purchasers (if known) in such manner and containing such 
information as required in subparts I and M of this part.
    (3)(i) Prior to an EPA ordered recall, the manufacturer may perform 
a voluntary emissions recall pursuant to regulations at Sec. 90.804. 
Such manufacturer is subject to the reporting and recordkeeping 
requirements of Sec. 90.805.
    (ii) Once EPA determines that a substantial number of engines fail 
to conform with the requirements of section 213 of the Act or this part, 
the manufacturer will not have the option of a voluntary recall.

[[Page 282]]

    (b) The manufacturer bears all cost obligation a dealer incurs as a 
result of a requirement imposed by paragraph (a) of this section. The 
transfer of any such cost obligation from a manufacturer to a dealer 
through franchise or other agreement is prohibited.
    (c) Any inspection of an engine for purposes of paragraph (a)(1) of 
this section, after its sale to the ultimate purchaser, is to be made 
only if the owner of such vehicle or engine voluntarily permits such 
inspection to be made, except as may be provided by any state or local 
inspection program.

[64 FR 15251, Mar. 30, 1999]

 Subpart J--Exclusion and Exemption of Nonroad Engines from Regulations

Sec. 90.901  Applicability.

    The requirements of subpart J are applicable to all nonroad engines 
and vehicles subject to the provisions of subpart A of part 90.

Sec. 90.902  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart:
    Exemption means exemption from the prohibitions of Sec. 90.1003.
    Export exemption means an exemption granted under Sec. 90.1004(b) 
for the purpose of exporting new nonroad engines.
    National security exemption means an exemption granted under 
Sec. 90.1004(b) for the purpose of national security.
    Manufacturer-owned nonroad engine means an uncertified nonroad 
engine owned and controlled by a nonroad engine manufacturer and used in 
a manner not involving lease or sale by itself or in a vehicle employed 
from year to year in the ordinary course of business for product 
development, production method assessment, and market promotion 
purposes.
    Testing exemption means an exemption granted under Sec. 90.1004(b) 
for the purpose of research, investigations, studies, demonstrations or 
training, but not including national security.

Sec. 90.903  Exclusions, application of section 216 (10) and (11) of the 
          Act.

    (a) For the purpose of determining the applicability of section 
216(10) of the Act, an internal combustion engine (including the fuel 
system) that is not used in a motor vehicle is deemed a nonroad engine, 
if it meets the definition in subpart A of this part. For the purpose of 
determining the applicability of section 216(11) of the Act, a vehicle 
powered by a nonroad engine is deemed a nonroad vehicle, if it meets the 
definition in subpart A of this part.
    (b) EPA will maintain a list of models of nonroad engines and models 
of nonroad vehicles that have been determined to be excluded because 
they are used solely for competition. This list will be available to the 
public and may be obtained by writing to the following address: Group 
Manager, Engine Compliance Programs Group, Engine Programs and 
Compliance Division (6403J) Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    (c) Upon written request with supporting documentation, EPA will 
make written determinations as to whether certain engines are or are not 
nonroad engines. Engines that are determined not to be nonroad engines 
are excluded from regulations under this part.

[61 FR 52102, Oct. 4, 1996]

Sec. 90.904  Who may request an exemption.

    (a) Any person may request a testing exemption under Sec. 90.905.
    (b) Any nonroad engine manufacturer may request a national security 
exemption under Sec. 90.908.
    (c) For nonroad engine manufacturers, nonroad engines manufactured 
for export purposes are exempt without application, subject to the 
provisions of Sec. 90.909.
    (d) For eligible manufacturers, as determined by Sec. 90.906, 
manufacturer-owned nonroad engines are exempt without application, 
subject to the provisions of Sec. 90.906.
    (e) For any person, display nonroad engines are exempt without 
application, subject to the provisions of Sec. 90.907.

[[Page 283]]

Sec. 90.905  Testing exemption.

    (a) Any person requesting a testing exemption must demonstrate the 
following:
    (1) That the proposed test program has a purpose which constitutes 
an appropriate basis for an exemption in accordance with 
Sec. 90.1004(b), and in accordance with subsection (b) of this section;
    (2) That the proposed test program necessitates the granting of an 
exemption, in accordance with subsection (c) of this section;
    (3) That the proposed test program exhibits reasonableness in scope, 
in accordance with subsection (d) of this section; and
    (4) That the proposed test program exhibits a degree of control 
consonant with the purpose of the program and EPA's monitoring 
requirements, in accordance with subsection (e) of this section.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose would be research, investigations, studies, 
demonstrations, or training, but not national security. A concise 
statement of purpose is a required item of information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under Sec. 90.1003. In appropriate 
circumstances, time constraints may be a sufficient basis for necessity, 
but the cost of certification alone, in the absence of extraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of engines. 
In this regard, required items of information include:
    (1) An estimate of the program's duration; and
    (2) The maximum number of nonroad engines involved.
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the test;
    (2) The site of the test;
    (3) The duration and accumulated engine operation associated with 
the test;
    (4) The ownership arrangement with regard to the engines involved in 
the test;
    (5) The intended final disposition of the engines;
    (6) The manner in which the engines used in the test will be 
identified, and that identification recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer of new nonroad engines may request a testing 
exemption to cover nonroad engines intended for use in test programs 
planned or anticipated over the course of a subsequent one-year period. 
Unless otherwise required by the Director, Engine Programs and 
Compliance Division, a manufacturer requesting such an exemption need 
only furnish the information required by paragraphs (a)(1) and (d)(2) of 
this section along with a description of the recordkeeping and control 
procedures that will be employed to assure that the engines are used for 
purposes consistent with Sec. 90.1004(b).

[60 FR 34598, July 3, 1995, as amended at 64 FR 15252, Mar. 30, 1999]

Sec. 90.906  Manufacturer-owned exemption and precertification 
          exemption.

    (a) Any manufacturer owned nonroad engine, as defined by 
Sec. 90.902, is exempt from Sec. 90.1003, without application, if the 
manufacturer complies with the following terms and conditions:
    (1) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed information on each exempted 
engine:
    (i) Engine identification number;
    (ii) Use of the engine on exempt status; and
    (iii) Final disposition of any engine removed from exempt status.
    (2) The manufacturer must provide right of entry and access to these 
records to EPA authorized representatives as required by Sec. 90.506.
    (3) Unless the requirement is waived or an alternative procedure is 
approved

[[Page 284]]

by the Director, Engine Programs and Compliance Division, the 
manufacturer must permanently affix a label to each nonroad engine on 
exempt status. This label should:
    (i) Be affixed in a readily visible portion of the engine;
    (ii) Be attached in such a manner that it cannot be removed without 
destruction or defacement;
    (iii) State in the English language and in block letters and 
numerals of a color that contrasts with the background of the label, the 
following information:
    (A) The label heading ``Emission Control Information;''
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement, engine family identification, and model 
year of engine; or person or office to be contacted for further 
information about the engine;
    (D) The statement ``This nonroad engine is exempt from the 
prohibitions of 40 CFR 90.1003.''
    (4) No provision of paragraph (a)(3) of this section prevents a 
manufacturer from including any other information it desires on the 
label.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15252, Mar. 30, 1999]

Sec. 90.907  Display exemption.

    Where an uncertified nonroad engine is a display engine to be used 
solely for display purposes, will only be operated incident and 
necessary to the display purpose, and will not be sold unless an 
applicable certificate of conformity has been received or the engine has 
been finally admitted pursuant to subpart G of this part, no request for 
exemption of the engine is necessary.

Sec. 90.908  National security exemption.

    (a)(1) Any nonroad engine, otherwise subject to this part, which is 
used in a vehicle or equipment that exhibits substantial features 
ordinarily associated with military combat such as armor and/or 
permanently affixed weaponry and which will be owned and/or used by an 
agency of the federal government with responsibility for national 
defense, will be considered exempt from this part for purposes of 
national security. No request for exemption is necessary.
    (2) Manufacturers may request a national security exemption for any 
nonroad engine, otherwise subject to this part, which does not meet the 
conditions described in paragraph (a)(1) of this section. A manufacturer 
requesting a national security exemption must state the purpose for 
which the exemption is required and the request must be endorsed by an 
agency of the federal government charged with responsibility for 
national defense.
    (b) EPA will maintain a list of models of nonroad engines (and the 
vehicles or equipment which use them) that have been granted a national 
security exemption under paragraph (a)(2) of this section. This list 
will be available to the public and may be obtained by writing to the 
following address: Group Manager, Engine Compliance Programs Group, 
Engine Programs and Compliance Division (6403J) Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.

[61 FR 52102, Oct. 4, 1996]

Sec. 90.909  Export exemptions.

    (a) A new nonroad engine intended solely for export, and so labeled 
or tagged on the outside of the container and on the engine itself, is 
subject to the provisions of Sec. 90.1003, unless the importing country 
has new nonroad engine emission standards which differ from EPA 
standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards, whatsoever, is deemed to be a country having 
emission standards which differ from EPA standards.
    (c) EPA will maintain a list of foreign countries that have in force 
nonroad emission standards identical to U.S. EPA standards and have so 
notified EPA. This list may be obtained by writing to the following 
address: Group Manager, Engine Compliance Programs Group, Engine 
Programs and Compliance Division (6403-J), Environmental Protection 
Agency, Washington, DC 20460. New nonroad engines exported to such 
countries must comply with U.S. EPA certification regulations.
    (d) It is a condition of any exemption for the purpose of export 
under

[[Page 285]]

Sec. 90.1004(b) that such exemption be void ab initio with respect to a 
new nonroad engine intended solely for export if such nonroad engine is 
sold, or offered for sale, to an ultimate purchaser in the United States 
for purposes other than export.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15252, Mar. 30, 1999]

Sec. 90.910  Granting of exemptions.

    (a) If upon completion of the review of an exemption request made 
pursuant to Sec. 90.905 or Sec. 90.908, EPA determines it is appropriate 
to grant such an exemption, a memorandum of exemption is to be prepared 
and submitted to the person requesting the exemption. The memorandum is 
to set forth the basis for the exemption, its scope, and such terms and 
conditions as are deemed necessary. Such terms and conditions generally 
include, but are not limited to, agreements by the applicant to conduct 
the exempt activity in the manner described to EPA, create and maintain 
adequate records accessible to EPA at reasonable times, employ labels 
for the exempt engines setting forth the nature of the exemption, take 
appropriate measures to assure that the terms of the exemption are met, 
and advise EPA of the termination of the activity and the ultimate 
disposition of the engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
is deemed to cover any subject engine only to the extent that the 
specified terms and conditions are complied with. A breach of any term 
or condition causes the exemption to be void ab initio with respect to 
any engine. Consequently, the causing or the performing of an act 
prohibited under Sec. 90.1003(a) (1) or (3), other than in strict 
conformity with all terms and conditions of this exemption, renders the 
person to whom the exemption is granted, and any other person to whom 
the provisions of Sec. 90.1003 are applicable, liable to suit under 
sections 204 and 205 of the Act.

Sec. 90.911  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/or the exemption request review procedure should be addressed to: 
Group Manager, Engine Compliance Programs Group, Engine Programs and 
Compliance Division (6403J), Environmental Protection Agency, 
Washington, DC 20460.

[64 FR 15252, Mar. 30, 1999]

Sec. 90.912  Treatment of confidential information.

    The provisions for treatment of confidential information described 
in Sec. 90.4 apply to this subpart.

      Subpart K--Prohibited Acts and General Enforcement Provisions

Sec. 90.1001  Applicability.

    The requirements of subpart K are applicable to all nonroad engines 
and vehicles subject to the provisions of subpart A of part 90.

Sec. 90.1002  Definitions.

    The definitions in subpart A of this part apply to this subpart. All 
terms not defined herein or in subpart A have the meaning given them in 
the Act.

Sec. 90.1003  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1)(i) In the case of a manufacturer of new nonroad engines or 
vehicles for distribution in commerce, the sale, the offering for sale, 
or the introduction, or delivery for introduction, into commerce, of any 
new nonroad engine manufactured after the applicable effective date 
under this part unless such engine is covered by a certificate of 
conformity issued (and in effect) under regulations found in this part.
    (ii) In the case of any person, except as provided by regulation of 
the Administrator, the importation into the United States of any new 
nonroad engine manufactured after the applicable effective date under 
this part unless such engine is covered by a certificate of conformity 
issued (and in effect) under regulations found in this part.
    (2) (i) For a person to fail or refuse to permit access to or 
copying of records or to fail to make reports or provide information 
required under Sec. 90.1004.

[[Page 286]]

    (ii) For a person to fail or refuse to permit entry, testing or 
inspection authorized under Secs. 90.126, 90.506, 90.705, 90.1004, or 
90.1207.
    (iii) For a person to fail or refuse to perform tests or to have 
tests performed as required under Secs. 90.119, 90.504, 90.703, 90.1004, 
90.1204.
    (iv) For a person to fail to establish or maintain records as 
required under Secs. 90.209, 90.704, 90.805, or 90.1004.
    (v) For a person to fail to submit a remedial plan as required under 
Sec. 90.808.
    (3)(i) For a person to remove or render inoperative a device or 
element of design installed on or in a nonroad engine in compliance with 
regulations under this part prior to its sale and delivery to the 
ultimate purchaser, or for a person knowingly to remove or render 
inoperative such a device or element of design after the sale and 
delivery to the ultimate purchaser; or
    (ii) For a person to manufacture, sell or offer to sell, or install, 
a part or component intended for use with, or as part of, a nonroad 
engine, where a principal effect of the part or component is to bypass, 
defeat, or render inoperative a device or element of design installed on 
or in a nonroad engine in compliance with regulations issued under this 
part, and where the person knows or should know that the part or 
component is being offered for sale or installed for this use or put to 
such use.
    (4) For a manufacturer of a new nonroad engine subject to standards 
prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver into commerce, 
a nonroad engine unless the manufacturer has complied with the 
requirements of Sec. 90.1103.
    (ii) To sell, offer for sale, or introduce or deliver into commerce, 
a nonroad engine unless a label or tag is affixed to the engine in 
accordance with regulations under this part.
    (iii) To fail or refuse to comply with the requirements of 
Sec. 90.808.
    (iv) To provide directly or indirectly in any communication to the 
ultimate purchaser or a subsequent purchaser that the coverage of a 
warranty under the Act is conditioned upon use of a part, component, or 
system manufactured by the manufacturer or a person acting for the 
manufacturer or under its control, or conditioned upon service performed 
by such persons, except as provided in subpart L of this part.
    (v) To fail or refuse to comply with the terms and conditions of the 
warranty under subpart L of this part.
    (5) For a manufacturer of new nonroad vehicles to distribute in 
commerce, sell, offer for sale, or introduce into commerce, nonroad 
vehicles which contain an engine not covered by a certificate of 
conformity (except as specified in paragraph (b)(4) of this section) or 
which contain a handheld engine in a nonhandheld vehicle.
    (6) For a person to circumvent or attempt to circumvent the 
residence time requirements of Paragraph (a) (2)(iii) of this Section of 
the nonroad engine definition in Sec. 90.3.
    (b) For the purposes of enforcement of this part, the following 
apply:
    (1) Nothing in paragraph (a) of this section is to be construed to 
require the use of manufacturer parts in maintaining or repairing a 
nonroad engine.
    (2) Actions for the purpose of repair or replacement of a device or 
element of design or any other item are not considered prohibited acts 
under Sec. 90.1003(a) if the actions are a necessary and temporary 
procedure, the device or element is replaced upon completion of the 
procedure, and the action results in the proper functioning of the 
device or element of design.
    (3) Actions for the purpose of a conversion of a nonroad engine for 
use of a clean alternative fuel (as defined in Title II of the Act) are 
not considered prohibited acts under Sec. 90.1003(a) if:
    (i) The vehicle complies with the applicable standard when operating 
on the alternative fuel, and the device or element is replaced upon 
completion of the conversion procedure, and
    (ii) In the case of engines converted to dual fuel or flexible use, 
the action results in proper functioning of the device or element when 
the nonroad engine operates on conventional fuel.
    (4) Certified nonroad engines shall be used in all equipment or 
vehicles that are self-propelled, portable, transportable, or are 
intended to be propelled while performing their function, unless the 
manufacturer of the equipment or vehicle can prove that the vehicle or 
equipment will be used in a manner

[[Page 287]]

consistent with paragraph (2) of the definition of Nonroad engine in 
Sec. 90.3. Nonroad vehicle and equipment manufacturers may continue to 
use noncertified nonroad engines built prior to the applicable 
implementation date of the Phase 1 rule until noncertified engine 
inventories are depleted; further after the applicable implementation of 
the Phase 2 regulations in this part, nonroad vehicle and equipment 
manufacturers may continue to use Phase 1 engines until Phase 1 engine 
inventories are depleted. Stockpiling (i.e., build up of an inventory of 
uncertified engines or Phase 1 engines beyond normal business practices 
to avoid or delay compliance with the Phase 1 or Phase 2 regulations in 
this part, respectively) will be considered a violation of this section.
    (5) A new nonroad engine, intended solely to replace an engine in a 
piece of nonroad equipment that was originally produced with an engine 
manufactured prior to the applicable implementation date as described in 
Secs. 90.2, 90.103 and 90.106, or with an engine that was originally 
produced in a model year in which less stringent standards under this 
part were in effect, shall not be subject to the requirements of 
Sec. 90.106 or prohibitions and provisions of paragraphs (a)(1) and 
(b)(4) of this section provided that:
    (i) The engine manufacturer has ascertained that no engine produced 
by itself or the manufacturer of the engine that is being replaced, if 
different, and certified to the requirements of this subpart, is 
available with the appropriate physical or performance characteristics 
to repower the equipment; and
    (ii) The engine manufacturer or its agent takes ownership and 
possession of the old engine in partial exchange for the replacement 
engine; and
    (iii) The replacement engine is clearly labeled with the following 
language, or similar alternate language approved in advance by the 
Administrator:

THIS ENGINE DOES NOT COMPLY WITH FEDERAL NONROAD OR ON-HIGHWAY EMISSION 
REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR ANY PURPOSE OTHER 
THAN AS A REPLACEMENT ENGINE IN A NONROAD VEHICLE OR PIECE OF NONROAD 
EQUIPMENT WHOSE ORIGINAL ENGINE WAS NOT CERTIFIED, OR WAS CERTIFIED TO 
LESS STRINGENT EMISSION STANDARDS THAN THOSE THAT APPLY TO THE YEAR OF 
MANUFACTURE OF THIS ENGINE, IS A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY;


and
    (iv) Where the replacement engine is intended to replace an engine 
built after the applicable implementation date of regulations under this 
part, but built to less stringent emission standards than are currently 
applicable, the replacement engine shall be identical in all material 
respects to a certified configuration of the same or later model year as 
the engine being replaced.
    (v) In cases where an engine is to be imported for replacement 
purposes under the provisions of this paragraph (b)(5), the term 
``engine manufacturer'' shall not apply to an individual or other entity 
that does not possess a current Certificate of Conformity issued by EPA 
under this part.
    (6)(i) Regulations elsewhere in this part notwithstanding, for three 
model years after the phase-in of each set of Class I through Class V 
Phase 2 standards; i.e. up to and including August 1, 2010 for Class I 
engines, up to and including model year 2008 for Class II engines, up to 
and including model year 2008 for Class III and Class IV engines, and up 
to and including model year 2010 for Class V engines, small volume 
equipment manufacturers as defined in this part, may continue to use, 
and engine manufacturers may continue to supply, engines certified to 
Phase 1 standards (or identified and labeled by their manufacturer to be 
identical to engines previously certified under Phase 1 standards), 
provided the equipment manufacturer has demonstrated to the satisfaction 
of the Administrator that no certified Phase 2 engine is available with 
suitable physical or performance characteristics to power a piece of 
equipment in production prior to the initial effective date of Phase 2 
standards, as indicated in Sec. 90.103(a). The equipment manufacturer 
must also certify to the Administrator that the equipment model has not 
undergone any redesign which could have facilitated conversion of the 
equipment to accommodate a Phase 2 engine. These

[[Page 288]]

provisions do not apply to Class I-A and Class I-B engines.
    (ii) Regulations elsewhere in this part notwithstanding, for the 
duration of the Phase 2 rule in this part, equipment manufacturers that 
produce small volume equipment models, as defined in this part, for a 
Class I model in production prior to August 1, 2007, or a Class II model 
in production prior to the 2001 model year, or a Class III or Class IV 
model in production prior to the 2002 model year, or a Class V model in 
production prior to the 2004 model year, may continue to use in that 
small volume equipment model, and engine manufacturers may continue to 
supply, engines certified to Phase 1 requirements (or identified and 
labeled by their manufacturer to be identical to engines previously 
certified under Phase 1 standards). To be eligible for this provision, 
the equipment manufacturer must have demonstrated to the satisfaction of 
the Administrator that no certified Phase 2 engine is available with 
suitable physical or performance characteristics to power the small 
volume equipment model. The equipment manufacturer must also certify to 
the Administrator that the equipment model has not undergone any 
redesign which could have facilitated conversion of the equipment to 
accommodate a Phase 2 engine. These provisions do not apply to Class I-A 
and Class I-B engines.
    (iii) An equipment manufacturer which is unable to obtain suitable 
Phase 2 engines and which can not obtain relief under any other 
provision of this part, may, prior to the date on which the manufacturer 
would become in noncompliance with the requirement to use Phase 2 
engines, apply to the Administrator to be allowed to continue using 
Phase 1 engines, through August 1, 2008 for Class I engines, through the 
2006 model year for Class II engines, through the 2006 model year for 
Class III and Class IV engines, and through the 2008 model year for 
Class V engines, subject to the following criteria (These provisions do 
not apply to Class I-A and Class I-B engines.):
    (A) The inability to obtain Phase 2 engines is despite the 
manufacturer's best efforts and is the result of an extraordinary action 
on the part of the engine manufacturer that was outside the control of 
and could not be reasonably foreseen by the equipment manufacturer; such 
as canceled production or shipment, last minute certification failure, 
unforeseen engine cancellation, plant closing, work stoppage or other 
such circumstance; and
    (B) the inability to market the particular equipment will bring 
substantial economic hardship to the equipment manufacturer resulting in 
a major impact on the equipment manufacturer's solvency.
    (iv) The written permission from the Administrator to the equipment 
manufacturer shall serve as permission for the engine manufacturer to 
provide such Phase 1 engines required by the equipment manufacturers 
under this paragraph (b)(6) of this section. As Phase 1 engines, these 
engines are exempt from Production Line Testing requirements under 
subpart H of this part and in-use testing provisions under subpart M of 
this part, and are excluded from the certification averaging, banking 
and trading program of subpart C of this part.
    (7) Actions for the purpose of installing or removing altitude kits 
and performing other changes to compensate for altitude change as 
described in the application for certification pursuant to 
Sec. 90.107(d) and approved at the time of certification pursuant to 
Sec. 90.108(a) are not considered prohibited acts under paragraph (a) of 
this section.

[60 FR 34598, July 3, 1995, as amended at 62 FR 42644, Aug. 7, 1997; 64 
FR 15252, Mar. 30, 1999; 65 FR 24313, Apr. 25, 2000]

Sec. 90.1004  General enforcement provisions.

    (a) Information collection provisions. (1) Every manufacturer of new 
nonroad engines and other persons subject to the requirements of this 
part must establish and maintain records, perform tests where such 
testing is not otherwise reasonably available under this part, make 
reports and provide information the Administrator may reasonably require 
to determine whether the manufacturer or other person has acted or is 
acting in compliance with this part or to otherwise carry out the 
provisions of this part, and must, upon request of an officer or 
employee duly

[[Page 289]]

designated by the Administrator, permit the officer or employee at 
reasonable times to have access to and copy such records. The 
manufacturer shall comply in all respects with the requirements of 
subpart I of this part.
    (2) For purposes of enforcement of this part, an officer or employee 
duly designated by the Administrator, upon presenting appropriate 
credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of the 
manufacturer, or of any person whom the manufacturer engaged to perform 
any activity required under paragraph (a)(1) of this section, for the 
purposes of inspecting or observing any activity conducted pursuant to 
paragraph (a)(1) of this section; and
    (ii) To inspect records, files, papers, processes, controls, and 
facilities used in performing an activity required by paragraph (a)(1) 
of this section, by the manufacturer or by a person whom the 
manufacturer engaged to perform the activity.
    (b) Exemption provision. The Administrator may exempt a new nonroad 
engine from Sec. 90.1003 upon such terms and conditions as the 
Administrator may find necessary for the purpose of export, research, 
investigations, studies, demonstrations, or training, or for reasons of 
national security.
    (c) Importation provision. (1) A new nonroad engine or vehicle 
offered for importation or imported by a person in violation of 
Sec. 90.1003 is to be refused admission into the United States, but the 
Secretary of the Treasury and the Administrator may, by joint 
regulation, provide for deferring a final determination as to admission 
and authorizing the delivery of such a nonroad engine offered for import 
to the owner or consignee thereof upon such terms and conditions 
(including the furnishing of a bond) as may appear to them appropriate 
to insure that the nonroad engine will be brought into conformity with 
the standards, requirements, and limitations applicable to it under this 
part.
    (2) If a nonroad engine is finally refused admission under this 
paragraph, the Secretary of the Treasury shall cause disposition thereof 
in accordance with the customs laws unless it is exported, under 
regulations prescribed by the Secretary, within 90 days of the date of 
notice of the refusal or additional time as may be permitted pursuant to 
the regulations.
    (3) Disposition in accordance with the customs laws may not be made 
in such manner as may result, directly or indirectly, in the sale, to 
the ultimate purchaser, of a new nonroad engine that fails to comply 
with applicable standards of the Administrator under this part.
    (d) Export provision. A new nonroad engine intended solely for 
export, and so labeled or tagged on the outside of the container and on 
the engine itself, shall be subject to the provisions of Sec. 90.1003, 
except that if the country that is to receive the engine has emission 
standards that differ from the standards prescribed under subpart B of 
this part, then the engine must comply with the standards of the country 
that is to receive the engine.

Sec. 90.1005  Injunction proceedings for prohibited acts.

    (a) The district courts of the United States have jurisdiction to 
restrain violations of Sec. 90.1003.
    (b) Actions to restrain such violations must be brought by and in 
the name of the United States. In an action, subpoenas for witnesses who 
are required to attend a district court in any district may run into any 
other district.

Sec. 90.1006  Penalties.

    (a) Violations. A violation of the requirements of this subpart is a 
violation of the applicable provisions of the Act and is subject to the 
penalty provisions thereunder.
    (1) A person who violates Sec. 90.1003(a)(1), (a)(4), or (a)(5), or 
a manufacturer or dealer who violates Sec. 90.1003(a)(3)(i), is subject 
to a civil penalty of not more than $25,000 for each violation.
    (2) A person other than a manufacturer or dealer who violates 
Sec. 90.1003(a)(3)(i) or any person who violates Sec. 90.1003(a)(3)(ii) 
is subject to a civil penalty of not more than $2,500 for each 
violation.
    (3) A violation with respect to Sec. 90.1003(a)(1), (a)(3)(i), 
(a)(4), or (a)(5)

[[Page 290]]

constitutes a separate offense with respect to each nonroad engine.
    (4) A violation with respect to Sec. 90.1003(a)(3)(ii) constitutes a 
separate offense with respect to each part or component. Each day of a 
violation with respect to Sec. 90.1003(a)(6) constitutes a separate 
offense.
    (5) A person who violates Sec. 90.1003(a)(2) or (a)(6) is subject to 
a civil penalty of not more than $25,000 per day of violation.
    (b) Civil actions. The Administrator may commence a civil action to 
assess and recover any civil penalty under paragraph (a) of this 
section.
    (1) An action under this paragraph may be brought in the district 
court of the United States for the district in which the violation is 
alleged to have occurred, the defendant resides, or the Administrator's 
principal place of business is located, and in which the court has 
jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessed 
under this paragraph, the court is to take into account the gravity of 
the violation, the economic benefit or savings (if any) resulting from 
the violation, the size of the violator's business, the violator's 
history of compliance with Title II of the Act, action taken to remedy 
the violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are required to 
attend a district court in any district may run into any other district.
    (c) Administrative assessment of certain penalties. (1) 
Administrative penalty authority. In lieu of commencing a civil action 
under paragraph (b) of this section, the Administrator shall assess any 
civil penalty prescribed in paragraph (a) of this section, except that 
the maximum amount of penalty sought against each violator in a penalty 
assessment proceeding can not exceed $200,000, unless the Administrator 
and the Attorney General jointly determine that a matter involving a 
larger penalty amount is appropriate for administrative penalty 
assessment. Any such determination by the Administrator and the Attorney 
General is not subject to judicial review. Assessment of a civil penalty 
is made by an order made on the record after opportunity for a hearing 
held in accordance with the procedures found at part 22 of this chapter. 
The Administrator may compromise, or remit, with or without conditions, 
any administrative penalty which may be imposed under this section.
    (2) Determining amount. In determining the amount of any civil 
penalty assessed under this subsection, the Administrator is to take 
into account the gravity of the violation, the economic benefit or 
savings (if any) resulting from the violation, the size of the 
violator's business, the violator's history of compliance with Title II 
of the Act, action taken to remedy the violation, the effect of the 
penalty on the violator's ability to continue in business, and such 
other matters as justice may require.
    (3) Effect of administrator's action. (i) Action by the 
Administrator under this paragraph does not affect or limit the 
Administrator's authority to enforce any provisions of this part; except 
that any violation with respect to which the Administrator has commenced 
and is diligently prosecuting an action under this part, or for which 
the Administrator has issued a final order not subject to further 
judicial review and for which the violator has paid a penalty assessment 
under this part may not be the subject of a civil penalty action under 
paragraph (b) of this section.
    (ii) No action by the Administrator under this part affects a 
person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this part becomes final 
30 days after its issuance unless a petition for judicial review is 
filed under paragraph (c)(5) of this section.
    (5) Judicial review. (i) A person against whom a civil penalty is 
assessed in accordance with this part may seek review of the assessment 
in the United States District Court for the District of Columbia or for 
the district in which the violation is alleged to have occurred, in 
which such person resides, or where the person's principle place of 
business is located, within the 30-day period beginning on the date a

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civil penalty order is issued. The person must simultaneously send a 
copy of the filing by certified mail to the Administrator and the 
Attorney General.
    (ii) The Administrator must file in the court within 30 days a 
certified copy, or certified index, as appropriate, of the record on 
which the order was issued. The court is not to set aside or remand any 
order issued in accordance with the requirements of this paragraph 
unless substantial evidence does not exist in the record, taken as a 
whole, to support the finding of a violation or unless the 
Administrator's assessment of the penalty constitutes an abuse of 
discretion, and the court is not to impose additional civil penalties 
unless the Administrator's assessment of the penalty constitutes an 
abuse of discretion. In any proceedings, the United States may seek to 
recover civil penalties assessed under this section.
    (6) Collection. (i) If any person fails to pay an assessment of a 
civil penalty imposed by the Administrator as provided in this part 
after the order making the assessment has become final or after a court 
in an action brought under paragraph (c)(5) of this section has entered 
a final judgment in favor of the Administrator, the Administrator is to 
request that the Attorney General bring a civil action in an appropriate 
district court to recover the amount assessed (plus interest at rates 
established pursuant to section 6621(a)(2) of the Internal Revenue Code 
of 1986 from the date of the final order or the date of final judgment, 
as the case may be). In such an action, the validity, amount, and 
appropriateness of the penalty are not subject to review.
    (ii) A person who fails to pay on a timely basis the amount of an 
assessment of a civil penalty as described in paragraph (c)(6)(i) of 
this section is required to pay, in addition to that amount and 
interest, the United States' enforcement expenses, including attorney's 
fees and costs for collection proceedings, and a quarterly nonpayment 
penalty for each quarter during which the failure to pay persists. The 
nonpayment penalty is an amount equal to 10 percent of the aggregate 
amount of that person's penalties and nonpayment penalties which are 
unpaid as of the beginning of such quarter.

        Subpart L--Emission Warranty and Maintenance Instructions

Sec. 90.1101  Applicability.

    The requirements of subpart L are applicable to all nonroad engines 
and vehicles subject to the provisions of subpart A of part 90.

Sec. 90.1102  Definitions.

    The definitions of subpart A of this part apply to this subpart.

Sec. 90.1103  Emission warranty, warranty period.

    (a) Warranties imposed by this subpart shall be for the first two 
years of engine use from the date of sale to the ultimate purchaser. 
Manufacturers of handheld engines subject to Phase 2 standards may apply 
to the Administrator for approval for a warranty period of less than two 
years for handheld engines that are subject to severe service in 
seasonal equipment and are likely to run their full useful life hours in 
less than two years. Such an application must be made prior to 
certification. Alternatively, manufacturers of handheld engines subject 
to Phase 2 standards may apply to the Administrator for approval for a 
warranty period equal to the useful life of the engine or two years, 
whichever is less, if the equipment in which the engine is placed is 
equipped with a meter for measuring hours of use. Such an application 
must be made prior to certification.
    (b) The manufacturer of each new nonroad engine must warrant to the 
ultimate purchaser and each subsequent purchaser that the engine is 
designed, built and equipped so as to conform at the time of sale with 
applicable regulations under section 213 of the Act, and the engine is 
free from defects in materials and workmanship which cause such engine 
to fail to conform with applicable regulations for its warranty period.
    (c) In the case of a nonroad engine part, the manufacturer or 
rebuilder of the part may certify according to Sec. 85.2112 of this 
chapter that use of the part will not result in a failure of the

[[Page 292]]

engine to comply with emission standards promulgated in this part.
    (d) For the purposes of this section, the owner of any nonroad 
engine warranted under this part is responsible for the proper 
maintenance of the engine as stated in the manufacturer's written 
instructions. Proper maintenance generally includes replacement and 
service, at the owner's expense at a service establishment or facility 
of the owner's choosing, such items as spark plugs, points, condensers, 
and any other part, item, or device related to emission control (but not 
designed for emission control) under the terms of the last sentence of 
section 207(a)(3) of the Act, unless such part, item, or device is 
covered by any warranty not mandated by this Act.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15253, Mar. 30, 1999; 65 
FR 24314, Apr. 25, 2000]

Sec. 90.1104  Furnishing of maintenance instructions to ultimate 
          purchaser.

    (a) The manufacturer must furnish or cause to be furnished to the 
ultimate purchaser of each new nonroad engine written instructions for 
the maintenance needed to assure proper functioning of the emission 
control system.
    (b) The manufacturer must provide in boldface type on the first page 
of the written maintenance instructions notice that maintenance, 
replacement, or repair of the emission control devices and systems may 
be performed by any nonroad engine repair establishment or individual.
    (c) The instructions under paragraph (b) of this section will not 
include any condition on the ultimate purchaser's using, in connection 
with such engine, any component or service (other than a component or 
service provided without charge under the terms of the purchase 
agreement) which is identified by brand, trade, or corporate name. Such 
instructions also will not directly or indirectly distinguish between 
service performed by the franchised dealers of such manufacturer or any 
other service establishments with which such manufacturer has a 
commercial relationship and service performed by independent nonroad 
engine repair facilities with which such manufacturer has no commercial 
relationship.
    (d) The prohibition of paragraph (c) of this section may be waived 
by the Administrator if:
    (1) The manufacturer satisfies the Administrator that the engine 
will function properly only if the component or service so identified is 
used in connection with such engine; and
    (2) The Administrator finds that such a waiver is in the public 
interest.
    (e) If a manufacturer includes in an advertisement a statement 
respecting the cost or value of emission control devices or systems, the 
manufacturer shall set forth in the statement the cost or value 
attributed to these devices or systems by the Secretary of Labor 
(through the Bureau of Labor Statistics). The Secretary of Labor, and 
his or her representatives, has the same access for this purpose to the 
books, documents, papers, and records of a manufacturer as the 
Comptroller General has to those of a recipient of assistance for 
purposes of section 311 of the Act.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15253, Mar. 30, 1999]

                   Subpart M--Voluntary In-Use Testing

    Source: 64 FR 15254, Mar. 30, 1999, unless otherwise noted.

Sec. 90.1201  Applicability.

    The provisions of this subpart from Sec. 90.1201 through 
Sec. 90.1249 are applicable to all handheld and nonhandheld Phase 2 
engines subject to the provisions of subpart A of this part.

[64 FR 15254, Mar. 30, 1999, as amended at 65 FR 24314, Apr. 25, 2000]

Sec. 90.1202  Definitions.

    For the purposes of this subpart, except as otherwise provided, the 
definitions in subparts A and C of this part apply to this subpart.

Sec. 90.1203  Voluntary Manufacturer In-Use Testing Program.

    (a) Manufacturers may elect to participate in the voluntary in-use 
testing program by notifying the Administrator in writing of their 
intent to conduct emissions testing on in-use engines prior to the 
beginning of each

[[Page 293]]

model year. The notification must include a list of engine families the 
manufacturer has selected to include in the testing program.
    (b) Each engine family included in the voluntary in-use testing 
program is exempted from the Production Line Testing requirements 
according to Sec. 90.701(c) for two model years, the current model year 
and the subsequent model year. Manufacturers may only include up to 
twenty percent of their eligible engine families in this in-use testing 
program each model year.
    (c) The manufacturer must randomly select or procure a minimum of 
three engines, from each family included in the voluntary program, for 
emissions testing. These three engines may be selected or procured from:
    (1) Existing consumer or independently owned fleets,
    (2) Existing manufacturer owned fleets, or
    (3) The production line and placed into either manufacturer or 
consumer owned fleets. Although a minimum of three engines must be 
emissions tested from each engine family in this testing program, a 
manufacturer may elect to emissions test more than three engines per 
family.
    (d) The manufacturer or the manufacturer's designee must:
    (1) Age the selected engines in equipment representing the top 50 
percent, by production, of available equipment for the engine family.
    (2) Age the selected engines to at least 75 percent of each engines' 
useful life as determined pursuant to Sec. 90.105.
    (3) Age the engine/equipment combination in actual field conditions 
encountered with typical use of the equipment as described in the 
owner's manual or other literature sold with the equipment or engine.
    (e) Documents obtained in the procurement or aging process must be 
maintained as required in Sec. 90.121.
    (f) The manufacturer must complete testing within three calendar 
years from the time they notified the Administrator of their intent to 
participate in the voluntary in-use testing program, unless otherwise 
approved by the Administrator; the Administrator will give such approval 
upon acceptance of documentation demonstrating that appropriate in-use 
testing will take a longer period of time.

Sec. 90.1204  Maintenance, aging and testing of engines.

    (a) Prior to aging the engines and after appropriate stabilization, 
manufacturers may optionally conduct emissions testing on the engines, 
according to the test procedures described in subpart E of this part. 
These tests to serve as baseline references.
    (b) Manufacturers must obtain information regarding the accumulated 
usage, maintenance, operating conditions, and storage of the test 
engines.
    (1) The manufacturer may take reasonable measures to assure that the 
engines and equipment were properly used and maintained during the field 
aging process, but additional maintenance to that indicated in the 
owners manual or other literature sold with the equipment or engine is 
prohibited.
    (2) Unless otherwise approved by the Administrator, once a 
manufacturer begins aging and/or testing an engine, the manufacturer may 
not remove that engine from the selected sample unless that engine 
experiences catastrophic mechanical failure or safety concerns requiring 
major engine repair.
    (c) The manufacturer may perform minimal set-to-spec maintenance on 
components of a test engine that are not subject to parameter 
adjustment. Components subject to parameter adjustment must be sealed 
and tamperproof and may not be adjusted for testing. Unless otherwise 
approved by the Administrator, maintenance to any test engine may 
include only that which is listed in the owner's instructions for 
engines with the amount of service and age of the test engine.
    (d) After aging each engine to at least 75 percent of the engine's 
useful life as determined pursuant to Sec. 90.105, at least one valid 
emission test, according to the test procedure outlined in subpart E of 
this part, is required for each test engine. Data from other emission 
testing or performance testing performed on a test engine must be 
supplied to EPA, and may not be used for the purpose of determining the 
need for maintenance on an engine.

[[Page 294]]

    (e) Documents obtained in the procurement, aging, maintenance, or 
testing process must be maintained as required in Sec. 90.121.

Sec. 90.1205  In-use test program reporting requirements.

    (a) The manufacturer shall submit to the Administrator within ninety 
(90) days of completion of testing for a given model year's engines, all 
emission testing results generated from the voluntary in-use testing 
program. The following information must be reported for each test 
engine:
    (1) Engine family;
    (2) Model;
    (3) Application;
    (4) Engine serial number;
    (5) Date of manufacture;
    (6) Hours of use;
    (7) Date and time of each test attempt;
    (8) Results (if any) of each test attempt;
    (9) Schedules, descriptions and justifications of all maintenance 
and/or adjustments performed;
    (10) Schedules, descriptions and justifications of all modifications 
and/or repairs; and
    (11) A listing of any test engines that were deleted from the aging 
process or testing process and technical justifications to support the 
deletion.
    (b) All testing reports and requests for approvals made under this 
subpart shall be addressed to: Manager, Engine Compliance Programs Group 
(6403-J), U.S. Environmental Protection Agency, Washington, DC 20460.

Sec. 90.1206  [Reserved]

Sec. 90.1207  Entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions under this subpart, EPA enforcement 
officers or their authorized representatives, upon presentation of 
credentials, shall be permitted entry, during operating hours, into any 
of the following places:
    (1) Any facility where engines undergo or are undergoing aging, 
maintenance, repair, preparation for aging, selection for aging or 
emission testing.
    (2) Any facility where records or documents related to any of 
activities described in paragraph (a)(1) of this section are kept.
    (3) Any facility where any engine that is being tested or aged, was 
tested or aged or will be tested or aged is present.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers or EPA authorized representatives 
are authorized to perform those activities set forth in Sec. 90.705 (b) 
and also to inspect and make copies of records related to engine aging 
(service accumulation) and maintenance.
    (c) The provisions of Sec. 90.705(c), (d), (e), (f) and (g) also 
apply to entry and access under this subpart.

Secs. 90.1208--90.1249  [Reserved]



PART 91--CONTROL OF EMISSIONS FROM MARINE SPARK-IGNITION ENGINES--Table of 
Contents




                           Subpart A--General

Sec.
91.1  Applicability.
91.2  Applicable date.
91.3  Definitions.
91.4  Acronyms and abbreviations.
91.5  Table and figure numbering; position.
91.6  Reference materials.
91.7  Treatment of confidential information.

       Subpart B--Emission Standards and Certification Provisions

91.101  Applicability.
91.102  Definitions.
91.103  Averaging, banking, and trading of exhaust emission credits.
91.104  Exhaust emission standards for outboard and personal watercraft 
          engines.
91.105  Useful life period, recall, and warranty periods.
91.106  Certificate of conformity.
91.107  Application for certification.
91.108  Certification.
91.109  Requirement of certification--closed crankcase.
91.110  Requirement of certification--prohibited controls.
91.111  Requirement of certification--prohibition of defeat devices.
91.112  Requirement of certification--adjustable parameters.
91.113  Requirement of certification--emission control information label 
          and engine identification number.
91.114  Requirement of certification--supplying production engines upon 
          request.

[[Page 295]]

91.115  Certification procedure--determining engine power and engine 
          families.
91.116  Certification procedure--test engine selection.
91.117  Certification procedure--service accumulation.
91.118  Certification procedure--testing.
91.119  Certification procedure--use of special test procedures.
91.120  Compliance with Family Emission Limits over useful life.
91.121  Certification procedure--recordkeeping.
91.122  Amending the application and certificate of conformity.
91.123  Denial, revocation of certificate of conformity.
91.124  Request for hearing.
91.125  Hearing procedures.
91.126  Right of entry and access.

          Subpart C--Averaging, Banking, and Trading Provisions

91.201  Applicability.
91.202  Definitions.
91.203  General provisions.
91.204  Averaging.
91.205  Banking.
91.206  Trading.
91.207  Credit calculation and manufacturer compliance with emission 
          standards.
91.208  Certification.
91.209  Maintenance of records.
91.210  End-of-year and final reports.
91.211  Notice of opportunity for hearing.

              Subpart D--Emission Test Equipment Provisions

91.301  Scope; applicability.
91.302  Definitions.
91.303  Acronyms and abbreviations.
91.304  Test equipment overview.
91.305  Dynamometer specifications and calibration accuracy.
91.306  Dynamometer torque cell calibration.
91.307  Engine cooling system.
91.308  Lubricating oil and test fuel.
91.309  Engine intake air temperature measurement.
91.310  Engine intake air humidity measurement.
91.311  Test conditions.
91.312  Analytical gases.
91.313  Analyzers required.
91.314  Analyzer accuracy and specifications.
91.315  Analyzer initial calibration.
91.316  Hydrocarbon analyzer calibration.
91.317  Carbon monoxide analyzer calibration.
91.318  Oxides of nitrogen analyzer calibration.
91.319  NOX converter check.
91.320  Carbon dioxide analyzer calibration.
91.321  NDIR analyzer calibration.
91.322  Calibration of other equipment.
91.323  Analyzer bench checks.
91.324  Analyzer leakage check.
91.325  Analyzer interference checks.
91.326  Pre- and post-test analyzer calibration.
91.327  Sampling system requirements.
91.328  Measurement equipment accuracy/calibration frequency table.
91.329  Catalyst thermal stress test.

Appendix A to Subpart D of Part 91--Figures
Appendix B to Subpart D of Part 91--Figures

               Subpart  E--Gaseous Exhaust Test Procedures

91.401  Scope; applicability.
91.402  Definitions.
91.403  Symbols and abbreviations.
91.404  Test procedure overview.
91.405  Recorded information.
91.406  Engine parameters to be measured and recorded.
91.407  Engine inlet and exhaust systems.
91.408  Pre-test procedures.
91.409  Engine dynamometer test run.
91.410  Engine test cycle.
91.411  Post-test analyzer procedures.
91.412  Data logging.
91.413  Exhaust sample procedure--gaseous components.
91.414  Raw gaseous exhaust sampling and analytical system description.
91.415  Raw gaseous sampling procedures.
91.416  Intake air flow measurement specifications.
91.417  Fuel flow measurement specifications.
91.418  Data evaluation for gaseous emissions.
91.419  Raw emission sampling calculations.
91.420  CVS concept of exhaust gas sampling system.
91.421  Dilute gaseous exhaust sampling and analytical system 
          description.
91.423  Exhaust gas analytical system; CVS grab sample.
91.424  Dilute sampling procedure--CVS calibration.
91.425  CVS calibration frequency.
91.426  Dilute emission sampling calculations.
91.427  Catalyst thermal stress resistance evaluation.

Appendix A to Subpart E of Part 91--Tables
Appendix B to Subpart E of Part 91--Figures

         Subpart F--Manufacturer Production Line Testing Program

91.501  Applicability.
91.502  Definitions.
91.503  Production line testing by the manufacturer.

[[Page 296]]

91.504  Maintenance of records; submittal of information.
91.505  Right of entry and access.
91.506  Engine sample selection.
91.507  Test procedures.
91.508  Cumulative Sum (CumSum) procedure.
91.509  Calculation and reporting of test results.
91.510  Compliance with criteria for production line testing.
91.511  Suspension and revocation of certificates of conformity.
91.512  Request for public hearing.
91.513  Administrative procedures for public hearing.
91.514  Hearing procedures.
91.515  Appeal of hearing decision.
91.516  Treatment of confidential information.

          Subpart G--Selective Enforcement Auditing Regulations

91.601  Applicability.
91.602  Definitions.
91.603  Applicability of part 91, subpart F.
91.604  Test orders.
91.605  Testing by the Administrator.
91.606  Sample selection.
91.607  Test procedures.
91.608  Compliance with acceptable quality level and passing and failing 
          criteria for selective enforcement audits.

Appendix A to Subpart G of Part 91--Sampling Plans for Selective 
          Enforcement Auditing of Marine Engines

         Subpart H--Importation of Nonconforming Marine Engines

91.701  Applicability.
91.702  Definitions.
91.703  Admission.
91.704  Exemptions and exclusions.
91.705  Prohibited acts; penalties.
91.706  Treatment of confidential information.

            Subpart I--In-Use Testing and Recall Regulations

91.801  Applicability.
91.802  Definitions.
91.803  Manufacturer in-use testing program.
91.804  Maintenance, procurement and testing of in-use engines.
91.805  In-use test program reporting requirements.
91.806  Voluntary emissions recall.

  Subpart J--Emission-Related Defect Reporting Requirements, Voluntary 
                         Emission Recall Program

91.901  Applicability.
91.902  Definitions.
91.903  Applicability to part 85, subpart T.
91.904  Voluntary emission recall.
91.905  Reports, voluntary recall plan filing, record retention.
91.906  Responsibility under other legal provisions preserved.
91.907  Disclaimer of production warranty applicability.

         Subpart K--Exclusion and Exemption of Marine SI Engines

91.1001  Applicability.
91.1002  Definitions.
91.1003  Exclusions based on section 216(10) of the Act.
91.1004  Who may request an exemption.
91.1005  Testing exemption.
91.1006  Manufacturer-owned exemption and precertification exemption.
91.1007  Display exemption.
91.1008  National security exemption.
91.1009  Export exemptions.
91.1010  Granting of exemptions.
91.1011  Submission of exemption requests.
91.1012  Treatment of confidential information.

      Subpart L--Prohibited Acts and General Enforcement Provisions

91.1101  Applicability.
91.1102  Definitions.
91.1103  Prohibited acts.
91.1104  General enforcement provisions.
91.1105  Injunction proceedings for prohibited acts.
91.1106  Penalties.
91.1107  Warranty provisions.
91.1108  In-use compliance provisions.

        Subpart M--Emission Warranty and Maintenance Instructions

91.1201  Applicability.
91.1202  Definitions.
91.1203  Emission warranty, warranty period.
91.1204  Furnishing of maintenance and use instructions to ultimate 
          purchaser.

         Subpart N--In-Use Credit Program for New Marine Engines

91.1301  Applicability.
91.1302  Definitions.
91.1303  General provisions.
91.1304  Averaging.
91.1305  Banking.
91.1306  Trading.
91.1307  Credit calculation.
91.1308  Maintenance of records.
91.1309  Reporting requirements.
91.1310  Notice of opportunity for hearing.

    Authority: 42 U.S.C. 7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 
7547, 7549, 7550, and 7601(a).

[[Page 297]]


    Source: 61 FR 52102, Oct. 4, 1996, unless otherwise noted.

    Effective Date Note: At 61 FR 52102, Oct. 4, 1996, part 91 was 
added, effective Dec. 3, 1996. This part contains information collection 
and recordkeeping requirements that will not become effective until 
approval has been given by the Office of Management and Budget.



                           Subpart A--General



Sec. 91.1  Applicability.

    (a) This part and all its subparts apply to marine spark-ignition 
engines used to propel marine vessels as defined in the General 
Provisions of the United States Code, 1 U.S.C.3 (1992), unless otherwise 
indicated.
    (b) Sterndrive and inboard engines are exempt from this part.
    (c) Existing technology OB/PWC are exempt from Sec. 91.112 and 
subparts D, E, F, G, I (Secs. 91.803 through 91.805), J, M and N through 
model year 2003.



Sec. 91.2  Applicable date.

    This part applies to marine spark-ignition engines beginning with 
the 1998 model year, except where otherwise specified.



Sec. 91.3  Definitions.

    The following definitions apply to this part 91. All terms not 
defined herein have the meaning given them in the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
    Adjustable parameter means any device, system, or element of design 
which is physically capable of being adjusted (including those which are 
difficult to access) and which, if adjusted, may affect emissions or 
engine performance during emission testing or normal in-use operation.
    Administrator means the Administrator of the Environmental 
Protection Agency or his or her authorized representative.
    Auxiliary emission control device means any element of design that 
senses temperature, engine speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.
    Certification means, with respect to new SI marine engines, 
obtaining a certificate of conformity for an engine family complying 
with the marine SI engine emission standards and requirements specified 
in this part.
    Emission control system means any device, system, or element of 
design which controls or reduces the emission of substances from an 
engine.
    Engine as used in this part, refers to marine SI engine.
    Engine family means a group of engines, as specified in Sec. 91.115.
    EPA enforcement officer means any officer, employee, or authorized 
representative of the U.S. Environmental Protection Agency so designated 
in writing by the Administrator (or by his or her designee).
    Exhaust emissions means matter emitted into the atmosphere from any 
opening downstream from the exhaust port of a marine engine.
    Existing technology OB/PWC means an outboard engine or a personal 
watercraft engine which was in production for the 1997 or any previous 
model years and that did not utilize newer technologies such as four-
stroke technology, direct-injection two-stroke technology, catalyst 
technology, or other technology used to comply with emission standards 
which the Administrator determines is a new type of OB/PWC technology.
    Family Emission Limit (FEL) means an emission level that is declared 
by the manufacturer to serve in lieu of an emission standard for 
certification and for the averaging, banking, and trading program. A FEL 
must be expressed to the same number of decimal places as the applicable 
emission standard.
    Fuel system means all components involved in the transport, 
metering, and mixture of the fuel from the fuel tank to the combustion 
chamber(s) including the following: Fuel tank, fuel tank cap, fuel pump, 
fuel lines, oil injection metering system, carburetor or fuel injection 
components, and all fuel system vents.
    Gross power means the power measured at the crankshaft or its 
equivalent (for outboards, the power may be measured at the propeller 
shaft), the engine being equipped only with the standard accessories 
(such as oil

[[Page 298]]

pumps, coolant pumps, and so forth) necessary for its operation on the 
test bed.
    Identification number means a unique specification (for example, 
model number/serial number combination) which allows a particular marine 
SI engine to be distinguished from other similar engines.
    Inboard engine means a four stroke marine SI engine that is designed 
such that the propeller shaft penetrates the hull of the marine vessel 
while the engine and the remainder of the drive unit is internal to the 
hull of the marine vessel.
    Marine spark-ignition engine means any engine used to propel a 
marine vessel, which utilizes the spark-ignition combustion cycle.
    Marine engine manufacturer means any person engaged in the 
manufacturing or assembling of new marine SI engines or the importing of 
such engines for resale, or who acts for and is under the control of any 
such person in connection with the distribution of such engines. A 
marine SI engine manufacturer does not include any dealer with respect 
to new marine SI engines received by such person in commerce.
    Marine vessel means every description of watercraft or another 
artificial contrivance used, or capable of being used, as a means of 
transportation on water, as defined in 1 U.S.C. 3 (1992).
    Marine vessel manufacturer means any person engaged in the 
manufacturing or assembling of new marine vessels or importing such 
marine vessels for resale, or who acts for and is under the control of 
any such person in connection with the distribution of such vehicles. A 
marine vessel manufacturer does not include any dealer with respect to 
new marine vessels received by such person in commerce.
    Model year means the manufacturer's annual new model production 
period which includes January 1 of the calendar year for which the model 
year is named, ends no later than December 31 of the calendar year, and 
does not begin earlier than January 2 of the previous calendar year. 
Where a manufacturer has no annual new model production period, model 
year means the calendar year.
    New, for purposes of this part, means a nonroad engine, nonroad 
vehicle, or nonroad equipment the equitable or legal title to which has 
never been transferred to an ultimate purchaser. Where the equitable or 
legal title to the engine, vehicle or equipment is not transferred to an 
ultimate purchaser until after the engine, vehicle, or equipment is 
placed into service, then the engine, vehicle, or equipment will no 
longer be new after it is placed into service. A nonroad engine, 
vehicle, or equipment is placed into service when it is used for its 
functional purposes. With respect to imported nonroad engines, nonroad 
vehicles, or nonroad equipment, the term ``new'' means an engine, 
vehicle, or piece of equipment that is not covered by a certificate of 
conformity issued under this part at the time of importation, and that 
is manufactured after the effective date of a regulation issued under 
this part which is applicable to such engine, vehicle, or equipment, or 
which would be applicable to such engine, vehicle, or equipment had it 
been manufactured for importation into the United States.
    Nonroad engine has the meaning as defined in 40 CFR 89.2.
    Nonroad vehicle has the meaning as defined in 40 CFR 89.2.
    Nonroad equipment has the meaning as defined in 40 CFR 89.2.
    Operating hours means:
    (1) For engine storage areas or facilities, all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the storage area or facility and have access to it.
    (2) For all other areas or facilities, all times during which an 
assembly line is in operation or all times during which testing, 
maintenance, service accumulation, production or compilation of records, 
or any other procedure or activity related to certification testing, to 
translation of designs from the test stage to the production stage, or 
to engine manufacture or assembly is being carried out in a facility.
    Outboard engine is a marine SI engine that, when properly mounted on 
a marine vessel in the position to operate, houses the engine and drive 
unit external to the hull of the marine vessel.
    Personal watercraft engine (PWC) is a marine SI engine that does not 
meet

[[Page 299]]

the definition of outboard engine, inboard engine or sterndrive engine, 
except that the Administrator in his or her discretion may classify a 
PWC as an inboard or sterndrive engine if it is comparable in technology 
and emissions to an inboard or sterndrive engine.
    Presentation of credentials means the display of the document 
designating a person as an EPA enforcement officer or EPA authorized 
representative.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of components or systems required 
by the manufacturer to be performed on a periodic basis to prevent part 
failure or marine vessel or engine malfunction, or those actions 
anticipated as necessary to correct an overt indication of malfunction 
or failure for which periodic maintenance is not appropriate.
    Sterndrive engine means a four stroke marine SI engine that is 
designed such that the drive unit is external to the hull of the marine 
vessel, while the engine is internal to the hull of the marine vessel.
    Test engine means the engine or group of engines that a manufacturer 
uses during certification, production line and in-use testing to 
determine compliance with emission standards.
    Ultimate purchaser means, with respect to any new marine SI engine 
the first person who in good faith purchases such new marine SI engine 
for purposes other than resale.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, the U.S. Virgin Islands, and the Trust 
Territory of the Pacific Islands.
    Used solely for competition means exhibiting features that are not 
easily removed and that would render its use other than in competition 
unsafe, impractical, or highly unlikely.
    Warranty period means the period of time the engine or part is 
covered by the warranty provisions.

[61 FR 52102, Oct. 4, 1996, as amended at 67 FR 68340, Nov. 8, 2002]



Sec. 91.4  Acronyms and abbreviations.

    The following acronyms and abbreviations apply to this part 91.

AECD--Auxiliary emission control device
ASME--American Society of Mechanical Engineers
ASTM--American Society for Testing and Materials
CAA--Clean Air Act
CAAA--Clean Air Act Amendments of 1990
CLD--chemiluminescent detector
CO--Carbon monoxide
CO2--Carbon dioxide
EPA--Environmental Protection Agency
FEL--Family Emission Limit
g/kw-hr--grams per kilowatt hour
HC--hydrocarbons
HCLD--heated chemiluminescent detector
HFID--heated flame ionization detector
ICI--Independent Commercial Importer
MY--Model Year
NDIR--non-dispersive infrared analyzer
NIST--National Institute for Standards and Testing
NO--Nitric oxide
NO2--Nitrogen dioxide
NOX--Oxides of nitrogen
OB--Outboard engine
O2--Oxygen
OEM--Original engine manufacturer
PMD--paramagnetic detector
PWC--personal watercraft
RPM--revolutions per minute
SAE--Society of Automotive Engineers
SEA--Selective Enforcement Auditing
SI--Spark-ignition
U.S.C.--United States Code
VOC--Volatile organic compounds
ZROD--zirconium dioxide sensor



Sec. 91.5  Table and figure numbering; position.

    (a) Tables for each subpart appear in an appendix at the end of the 
subpart. Tables are numbered consecutively by order of appearance in the 
appendix. The table title will indicate the topic.
    (b) Figures for each subpart appear in an appendix at the end of the 
subpart. Figures are numbered consecutively by order or appearance in 
the appendix. The figure title will indicate the topic.



Sec. 91.6  Reference materials.

    (a) Incorporation by reference. The documents in paragraph (b) of 
this section have been incorporated by reference. The incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at U.S. EPA, OAR,

[[Page 300]]

Air and Radiation Docket and Information Center, 401 M St., SW., 
Washington, DC 20460, or at the Office of the Federal Register, 800 N. 
Capitol St. NW., 7th Floor, Suite 700, Washington, DC 20001.
    (b) The following paragraphs and tables set forth the material that 
has been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth material from the 
American Society for Testing and Materials which has been incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section(s) of this part, other 
than Sec. 91.6, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from American Society for Testing and 
Materials, 1916 Race St., Philadelphia, PA 19103.

------------------------------------------------------------------------
   Document number and name             40 CFR part 91 reference
------------------------------------------------------------------------
ASTM D86-93:
    Standard Test Method for   Appendix A to Subpart D.
     Distillation of
     Petroleum Products.
ASTM D323-90:
    Standard Test Method for   Appendix A to Subpart D.
     Vapor Pressure of
     Petroleum Products (Reid
     Method).
ASTM D1319-93:
    Standard Test Method for   Appendix A to Subpart D.
     Hydrocarbon Types in
     Liquid Petroleum
     Products by Fluorescent
     Indicator Adsorption.
ASTM D2622-92:
    Standard Test Method for   Appendix A to Subpart D.
     Sulfur in Petroleum
     Products by X-Ray
     Spectrometry.
ASTM D2699-92:
    Standard Test Method for   Appendix A to Subpart D.
     Knock Characteristics of
     Motor Fuels by the
     Research Method.
ASTM D2700-92:
    Standard Test Method for   Appendix A to Subpart D.
     Knock Characteristics of
     Motor and Aviation Fuels
     by the Motor Method.
ASTM D3231-89:
    Standard Test Method for   Appendix A to Subpart D.
     Phosphorus in Gasoline.
ASTM D3606-92:
    Standard Test Method for   Appendix A to Subpart D.
     Determination of Benzene
     and Toluene in Finished
     Motor and Aviation
     Gasoline by Gas
     Chromatography.
ASTM E29-93a:
    Standard Practice for      91.207; 91.120; 91.509; 91.1307.
     Using Significant Digits
     in Test Data to
     Determine Conformance
     with Specifications.
------------------------------------------------------------------------

    (2) SAE material. The following table sets forth material from the 
Society of Automotive Engineers which has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of this part, other than 
Sec. 91.7, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from Society of Automotive Engineers 
International, 400 Commonwealth Dr., Warrendale, PA 15096-0001.

------------------------------------------------------------------------
   Document number and name             40 CFR part 91 reference
------------------------------------------------------------------------
SAE J1228/ISO 8665 November    91.104, 91.115; 91.118; 91.207; 91.1307.
 1991 Small Craft-Marine
 Propulsion Engine and
 Systems-Power Measurements
 and Declarations.
SAE J1930 June 1993            91.113.
 Electrical/Electronic
 Systems Diagnostic Terms,
 Definitions, Abbreviations
 and Acronyms.
SAE Paper 770141 Optimization  91.316
 of a Flame Ionization
 Detector for Determination
 of Hydrocarbon in Diluted
 Automotive Exhausts, Glenn
 D. Reschke, 1977.
------------------------------------------------------------------------



Sec. 91.7  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this part is entitled to confidential treatment as 
provided by part 2, subpart B, of this chapter.

[[Page 301]]

    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a manufacturer must indicate clearly the items of 
information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 
Sec. 2.204(c)(2)(i)(A) of this chapter.



       Subpart B--Emission Standards and Certification Provisions



Sec. 91.101  Applicability.

    The requirements of this subpart B are applicable to all new marine 
spark-ignition engines subject to the provisions of subpart A of this 
part 91.



Sec. 91.102  Definitions.

    The definitions in subpart A of this part 91 apply to this subpart. 
All terms not defined herein or in subpart A of this part have the 
meaning given them in the Act.



Sec. 91.103  Averaging, banking, and trading of exhaust emission credits.

    Regulations regarding averaging, banking, and trading provisions 
along with applicable recordkeeping requirements are found in subpart C 
of this part.



Sec. 91.104  Exhaust emission standards for outboard and personal watercraft engines.

    (a) New marine spark-ignition outboard and personal watercraft 
engines for use in the U.S. must meet the following exhaust emission 
standards for HC+NOX. The exhaust emission standard for each 
model year is provided below. It is also used as input to the 
calculation procedure in Sec. 91.207 to determine compliance with the 
corporate average HC+NOX exhaust emission standard.

                         Hydrocarbon Plus Oxides of Nitrogen Exhaust Emission Standards
                                            [grams per kilowatt-hour]
----------------------------------------------------------------------------------------------------------------
                                                                                     P  4.3 kW HC+NOX
                      Model year                        P < 4.3 kW HC+NOX emission   emission standard by model
                                                          standard by model year                year
----------------------------------------------------------------------------------------------------------------
1998..................................................                     278.00   (0.917 x (151 + 557/
                                                                                     P0.9[rpar]) + 2.44
1999..................................................                     253.00   (0.833 x (151 + 557/
                                                                                     P0.9[rpar]) + 2.89
2000..................................................                     228.00   (0.750 x (151 + 557/
                                                                                     P0.9[rpar]) + 3.33
2001..................................................                     204.00   (0.667 x (151 + 557/
                                                                                     P0.9[rpar]) + 3.78
2002..................................................                     179.00   (0.583 x (151 + 557/
                                                                                     P0.9[rpar]) + 4.22
2003..................................................                     155.00   (0.500 x (151 + 557/
                                                                                     P0.9[rpar]) + 4.67
2004..................................................                     130.00   (0.417 x (151 + 557/
                                                                                     P0.9[rpar]) + 5.11
2005..................................................                     105.00   (0.333 x (151 + 557/
                                                                                     P0.9[rpar]) + 5.56
2006 and later........................................                      81.00   (0.250 x (151 + 557/
                                                                                     P0.9[rpar]) + 6.00
----------------------------------------------------------------------------------------------------------------

where:

P = the average power of an engine family in kW (sales weighted). The 
power of each configuration is the rated output in kilowatts as 
determined by SAE J1228. This procedure has been incorporated by 
reference. See Sec. 91.6.


[[Page 302]]


    (b) Exhaust emissions are measured using the procedures set forth in 
subpart E of this part.
    (c) Manufacturers must designate a Family Emission Limit (FEL) for 
HC+NOX for every engine family. The FEL may be equal to the 
emission standard in paragraph (a) of this section. The FEL established 
through certification serves as the emission standard for the engine 
family and emissions may not exceed the FEL levels for HC+NOX 
for all engines sold in the engine family, for their useful life.
    (d) A manufacturer must comply with a corporate average 
HC+NOX emission standard as determined in accordance with 
subpart C Sec. 91.207.



Sec. 91.105  Useful life period, recall, and warranty periods.

    (a) The useful life for PWC engines is a period of 350 hours of 
operation or 5 years of use, whichever first occurs. The useful life for 
Outboard marine spark-ignition engines is a period of 350 hours of 
operation or 10 years of use, whichever first occurs.
    (b) PWC engines are subject to recall testing for a period of 350 
hours of operation or 5 years of use, whichever first occurs. Outboard 
marine spark-ignition engines are subject to recall testing for a period 
of 350 hours of operation or 10 years of use, whichever first occurs. 
However, for purposes of this part only, if the Administrator should 
issue a nonconformity determination, then only those engines that are 
within the useful life as of the date of the nonconformity determination 
are subject to recall repair requirements.
    (c) Warranty periods are set out in subpart M of this part.



Sec. 91.106  Certificate of conformity.

    (a) Every manufacturer of a new marine SI engine produced during or 
after the 1998 model year for outboard engines and the 1999 model year 
for PWC engines, must obtain a certificate of conformity covering each 
engine family. The certificate of conformity must be obtained from the 
Administrator prior to selling, offering for sale, introducing into 
commerce, or importing into the United States the new marine SI engine.
    (b) The certificate of conformity is valid for the model year for 
which it is designated.



Sec. 91.107  Application for certification.

    (a) For each engine family, the engine manufacturer must submit to 
the Administrator a completed application for a certificate of 
conformity, except that with respect to an existing technology OB/PWC 
engine a manufacturer may, in lieu of providing such application, submit 
to the Administrator summary testing and other information as determined 
by the Administrator.
    (b) The application must be approved and signed by the authorized 
representative of the manufacturer.
    (c) The application must be updated and corrected by amendment as 
provided in Sec. 91.122 to accurately reflect the manufacturer's 
production.
    (d) Required content. Each application must include the following 
information:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications;
    (2) An explanation of how the emission control system operates, 
including a detailed description of all emission control system 
components (detailed component calibrations are not required to be 
included, however they must be provided if requested), each auxiliary 
emission control device (AECD), and all fuel system components to be 
installed on any production or test engine(s);
    (3) Proposed test fleet selection and the rationale for the test 
fleet selection;
    (4) Special or alternative test procedures, if applicable;
    (5) The description of the operating cycle and the service 
accumulation period necessary to break in the test engine(s) and 
stabilize emission levels and any maintenance scheduled;
    (6) A description of all adjustable operating parameters, including 
the following:
    (i) The nominal or recommended setting and the associated production 
tolerances;
    (ii) The intended physically adjustable range;
    (iii) The limits or stops used to establish adjustable ranges;

[[Page 303]]

    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range; and
    (v) Information relating to why the physical limits or stops used to 
establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are effective in preventing 
adjustment of parameters to settings outside the manufacturer's intended 
physically adjustable ranges on in-use engines;
    (7) Regarding the averaging, banking, and trading provisions, the 
information specified in Sec. 91.208;
    (8) The proposed maintenance and use instructions the manufacturer 
will furnish to the ultimate purchaser of each new engine and the 
proposed emission control label;
    (9) All test data, for HC, CO and NOX, obtained by the 
manufacturer on each test engine;
    (10) A statement that the test engine(s), as described in the 
manufacturer's application for certification, has been tested in 
accordance with the applicable test procedures, utilizing the fuels and 
equipment described in the application, and that on the basis of such 
tests the engine(s) conforms to the requirements of this part; and
    (11) An unconditional statement certifying that all engines in the 
engine family comply with all requirements of this part and the Clean 
Air Act.
    (e) At the Administrator's request, the manufacturer must supply 
such additional information as may be required to evaluate the 
application including, but not limited to, projected marine SI engine 
production.
    (f) (1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided the information 
specified therein is maintained by the engine manufacturer as required 
by Sec. 91.121, and amended, updated, or corrected as necessary.
    (2) For the purposes of this paragraph, Sec. 91.121(a)(1) includes 
all information specified in paragraph (d) of this section whether or 
not such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's records at 
any time.



Sec. 91.108  Certification.

    (a) If, after a review of the manufacturer's submitted application, 
or with respect to an existing technology OB/PWC engine manufacturer's 
summary information submitted pursuant to Sec. 91.107(a), information 
obtained from any inspection, and such other information as the 
Administrator may require, the Administrator determines that the 
application or summary information is complete and that the engine 
family meets the requirements of this part and the Clean Air Act, the 
Administrator shall issue a certificate of conformity for the engine 
family.
    (b) The Administrator shall give a written explanation when 
certification is denied. The manufacturer may request a hearing on a 
denial. (See Sec. 91.124 for procedure.)



Sec. 91.109  Requirement of certification--closed crankcase.

    (a) An engine's crankcase must be closed.
    (b) For purposes of this section, crankcase means the housing for 
the crankshaft and other related internal parts.



Sec. 91.110  Requirement of certification--prohibited controls.

    (a) An engine may not be equipped with an emission control device, 
system, or element of design for the purpose of complying with emission 
standards if such device, system, or element of design will cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
in its operation or function.
    (b) You may not design your engines with emission-control devices, 
systems, or elements of design that cause or contribute to an 
unreasonable risk to public health, welfare, or safety while operating. 
For example, this would apply if the engine emits a noxious or toxic 
substance it would otherwise not emit that contributes to such an 
unreasonable risk.

[61 FR 52102, Oct. 4, 1996, as amended at 67 FR 68340, Nov. 8, 2002]

[[Page 304]]



Sec. 91.111  Requirement of certification--prohibition of defeat devices.

    (a) An engine may not be equipped with a defeat device.
    (b) For purposes of this section, defeat device means any device, 
system, or element of design which senses operation outside normal 
emission test conditions and reduces emission control effectiveness.
    (1) Defeat device includes any auxiliary emission control device 
(AECD) that reduces the effectiveness of the emission control system 
under conditions which may reasonably be expected to be encountered in 
normal operation and use, unless such conditions are included in the 
test procedure.
    (2) Defeat device does not include such items which either operate 
only during engine starting or are necessary to protect the engine (or 
vehicle or equipment in which it is installed) against damage or 
accident during its operation.



Sec. 91.112  Requirement of certification--adjustable parameters.

    (a) Engines equipped with adjustable parameters must comply with all 
requirements of this subpart for any adjustment in the physically 
available range.
    (b) An operating parameter is not considered adjustable if it is 
permanently sealed by the manufacturer or otherwise not normally 
accessible using ordinary tools.
    (c) The Administrator may require that adjustable parameters be set 
to any specification within the adjustable range during certification, 
production line testing, selective enforcement auditing or any in-use 
testing to determine compliance with the requirements of this part.



Sec. 91.113  Requirement of certification--emission control information 
label and engine identification number.

    (a) The engine manufacturer must affix at the time of manufacture a 
permanent and legible label identifying each engine. The label must meet 
the following requirements:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be durable and readable for the entire engine life;
    (3) Be secured to an engine part necessary for normal engine 
operation and not normally requiring replacement during engine life;
    (4) Be written in English; and
    (5) Be located so as to be readily visible to the average person 
after the engine is installed in the marine vessel.
    (b) If the marine vessel obscures the label on the engine, the 
marine vessel manufacturer must attach a supplemental label so that this 
label is readily visible to the average person. The supplemental label 
must:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be secured to a marine vessel part necessary for normal 
operation and not normally requiring replacement during the marine 
vessel life; and
    (3) Be identical to the label which was obscured.
    (c) The label must contain the following information:
    (1) The heading ``Emission Control Information;''
    (2) The full corporate name and trademark of the engine 
manufacturer;
    (3) The statement, ``This (vessel's engine or engine, as applicable) 
is certified to operate on (specify operating fuel(s));''
    (4) Identification of the Exhaust Emission Control System 
(Abbreviations may be used and must conform to the nomenclature and 
abbreviations provided in SAE J1930. This procedure has been 
incorporated by reference. See Sec. 91.6.;
    (5) All engine lubricant requirements;
    (6) date of manufacture [day(optional), month and year];
    (7) The statement ``This engine conforms to [model year] U.S. EPA 
regulations for marine SI engines.'';
    (8) Family Emission Limits (FELs);
    (9) EPA standardized engine family designation;
    (10) Engine displacement [in cubic centimeters]; and
    (11) Advertised power;
    (12) Engine tuneup specifications and adjustments. These should 
indicate the proper transmission position during tuneup, and 
accessories, if any, that should be in operation;

[[Page 305]]

    (13) Fuel requirements;
    (14) Other information concerning proper maintenance and use or 
indicating compliance or noncompliance with other standards may be 
indicated on the label.
    (d) If there is insufficient space on the engine to accommodate a 
label including all the information required in paragraph (c) of this 
section, the manufacturer may delete or alter the label as indicated in 
this paragraph. The information deleted from the label must appear in 
the owner's manual.
    (1) Exclude the information required in paragraphs (c) (3), (4), and 
(5) of this section. The fuel or lubricant may be specified elsewhere on 
the equipment.
    (2) Exclude the information required by paragraph (c)(6) of this 
section, if the date the engine was manufactured is stamped on the 
engine.
    (3) For existing technology OB/PWC only, exclude the information 
required by paragraphs (c) (10), (11), (13), and (14) of this section.
    (e) The Administrator may, upon request, waive or modify the label 
content requirements of paragraphs (c) and (d) of this section, provided 
that the intent of such requirements is met.
    (f) Engine Identification Number. Each engine must have a legible, 
unique engine identification number permanently affixed to or engraved 
on the engine.



Sec. 91.114  Requirement of certification--supplying production engines upon 
request.

    Upon the Administrator's request, the manufacturer must supply a 
reasonable number of production engines for testing and evaluation. 
These engines must be representative of typical production and supplied 
for testing at such time and place and for such reasonable periods as 
the Administrator may require.



Sec. 91.115  Certification procedure--determining engine power and engine 
families.

    (a) Engine power must be calculated using SAE J1228. This procedure 
has been incorporated by reference. See Sec. 91.6.
    (b) The manufacturer's product line must be divided into engine 
families as specified by paragraph (c) of this section, comprised of 
engines expected to have similar emission characteristics throughout 
their useful life periods.
    (c) To be classed in the same engine family, engines must be 
identical in all of the following applicable respects:
    (1) The combustion cycle;
    (2) The cooling mechanism;
    (3) The cylinder configuration (inline, vee, opposed, bore spacings, 
and so forth);
    (4) The number of cylinders;
    (5) The number of catalytic converters, location; volume, and 
composition; and
    (6) The thermal reactor characteristics.
    (d) At the manufacturer's request, engines identical in all the 
respects listed in paragraph (c) of this section may be further divided 
into different engine families if the Administrator determines that they 
may be expected to have different emission characteristics. This 
determination is based upon the consideration of features such as:
    (1) The bore and stroke;
    (2) The combustion chamber configuration;
    (3) The intake and exhaust timing method of actuation (poppet valve, 
reed valve, rotary valve, and so forth);
    (4) The intake and exhaust valve or port sizes, as applicable;
    (5) The fuel system;
    (6) The exhaust system; and
    (7) The method of air aspiration.
    (e) Where engines are of a type which cannot be divided into engine 
families based upon the criteria listed in paragraph (c) of this 
section, the Administrator shall establish families for those engines 
based upon the features most related to their emission characteristics.
    (f) Upon a showing by the manufacturer that the emission 
characteristics during the useful life are expected to be similar, 
engines differing in one or more of the characteristics in paragraph (c) 
of this section may be grouped in the same engine family.
    (g) Upon a showing by the manufacturer that the emission 
characteristics during the useful life are expected to be dissimilar, 
engines identical in all the characteristics in paragraph (c) of

[[Page 306]]

this section may be divided into separate engine families.



Sec. 91.116  Certification procedure--test engine selection.

    (a) The manufacturer must select, from each engine family, a test 
engine of a configuration that the manufacturer deems to be most likely 
to exceed the Family Emission Limit (FEL).
    (b) At the manufacturer's option, the criterion for selecting the 
worst case engine may be that engine configuration which has the highest 
weighted brake-specific fuel consumption over the appropriate engine 
test cycle.
    (c) The test engine must be constructed to be representative of 
production engines.



Sec. 91.117  Certification procedure--service accumulation.

    (a)(1) Any engine required to be tested under Sec. 91.118 must be 
operated with all emission control systems operating properly for a 
period sufficient to stabilize emissions prior to such testing.
    (2) A manufacturer may elect to consider emission levels as 
stabilized when the test engine has accumulated 12 hours of service.
    (b) No maintenance, other than recommended lubrication and filter 
changes, may be performed during service accumulation without the 
Administrator's approval.
    (c) Service accumulation is to be performed in a manner using good 
engineering judgment to ensure that emissions are representative of 
production engines.
    (d) The manufacturer must maintain, and provide to the Administrator 
if requested, records stating the rationale for selecting a service 
accumulation period different than 12 hours and records describing the 
method used to accumulate hours on the test engine(s).



Sec. 91.118  Certification procedure--testing.

    (a) Manufacturer testing. The manufacturer must test the test engine 
using the specified test procedures and appropriate test cycle. All test 
results must be reported to the Administrator.
    (1) The test procedures to be used are detailed in subpart E of this 
part.
    (2) Emission test equipment provisions are described in subpart D of 
this part.
    (b) Administrator testing. (1) The Administrator may require that 
any one or more of the test engines be submitted to the Administrator, 
at such place or places as the Administrator may designate, for the 
purposes of conducting emission tests. The Administrator may specify 
that testing will be conducted at the manufacturer's facility, in which 
case instrumentation and equipment specified by the Administrator must 
be made available by the manufacturer for test operations. Any testing 
conducted at a manufacturer's facility must be scheduled by the 
manufacturer as promptly as possible.
    (2)(i) Whenever the Administrator conducts a test on a test engine, 
the results of that test will, unless subsequently invalidated by the 
Administrator, comprise the official data for the engine and the 
manufacturer's data will not be used in determining compliance with the 
Family Emission Limit (FEL).
    (ii) Prior to the performance of such a test, the Administrator may 
adjust or cause to be adjusted any adjustable parameter of the test 
engine which the Administrator has determined to be subject to 
adjustment for testing, to any setting within the physically adjustable 
range of that parameter, to determine whether the engine conforms to the 
applicable Family Emission Limit (FEL).
    (iii) For those engine parameters which the Administrator has not 
determined to be subject to adjustment for testing, the test engine 
presented to the Administrator for testing will be calibrated within the 
production tolerances applicable to the manufacturer specification shown 
on the engine label, as specified in the application for certification.
    (c) Use of carryover test data. In lieu of testing, the manufacturer 
may submit, with the Administrator's approval, emission test data used 
to certify substantially similar engine families in previous years. This 
``carryover'' test data is only allowable if the data shows the test 
engine would fully comply with the applicable Family Emission Limit 
(FEL).

[[Page 307]]

    (d) Scheduled maintenance during testing. No scheduled maintenance 
may be performed during testing of the engine.
    (e) Unscheduled maintenance on test engines. (1) Manufacturers may 
not perform any unscheduled engine, emission control system, or fuel 
system adjustment, repair, removal, disassembly, cleaning, or 
replacement on a test engine without the advance approval of the 
Administrator.
    (2) The Administrator may approve such maintenance if:
    (i) A preliminary determination has been made that a part failure or 
system malfunction, or the repair of such failure or malfunction, does 
not render the engine unrepresentative of engines in use, and does not 
require direct access to the combustion chamber; and
    (ii) A determination has been made that the need for maintenance or 
repairs is indicated by an overt malfunction such as persistent misfire, 
engine stall, overheating, fluid leakage, or loss of oil pressure.
    (3) Emission measurements may not be used as a means of determining 
the need for unscheduled maintenance under paragraph (e)(2) of this 
section.
    (4) The Administrator must have the opportunity to verify the extent 
of any overt indication of part failure (for example, misfire, stall), 
or an activation of an audible and/or visual signal, prior to the 
manufacturer performing any maintenance related to such overt indication 
or signal.
    (5) Unless approved by the Administrator prior to use, engine 
manufacturers may not use any equipment, instruments, or tools to 
identify malfunctioning, maladjusted, or defective engine components 
unless the same or equivalent equipment, instruments, or tools are 
available at dealerships and other service outlets and are used in 
conjunction with scheduled maintenance on such components.
    (6) If the Administrator determines that part failure or system 
malfunction occurrence and/or repair rendered the engine 
unrepresentative of production engines, the engine may not be used as a 
test engine.
    (7) Unless waived by the Administrator, complete emission tests are 
required before and after any engine maintenance which may reasonably be 
expected to affect emissions.
    (f) Engine failure. A manufacturer may not use as a test engine any 
engine which incurs major mechanical failure necessitating disassembly 
of the engine. This prohibition does not apply to failures which occur 
after completion of the service accumulation period.
    (g) In lieu of providing or generating emission data under this 
section for existing technology, the Administrator may allow the 
manufacturer to demonstrate (on the basis of previous emission tests, 
development tests, or other testing information) that the engine will 
conform with the applicable FEL.
    (h)(1) Manufacturers may select an FEL for existing technology OB/
PWC through:
    (i) Model year 2000 based on the function 151+557/P 0.9 
where P=average power of an engine family in kW (sales weighted). The 
power of each configuration is the rated output in kilowatts as 
determined by SAE J1228. (This procedure has been incorporated by 
reference. See Sec. 91.6). The certificate of conformity would be 
conditioned by requirements that the manufacturer submit test data, as 
determined appropriate by the Administrator under Sec. 91.118(h) by the 
end of model year 2000; that the FEL is revised and approved by EPA to 
reflect the test data; that the credits associated with the engine 
family are recalculated based on the difference between the old FEL and 
the new FEL; and that the new FEL applies to all engines covered by the 
certificate of conformity; or
    (ii) Model year 2003 based on good engineering judgement.
    (2) Upon request by the manufacturer, the Administrator has the 
discretion to extend the time period set forth in paragraph (h)(1) of 
this section for a specific engine family up to model year 2005 if the 
Administrator determines that an engine family will be phased out of 
U.S. production by model year 2005. As a condition to being granted such 
an extension, the manufacturer must discontinue U.S. production 
according to the schedule upon

[[Page 308]]

which the Administrator based the extension. Failure to do so by the 
manufacturer will void the certificate of conformity ab initio.
    (i) A manufacturer request under paragraph (h)(2) of this section 
must be in writing and must apply to a specific engine family. The 
request must identify the engine family designation, the rationale 
supporting the FEL choice, the type of information used as a basis for 
the FEL (e.g., previous emission tests, development tests), the specific 
source of the information including when the information was generated, 
the schedule for phasing the engine family out of U.S. production, and 
any other information the Administrator may require.



Sec. 91.119  Certification procedure--use of special test procedures.

    (a) Use of special test procedures by EPA. The Administrator may 
establish special test procedures for any engine that the Administrator 
determines is not susceptible to satisfactory testing under the 
specified test procedures set forth in subpart E of this part.
    (b) Use of alternative test procedures by an engine manufacturer. 
(1) A manufacturer may elect to use an alternative test procedure 
provided that it yields results equivalent to the results from the 
specified test procedure in subpart E, its use is approved in advance by 
the Administrator, and the basis for equivalent results with the 
specified test procedures is fully described in the manufacturer's 
application.
    (2) An engine manufacturer electing to use alternate test procedures 
is solely responsible for the results obtained. The Administrator may 
reject data generated under test procedures which do not correlate with 
data generated under the specified procedures.



Sec. 91.120  Compliance with Family Emission Limits over useful life.

    (a) If all test engines representing an engine family have 
emissions, as determined in paragraph (c)(3)(iii) of this section, less 
than or equal to the applicable Family Emission Limit (FEL) for each 
pollutant as determined according to Sec. 91.104 (c), that family 
complies with the Family Emission Limit .
    (b) If any test engine representing an engine family has emissions 
(as determined in paragraph (c)(3)(iii) of this section, greater than 
the applicable Family Emission Limit for any pollutant as determined 
according to Sec. 91.104(c), that family will be deemed not in 
compliance with the Family Emission Limits.
    (c)(1) The engine Family Emission Limits (FELs) apply to the 
emissions of engines for their useful lives.
    (2) Since emission control efficiency generally decreases with the 
accumulation of service on the engine, deterioration factors must be 
used in combination with emission data engine test results as the basis 
for determining compliance with the standards.
    (3)(i) Paragraph (c)(3)(ii) of this section describes the procedure 
for determining compliance of an engine with family emission limits, 
based on deterioration factors supplied by the manufacturer.
    (ii) Separate exhaust emission deterioration factors, determined by 
the manufacturer, must be supplied for each engine family. The 
deterioration factors must be applied as follows:
    (A) For marine spark-ignition engines not utilizing aftertreatment 
technology (for example, catalytic converters), the official exhaust 
emission results for each emission data engine at the selected test 
point are adjusted by adding the appropriate deterioration factor to the 
results. However, if the deterioration factor supplied by the 
manufacturer is less than zero, it is zero for the purposes of this 
paragraph.
    (B) For marine spark-ignition engines utilizing aftertreatment 
technology (for example, catalytic converters), the official exhaust 
emission results for each emission data engine at the selected test 
point are adjusted by multiplying the results by the appropriate 
deterioration factor. However, if the deterioration factor supplied by 
the manufacturer is less than one, it is one for the purposes of this 
paragraph.
    (iii) The emission values to compare with the Family Emission Limits 
(FELs) are the adjusted emission values of paragraph (c)(3)(ii) of this 
section, rounded to the same number of significant figures as contained 
in the

[[Page 309]]

applicable standard in accordance with ASTM E 29-93a, for each emission 
data engine. This procedure has been incorporated by reference. See 
Sec. 91.6.



Sec. 91.121  Certification procedure--recordkeeping.

    (a) The engine manufacturer must maintain the following adequately 
organized records:
    (1) Copies of all applications and summary information, as 
applicable, filed with the Administrator;
    (2) A copy of all data obtained through the production line and in-
use testing programs; and
    (3) A detailed history of each test engine used for certification 
including the following:
    (i) A description of the test engine's construction, including a 
general description of the origin and buildup of the engine, steps taken 
to insure that it is representative of production engines, description 
of components specially built for the test engine, and the origin and 
description of all emission-related components;
    (ii) A description of the method used for engine service 
accumulation, including date(s) and the number of hours accumulated;
    (iii) A description of all maintenance, including modifications, 
parts changes, and other servicing performed, and the date(s), and 
reason(s) for such maintenance;
    (iv) A description of all emission tests performed, including 
routine and standard test documentation, as specified in subpart E of 
this part, date(s), and the purpose of each test;
    (v) A description of all tests performed to diagnose engine or 
emission control performance, giving the date and time of each and the 
reason(s) for the test; and
    (vi) A description of any significant event(s) affecting the engine 
during the period covered by the history of the test engine but not 
described by an entry under one of the previous paragraphs of this 
section.
    (b) Routine emission test data, such as test cell temperature and 
relative humidity at start and finish of test and raw emission results 
from each mode or test phase, must be retained for a period of one year 
after issuance of all certificates of conformity to which they relate. 
All other information specified in paragraph (a) of this section must be 
retained for a period of eight years after issuance of all certificates 
of conformity to which they relate.
    (c) Records may be kept in any format and on any media, provided 
that, at the Administrator's request, organized, written records in 
English are promptly supplied by the manufacturer.
    (d) The manufacturer must supply, at the Administrator's request, 
copies of any engine maintenance instructions or explanations issued by 
the manufacturer.



Sec. 91.122  Amending the application and certificate of conformity.

    (a) The marine engine manufacturer must notify the Administrator
    (1) When either an engine is to be added to a certificate of 
conformity or changes are to be made to a product line covered by a 
certificate of conformity which may potentially affect emissions, 
emissions durability, an emission related part, or the durability of an 
emission related part. Notification occurs when the manufacturer submits 
and EPA receives a request to amend the original application prior to 
either producing such engines or making such changes to a product line. 
For existing technology OB/PWC engines only, notification may occur 
periodically but must occur at least on a quarterly basis and may be 
submitted summarily as determined by the Administrator.
    (2) When an FEL is changed for an engine family, as allowed under 
Sec. 91.203. Notification occurs when the manufacturer submits and EPA 
receives a request to amend the original application. The manufacturer 
may not change an FEL unless compliance under Sec. 91.207(b) is 
maintained through the use of the revised FEL.
    (b) The request to amend the engine manufacturer's existing 
certificate of conformity must include the following information:
    (1) A full description of the engine to be added or the change(s) to 
be made in production;
    (2) The manufacturer's proposed test engine selection(s); and

[[Page 310]]

    (3) Engineering evaluations or reasons why the original test engine 
or FEL is or is not still appropriate.
    (c) The Administrator may require the engine manufacturer to perform 
tests on an engine representing the engine to be added or changed.
    (d) Decision by Administrator.
    (1) Based on the submitted request and data derived from such 
testing as the Administrator may require or conduct, the Administrator 
must determine whether the proposed addition or change would still be 
covered by the certificate of conformity then in effect.
    (2) If the Administrator determines that the new or changed 
engine(s) meets the requirements of this subpart and the Act, the 
appropriate certificate of conformity will be amended.
    (3) If the Administrator determines that the new or changed engines 
would not be covered by the certificate of conformity, the Administrator 
must provide a written explanation to the engine manufacturer of his or 
her decision not to amend the certificate. The manufacturer may request 
a hearing on a denial. See Sec. 91.125.
    (4) If the Administrator determines that the revised FEL meets the 
requirements of this subpart and the Act, the appropriate certificate of 
conformity will be amended to reflect the revised FEL. The certificate 
of conformity is revised conditional upon compliance under 
Sec. 91.207(b).
    (e)(1) Alternatively, an engine manufacturer may make changes in or 
additions to production engines concurrently with requesting to amend 
the application or certification of conformity as set forth in paragraph 
(b) of this section, if the manufacturer determines that all affected 
engines will still meet applicable Family Emission Limits (FELs). The 
engine manufacturer must supply supporting documentation, test data, and 
engineering evaluations as appropriate to support its determination.
    (2) If, after a review, the Administrator determines additional 
testing is required, the engine manufacturer must provide required test 
data within 30 days or cease production of the affected engines.
    (3) If the Administrator determines that the affected engines do not 
meet applicable requirements, the Administrator will notify the engine 
manufacturer to cease production of the affected engines.



Sec. 91.123  Denial, revocation of certificate of conformity.

    (a) If, after review of the engine manufacturer's application, 
request for certification, information obtained from any inspection, and 
any other information the Administrator may require, the Administrator 
determines that the test engine or engine family does not meet 
applicable requirements or the Family Emission Limit (FEL), the 
Administrator will notify the manufacturer in writing, setting forth the 
basis for this determination.
    (b) Notwithstanding the fact that engines described in the 
application may comply with all other requirements of this subpart, the 
Administrator may deny the issuance of or revoke a previously issued 
certificate of conformity if the Administrator finds any one of the 
following infractions to be substantial:
    (1) The engine manufacturer submits false or incomplete information;
    (2) The engine manufacturer denies an EPA enforcement officer or EPA 
authorized representative the opportunity to conduct authorized 
inspections;
    (3) The engine manufacturer fails to supply requested information or 
amend its application to include all engines being produced;
    (4) The engine manufacturer renders inaccurate any test data which 
it submits or otherwise circumvents the intent of the Act or this part;
    (5) The engine manufacturer denies an EPA enforcement officer or EPA 
authorized representative reasonable assistance (as defined in 
Sec. 91.505); or
    (6) The engine manufacturer fails to initiate, perform or submit 
required data generated from the production line and in-use testing 
programs to EPA.
    (c) If any manufacturer knowingly commits an infraction specified in 
paragraph (b)(1), (b)(4), or (b)(6) of this section or knowingly commits 
any other fraudulent act which results in the issuance of a certificate 
of conformity, or fails to comply with the

[[Page 311]]

conditions specified in Secs. 91.203(f), 91.206(d), 91.208(c) or 
91.209(g), the Administrator may void such certificate ab initio.
    (d) When the Administrator denies, revokes, or voids ab initio a 
certificate of conformity, the engine manufacturer will be provided a 
written determination. The manufacturer may request a hearing on the 
Administrator's decision.
    (e) Any revocation of a certificate of conformity extends no further 
than to forbid the introduction into commerce of those engines 
previously covered by the certificate which are still in the possession 
of the engine manufacturer, except in cases of such fraud or other 
misconduct that makes the certificate void ab initio.



Sec. 91.124  Request for hearing.

    (a) An engine manufacturer may request a hearing on the 
Administrator's denial or revocation or voiding ab initio of a 
certificate of conformity.
    (b) The engine manufacturer's request must be filed within 30 days 
of the Administrator's decision, be in writing, and set forth the 
manufacturer's objections to the Administrator's decision and data to 
support the objections.
    (c) If, after review of the request and supporting data, the 
Administrator finds that the request raises a substantial and factual 
issue, the Administrator will grant the engine manufacturer's request 
for a hearing.



Sec. 91.125  Hearing procedures.

    The hearing procedures set forth in Secs. 91.513, 91.514, and 91.515 
apply to this subpart.



Sec. 91.126  Right of entry and access.

    Any engine manufacturer who has applied for certification of a new 
engine or engine family subject to certification testing under this 
subpart must admit or cause to be admitted to any applicable facilities 
during operating hours any EPA enforcement officer or EPA authorized 
representative as provided in Sec. 91.505.



          Subpart C--Averaging, Banking, and Trading Provisions



Sec. 91.201  Applicability.

    The requirements of this subpart C are applicable to all marine 
spark-ignition engines subject to the provisions of subpart A of this 
part 91.



Sec. 91.202  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart:
    Averaging for marine SI engines means the exchange of emission 
credits among engine families within a given manufacturer's product 
line.
    Banking means the retention of marine SI engine emission credits by 
the manufacturer generating the emission credits for use in future model 
year averaging or trading as permitted by these regulations.
    Eligible sales means marine SI engines sold for purposes of being 
used in the United States and include any engine introduced into 
commerce in the U.S. to be sold for use in the U.S.
    Emission credits represent the amount of emission reduction or 
exceedance, by a marine SI engine family, below or above the applicable 
emission standard, respectively. Emission reductions below the standard 
are considered as ``positive credits,'' while emission exceedances above 
the standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a model year waiting to 
be reported to EPA at the end of the model year. ``Actual credits'' 
refer to emission credits based on actual applicable production/sales 
volume as contained in the end-of-year reports submitted to EPA. Some or 
all of these credits may be revoked if EPA review of the end-of-year 
reports or any subsequent audit action(s) uncovers problems or errors.
    Point of first retail sale means the point at which the engine is 
first sold directly to an end user. Generally, this point is the retail 
boat or engine dealer. If the engine is sold first to a boat or vessel 
manufacturer for installation

[[Page 312]]

in a boat or vessel, the boat or vessel manufacturer may be the point of 
first retail sale if the boat or vessel manufacturer can determine if 
the engine is or is not exported once they have sold the boat or vessel. 
If the boat or vessel manufacturer cannot determine if the engine is or 
is not exported once they have sold the boat or vessel, the engine is 
presumed to not be exported, unless the engine manufacturer can 
demonstrate otherwise. Engine manufacturers must include engines in 
their average if the engine is exported and subsequently imported into 
the United States installed in a boat or vessel and introduced into 
United States commerce.
    Trading means the exchange of marine engine emission credits between 
manufacturers.



Sec. 91.203  General provisions.

    (a) The certification averaging, banking, and trading provisions for 
hydrocarbon plus oxides of nitrogen emissions from eligible marine SI 
engines are described in this subpart.
    (b) A marine SI engine family must use the averaging provisions and 
may use the banking and trading provisions for hydrocarbon plus oxides 
of nitrogen emissions if it is subject to regulation under subpart B of 
this part with certain exceptions specified in paragraph (c) of this 
section.
    (c) Manufacturers of marine SI engines may not use the banking and 
trading provisions for new marine SI engines:
    (1) Which are exported, or
    (2) Which are subject to state engine emission standards unless the 
manufacturer demonstrates to the Administrator that inclusion of these 
engines in banking and trading is appropriate.
    (d) A manufacturer may certify marine SI engine families at Family 
Emission Limits (FELs) above or below the applicable emission standard, 
provided the summation of the manufacturer's projected balance of all 
credit transactions in a given model year is greater than or equal to 
zero, as determined under Sec. 91.207.
    (1) A manufacturer of an engine family with an FEL exceeding the 
applicable emission standard must obtain positive emission credits 
sufficient to address the associated credit shortfall via averaging, 
banking, or trading.
    (2) An engine family with an FEL below the applicable emission 
standard may generate positive emission credits for averaging, banking, 
or trading, or a combination thereof. Emission credits may not be used 
to offset an engine family's emissions that exceed its applicable FEL. 
Credits may not be used to remedy nonconformity determined by a 
production line testing, a Selective Enforcement Audit (SEA) or by 
recall (in-use) testing. However, in the case of a manufacturer 
production line testing or SEA failure, credits may be used to allow 
subsequent production of engines for the family in question if the 
manufacturer elects to recertify to a higher FEL. In the case of 
production line testing a manufacturer may revise the FEL based upon 
production line testing results obtained under subpart F and upon 
Administrator approval pursuant to Sec. 91.122(d).
    (e) Credits generated in a given model year may be used in the 
following three model years. Credits not used by the end of the third 
model year after being generated are forfeited. Credits generated in one 
model year may not be used for prior model years, unless allowed under 
Sec. 91.207.
    (f) Manufacturers must demonstrate compliance under the averaging, 
banking, and trading provisions for a particular model year by 270 days 
after the model year. An engine family generating negative credits for 
which the manufacturer does not obtain or generate an adequate number of 
positive credits from the same or previous model years will violate the 
conditions of the certificate of conformity. The certificate of 
conformity may be voided ab initio pursuant to Sec. 91.123 for this 
engine family.



Sec. 91.204  Averaging.

    (a) Negative credits from engine families with FELs above the 
applicable emission standard must be offset by positive credits from 
engine families below the applicable emission standard, as allowed under 
the provisions of this subpart. Averaging of credits in this manner is 
used to determine compliance under Sec. 91.207(b).

[[Page 313]]

    (b) For model years through 2000, outboard credits may not be summed 
with personal watercraft credits, or vice versa, for purposes of 
compliance under Sec. 91.207, except manufacturers may, at their 
discretion, include personal watercraft credits with outboard credits 
upon demonstration to the satisfaction of the Administrator that the 
personal watercraft engine is installed in a hybrid vessel that is 
smaller than a typical sterndrive or inboard vessel and larger than a 
typical personal watercraft. For model year 2001 and later, 
manufacturers must sum credits generated from outboard and personal 
watercraft to determine compliance under Sec. 91.207.
    (c) Credits used in averaging may be obtained from credits generated 
by another engine family as allowed under Sec. 91.204(b), in the same 
model year, credits banked in the three previous model years, or credits 
obtained through trading.



Sec. 91.205  Banking.

    (a) A manufacturer of a marine SI engine family with an FEL below 
the applicable emission standard for a given model year may bank credits 
in that model year for use in averaging and trading in the following 
three model years. Negative credits must be banked according to the 
requirements under Sec. 91.207(c). Positive credits not used within the 
three model years after they are banked are forfeited.
    (1) Early banking. (i) For outboard engines in model year (MY) 1997, 
a manufacturer may bank positive emission credits if the following 
conditions are met: the manufacturer certifies their entire marine 
outboard engine product line for MY 1997 under the emission standards 
applicable to MY 1998, the manufacturer demonstrates compliance with the 
corporate average standard under Sec. 91.207(b), and the sum of positive 
and negative credits under Sec. 91.207 generates positive emission 
credits, when the following formula is used for purposes of the 
applicable standard in Sec. 91.207(a). The number of credits that may be 
banked under this paragraph is the number of positive emission credits 
generated under the provisions of the preceding sentence. Marine engines 
certified under the provisions of this paragraph are subject to all of 
the requirements of this part.

     Hydrocarbon Plus Oxides of Nitrogen Exhaust Emission Standards
                        [Grams per kilowatt-hour]
------------------------------------------------------------------------
                            P<4.3 kW
                             HC+NOX
       Model year           Emission        P4.3 kW HC+NOX
                           standard by   emission standard by model year
                           model year
------------------------------------------------------------------------
1997...................             276  (0.959 x (151 + 557/P0.9)+1.22)
------------------------------------------------------------------------

    (ii) For personal watercraft engines in model year 1998, a 
manufacturer may bank positive emission credits if the following 
conditions are met: The manufacturer certifies their entire marine 
personal watercraft engine product line for MY 1998 under the emission 
standards applicable to 1998 model year outboard engine emission 
standards, the manufacturer demonstrates compliance with the corporate 
average standard under Sec. 91.207(b), and the sum of positive and 
negative credits under Sec. 91.207 generates positive emission credits, 
when the following formula is used for purposes of the applicable 
standard Sec. 91.207(a). The number of credits that may be banked under 
this paragraph is the number of positive emission credits generated 
under the provisions of the preceding sentence. Marine engines certified 
under the provisions of this paragraph are subject to all of the 
requirements of this part.

     Hydrocarbon Plus Oxides of Nitrogen Exhaust Emission Standards
                        [Grams per kilowatt-hour]
------------------------------------------------------------------------
                            P<4.3 kW
                             HC+NOX
       Model year           emission        P 4.3 kW HC+NOX
                           standard by   emission standard by model year
                           model year
------------------------------------------------------------------------
1998...................             276  (0.959 x (151 + 557/P0.9[rpar])
                                          + 1.22)
------------------------------------------------------------------------

    (iii) For personal watercraft in model year 1997, a manufacturer may 
bank positive emission credits if the following conditions are met: the 
manufacturer certifies their entire marine personal watercraft engine 
product line for MY 1997 under the emission standards specified in the 
formula below for PWC, the manufacturer demonstrates compliance with the 
corporate average standard under Sec. 91.207(b), and the sum of positive 
and negative credits under

[[Page 314]]

Sec. 91.207 generates positive emission credits, when the following 
formula is used for purposes of the applicable standard in 
Sec. 91.207(a). The number of credits that may be banked under this 
paragraph is the number of positive emission credits generated under the 
provisions of the preceding sentence. Marine engines certified under the 
provisions of this paragraph are subject to all of the requirements of 
this part.

     Hydrocarbon Plus Oxides of Nitrogen Exhaust Emission Standards
                        [Grams per kilowatt-hour]
------------------------------------------------------------------------
                            P<4.3 kW
                             HC+NOX
       Model year           emission        P 4.3 kW HC+NOX
                           standard by   emission standard by model year
                           model year
------------------------------------------------------------------------
1997...................             276  (0.959 x (151 + 557/P0.9[rpar])
                                          + 1.22)
------------------------------------------------------------------------

    (b) A manufacturer may bank actual credits only after the end of the 
model year and after EPA has reviewed the manufacturer's end-of-year 
reports. During the model year and before submittal of the end-of-year 
report, credits originally designated in the certification process for 
banking will be considered reserved and may be redesignated for trading 
or averaging in the end-of-year report and final report.
    (c) Credits declared for banking from the previous model year that 
have not been reviewed by EPA may be used in averaging or trading 
transactions. However, such credits may be revoked at a later time 
following EPA review of the end-of-year report or any subsequent audit 
actions.



Sec. 91.206  Trading.

    (a) A marine SI engine manufacturer may exchange emission credits 
with other marine SI engine manufacturers in trading. These credits must 
be used in the same averaging set as generated.
    (b) Credits for trading can be obtained from credits banked in the 
three previous model years or credits generated during the model year of 
the trading transaction. Traded credits expire if they are not used in 
averaging within three model years following the model year in which 
they were generated.
    (c) Traded credits can be used for averaging, banking, or further 
trading transactions.
    (d) In the event of a negative credit balance resulting from a 
transaction, both the buyer and the seller are liable, except in cases 
involving fraud. Certificates of all engine families participating in a 
negative trade may be voided ab initio pursuant to Sec. 91.123.



Sec. 91.207  Credit calculation and manufacturer compliance with emission 
standards.

    (a) For each engine family, certification emission credits (positive 
or negative) are to be calculated according to the following equation 
and rounded, in accordance with ASTM E29-93a, to the nearest gram. ASTM 
E29-93a has been incorporated by reference. See Sec. 91.6. Consistent 
units are to be used throughout the equation. The following equation is 
used to determine hydrocarbon plus oxides of nitrogen credit status for 
an engine family, whether generating positive credits or negative 
credits:
[GRAPHIC] [TIFF OMITTED] TR04OC96.004

Where:
sales = the number of eligible sales tracked to the point of first 
retail sale for the given engine family during the model year. Annual 
production projections are used to project credit availability for 
initial certification. Actual sales volume is used in determining actual 
credits for end of-year compliance determination.
t = time in model years
Power = the average power of an engine family in kW (sales weighted). 
The power of each configuration is the rated output in kilowatts as 
determined by SAE J1228. This procedure has been incorporated by 
reference. See Sec. 91.6.

[[Page 315]]

max actual life = maximum actual life specific to the power rating and 
the application; max actual life = 2[mu]life
[mu]life = average actual life in years, specific to the 
power rating and the application as given below.
[GRAPHIC] [TIFF OMITTED] TR04OC96.054

Power = as defined above.
[mu]use = mean use in hours per year. For outboard engines,
[mu]use = 34.8 hrs /yr. For personal watercraft, 
[mu]use = 77.3 hrs/yr;
S(t) = cumulative fraction survived at time t;
S(t) = 
e-[lpar]tx0.906/[]life[rpar]4.0

STD = the current and applicable marine SI engine emission 
standard in grams per kilowatt hour as determined in Sec. 91.104.
FEL = the family emission limit for the engine family in grams per 
kilowatt hour.

    (b) Manufacturer compliance with the corporate average emission 
standard is determined on a corporate average basis at the end of each 
model year. A manufacturer is in compliance when the sum of positive and 
negative emission credits it holds is greater than or equal to zero, 
except as allowed under paragraph (c) of this section.
    (c)(1) Outboard Engines
    (i) For model year 1998, a manufacturer is in compliance when the 
sum of positive credits and negative emission credits it holds is 
greater than or equal to zero, including
    (A) Credits generated in MY 1998 exceed 70% of the negative credits 
generated in MY 1998. The remaining negative credits (up to 30% of the 
total negative credits) must be banked.
    (ii) For model year 1999, a manufacturer is in compliance when the 
positive credits generated in MY 1999 exceed the sum of 80% of the 
negative credits generated in MY 1999 and the negative credits banked in 
1998. The remaining negative credits (up to 20% of the total negative 
credits) must be banked.
    (iii) For model year 2000, a manufacturer is in compliance when the 
sum of positive and negative emission credits it holds is greater than 
or equal to zero, including
    (A) The negative credits banked in MY 1998 and MY 1999 and
    (B) Any adjustments to credits based on adjustments to FELs 
resulting from requirements in Sec. 91.118(h)(1)(i). Manufacturers do 
not have to recalculate compliance for model years 1998 and 1999.
    (2) Personal watercraft engines. (i) For model year 1999, a 
manufacturer is in compliance when the positive credits generated in MY 
1999 exceed 50% of the negative credits generated in MY 1999. The 
remaining negative credits (up to 50% of the total negative credits) 
must be banked.
    (ii) For model year 2000, a manufacturer is in compliance when the 
sum of positive and negative emission credits it holds is greater than 
or equal to zero, including
    (A) The negative credits banked in 1999 and
    (B) Any adjustments to credits based on adjustments to FELs 
resulting from requirements in Sec. 91.118(h)(1)(i). Manufacturers do 
not have to recalculate compliance for model year 1999.
    (d) When a manufacturer is not in compliance, the manufacturer will 
be in violation of these regulations and EPA may void ab initio the 
certificates of engine families for which the manufacturer has not 
obtained sufficient positive emission credits pursuant to Sec. 91.123.
    (e) Notwithstanding other provisions of this part, for model years 
beginning with model year 2000, a manufacturer having a negative credit 
balance during one period of up to four consecutive model years will not 
be considered to be in noncompliance in a model year up through and 
including model year 2009 where:
    (1) The manufacturer has a total annual production of engines 
subject to regulation under this part of 1000 or less; and
    (2) The manufacturer has not had a negative credit balance other 
than in three immediately preceding model years, except as permitted 
under paragraph (c) of this section; and
    (3) The FEL(s) of the family or families produced by the 
manufacturer are

[[Page 316]]

no higher than those of the corresponding family or families in the 
previous model year, except as allowed by the Administrator; and
    (4) The manufacturer submits a plan acceptable to the Administrator 
for coming into compliance with future model year standards including 
projected dates for the introduction or increased sales of engine 
families having FEL(s) below standard and projected dates for 
discontinuing or reducing sales of engines having FEL(s) above standard; 
and
    (5)(i) The manufacturer has set its FEL using emission testing as 
prescribed in subpart E of this part; or
    (ii) The manufacturer has set its FEL based on the equation and 
provisions of Sec. 91.118(h)(1)(i) and the manufacturer has submitted 
appropriate test data and revised its FEL(s) and recalculated its 
credits pursuant to the provisions of Sec. 91.118(h)(1); or
    (iii) The manufacturer has set its FEL using good engineering 
judgement, pursuant to the provisions of Sec. 91.118(h)(1)(ii) and 
(h)(2).

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24314, Apr. 25, 2000]



Sec. 91.208  Certification.

    (a) In the application for certification a manufacturer must:
    (1) Submit a statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, cause the 
manufacturer to be in noncompliance under Sec. 91.207(b) when all 
credits are calculated for all the manufacturer's engine families.
    (2) Declare an FEL for each engine family for HC plus 
NOX. The FEL must have the same number of significant digits 
as the emission standard.
    (3) Indicate the projected number of credits generated/needed for 
this family; the projected applicable production/sales volume, by 
quarter; and the values required to calculate credits as given in 
Sec. 91.207.
    (4) Submit calculations in accordance with Sec. 91.207 of projected 
emission credits (positive or negative) based on quarterly production 
projections for each family.
    (5)(i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family or 
reserved) of the credits necessary to offset the credit deficit 
according to quarterly projected production.
    (ii) If the engine family is projected to generate credits, state 
specifically (manufacturer/engine family or reserved) where the 
quarterly projected credits will be applied.
    (b) All certificates issued are conditional upon manufacturer 
compliance with the provisions of this subpart both during and after the 
model year of production.
    (c) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be deemed void ab initio 
pursuant to Sec. 91.123.
    (d) The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-year reports, follow-up audits, and any other verification steps 
deemed appropriate by the Administrator.



Sec. 91.209  Maintenance of records.

    (a) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed records for each engine 
produced:
    (1) EPA engine family,
    (2) Engine identification number,
    (3) Engine model year and build date,
    (4) Power rating,
    (5) Purchaser and destination, and
    (6) Assembly plant.
    (b) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed records for each engine 
family:
    (1) EPA engine family identification code,
    (2) Family Emission Limit (FEL) or FELs where FEL changes have been 
implemented during the model year,
    (3) Power rating for each configuration tested,

[[Page 317]]

    (4) Projected sales volume for the model year, and
    (5) Actual sales volume for the model year for each FEL where FEL 
changes have been implemented during the model year.
    (c) Any manufacturer producing an engine family participating in 
trading reserved credits must maintain the following records on a 
quarterly basis for each such engine family:
    (1) The engine family,
    (2) The actual quarterly and cumulative applicable production/sales 
volume,
    (3) The values required to calculate credits as given in 
Sec. 91.207,
    (4) The resulting type and number of credits generated/required,
    (5) How and where credit surpluses are dispersed, and
    (6) How and through what means credit deficits are met.
    (d) The manufacturer must retain all records required to be 
maintained under this section for a period of eight years from the due 
date for the end-of-model year report. Records may be retained as hard 
copy or reduced to microfilm, ADP diskettes, and so forth, depending on 
the manufacturer's record retention procedure; provided, that in every 
case all information contained in the hard copy is retained.
    (e) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (f) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.
    (g) EPA may void ab initio a certificate of conformity for an engine 
family for which the manufacturer fails to retain the records required 
in this section or to provide such information to the Administrator upon 
request pursuant to Sec. 91.123.



Sec. 91.210  End-of-year and final reports.

    (a) End-of-year and final reports must indicate the engine family, 
the actual sales volume, the values required to calculate credits as 
given in Sec. 91.207, and the number of credits generated/required. 
Manufacturers must also submit how and where credit surpluses were 
dispersed (or are to be banked) and/or how and through what means credit 
deficits were met. Copies of contracts related to credit trading must be 
included or supplied by the broker, if applicable. The report must 
include a calculation of credit balances to show that the credit 
summation is equal to or greater than zero.
    (b) The sales volume for end-of-year and final reports must be based 
on the location of the point of first retail sale (for example, retail 
customer or dealer) also called the final product purchase location.
    (c)(1) End-of-year reports must be submitted within 90 days of the 
end of the model year to: Manager, Engine Compliance Programs Group 
(6403-J), US Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460.
    (2) Final reports must be submitted within 270 days of the end of 
the model year to: Manager, Engine Compliance Programs Group (6403-J), 
U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460.
    (d) Failure by a manufacturer to submit any end-of-year or final 
reports in the specified time for all engines is a violation of 
Sec. 91.1103(a)(2) and section 213(d) of the Clean Air Act for each 
engine.
    (e) A manufacturer generating credits for banking only who fails to 
submit end-of-year reports in the applicable specified time period (90 
days after the end of the model year) may not use the credits until such 
reports are received and reviewed by EPA. Use of projected credits 
pending EPA review is not permitted in these circumstances.
    (f) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including errors in credit calculation, may be corrected in the 
final report up to 270 days from the end of the model year.
    (g) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year or final report previously submitted to EPA 
under this section, the manufacturer's credits and credit calculations 
must be recalculated. Erroneous positive credits will

[[Page 318]]

be void except as provided in paragraph (h) of this section. Erroneous 
negative credit balances may be adjusted by EPA.
    (h) If within 270 days of the end of the model year, EPA review 
determines a reporting error in the manufacturer's favor (that is, 
resulting in an increased credit balance) or if the manufacturer 
discovers such an error within 270 days of the end of the model year, 
EPA shall restore the credits for use by the manufacturer.



Sec. 91.211  Notice of opportunity for hearing.

    Any voiding of the certificate under Secs. 91.203(f), 91.206(d), 
91.207(d), 91.208(c), or Sec. 91.209(g) shall be made only after the 
manufacturer concerned is offered an opportunity for a hearing conducted 
in accordance with Secs. 91.512, 91.513 and 91.514 and, if a 
manufacturer requests such a hearing, will be made only after an initial 
decision by the Presiding Officer.



              Subpart D--Emission Test Equipment Provisions



Sec. 91.301  Scope; applicability.

    (a) This subpart describes the equipment required in order to 
perform exhaust emission tests on new marine gasoline-fueled spark-
ignition propulsion engines subject to the provisions of subpart A of 
this part 91.
    (b) Exhaust gases are sampled while the test engine is operated 
using a steady state test cycle on an engine dynamometer. Exhaust gas 
sampling may be performed using either the raw gas sampling method or 
the constant volume sampling (CVS) method. The exhaust gases receive 
specific component analysis determining concentration of pollutant, 
exhaust volume, the fuel flow, and the power output during each mode. 
Emissions are reported on a gram per brake-kilowatt hour (g/kW-hr). See 
subpart E of this part for a complete description of the test procedure.
    (c) Additional information about system design, calibration 
methodologies, and so forth, for raw gas sampling can be found in part 
86, subpart D of this chapter. Examples for system design, calibration 
methodologies, and so forth, for dilute sampling can be found in part 
86, subpart N of this chapter.



Sec. 91.302  Definitions.

    The definitions in Sec. 91.3 apply to this subpart.



Sec. 91.303  Acronyms and abbreviations.

    (a) The acronyms and abbreviations in Sec. 91.5 apply to this 
subpart.
    (b) The symbols in Table 1 in appendix A of this subpart apply to 
this subpart.



Sec. 91.304  Test equipment overview.

    (a) All engines subject to this subpart are tested for exhaust 
emissions. Engines are operated on dynamometers meeting the 
specification given in Sec. 91.305.
    (b) The exhaust is tested for gaseous emissions using either a 
constant volume sampling (CVS) system as described in Sec. 91.414, or 
using the raw gas sampling system as described in Sec. 91.421. Both 
systems require analyzers (see paragraph (c) of this section) specific 
to the pollutant being measured.
    (c) Analyzers used are a non-dispersive infrared detector (NDIR) 
absorption type for carbon monoxide and carbon dioxide analysis; 
paramagnetic detector (PMD), zirconia (ZRDO), or electrochemical type 
(ECS) for oxygen analysis; a flame ionization detector (FID) or heated 
flame ionization detector (HFID) type for hydrocarbon analysis; and a 
chemiluminescent detector (CLD) or heated chemiluminescent detector 
(HCLD) for oxides of nitrogen analysis.



Sec. 91.305  Dynamometer specifications and calibration accuracy.

    (a) Dynamometer specifications. (1) The dynamometer test stand and 
other instruments for measurement of engine speed and torque must meet 
the accuracy requirements shown in Table 2 in appendix A to this 
subpart. The dynamometer must be capable of performing the test cycle 
described in Sec. 91.410.
    (b) Dynamometer calibration accuracy. (1) The dynamometer test stand 
and other instruments for measurement of engine torque and speed must 
meet the calibration frequency shown in Table 2 in appendix to this 
subpart.

[[Page 319]]

    (2) A minimum of three calibration weights for each range used is 
required. The weights must be equally spaced and traceable to within 0.5 
percent of National Institute of Standards and Testing (NIST) weights. 
Laboratories located in foreign countries may certify calibration 
weights to local government bureau standards.



Sec. 91.306  Dynamometer torque cell calibration.

    (a)(1) Any lever arm used to convert a weight or a force through a 
distance into a torque must be used in a horizontal position for 
horizontal shaft dynamometers ( five degrees). For vertical 
shaft dynamometers, a pulley system may be used to convert the 
dynamometer's horizontal loading into the vertical plane.
    (2) Calculate the indicated torque (IT) for each calibration weight 
to be used by:

IT=Moment Arm (meters)xCalibration Weight (Newtons)

    (3) Attach each calibration weight specified in Sec. 91.305(b)(2) to 
the moment arm at the calibration distance determined in paragraph 
(a)(2) of this section. Record the power measurement equipment response 
(N-m) to each weight.
    (4) Compare the torque value measured to the calculated torque.
    (5) The measured torque must be within two percent of the calculated 
torque.
    (6) If the measured torque is not within two percent of the 
calculated torque, adjust or repair the system. Repeat steps in 
paragraphs (a)(1) through (a)(6) of this section with the adjusted or 
repaired system.
    (b) Option. A master load-cell or transfer standard may be used to 
verify the torque measurement system.
    (1) The master load-cell and read out system must be calibrated with 
weights specified in Sec. 91.305(b)(2).
    (2) Attach the master load-cell and loading system.
    (3) Load the dynamometer to a minimum of three equally spaced torque 
values as indicated by the master load-cell for each in-use range used.
    (4) The in-use torque measurement must be within two percent of the 
torque measured by the master system for each load used.
    (5) If the in-use torque is not within two percent of the master 
torque, adjust or repair the system. Repeat steps in paragraphs (b)(2) 
through (b)(4) of this section with the adjusted or repaired system.
    (c) Calibrated resistors may not be used for dynamometer torque 
transducer calibration, but may be used to span the transducer prior to 
engine testing.
    (d) Other engine dynamometer system calibrations such as speed are 
performed as specified by the dynamometer manufacturer or as dictated by 
good engineering practice.



Sec. 91.307  Engine cooling system.

    An engine cooling system is required with sufficient capacity to 
maintain the engine at normal operating temperatures as prescribed by 
the engine manufacturer. Auxiliary fan(s) may be used to maintain 
sufficient engine cooling during dynamometer operation.



Sec. 91.308  Lubricating oil and test fuel.

    (a) Lubricating oil. (1) Use the engine lubricating oil which meets 
the marine engine manufacturer's requirements for a particular engine 
and intended usage. Record the specifications of the lubricating oil 
used for the test.
    (2) For two-stroke engines, the fuel/oil mixture ratio must be that 
which is recommended by the manufacturer. If the flow rate of the oil in 
the engine is greater than two percent of the fuel flow rate, then the 
oil supplied to the engine must be added to the fuel flow in the 
emission calculations described in Sec. 91.419 and Sec. 91.426. Good 
engineering judgment may be used to estimate oil flow when oil injection 
is used.
    (b) Test fuels--certification. The manufacturer must use gasoline 
having the specifications or substantially equivalent specifications 
approved by the Administrator, as specified in Table 3 in appendix A of 
this subpart for exhaust emission testing of gasoline fueled engines. 
The specification range of the fuel to be used under this paragraph must 
be reported in accordance with Sec. 91.109(d).

[[Page 320]]

    (c) Test fuels--service accumulation. (1) Unleaded gasoline 
representative of commercial gasoline which will be generally available 
through retail outlets must be used in service accumulation for 
gasoline-fueled marine engines. As an alternative, the certification 
test fuels specified under paragraph (b) of this section for engine 
service accumulation. Leaded fuel may not be used during service 
accumulation.
    (2) The octane rating of the gasoline used may not be higher than 
4.0 research octane numbers above the minimum recommended by the 
manufacturer and have a minimum sensitivity of 7.5 octane numbers, where 
sensitivity is defined as research octane number minus motor octane 
number.
    (d) Other fuels may be used for testing provided:
    (1) They are commercially viable,
    (2) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service,
    (3) Use of a fuel listed under paragraph (b) of this section would 
have a detrimental effect on emissions or durability; and
    (4) The Administrator provides written approval of the fuel 
specifications prior to the start of testing.



Sec. 91.309  Engine intake air temperature measurement.

    (a) Engine intake air temperature measurement must be made within 
100 cm of the air-intake of the engine. The measurement location must be 
either in the supply system or in the air stream entering the engine.
    (b) The temperature measurements must be accurate to within 
2  deg.C.



Sec. 91.310  Engine intake air humidity measurement.

    This section refers to engines which are supplied with intake air 
other than the ambient air in the test cell (i.e., air which has been 
pumbed directly to the engine air intake system). For engines which use 
ambient test cell air for the engine intake air, the ambient testcell 
humidity measurement may be used.
    (a) Humidity conditioned air supply. Air that has had its absolute 
humidity altered is considered humidity-conditioned air. For this type 
of intake air supply, the humidity measurements must be made within the 
intake air supply system, and after the humidity conditioning has taken 
place.
    (b) Unconditioned air supply. Humidity measurements in unconditioned 
intake air supply must be made in the intake air stream entering the 
engine. Alternatively, the humidity measurements can be measured within 
the intake air stream entering the supply system.



Sec. 91.311  Test conditions.

    (a) General requirements. (1) Ambient temperature levels encountered 
by the test engine throughout the test sequence may not be less than 20 
deg.C nor more than 30  deg.C.
    (2) Calculate all volumes and volumetric flow rates at standard 
conditions for temperature and pressure. Use these conditions 
consistently throughout all calculations. Standard conditions for 
temperature and pressure are 25  deg.C and 101.3 kPa.
    (b) Engine test conditions. Measure the absolute temperature 
(designated as T and expressed in Kelvin) of the engine air at the inlet 
to the engine and the dry atmospheric pressure (designated as ps 
and expressed in kPa. Determine the parameter f according to the 
following provisions:
    (1) Naturally aspirated and mechanically supercharged engines:
    [GRAPHIC] [TIFF OMITTED] TR04OC96.005
    
    (2) Turbocharged engine with or without cooling of inlet air:
    [GRAPHIC] [TIFF OMITTED] TR04OC96.006
    
    (3) For a test to be recognized as valid, the parameter f must be 
between the limits as shown below:

[GRAPHIC] [TIFF OMITTED] TR04OC96.007



Sec. 91.312  Analytical gases.

    (a) The shelf life of a calibration gas may not be exceeded. Record 
the expiration date stated by the gas supplier for each calibration gas.

[[Page 321]]

    (b) Pure gases. The required purity of the gases is defined by the 
contamination limits given in parenthesis. The following gases must be 
available for operation.
    (1) Purified nitrogen, also referred to as ``zero-grade nitrogen'' 
(Contamination[le]1 ppm C, [le]1 ppm CO, [le]400 ppm CO2, 
[le]0.1 ppm NO)
    (2) Purified oxygen (Purity 99.5 percent vol O2)
    (3) Hydrogen-helium mixture (402 percent hydrogen, 
balance helium) (Contamination[le]1 ppm C, [le]400 ppm CO)
    (4) Purified synthetic air, also referred to as ``zero gas'' 
(Contamination[le]1 ppm C, [le]1 ppm CO, [le]400 ppm CO2, 
[le]0.1 ppm NO) (Oxygen content between 18-21 percent vol.)
    (c) Calibration and span gases. (1) Calibration gas values are to be 
derived from NIST ``Standard Reference Materials'' (SRM's) or other 
local gas standards and are to be single blends as specified in this 
subsection.
    (2) Mixtures of gases having the following chemical compositions 
must be available:
    C3 H8 and purified synthetic air (dilute 
measurements); C3 H8 and purified nitrogen (raw 
measurements);
    CO and purified nitrogen;
    NOX and purified nitrogen (the amount of NO2 
contained in this calibration gas must not exceed five percent of the NO 
content);
    CO2 and purified nitrogen.
    Note: For the HFID or FID, the manufacturer may choose to use as a 
diluent span gas and the calibration gas either purified synthetic air 
or purified nitrogen. Any mixture of C3 H8 and 
purified synthetic air which contains a concentration of propane higher 
than what a gas supplier considers to be safe may be substituted with a 
mixture of C3 H8 and purified nitrogen. However, 
the manufacturer must be consistent in the choice of diluent (zero air 
or purified nitrogen) between the calibration and span gases. If a 
manufacturer chooses to use C3 H8 and purified 
nitrogen for the calibration gases, then purified nitrogen must be the 
diluent for the span gases.
    (3) The true concentration of a span gas must be within  
2 percent of the NIST gas standard. The true concentration of a 
calibration gas must be within  1 percent of the NIST gas 
standard. The use of precision blending devices (gas dividers) to obtain 
the required calibration gas concentrations is acceptable. Give all 
concentrations of calibration gas on a volume basis (volume percent or 
volume ppm).
    (4) The gas concentrations used for calibration and span may also be 
obtained by means of a gas divider, diluting with purified N2 
or with purified synthetic air. The accuracy of the mixing device must 
be such that the concentration of the diluted gases may be determined to 
within  2 percent.
    (d) Oxygen interference check gases must contain propane with 350 
ppmC  75 ppmC hydrocarbon. Determine the concentration value 
to calibration gas tolerances by chromatographic analysis of total 
hydrocarbons plus impurities or by dynamic blending. Use nitrogen as the 
predominant diluent with the balance oxygen.
    (e) Fuel for the hydrocarbon flame ionization detector (HC-FID) must 
be a blend of 402 percent hydrogen with the balance being 
helium. The mixture shall contain less than one ppm equivalent carbon 
response; 98 to 100 percent hydrogen fuel may be used with advance 
approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen 
must be within one mole percent of the oxygen concentration of the 
burner air used in the latest oxygen interference check (percent 
O2 I), see Sec. 91.316(d). If the difference in oxygen 
concentration is greater than one mole percent, then the oxygen 
interference must be checked and the analyzer adjusted if necessary, to 
meet the percent O2 I requirements. The burner air must 
contain less than two ppmC hydrocarbon.



Sec. 91.313  Analyzers required.

    (a) Analyzers. Analyze measured gases with the following 
instruments:
    (1) Carbon monoxide (CO) analysis. (i) The carbon monoxide analyzer 
must be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (2) Carbon dioxide (CO2) analysis. (i) The carbon dioxide 
analyzer must be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (3) Oxygen (O2) analysis. Oxygen (O2) 
analyzers may be of the paramagnetic

[[Page 322]]

(PMD), zirconia (ZRDO) or electrochemical type (ECS).
    (4) Hydrocarbon (HC) analysis. (i) For Raw Gas Sampling, the 
hydrocarbon analyzer must be of the heated flame ionization (HFID) type. 
For constant volume sampling, the hydrocarbon analyzer may be of the 
flame ionization (FID) type or of the heated flame ionization (HFID) 
type.
    (ii) For the HFID system, if the temperature of the exhaust gas at 
the sample probe is below 190  deg.C, the temperature of the valves, 
pipe work, and so forth, must be controlled so as to maintain a wall 
temperature of 190  11  deg.C. If the temperature of the 
exhaust gas at the sample probe is above 190  deg.C, the temperature of 
the valves, pipe work, and so forth, must be controlled so as to 
maintain a wall temperature greater than 180  deg.C.
    (iii) For the HFID analyzer, the detector, oven, and sample-handling 
components within the oven must be suitable for continuous operation at 
temperatures to 200  deg.C. It must by capable of maintaining 
temperature within  5.5  deg.C of the set point.
    (iv) Fuel and burner air must conform to the specifications in 
Sec. 91.312.
    (v) The percent of oxygen interference must be less than three 
percent, as specified in Sec. 91.316(d).
    (5) Oxides of nitrogen (NOX) analysis. (i) This analysis 
device consists of the following items:
    (A) A NO2 to NO converter. The NO2 to NO 
converter efficiency must be at least 90 percent.
    (B) An ice bath located after the NOX converter 
(optional).
    (C) A chemiluminescent detector (CLD) or heated chemiluminescent 
detector (HCLD).
    (ii) The quench interference must be less than three percent as 
measured in Sec. 91.325.
    (b) Other gas analyzers yielding equivalent results may be used with 
advance approval of the Administrator.
    (c) The following requirements must be incorporated as indicated in 
systems used for testing under this subpart.
    (1) Carbon monoxide and carbon dioxide measurements must be made on 
a dry basis (for raw exhaust measurement only). Specific requirements 
for the means of drying the sample can be found in Sec. 91.313(e).
    (2) Calibration or span gases for the NOX measurement 
system must pass through the NO2 to NO converter.
    (d) The electromagnetic compatibility (EMC) of the equipment must be 
on a level as to minimize additional errors.
    (e) Gas drying. Chemical dryers are not an acceptable method of 
removing water from the sample. Water removal by condensation is 
acceptable. If water is removed by condensation, the sample gas 
temperature or sample dew point must be monitored either within the 
water trap or downstream and its temperature must not exceed 7  deg.C. A 
water trap performing this function is an acceptable method. Means other 
than condensation may be used only with prior approval from the 
Administrator.



Sec. 91.314  Analyzer accuracy and specifications.

    (a) Measurement accuracy--general. The analyzers must have a 
measuring range which allows them to measure the concentrations of the 
exhaust gas sample pollutants with the accuracies shown in Table 2 in 
appendix A to this subpart.
    (1) Precision. The precision of the analyzer must be, at worst, 
 1 percent of full-scale concentration for each range used. 
The precision is defined as 2.5 times the standard deviation(s) of 10 
repetitive responses to a given calibration or span gas.
    (2) Noise. The analyzer peak-to-peak response to zero and 
calibration or span gases over any 10-second period may not exceed two 
percent of full-scale chart deflection on all ranges used.
    (3) Zero drift. The analyzer zero-response drift during a one-hour 
period must be less than two percent of full-scale chart deflection on 
the lowest range used. The zero-response is defined as the mean response 
including noise to a zero-gas during a 30-second time interval.
    (4) Span drift. The analyzer span drift during a one-hour period 
must be less than two percent of full-scale chart deflection on the 
lowest range used. The

[[Page 323]]

analyzer span is defined as the difference between the span-response and 
the zero-response. The span-response is defined as the mean response 
including noise to a span gas during a 30-second time interval.
    (b) Operating procedure for analyzers and sampling system. Follow 
the start-up and operating instructions of the instrument manufacturer. 
Adhere to the minimum requirements given in Sec. 91.316 to Sec. 91.325 
and Sec. 91.409.
    (c) Emission measurement accuracy--bag sampling. (1) Good 
engineering practice dictates that exhaust emission sample analyzer 
readings below 15 percent of full scale chart deflection should 
generally not be used.
    (2) Some high resolution read-out systems, such as computers, data 
loggers, and so forth, can provide sufficient accuracy and resolution 
below 15 percent of full scale. Such systems may be used provided that 
additional calibrations are made to ensure the accuracy of the 
calibration curves. The following procedure for calibration below 15 
percent of full scale may be used:
    Note: If a gas divider is used, the gas divider must conform to the 
accuracy requirements as follows: The use of precision blending devices 
(gas dividers) to obtain the required calibration gas concentrations is 
acceptable, provided that the blended gases are accurate to within 
 1.5 percent of NIST gas standards or other gas standards 
which have been approved by the Administrator. This accuracy implies 
that primary gases used for blending must be ``named'' to an accuracy of 
at least  1 percent, traceable to NIST or other approved gas 
standards.
    (i) Span the full analyzer range using a top range calibration gas. 
The span gases must be accurate to within  2 percent of NIST 
gas standards or other gas standards which have been approved by the 
Administrator.
    (ii) Generate a calibration curve according to, and meeting the 
requirements of the sections describing analyzer calibrations which are 
found in Secs. 91.316, 91.317, 91.318, and 91.320 of this chapter.
    (iii) Select a calibration gas (a span gas may be used for 
calibrating the CO2 analyzer) with a concentration between 
the two lowest non-zero gas divider increments. This gas must be 
``named'' to an accuracy of  2 percent of NIST gas 
standards, or other standards approved by the Administrator.
    (iv) Using the calibration curve fitted to the points generated in 
paragraphs (c)(2) (i) and (ii) of this section, check the concentration 
of the gas selected in paragraph (c)(2)(iii) of this section. The 
concentration derived from the curve must be within  2.3 
percent ( 2.8 percent for CO2 span gas) of the 
gas' original named concentration.
    (v) Provided the requirements of paragraph (c)(2)(iv) of this 
section are met, use the gas divider with the gas selected in paragraph 
(c)(2)(iii) of this section and determine the remainder of the 
calibration points. Fit a calibration curve per Secs. 91.316, 91.317, 
91.318, and 91.320 of this chapter for the entire analyzer range.
    (d) Emission measurement accuracy--continuous sampling. Analyzers 
used for continuous analysis must be operated such that the measured 
concentration falls between 15 and 100 percent of full scale chart 
deflection. Exceptions to these limits are:
    (1) The analyzer's response may be less than 15 percent or more than 
100 percent of full scale if automatic range change circuitry is used 
and the limits for range changes are between 15 and 100 percent of full 
scale chart deflection;
    (2) The analyzer's response may be less than 15 percent of full 
scale if:
    (i) Alternative in paragraph (c)(2) of this section is used to 
ensure that the accuracy of the calibration curve is maintained below 15 
percent; or
    (ii) The full scale value of the range is 155 ppmC or less; or
    (iii) The emissions from the engine are erratic and the integrated 
chart deflection value for the cycle is greater than 15 percent of full 
scale; or
    (iv) The contribution of all data read below the 15 percent level is 
less than 10 percent by mass of the final test results.



Sec. 91.315  Analyzer initial calibration.

    (a) Warming-up time. Follow the warm-up time according to the 
recommendations of the manufacturer. If not specified, a minimum of two 
hours should be allowed for warming up the analyzers.
    (b) NDIR and HFID analyzer. Tune and maintain the NDIR analyzer per

[[Page 324]]

the instrument manufacturer recommendations. The combustion flame of the 
HFID analyzer must be optimized in order to meet the specifications in 
Sec. 91.316(b).
    (c) Zero setting and calibration. Using purified synthetic air (or 
nitrogen), set the CO, CO2, NOX and HC analyzers 
at zero. Connect the appropriate calibrating gases to the analyzers and 
record the values. The same gas flow rates shall be used as when 
sampling exhaust.
    (d) Rechecking of zero setting. Recheck the zero setting and, if 
necessary, repeat the procedure described in paragraph (c) of this 
section.



Sec. 91.316  Hydrocarbon analyzer calibration.

    (a) Calibrate the FID and HFID hydrocarbon analyzer as described in 
this section. Operate the HFID to a set point  5.5  deg.C 
between 185 and 197  deg.C.
    (b) Initial and periodic optimization of detector response. Prior to 
introduction into service and at least annually thereafter, adjust the 
FID and HFID hydrocarbon analyzer for optimum hydrocarbon response as 
specified by this paragraph. Alternative methods yielding equivalent 
results may be used, if approved in advance by the Administrator.
    (1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see 
Sec. 91.312) and purified synthetic air or zero-grade nitrogen.
    (2) One of the following procedures is required for FID or HFID 
optimization:
    (i) The procedure outlined in Society of Automotive Engineers (SAE) 
paper No. 770141, ``Optimization of Flame Ionization Detector for 
Determination of Hydrocarbons in Diluted Automobile Exhaust''; author, 
Glenn D. Reschke. This procedure has been incorporated by reference. See 
Sec. 91.6.
    (ii) The HFID optimization procedures outlined in Sec. 86.331-79 of 
this chapter.
    (iii) Alternative procedures may be used if approved in advance by 
the Administrator.
    (3) After the optimum flow rates have been determined, they are 
recorded for future reference.
    (c) Initial and periodic calibration. Prior to introduction into 
service and monthly thereafter, or within one month prior to the 
certification test, calibrate the FID or HFID hydrocarbon analyzer on 
all normally used instrument ranges, using the steps in this paragraph. 
Use the same flow rate and pressures as when analyzing samples. 
Introduce calibration gases directly at the analyzer. An optional method 
for dilute sampling described in Sec. 86.1310(b)(3)(i) of this chapter 
may be used.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with purified synthetic air or 
zero-grade nitrogen.
    (3) Calibrate on each used operating range with calibration gases 
having nominal concentrations between 10 and 90 percent of that range. A 
minimum of six evenly spaced points covering at least 80 percent of the 
10 to 90 percent range (64 percent) is required (see following table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50?
                                          percent, not 64 percent.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points is
                                          needed
------------------------------------------------------------------------

    (4) For each range calibrated, if the deviation from a least-squares 
best-fit straight line is two percent or less of the value at each data 
point, calculate concentration values by use of a single calibration 
factor for that range. If the deviation exceeds two percent at any 
point, use the best-fit non-linear equation which represents the data to 
within two percent of each test point to determine concentration.
    (d) Oxygen interference optimization. Choose a range where the 
oxygen interference check gases will fall in the

[[Page 325]]

upper 50 percent. Conduct the test, as outlined in this paragraph, with 
the oven temperature set as required by the instrument manufacturer. 
Oxygen interference check gas specifications are found in 
Sec. 91.312(d).
    (1) Zero the analyzer.
    (2) Span the analyzer with the 21 percent oxygen blend.
    (3) Recheck zero response. If it has changed more than 0.5 percent 
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to 
correct the problem.
    (4) Introduce the 5 percent and 10 percent oxygen interference check 
gases.
    (5) Recheck the zero response. If it has changed more than 
 1 percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (designated as 
percent O2 I) for each mixture in paragraph (d)(4) of this 
section according to the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.008

Where:
A=hydrocarbon concentration (ppmC) of the span gas used in paragraph 
(d)(2) of this section.
B=hydrocarbon concentration (ppmC) of the oxygen interference check 
gases used in paragraph (d)(4) of this section.

    (7) The percent of oxygen interference (designated as percent 
O2 I) must be less than  three percent 
for all required oxygen interference check gases prior to testing.
    (8) If the oxygen interference is greater than the specifications, 
incrementally adjust the air flow above and below the manufacturer's 
specifications, repeating paragraphs (d)(1) through (d)(7) of this 
section for each flow.
    (9) If the oxygen interference is greater than the specification 
after adjusting the air flow, vary the fuel flow and thereafter the 
sample flow, repeating paragraphs (d)(1) through (d)(7) of this section 
for each new setting.
    (10) If the oxygen interference is still greater than the 
specifications, repair or replace the analyzer, FID fuel, or burner air 
prior to testing. Repeat this section with the repaired or replaced 
equipment or gases.



Sec. 91.317  Carbon monoxide analyzer calibration.

    (a) Calibrate the NDIR carbon monoxide analyzer described in this 
section.
    (b) Initial and periodic interference check. Prior to its 
introduction into service and annually thereafter, check the NDIR carbon 
monoxide analyzer for response to water vapor and CO2:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance on the most 
sensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Bubble a mixture of three percent CO2 in 
N2 through water at room temperature and record analyzer 
response.
    (4) An analyzer response of more than one percent of full scale for 
ranges above 300 ppm full scale or more than three ppm on ranges below 
300 ppm full scale requires corrective action. (Use of conditioning 
columns is one form of corrective action which may be taken.)
    (c) Initial and periodic calibration. Calibrate the NDIR carbon 
monoxide analyzer prior to its introduction into service and monthly 
thereafter.

[[Page 326]]

    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations between 10 
and 90 percent of that range. A minimum of six evenly spaced points 
covering at least 80 percent of the 10 to 90 range (64 percent) is 
required (see following table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64 percent.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points is
                                          needed.
------------------------------------------------------------------------

    (4) Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is two percent or less of the value at each data point, concentration 
values may be calculated by use of a single calibration factor for that 
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent 
of each test point to determine concentration.



Sec. 91.318  Oxides of nitrogen analyzer calibration.

    (a) Calibrate the chemiluminescent oxides of nitrogen analyzer as 
described in this section.
    (b) Initial and periodic interference. Prior to its introduction 
into service, and monthly thereafter, check the chemiluminescent oxides 
of nitrogen analyzer for NO2 to NO converter efficiency. 
Figure 2 in appendix B of this subpart is a reference for the following 
paragraphs:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with purified synthetic air 
or zero-grade nitrogen.
    (3) Connect the outlet of the NOX generator to the sample 
inlet of the oxides of nitrogen analyzer which has been set to the most 
common operating range.
    (4) Introduce into the NOX generator analyzer-system an 
NO-in-nitrogen (N2) mixture with an NO concentration equal to 
approximately 80 percent of the most common operating range. The 
NO2 content of the gas mixture must be less than 5 percent of 
the NO concentration.
    (5) With the oxides of nitrogen analyzer in the NO mode, record the 
concentration of NO indicated by the analyzer.
    (6) Turn on the NOX generator O2 (or air) 
supply and adjust the O2 (or air) flow rate so that the NO 
indicated by the analyzer is about 10 percent less than indicated in 
paragraph (b)(5) of this section. Record the concentration of NO in this 
NO+O2 mixture as value ``c.''
    (7) Switch the NOX generator to the generation mode and 
adjust the generation rate so that the NO measured on the analyzer is 20 
percent of that measured in paragraph (b)(5) of this section. There must 
be at least 10 percent unreacted NO at this point. Record the 
concentration of residual NO as value ``d.''
    (8) Switch the oxides of nitrogen analyzer to the NOX 
mode and measure total NOX. Record this value as ``a.''
    (9) Switch off the NOX generator but maintain gas flow 
through the system. The oxides of nitrogen analyzer will indicate the 
NOX in the NO+O2 mixture. Record this value as 
``b.''
    (10) Turn off the NOX generator O2 (or air) 
supply. The analyzer will now indicate the NOX in the 
original NO-in-N2 mixture. This value should be no more than 
5 percent above the value indicated in paragraph (b)(4) of this section.
    (11) Calculate the efficiency of the NOX converter by 
substituting the concentrations obtained into the following equation:

[[Page 327]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.009

Where:
a=concentration obtained in paragraph (b)(8) of this section,
b=concentration obtained in paragraph (b)(9) of this section,
c=concentration obtained in paragraph (b)(6) of this section,
d=concentration obtained in paragraph (b)(7) of this section.

    If converter efficiency is not greater than 90 percent, corrective 
action is required.
    (c) Initial and periodic calibration. Prior to its introduction into 
service, and monthly thereafter, calibrate the chemiluminescent oxides 
of nitrogen analyzer on all normally used instrument ranges. Use the 
same flow rate as when analyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations between 10 
and 90 percent of that range. A minimum of six evenly spaced points 
covering at least 80 percent of the 10 to 90 percent range (64 percent) 
is required (see following table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64 percent.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points is
                                          needed.
------------------------------------------------------------------------

    (4) Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is two percent or less of the value at each data point, concentration 
values may be calculated by use of a single calibration factor for that 
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent 
of each test point to determine concentration.
    (d) The initial and periodic interference, system check, and 
calibration test procedures specified in Sec. 86.332-79 of this chapter 
may be used in lieu of the procedures specified in this section.



Sec. 91.319  NOX converter check.

    (a) The efficiency of the converter used for the conversion of 
NO2 to NO is tested as given in paragraphs (a)(1) through 
(a)(8) of this section (see Figure 2 in appendix B to this subpart).
    (1) Using the test setup as shown in Figure 2 in appendix B to this 
subpart (see also Sec. 91.318 of this chapter) and the procedures 
described in paragraphs (a)(2) through (a)(8) of this section, test the 
efficiency of converters by means of an ozonator.
    (2) Calibrate the HCLD in the most common operating range following 
the manufacturer's specifications using zero and span gas (the NO 
content of which must amount to about 80 percent of the operating range 
and the NO2 concentration of the gas mixture less than 5 
percent of the NO concentration). The NOX analyzer must be in 
the NO mode so that the span gas does not pass through the converter. 
Record the indicated concentration.
    (3) Calculate the efficiency of the NOX converter as 
described in Sec. 91.318(b).
    (4) Via a T-fitting, add oxygen continuously to the gas flow until 
the concentration indicated is about 20 percent less than the indicated 
calibration concentration given in paragraph (a)(2) of this section. 
Record the indicated concentration as ``c''. The ozonator is kept 
deactivated throughout the process.
    (5) Activate the ozonator to generate enough ozone to bring the NO 
concentration down to about 20 percent (minimum 10 percent) of the 
calibration concentration given in paragraph (a)(2) of this section. 
Record the indicated concentration as ``d''.

[[Page 328]]

    Note: If, with the analyzer in the most common range the 
NOX converter cannot give a reduction from 80 percent to 20 
percent, then use the highest range which will give the reduction.
    (6) Switch the NO analyzer to the NOX mode, which means 
that the gas mixture (consisting of NO, NO2, O2 
and N2) now passes through the converter. Record the 
indicated concentration as ``a''.
    (7) Deactivate the ozonator. The mixture of gases described in 
paragraph (a)(6) of this section passes through the converter into the 
detector. Record the indicated concentration as ``b''.
    (8) Switched to NO mode with the ozonator deactivated, the flow of 
oxygen or synthetic air is also shut off. The NOX reading of 
the analyzer may not deviate by more than  5 percent of the 
theoretical value of the figure given in paragraph (a)(2) of this 
section.
    (b) The efficiency of the converter must be tested prior to each 
calibration of the NOX analyzer.
    (c) The efficiency of the converter may not be less than 90 percent.



Sec. 91.320  Carbon dioxide analyzer calibration.

    (a) Prior to its introduction into service, and monthly thereafter, 
or within one month prior to the certification test, calibrate the NDIR 
carbon dioxide analyzer as follows:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
dioxide-in-N2 calibration or span gases having nominal 
concentrations between 10 and 90 percent of that range. A minimum of six 
evenly spaced points covering at least 80 percent of the 10 to 90 
percent range (64 percent) is required (see following table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64 percent.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points is
                                          needed.
------------------------------------------------------------------------

    (4) Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is 2 percent or less of the value at each data point, concentration 
values may be calculated by use of a single calibration factor for that 
range. If the deviation exceeds 2 percent at any point, use the best-fit 
non-linear equation which represents the data to within 2 percent of 
each test point to determine concentration.
    (b) The initial and periodic interference, system check, and 
calibration test procedures specified in Secs. 86.316, 86.319, 86.320, 
86.321, and 86.322 of this chapter may be used in lieu of the procedures 
in this section.



Sec. 91.321  NDIR analyzer calibration.

    (a) Detector optimization. If necessary, follow the manufacturer's 
instructions for initial start-up and basic operating adjustments.
    (b) Calibration curve. Develop a calibration curve for each range 
used as follows:
    (1) Zero the analyzer.
    (2) Span the analyzer to give a response of approximately 90 percent 
of full-scale chart deflection.
    (3) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat the steps given in paragraphs (b)(1) and 
(b)(2) of this section.
    (4) Record the response of calibration gases having nominal 
concentrations between 10 and 90 percent of full-scale concentration. A 
minimum of six evenly spaced points covering at least 80 percent of the 
10 to 90 percent range (64 percent) is required (see following table).

[[Page 329]]



------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64 percent.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points is
                                          needed.
------------------------------------------------------------------------

    (5) Generate a calibration curve. The calibration curve must be of 
fourth order or less, have five or fewer coefficients, and be of the 
form of equation (1) or (2). Include zero as a data point. Compensation 
for known impurities in the zero gas can be made to the zero-data point. 
The calibration curve must fit the data points within 2 percent of point 
or one percent of full scale, whichever is less.
[GRAPHIC] [TIFF OMITTED] TR04OC96.010

y=concentration
x=chart deflection

    (6) Option. A new calibration curve need not be generated if:
    (i) A calibration curve conforming to paragraph (b)(5) of this 
section exists;
    (ii) The responses generated in paragraph (b)(4) of this section are 
within one percent of full scale or two percent of point, whichever is 
less, of the responses predicted by the calibration curve for the gases 
used in paragraph (b)(4) of this section.
    (7) If multiple range analyzers are used, the lowest range used must 
meet the curve fit requirements below 15 percent of full scale.
    (c) Linear calibration criteria. If any range is within 2 percent of 
being linear, a linear calibration may be used. To determine if this 
criterion is met:
    (1) Perform a linear least-square regression on the data generated. 
Use an equation of the form y=mx, where x is the actual chart deflection 
and y is the concentration.
    (2) Use the equation z=y/m to find the linear chart deflection 
(designated as z) for each calibration gas concentration (designated as 
y).
    (3) Determine the linearity (designated as percent L) for each 
calibration gas by:
[GRAPHIC] [TIFF OMITTED] TR04OC96.011

    (4) The linearity criterion is met if the percent L is less than 
 2 percent for each data point generated. For each emission 
test, use a calibration curve of the form Y=mx. The slope (designated as 
m) is defined for each range by the spanning process.



Sec. 91.322  Calibration of other equipment.

    Calibrate other test equipment as often as required by the 
manufacturer or as necessary according to good engineering practice.



Sec. 91.323  Analyzer bench checks.

    (a) Prior to initial use and after major repairs, verify that each 
analyzer complies with the specifications given in Table 2 in appendix A 
to this subpart.
    (b) If a stainless steel NO2 to NO converter is used, 
condition all new or replacement converters. The conditioning consists 
of either purging the converter with air for a minimum of four hours or 
until the converter efficiency is greater than 90 percent. The converter 
must be at operational temperature while purging. Do not use this 
procedure prior to checking converter efficiency on in-use converters.

[[Page 330]]



Sec. 91.324  Analyzer leakage check.

    (a) Vacuum side leak check. (1) Check any location within the 
analysis system where a vacuum leak could affect the test results.
    (2) The maximum allowable leakage rate on the vacuum side is 0.5 
percent of the in-use flow rate for the portion of the system being 
checked. The analyzer flows and bypass flows may be used to estimate the 
in-use flow rates.
    (3) The sample probe and the connection between the sample probe and 
valve V2 (see Figure 1 in appendix B of this subpart) may be excluded 
from the leak check.
    (b) Pressure side leak check. Substantial leaks of the sample on the 
pressure side of the system may impact sample integrity if the leaks are 
of sufficient magnitude. As a safety precaution, it is good engineering 
practice to perform periodic pressure side leak checks on the sampling 
system.



Sec. 91.325  Analyzer interference checks.

    (a) Gases present in the exhaust other than the one being analyzed 
can interfere with the reading in several ways. Positive interference 
occurs in NDIR and PMD instruments when the interfering gas gives the 
same effect as the gas being measured, but to a lesser degree. Negative 
interference occurs in NDIR instruments by the interfering gas 
broadening the absorption band of the measured gas, and in CLD 
instruments by the interfering gas quenching the radiation. The 
interference checks described in this section are to be made initially 
and after any major repairs that could affect analyzer performance.
    (b) CO analyzer water and CO2 interference checks. Bubble 
through water at room temperature a CO2 span gas having a 
concentration of between 80 percent and 100 percent inclusive of full 
scale of the maximum operating range used during testing and record the 
analyzer response. For dry measurements, this mixture may be introduced 
into the sample system prior to the water trap. The analyzer response 
must not be more than one percent of full scale for ranges equal to or 
above 300 ppm or more than three ppm for ranges below 300 ppm.
    (c) NOX analyzer quench check. The two gases of concern 
for CLD (and HCLD) analyzers are CO2 and water vapor. Quench 
responses to these two gases are proportional to their concentrations 
and, therefore, require test techniques to determine quench at the 
highest expected concentrations experienced during testing.
    (1) NOX analyzer CO2 quench check. (i) Pass a 
CO2 span gas having a concentration of 80 percent to 100 
percent of full scale of the maximum operating range used during testing 
through the CO2 NDIR analyzer and record the value as ``a.''
    (ii) Dilute the CO2 span gas approximately 50 percent 
with NO span gas and pass through the CO2 NDIR and CLD (or 
HCLD). Record the CO2 and NO values as ``b'' and ``c'', 
respectively.
    (iii) Shut off the CO2 and pass only the NO span gas 
through the CLD (or HCLD). Record the NO value recorded as ``d.''
    (iv) Calculate the percent CO2 quench as follows, which 
may not exceed three percent:
[GRAPHIC] [TIFF OMITTED] TR04OC96.012

Where:
a=Undiluted CO2 concentration (percent)
b=Diluted CO2 concentration (percent)
c=Diluted NO concentration (ppm)
d=Undiluted NO concentration (ppm)

    (2) NOX analyzer water quench check. (i) This check 
applies to wet measurements only. Pass an NO span gas having a 
concentration of 80 percent to 100 percent of full scale of a normal 
operating range through the CLD (or HCLD). Record the response as ``D.'' 
Bubble through water at room temperature the NO span gas and pass it 
through the CLD (or HCLD). Record

[[Page 331]]

the analyzers response as ``AR.'' Determine and record the analyzers 
absolute operating pressure and the bubbler water temperature. (It is 
important that the NO span gas contains minimal NO2 
concentration for this check. No allowance for absorption of 
NO2 in water has been made in the following quench 
calculations.)
    (ii) Calculations for water quench must consider dilution of the NO 
span gas with water vapor and scaling of the water vapor concentration 
of the mixture to that expected during testing. Determine the mixture's 
saturated vapor pressure (designated as ``Pwb'') that corresponds to the 
bubbler water temperature. Calculate the water concentration (``Z1'', 
percent) in the mixture by the following equation:

Z1 = 100 x (Pwb / GP)

Where:

GP=the analyzer's standard operating pressure (pascals)

    (iii) Calculate the expected dilute NO span gas and water vapor 
mixture concentration (designated as ``D1'') by the following equation:

D1 = D x (1Z1 / 100)



Sec. 91.326  Pre- and post-test analyzer calibration.

    Calibrate the operating range of each analyzer used during the test 
prior to and after each test in accordance with the following procedure 
(A chronic need for parameter adjustment can indicate a need for 
instrument maintenance.):
    (a) Make the calibration using a zero gas and a span gas whose 
nominal value is between 80 percent and 100 percent of full scale, 
inclusive, of the measuring range.
    (b) Use the same analyzer(s) flow rate and pressure as that used 
during exhaust emission test sampling.
    (c) Warm-up and stabilize the analyzer(s) before the calibration is 
made.
    (d) If necessary, clean and/or replace filter elements before 
calibration is made.
    (e) Calibrate analyzer(s) as follows:
    (1) Zero the analyzer using the appropriate zero gas. Adjust 
analyzer zero if necessary. Zero reading should be stable.
    (2) Span the analyzer using the appropriate span gas for the range 
being calibrated. Adjust the analyzer to the calibration set point if 
necessary.
    (3) Recheck zero and span set points.
    (4) If the response of the zero gas or span gas differs more than 
one percent of full scale, then repeat paragraphs (e)(1) through (3) of 
this section.



Sec. 91.327  Sampling system requirements.

    (a) Sample component surface temperature. For sampling systems which 
use heated components, use engineering judgment to locate the coolest 
portion of each component (pump, sample line section, filters, and so 
forth) in the heated portion of the sampling system that has a separate 
source of power or heating element. Monitor the temperature at that 
location. If several components are within an oven, then only the 
surface temperature of the component with the largest thermal mass and 
the oven temperature need be measured.
    (b) If water is removed by condensation, monitor the sample gas 
temperature or sample dew point either within the water trap or 
downstream. It may not exceed 7  deg.C.



Sec. 91.328  Measurement equipment accuracy/calibration frequency table.

    (a) The accuracy of measurements must be such that the maximum 
tolerances shown in Table 2 in appendix A to this subpart are not 
exceeded.
    (b) Calibrate all equipment and analyzers according to the 
frequencies shown in Table 2 in appendix A to this subpart.
    (c) Prior to initial use and after major repairs, bench check each 
analyzer (see Sec. 91.323).
    (d) Calibrate as specified in Sec. 91.306 and Secs. 91.315 through 
91.322.
    (e) At least monthly, or after any maintenance which could alter 
calibration, perform the following calibrations and checks.
    (1) Leak check the vacuum side of the system (see Sec. 91.324(a)).
    (2) Verify that the automatic data collection system (if used) meets 
the requirements found in Table 2 in appendix A to this subpart.

[[Page 332]]

    (3) Check the fuel flow measurement instrument to insure that the 
specifications in Table 2 in appendix A to this subpart are met.
    (f) Verify that all NDIR analyzers meet the water rejection ratio 
and the CO2 rejection ratio as specified in Sec. 91.325.
    (g) Verify that the dynamometer test stand and power output 
instrumentation meet the specifications in Table 2 in appendix A to this 
subpart.



Sec. 91.329  Catalyst thermal stress test.

    (a) Oven characteristics. The oven used for termally stressing the 
test catalyst must be capable of maintaining a temperature of 500 
 5  deg.C and 1000  10  deg.C.
    (b) Evaluation gas composition. (1) A synthetic exhaust gas mixture 
is used for evaluating the effect of thermal stress on catalyst 
conversion efficiency.
    (2) The synthetic exhaust gas mixture must have the following 
composition:

------------------------------------------------------------------------
                                                   Volume     Parts per
                  Constituent                     percent      million
------------------------------------------------------------------------
Carbon Monoxide \1\...........................            1  ...........
Oxygen........................................          1.3  ...........
Carbon Dioxide................................            9  ...........
Water Vapor...................................           10  ...........
Sulfur Dioxide................................  ...........           20
Oxides of Nitrogen............................  ...........          280
Hydrogen......................................  ...........         3500
Hydrocarbon 1,&thnsp[gE]2.....................  ...........         4000
Nitrogen=Balance..............................  ...........  ...........
------------------------------------------------------------------------
\1\ Alternatively, the carbon monoxide and hydrocarbon proportions of
  the mixture may be changed to 1.2% and 4650 ppm, respectively (using
  on of these alternative concentrations requires that the other be used
  simultaneously).
\2\ Propylene/propane ratio=2/1.


[61 FR 52102, Oct. 4, 1996; 62 FR 20066, Apr. 24, 1997]

               Appendix A to Subpart D of Part 91--Tables

                                    Table 1--Symbols Used in Subparts D and E
----------------------------------------------------------------------------------------------------------------
             Symbol                             Term                                    Unit
----------------------------------------------------------------------------------------------------------------
AYM.............................  Final weighted emission test      g/kW-hr
                                   results.
C3 H8...........................  Propane.........................  ............................................
CB..............................  Concentration of emission in      ppm
                                   background sample.
CD..............................  Concentration of emission in      ppm
                                   dilute sample.
CO..............................  Carbon monoxide.................  ............................................
CO2.............................  Carbon dioxide..................  ............................................
conc............................  Concentration (ppm by volume)...  ppm
DXX.............................  Density of a specific emission    g/m3
                                   (XX).
DXX.............................  Volume concentration of a         percent
                                   specific emission (XX) on a dry
                                   basis.
DF..............................  Dilution factor of dilute
                                   exhaust.
D1..............................  Water vapor mixture               percent
                                   concentration.
f...............................  Engine specific parameter         ............................................
                                   considering atmospheric
                                   conditions.
GAIRD...........................  Intake air mass flow rate on dry  kg/h
                                   basis.
GFuel...........................  Fuel mass flow rate.............  kg/h
GP..............................  Analyzer standard operating       Pa
                                   pressure.
Gs..............................  Mass of carbon measured during a  g
                                   sampling period.
H...............................  Absolute humidity (water content  gr/kg
                                   related to dry air).
H2..............................  Hydrogen........................  ............................................
i...............................  Subscript denoting an individual  ............................................
                                   mode.
IT..............................  Indicated torque................  N-m
K...............................  Wet to dry conversion factor....  ............................................
KH..............................  Humidity correction factor......  ............................................
KV..............................  Calibration coefficient for       ............................................
                                   critical flow venturi.
MXX.............................  Molecular weight of a specific    g/mole
                                   molecule(XX).
mass............................  Pollutant mass flow.............  g/h
MFUEL...........................  Mass of fuel consumed during a    g
                                   sampling period.
N...............................  Pump revolutions during test      revs
                                   period.
N2..............................  Nitrogen........................  ............................................
NO..............................  Nitric oxide....................  ............................................
NO2.............................  Nitrogen dioxide................  ............................................
NOX.............................  Oxides of nitrogen..............  ............................................
O2..............................  Oxygen..........................  ............................................
O2 I............................  Oxygen concentration of the       percent
                                   burner air.
P...............................  Absolute pressure...............  kPa
PAUX............................  Declared total power absorbed by  kW
                                   auxiliaries fitted for the test.
PB..............................  Total barometric pressure         kPa
                                   (average of the pre-test and
                                   post-test values).
Pdew............................  Test ambient saturation vapor     kPa
                                   pressure at the dew point.
Pe..............................  Absolute pump outlet pressure...  kPa

[[Page 333]]

 
PED.............................  Pressure drop between the inlet   kPa
                                   and throat of metering venturi.
Pi..............................  Pi=PM,i + PAUX,i................  ............................................
PM..............................  Maximum power measured at the     kW
                                   test speed under test
                                   conditions.
PP..............................  Absolute pump inlet pressure....  kPa
PPI.............................  Inlet pressure depression of      kPa
                                   venturi or pump.
PPO.............................  Pressure head at CVS pump outlet  kPa
Ps..............................  Dry atmospheric pressure........  kPa
PV..............................  Absolute venturi inlet pressure.  kPa
Pwb.............................  Saturated vapor pressure........  Pa
QC..............................  Volumetric flow rate of dilute    m3/hr
                                   exhaust through CVS at STP.
QS..............................  Gas flow rate...................  m3/min
RSTP............................  Ideal gas constant at STP.......  m3/mole
R2..............................  Fuel carbon weight fraction.....  g/g
STP.............................  Standard temperature and          ............................................
                                   pressure.
t...............................  Elapsed time for test period....  sec.
T...............................  Absolute temperature at air         deg.C
                                   inlet.
Ta..............................  Ambient temperature.............    deg.C
TEI.............................  Air temperature in to metering      deg.C
                                   venturi or flowmeter.
TK..............................  Absolute temperature............  K
TP..............................  Absolute pump inlet temperature.    deg.C
TPI.............................  Air temperature at CVS pump         deg.C
                                   inlet.
TPO.............................  Air temperature at CVS pump         deg.C
                                   outlet.
TV..............................  Absolute venturi inlet              deg.C
                                   temperature.
VO..............................  Pump flow.......................  m3/rev
W...............................  Average mass flow of emissions..  g/hr
WXX.............................  Mass rate of specific emission    g/hr
                                   (XX).
WXX.............................  Volume concentration in exhaust   ppm, ppmC, %
                                   of specific emission (XX) on
                                   wet basis.
WF..............................  Weighing factor.................  ............................................
Z1..............................  Water concentration.............  percent
[alpha].........................  Fuel specific factor
                                   representing the hydrogen to
                                   carbon ratio.
----------------------------------------------------------------------------------------------------------------


                               Table 2--Measurement Accuracy Calibration Frequency
----------------------------------------------------------------------------------------------------------------
                                            Permissible deviation from reading \1\
     No.                Item          --------------------------------------------------  Calibration frequency
                                               non-idle                   idle
----------------------------------------------------------------------------------------------------------------
1...........  Engine speed...........  2%.........  2%.........  Monthly.
2...........  Torque.................  5%.........  .......................  Monthly.
3...........  Fuel consumption.......  1%.........  5%.........  Monthly.
4...........  Air consumption........  2%.........  5%.........  As required.
5...........  Coolant temperature....  2  deg.C...  Same...................  As required.
6...........  Lubricant temperature..  2  deg.C...  Same...................  As required.
7...........  Exhaust back pressure..  5%.........  Same...................  As required.
8...........  Inlet depression.......  5%.........  Same...................  As required.
9...........  Exhaust gas temperature  15  deg.C..  Same...................  As required.
10..........  Air inlet temperature    2  deg.C...  Same...................  As required.
               (combustion air).
11..........  Atmospheric pressure...  0.5%.......  Same...................  As required.
12..........  Humidity (combustion     3.0%.......  Same...................  As required.
               air) (relative).
13..........  Fuel temperature.......  2  deg.C...  Same...................  As required.
14..........  Temperature with regard  2  deg.C...  Same...................  As required.
               to dilution system.
15..........  Dilution air humidity..  3% absolute  Same...................  As required.
16..........  HC analyzer............  2% \2\.....  Same...................  Monthly.
17..........  CO analyzer............  2% \2\.....  Same...................  Monthly.
18..........  NOX analyzer...........  2% \2\.....  Same...................  Monthly.
19..........  NOX converter check....  90%....................  Same...................  Monthly.
20..........  CO2 analyzer...........  2% \2\.....  Same...................  Monthly.
----------------------------------------------------------------------------------------------------------------
\1\ All accuracy requirements pertain to the final recorded value which is inclusive of the data acquisition
  system.
\2\ If reading is under 100 ppm then the accuracy shall be 2 ppm.


                    Table 3--Test Fuel Specifications
------------------------------------------------------------------------
                                                              Procedure
               Item                  Property    Tolerance    (ASTM) \1\
------------------------------------------------------------------------
Sulfur, ppm max..................         1000  ...........       D 2622
Benzene, max. percent............          1.5  ...........       D 3606
RVP, psi.........................          8.6  0.6

[[Page 334]]

 
Octane, R+M/2....................         89.9  3.1       D 2700
IBP,  deg.C......................         32.8  11.0
10% point,  deg.C................         53.3  5.5
50% point,  deg.C................        101.7  8.3
90% point,  deg.C................        160.0  11.1
End Point, max.  deg.C...........        212.8  ...........         D 86
Phosphorus, g/l, max.............         0.02  ...........       D 3231
Lead, g/l, max...................         0.02  ...........  ...........
Manganese, g/l, max..............        0.004  ...........  ...........
Aromatics, max. percent..........           35  ...........       D 1319
Olefins, max. percent............           10  ...........       D 1319
Saturates, percent...............       remain  ...........      D 1319
------------------------------------------------------------------------
\1\ All ASTM Procedures in this table have been incorporated by
  reference. See Sec.  91.6.


[[Page 335]]

               Appendix B to Subpart D of Part 91--Figures
[GRAPHIC] [TIFF OMITTED] TR04OC96.013


[[Page 336]]


[GRAPHIC] [TIFF OMITTED] TR04OC96.014


[[Page 337]]





               Subpart E--Gaseous Exhaust Test Procedures



Sec. 91.401  Scope; applicability.

    (a) This subpart describes the procedures to follow in order to 
perform exhaust emission tests on new marine gasoline-fueled spark-
ignition propulsion engines subject to the provisions of subpart A of 
this part 91. Provisions specific to raw gas sampling are in 
Secs. 91.414 through 91.419, provisions specific to constant volume 
sampling are in Secs. 91.420 through 91.426. All other sections in this 
subpart apply to both raw gas sampling and constant volume sampling 
unless indicated otherwise.
    (b) Requirements for emission test equipment and calibrating this 
equipment are found in subpart D of this part.



Sec. 91.402  Definitions.

    The definitions in Secs. 91.3, 91.102, and 91.302 apply to this 
subpart.



Sec. 91.403  Symbols and abbreviations.

    (a) The abbreviations in Sec. 91.5 apply to this subpart.
    (b) The symbols in Table 1 in appendix A to subpart D apply to this 
subpart.



Sec. 91.404  Test procedure overview.

    (a) The test consists of prescribed sequences of engine operating 
conditions to be conducted on an engine dynamometer or equivalent load 
and speed measurement device. The exhaust gases generated during engine 
operation are sampled either raw or dilute, and specific components are 
analyzed through the analytical system.
    (b) The tests are designed to determine the brake-specific emissions 
of hydrocarbons, carbon monoxide, and oxides of nitrogen. The test 
consists of one idle mode and four power modes with an exponential 
relationship between torque and speed which span the typical operating 
range of spark-ignition marine propulsion engines. These procedures 
require the determination of the concentration of each pollutant, fuel 
flow, and the power output during each mode. The measured values are 
weighted and used to calculate the grams of each pollutant emitted per 
brake kilowatt hour (g/kW-hr).
    (c)(1) When an engine is tested for exhaust emissions the complete 
engine is tested, with all emission control devices installed and 
functioning.
    (2) Additional accessories (for example, oil cooler, alternators, 
and so forth) may be installed, but such accessory loading will be 
considered parasitic in nature and observed power is used in the 
emission calculation.
    (d) All emission control systems installed on or incorporated in the 
application must be functioning during all procedures in this subpart. 
In cases of component malfunction or failure, no maintenance is allowed 
without prior approval from the Administrator in accordance with 
Sec. 91.118.



Sec. 91.405  Recorded information.

    (a) Record the information described in this section for each test 
where applicable.
    (b) Test data; general. (1) Engine identification number.
    (2) Engine emissions control system.
    (3) Test operator(s).
    (4) Number of hours of operation accumulated on the engine prior to 
beginning the warm-up portion of the test (to the nearest tenth hour).
    (5) Fuel identification.
    (6) For two-stroke engines, fuel/oil mixture ratio.
    (7) Date of most recent analytical assembly calibration.
    (8) All pertinent instrument information such as tuning, gain, 
serial numbers, detector number, and calibration curve numbers. As long 
as this information is traceable, it may be summarized by system number 
or analyzer identification numbers.
    (c) Test data; pre-test. (1) Date and time of day.
    (2) Test number.
    (3) Barometric pressure; as an option, barometric pressure can be 
measured as a modal measurement instead of or in addition to a pre- and 
post-test measurement.
    (4) Recorder chart or equivalent. Identify for each test segment 
zero traces for each range used, and span traces for each range used.
    (d) Test data; modal. (1) Recorder chart or equivalent. Identify for 
each

[[Page 338]]

test mode the emission concentration traces and the associated analyzer 
range(s).
    (2) Observed engine torque.
    (3) Observed engine rpm.
    (4) Engine intake air flow, if applicable.
    (5) Test cell temperature and humidity for each mode.
    (6) For raw gas testing; fuel flow for each mode. Fuel flow 
measurement is not required for dilute testing but is allowed. If the 
fuel flow measurement is a volume measurement system, record the fuel 
temperature in the measurement system for fuel density corrections to 
the mass flow rate. If the fuel temperature is within 3  deg.C of the 
calibration temperature, no density correction is required.
    (7) Engine intake temperature and humidity for each mode, if 
applicable.
    (8) Exhaust sample line temperature, if applicable.
    (e) Test data; post-test. (1) Recorder chart or equivalent. Identify 
the hang-up check.
    (2) Recorder chart or equivalent. Identify the zero traces for each 
range used and the span traces for each range used.
    (3) Total number of hours of operation accumulated on the engine (to 
the nearest tenth hour).
    (4) Barometric pressure, post-test segment.



Sec. 91.406  Engine parameters to be measured and recorded.

    Measure or calculate, then record, the engine parameters in Table 1 
in appendix A of this subpart.



Sec. 91.407  Engine inlet and exhaust systems.

    (a) The marine engine manufacturer is liable for emission compliance 
over the full range of restrictions that are specified by the 
manufacturer for that particular engine.
    (b) The air inlet filter system and exhaust muffler system 
combination used on the test engine must be the systems expected to 
yield the highest emission levels.



Sec. 91.408  Pre-test procedures.

    (a) Engine service accumulation and stabilization procedure. Use the 
service accumulation procedure determined by the manufacturer for 
exhaust emission stabilizing of an engine, consistent with good 
engineering practice (see Sec. 91.117).
    (1) The manufacturer determines, for each engine family, the number 
of hours at which the engine exhaust emission control system combination 
is stabilized for emission testing. However, this stabilization 
procedure may not exceed 12 hours. The manufacturer must maintain, and 
provide to the Administrator upon request, a record of the rationale 
used in making this determination. If the manufacturer can document 
that, at some time prior to the full 12 hour service accumulation 
period, the engine emissions are decreasing for the remainder of the 12 
hours, the service accumulation may be completed at that time. The 
manufacturer may elect to accumulate 12 hours on each test engine within 
an engine family without making this determination.
    (2) During service accumulation, the fuel and lubricants specified 
in Sec. 91.308 must be used.
    (3) Engine maintenance during service accumulation is allowed only 
in accordance with Sec. 91.117.
    (b) Engine pre-test preparation. (1) Drain and charge the fuel 
tank(s) with the specified test fuel (see Sec. 91.308) to 50 percent of 
the tank's nominal capacity. If an external fuel tank is used, the 
engine fuel inlet system pressure must be typical of what the engine 
will see in use.
    (2) Operate the engine on the dynamometer measuring the fuel 
consumption (fuel consumption required only for raw gas sampling method) 
and torque before and after the emission sampling equipment is 
installed, including the sample probe, using mode 1 from Table 2 in 
appendix A of this subpart. The emission sampling equipment may not 
significantly affect the operational characteristics of the engine 
(typically, the results should agree within five percent).
    (c) Analyzer pre-test procedures. (1) If necessary, warm up and 
stabilize the analyzer(s) before calibrations are performed.
    (2) Replace or clean the filter elements and then vacuum leak check 
the

[[Page 339]]

system per Sec. 91.324(a). If necessary, allow the heated sample line, 
filters, and pumps to reach operating temperature.
    (3) Perform the following system checks:
    (i) If necessary, check the sample-line temperature. Heated FID 
sample line temperature must be maintained between 110  deg.C and 230 
deg.C, a heated NOX sample line temperature must be 
maintained between 60  deg.C and 230  deg.C.
    (ii) Check that the system response time has been accounted for 
prior to sample collection data recording.
    (iii) A hang-up check is permitted.
    (4) Check analyzer zero and span before and after each test at a 
minimum. Further, check analyzer zero and span any time a range change 
is made or at the maximum demonstrated time span for stability for each 
analyzer used.
    (d) Check system flow rates and pressures and reset if necessary.



Sec. 91.409  Engine dynamometer test run.

    (a) Engine and dynamometer start-up.
    (1) Only adjustments in accordance with Sec. 91.118 may be made to 
the test engine prior to starting a test.
    (2) If necessary, warm up the dynamometer as recommended by the 
dynamometer manufacturer ore good engineering practice.
    (3) At the manufacturer's option, the engine can be run with the 
throttle in a fixed position or by using the engine's governor (if the 
engine is manufactured with a governor). In either case, the engine 
speed and load must meet the requirements specified in paragraph (b)(12) 
of this section.
    (b) Each test consists of the following:
    (1) Record the general test data as specified in Sec. 91.405.
    (2) Precondition the engine in the following manner;
    (i) Operate the engine at idle for 2 to 3 minutes;
    (ii) Operate the engine at a power greater than or equal to 50 
percent power at the rated speed for 5 to 7 minutes;
    (iii) Operate the engine at rated speed and maximum power for 25 to 
30 minutes;
    (iv) Option. For four-stroke engines, where appropriate, it is 
permitted to precondition the engine at rated speed and maximum power 
until the oil and water temperatures are stabilized. The temperatures 
are defined as stabilized if they are maintained within 2 percent of 
point for 2 minutes. The engine must be operated a minimum of 10 minutes 
for this option. This optional procedure may be substituted for step in 
paragraphs (b)(2)(iii) of this section;
    (v) Option. If the engine has been operating on service accumulation 
for a minimum of 40 minutes, the service accumulation may be substituted 
for steps in paragraphs (b)(2) (i) through (iii) of this section.
    (3) Record all pre-test data specified in Sec. 91.405(c).
    (4) Start the test cycle (see Sec. 91.410) within 10 minutes of the 
completion of the steps required by paragraph (b)(2) of this section.
    (5) During the first mode calculate the torque corresponding to 
71.6, 46.5, and 25.3 percent of the maximum observed torque for the 
rated speed (see Table 2 in appendix A of this subpart).
    (6) Once engine speed and load are set for a mode, run the engine 
for a sufficient period of time to achieve thermal stability. At the 
manufacturers option, determine and document the appropriate criterion 
for thermal stability for each engine family.
    (7) Record all modal data specified in Sec. 91.405(e) for a minimum 
time period of the last two minutes of each mode. Longer averaging 
periods are acceptable, but the data averaged must be from a continuous 
time period. The duration of time during which this data is recorded is 
referred to as the ``sampling period.'' The data collected during the 
sampling period is used for modal emission calculations.
    (8) Continuously record the analyzer's response to the exhaust gas 
during the sampling period.
    (9) Modes may be repeated.
    (10) If a delay of more than one hour occurs between the end of one 
mode and the beginning of another mode, the test is void and must be 
restarted as described at paragraph (b)(1) of this section.
    (11) The engine speed and load must be maintained within the 
requirements

[[Page 340]]

of Sec. 91.410 during the sampling period for each mode. If this 
requirement is not met, the mode is void and must be restarted.
    (12) If at any time during a mode, the test equipment malfunctions 
or the specifications in Sec. 91.410 can not be met, the test is void, 
and must be aborted. Corrective action should be taken and the test 
restarted.
    (13) Fuel flow and air flow during the idle condition may be 
determined just prior to or immediately following the dynamometer 
sequence, if longer times are required for accurate measurements. If the 
dilute sampling method (Constant Volume Sampling) is used, neither fuel 
flow nor air flow measurements are required.
    (c) Exhaust gas measurements. (1) Measure HC, CO, CO2, 
and NOX concentration in the exhaust sample.
    (2) Each analyzer range that may be used during a test segment must 
have the zero and span responses recorded prior to the start of the 
test. Only the range(s) used to measure the emissions during the test is 
required to have its zero and span recorded after the completion of the 
test. Depending on the stability of each individual analyzer, more 
frequent zero checks or spans between modes may be necessary.
    (3) It is permitted to change filter elements between test segments.
    (4) A leak check is permitted between modes.
    (5) A hang-up check is permitted between modes (see Sec. 91.413).
    (6) If, during the emission measurement portion of a mode, the value 
of the gauges downstream of the NDIR analyzer(s) G3 or G4 (See Figure 1 
in appendix B of subpart D of this part) differs by more than 
0.5 kPa, the mode is void.



Sec. 91.410  Engine test cycle.

    (a) The 5-mode cycle specified in Table 2 in appendix A to this 
subpart shall be followed in dynamometer operation tests of marine 
engines.
    (b) During each non-idle mode the specified speed and load shall be 
held to within 50 rpm or  2 percent of point, 
whichever is greater. During each idle mode the engine speed shall be 
held within 75 rpm or  5 percent of the 
manufacturers specified idle speed, whichever is greater. For direct 
drive products (no neutral gear), it is acceptable to have an accessory 
load on the engine during the idle mode provided that the engine speed 
is within  5 percent of the manufacturers specified idle 
speed and the accessory load is representative of in use operation.
    (c) If the operating conditions specified in paragraph (b) of this 
section for modes 2, 3, 4, and 5 cannot be maintained, the Administrator 
may authorize deviations from the specified load conditions. Such 
deviations shall not exceed 10 percent of the maximum torque at the test 
speed. The minimum deviations, above and below the specified load, 
necessary for stable operation shall be determined by the manufacturer 
and approved by the Administrator prior to the test run.
    (d) Do not include power generated during the idle mode (mode 5) in 
the calculation of emissions results.



Sec. 91.411  Post-test analyzer procedures.

    (a) Perform a hang-up check within 60 seconds of the completion of 
the last mode in the test. Use the following procedure:
    (1) Introduce a zero-grade gas or room air into the sample probe or 
valve V2 (see Figure 1 in appendix B of subpart D of this part) to check 
the ``hangup zero'' response. Simultaneously start a time measurement.
    (2) Select the lowest HC range used during the test.
    (3) Within four minutes of beginning the time measurement in 
paragraph (a)(1) of this section, the difference between the zero gas 
response and the hang-up zero response shall not be greater than 5.0 
percent of full scale or 10 ppmC whichever is greater.
    (b) Begin the analyzer span checks within six minutes after the 
completion of the last mode in the test. Record for each analyzer the 
zero and span response for each range used during the preceding test or 
test segment.
    (c) If during the test, the filter element(s) were replaced or 
cleaned, a vacuum check must be performed per Sec. 91.324(a) immediately 
after the span checks. If the vacuum side leak check does not meet the 
requirements of Sec. 91.324(a) the test is void.

[[Page 341]]

    (d) Read and record the post-test data specified in Sec. 91.405(e).
    (e) For a valid test, the analyzer drift between the before-segment 
and after-segment span checks for each analyzer must meet the following 
requirements:
    (1) The span drift (defined as the change in the difference between 
the zero response and the span response) must not exceed two percent of 
full-scale chart deflection for each range used.
    (2) The zero response drift must not exceed two percent of full-
scale chart deflection for each range used above 155 ppm (or ppm C), or 
three percent of full-scale chart deflection for each range below 155 
ppm (or ppm C).



Sec. 91.412  Data logging.

    (a) A computer or any other automatic data collection (ADC) 
device(s) may be used as long as the system meets the requirements of 
this subpart.
    (b) Determine from the data collection records the analyzer 
responses corresponding to the end of each mode.
    (c) Record data at a minimum of one Hz (one time per second).
    (d) Determine the final value for power by averaging the 
individually calculated power points for each value of speed and torque 
recorded during the sampling period. As an alternative, the final value 
for power can be calculated from the average values for speed and 
torque, collected during the sampling period.
    (e) Determine the final value for CO2, CO, HC, and 
NOX concentrations by averaging the concentration of each 
point taken during the sample period for each mode.



Sec. 91.413  Exhaust sample procedure--gaseous components.

    (a) Automatic data collection equipment requirements. The analyzer 
response may be read by automatic data collection (ADC) equipment such 
as computers, data loggers, etc. If ADC equipment is used the following 
is required:
    (1) For dilute grab (``bag'') analysis, the analyzer response must 
be stable at greater than 99 percent of the final reading for the dilute 
exhaust sample bag. A single value representing the average chart 
deflection over a 10-second stabilized period shall be stored.
    (2) For continuous analysis systems, a single value representing the 
average integrated concentration over a cycle shall be stored. 
Alternatively, the ADC may store the individual instantaneous values 
collected during the measurement period.
    (3) The chart deflections or average integrated concentrations 
required in paragraphs (a)(1) and (a)(2) of this section may be stored 
on long-term computer storage devices such as computer tapes, storage 
discs, punch cards, and so forth, or they may be printed in a listing 
for storage. In either case a chart recorder is not required and records 
from a chart recorder, if they exist, need not be stored.
    (4) If ADC equipment is used to interpret analyzer values, the ADC 
equipment is subject to the calibration specifications of the analyzer 
as if the ADC equipment is part of analyzer system.
    (b) Data records from any one or a combination of analyzers may be 
stored as chart recorder records.
    (c) Grab sample analysis. For dilute grab sample analysis perform 
the following sequence:
    (1) Calibrate analyzers using the procedure described in 
Sec. 91.326.
    (2) Record the most recent zero and span response as the pre-
analysis value.
    (3) Measure HC, CO, CO2, and NOX background 
concentrations in the sample bag(s) and background sample bag(s) using 
the same flow rates and pressures.
    (4) Good engineering practice dictates that analyzers used for 
continuous analysis should be operated such that the measured 
concentration falls between 15 percent and 100 percent of full scale.
    (5) A post-analysis zero and span check of each range must be 
performed and the values recorded. The number of events that may occur 
between the pre and post checks is not specified. However, the 
difference between pre-analysis zero and span values (recorded in 
paragraph (c)(5) or (c)(6) of this section) versus those recorded for 
the post-analysis check may not exceed the zero drift limit or the span 
drift limit

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of 2 percent of full scale chart deflection for any range used. 
Otherwise the test is void.
    (d) Continuous sample analysis. For continuous sample analysis, 
perform the following sequence:
    (1) Calibrate analyzers using the procedures described in 
Sec. 91.326.
    (2) Leak check portions of the sampling system that operate at 
negative gauge pressures when sampling, and allow heated sample lines, 
filters, pumps, and so forth to stabilize at operating temperature.
    (3) Option: Determine the hang-up for the FID or HFID sampling 
system:
    (i) Zero the analyzer using zero air introduced at the analyzer 
port.
    (ii) Flow zero air through the overflow sampling system. Check the 
analyzer response.
    (iii) If the overflow zero response exceeds the analyzer zero 
response by two percent or more of the FID or HFID full-scale 
deflection, hang-up is indicated and corrective action must be taken 
(see paragraph (e) of this section).
    (iv) The complete system hang-up check specified in paragraph (f) of 
this section is recommended as a periodic check.
    (4) Obtain a stable zero reading.
    (5) Good engineering practice dictates that analyzers used for 
continuous analysis should be operated such that the measured 
concentration falls between 15 percent and 100 percent of full scale.
    (6) Record the most recent zero and span response as the pre-
analysis values.
    (7) Collect background HC, CO, CO2, and NOX in 
a sample bag (for dilute exhaust sampling only, see Sec. 91.422).
    (8) Perform a post-analysis zero and span check for each range used 
at the conditions specified in paragraph (d)(1) of this section. Record 
these responses as the post-analysis values.
    (9) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed three 
percent for HC, or two percent for NOX, CO, and 
CO2, of full scale chart deflection, or the test is void. (If 
the HC drift is greater than three percent of full-scale chart 
deflection, hydrocarbon hang-up is likely.)
    (10) Determine background levels of NOX, CO, or 
CO2 (for dilute exhaust sampling only) by the grab (``bag'') 
technique outlined in paragraph (c) of this section.
    (e) Hydrocarbon hang-up. If HC hang-up is indicated, the following 
sequence may be performed:
    (1) Fill a clean sample bag with background air.
    (2) Zero and span the HFID at the analyzer ports.
    (3) Analyze the background air sample bag through the analyzer 
ports.
    (4) Analyze the background air through the entire sample probe 
system.
    (5) If the difference between the readings obtained is two ppm or 
more, clean the sample probe and the sample line.
    (6) Reassemble the sample system, heat to specified temperature, and 
repeat the procedure in paragraphs (e)(1) through (e)(5) of this 
section.



Sec. 91.414  Raw gaseous exhaust sampling and analytical system description.

    (a) Schematic drawing. An example of a sampling and analytical 
system which may be used for testing under this subpart is shown in 
Figure 4 in appendix B of this subpart. All components or parts of 
components that are wetted by the sample or corrosive calibration gases 
shall be either chemically cleaned stainless steel or inert material 
(e.g., polytetrafluoroethylene resin). The use of ``gauge savers'' or 
``protectors'' with nonreactive diaphragms to reduce dead volumes is 
permitted.
    (b) Sample probe. (1) The sample probe shall be a straight, closed 
end, stainless steel, multi-hole probe. The inside diameter shall not be 
greater than the inside diameter of the sample line + 0.03 cm. The wall 
thickness of the probe shall not be greater than 0.10 cm. The fitting 
that attaches the probe to the exhaust pipe shall be as small as 
practical in order to minimize heat loss from the probe.
    (2) The probe shall have a minimum of three holes. The spacing of 
the radial planes for each hole in the probe must be such that they 
cover approximately equal cross-sectional areas of

[[Page 343]]

the exhaust duct. The angular spacing of the holes must be approximately 
equal. The angular spacing of any two holes in one plane may not be 
180 deg.  20 deg. (i.e., section C-C of Figure 1 in appendix 
B of this subpart). The holes should be sized such that each has 
approximately the same flow. If only three holes are used, they may not 
all be in the same radial plane.
    (3) The exhaust gas probe must be located in a position which yields 
a well mixed, homogeneous sample of the engine exhaust. The probe must 
extend radially through the exhaust duct prior to where the exhaust 
mixes with the cooling water. The cooling water flow may be rerouted if 
necessary to obtain an emission sample provided that the modification 
has no significant effect on the performance or emissions 
characteristics of the engine. The probe must pass through the 
approximate center and must extend across at least 80 percent of the 
diameter of the duct. The exact position of the probe may vary from 
engine family to engine family.
    (c) Sample transfer line. (1) The maximum inside diameter of the 
sample line shall not exceed 1.32 cm.
    (2) If valve V2 in Figure 1 of appendix B of Subpart D of this part 
is used, the sample probe must connect directly to valve V2 in Figure 1 
of appendix B of subpart D of this part. The location of optional valve 
V2 may not be greater than 1.22 m from the exhaust duct.
    (3) The location of optional valve V16 in Figure 1 of appendix B of 
subpart D of this part may not be greater than 61 cm from the sample 
pump. The leakage rate for this section on the pressure side of the 
sample pump may not exceed the leakage rate specification for the vacuum 
side of the pump.
    (d) Venting. All vents including analyzer vents, bypass flow, and 
pressure relief vents of regulators should be vented in such a manner to 
avoid endangering personnel in the immediate area.
    (e) Any variation from the specifications in this subpart including 
performance specifications and emission detection methods may be used 
only with prior approval by the Administrator.
    (f) Additional components, such as instruments, valves, solenoids, 
pumps, switches, and so forth, may be employed to provide additional 
information and coordinate the functions of the component systems.
    (g) The following requirements must be incorporated in each system 
used for raw testing under this subpart.
    (1) Take the sample for all components with one sample probe and 
split it internally to the different analyzers.
    (2) Heat the sample transport system from the engine exhaust pipe to 
the HC analyzer for the raw gas sampling method as indicated in Figure 1 
in appendix B of subpart D of this part. The NOX analyzer for 
the raw gas sampling method may be heated as indicated in Figure 1 in 
appendix B of subpart D of this part. The HC analyzer and the 
NOX analyzer for the dilute sampling method may be heated as 
indicated in Figure 1 in appendix B of subpart D of this part.



Sec. 91.415  Raw gaseous sampling procedures.

    Fit all heated sampling lines with a heated filter to extract solid 
particles from the flow of gas required for analysis. The sample line 
for HC measurement must be heated. The sample line for CO, 
CO2, and NOX may be heated or unheated.



Sec. 91.416  Intake air flow measurement specifications.

    (a) If used, the engine intake air flow measurement method used must 
have a range large enough to accurately measure the air flow over the 
engine operating range during the test. Overall measurement accuracy 
must be  2 percent of full-scale value of the measurement 
device for all modes except the idle mode. For the idle mode, the 
measurement accuracy shall be  5 percent or less 
of the full-scale value. The Administrator must be advised of the method 
used prior to testing.
    (b) When an engine system incorporates devices that affect the air 
flow measurement (such as air bleeds, air injection, pulsed air, and so 
forth) that result in understated exhaust emission results, make 
corrections to the exhaust emission results to account for such effects.

[[Page 344]]



Sec. 91.417  Fuel flow measurement specifications.

    (a) Fuel flow measurement is required only for raw testing but is 
allowed for dilute testing.
    (b) The fuel flow rate measurement instrument must have a minimum 
accuracy of  2 percent of full-scale flow rate for each 
measurement range used.



Sec. 91.418  Data evaluation for gaseous emissions.

    For the evaluation of the gaseous emissions recording, record the 
last two minutes of each mode and determine the average values for HC, 
CO, CO2, and NOX during each mode from the average 
concentration readings determined from the corresponding calibration 
data.



Sec. 91.419  Raw emission sampling calculations.

    (a) Derive the final test results through the steps described in 
this section.
    (b) Air and fuel flow method. If both air and fuel flow mass rates 
are measured, the following equations are used to determine the weighted 
emission values for the test engine:
[GRAPHIC] [TIFF OMITTED] TR04OC96.015

Where:
WHC = Mass rate of HC in exhaust [g/hr],
GAIRD = Intake air mass flow rate on dry basis [g/hr],
GFUEL = Fuel mass flow rate [g/hr],
MHCexh = Molecular weight of hydrocarbons in the exhaust; see 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.016

Where:
[alpha]=Hydrocarbon/carbon atomic ratio of the fuel.
Mexh=Molecular weight of the total exhaust; see the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR08NO02.001

Where:
WHC = HC volume concentration in exhaust, ppmC wet
WCO = CO percent concentration in the exhaust, wet
DCO = CO percent concentration in the exhaust, dry
WCO2 = CO2 percent concentration in the exhaust, 
wet

[[Page 345]]

DCO2 = CO2 percent concentration in the exhaust, 
dry
WNOX = NO volume concentration in exhaust, ppm wet
WH2 = H2 percent concentration in exhaust, wet
K = correction factor to be used when converting dry measurements to a 
wet basis. Therefore, wet concentration = dry concentration x K, where K 
is:
[GRAPHIC] [TIFF OMITTED] TR04OC96.018

DH2 = H2 percent concentration in exhaust, dry, 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.019

WCO = Mass rate of CO in exhaust, [g/hr]
MCO = Molecular weight of CO = 28.01
WNOx = Mass rate of NOX in exhaust, [g/hr]
MNO2 = Molecular weight of NO2 = 46.01
KH = Factor for correcting the effects of humidity on 
NO2 formation for four-stroke gasoline engines; see the 
equation below:
[GRAPHIC] [TIFF OMITTED] TR04OC96.020

Where:
H = specific humidity of the intake air in grams of moisture per 
kilogram of dry air.
    For two-stroke gasoline engines, KH should be set to 1.
    (c) Fuel flow method. The following equations are to be used when 
fuel flow is selected as the basis for mass emission calculations using 
the raw gas method.
[GRAPHIC] [TIFF OMITTED] TR04OC96.021

Where:
WHC = Mass rate of HC in exhaust, [g/hr]
MF = Molecular weight of test fuel; see following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.022

GFUEL = Fuel mass flow rate, [g/hr]
TC = Total carbon; see following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.023

WHC = HC volume concentration in exhaust, ppmC wet
WCO = CO percent concentration in the exhaust, wet
DCO = CO percent concentration in the exhaust, dry
WCO2 = CO2 percent concentration in the exhaust, 
wet
DCO2 = CO2 percent concentration in the exhaust, 
dry
WNOX = NO volume concentration in exhaust, ppm wet
WH2 = H2 percent concentration in exhaust, wet
K = correction factor to be used when converting dry measurements to a 
wet basis. Therefore, wet concentration = dry concentration x K, where K 
is:

[[Page 346]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.024

DH2 = H2 percent concentration in exhaust, dry, 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.025

WCO = Mass rate of CO in exhaust, [g/hr]
MCO = Molecular weight of CO = 28.01
WNOx = Mass rate of NOX in exhaust, [g/hr]
MNO2 = Molecular weight of NO2 = 46.01
KH = Factor for correcting the effects of humidity on 
NO2 formation for four-stroke gasoline engines; see the 
equation below:
[GRAPHIC] [TIFF OMITTED] TR04OC96.026

Where:
H = specific humidity of the intake air in grams of moisture per 
kilogram of dry air.
    For two-stroke gasoline engines, KH should be set to 1.
    (d) The final reported emission test results must be computed by 
using the following formula for each individual gas component:
[GRAPHIC] [TIFF OMITTED] TR04OC96.027

Where:
Ywm = Weighted mass emission level (HC, CO, NOX) 
for a test [g/kW-hr].
Wi = Average mass flow rate (WHC, WCO, 
WNOx) of an emission from the test engine during mode i, [g/
hr].
fi = Weighting factors for each mode according to 
Sec. 91.410(a)
Pi = Average power measured during mode i, [kW], calculated 
according to the formula given in Sec. 91.423(b). Power for the idle 
mode shall always be zero for this calculation.
    (e) The final reported weighted brake-specific fuel consumption 
(WBSFC) shall be computed by use of the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.028

Where:
WBSFC = Weighted brake-specific fuel consumption in grams of fuel per 
kilowatt-hour (g/kW-hr).
Fi = Fuel mass flow rate of the engine during mode i, [g/hr].
fi = Weighting factors for each mode according to 
Sec. 91.410(a)
Pi = Average power measured during mode i, [kW], calculated 
according to the formula given in Sec. 91.423(b). Power for the idle 
mode shall always be zero for this calculation.

[61 FR 52102, Oct. 4, 1996, as amended at 67 FR 68340, Nov. 8, 2002]



Sec. 91.420  CVS concept of exhaust gas sampling system.

    (a) A dilute exhaust sampling system is designed to directly measure 
the true mass of emissions in engine exhaust without the necessity of 
measuring either fuel flow or intake air flow. This is accomplished by 
diluting the exhaust produced by an engine under test with ambient 
background air and measuring the total diluted exhaust flow rate and the 
concentration of emissions within the dilute flow. Total mass flow of an 
emission is then easily calculated.
    (b) A constant volume sampler (CVS) is typically used to control the 
total amount of dilute flow through the system. As the name implies, a 
CVS restricts flow to a known value dependent only on the dilute exhaust 
temperature and pressure.
    (c) For the testing described in this subpart, a CVS must consist 
of: A mixing tunnel into which the engine exhaust and dilutant 
(background) air are dumped; a dilute exhaust flow metering system; a 
dilute exhaust sample port; a background sample port; a dilute exhaust 
sampling system; and a background sampling system.
    (1) Mixing tunnel. The mixing tunnel must be constructed such that 
complete mixing of the engine exhaust and background air is assured 
prior to the sampling probe.
    (2) Exhaust flow metering system. A dilute exhaust flow metering 
system must be used to control the total flow rate of the dilute engine 
exhaust as described in Sec. 91.421.
    (3) Exhaust sample port. A dilute exhaust sample port must be 
located in

[[Page 347]]

or downstream of the mixing tunnel at a point where complete mixing of 
the engine exhaust and background air is assured.
    (4) Background sample port. A dilute background sample port must be 
located in the stream of background air before it is mixed with the 
engine exhaust. The background probe must draw a representative sample 
of the background air during each sampling mode.
    (5) Exhaust sampling system. The dilute exhaust sampling system 
controls the flow of samples from the mixing tunnel to the analyzer 
system. This could be either a continuous sampling system or grab (bag) 
sampling system. If a critical flow venturi (CFV) is used on the dilute 
exhaust sample probe, this system must assure that the sample CFV is in 
choke flow during testing. If no CFV is used, this system must assure a 
constant volumetric flow rate through the dilute exhaust sample probe or 
must incorporate electronic flow compensation.
    (6) Background sampling system. The background sampling system 
controls the flow of samples from the background air supply to the 
analyzer system. This could be either a continuous sampling system or 
grab (bag) sampling system. This system must assure a constant 
volumetric flow rate through the background sample probe.



Sec. 91.421  Dilute gaseous exhaust sampling and analytical system description.

    (a) General. The exhaust gas sampling system described in this 
section is designed to measure the true mass emissions of engine 
exhaust. This system utilizes the Constant volume Sampling (CVS) concept 
(described in Sec. 91.420) of measuring mass emissions of HC, 
NOX, CO, and CO2. Grab sampling for individual 
modes is an acceptable method of dilute testing for all constituents, 
HC, NOX, CO, and CO2. Continuous dilute sampling 
is not required for any of the exhaust constituents, but is allowable 
for all. Heated sampling is not required for any of the constituents, 
but is allowable for HC and NOX. The mass of gaseous 
emissions is determined from the sample concentration and total flow 
over the test period. As an option, the measurement of total fuel mass 
consumed over a cycle may be substituted for the exhaust measurement of 
CO2. General requirements are as follows:
    (1) This sampling system requires the use of a Positive Displacement 
Pump--Constant Volume Sampler (PDP-CVS) system with a heat exchanger, or 
a Critical Flow Venturi--Constant Volume Sampler (CFV-CVS) system with 
CVS sample probes and/or a heat exchanger or electronic flow 
compensation. Figure 2 in appendix B of this subpart is a schematic 
drawing of the PDP-CVS system. Figure 3 in appendix B of this subpart is 
a schematic drawing of the CFV-CVS system.
    (2) The HC analytical system requires:
    (i) Grab sampling (see Sec. 91.420, and Figure 2 or Figure 3 in 
appendix B of this subpart) and analytical capabilities (see 
Sec. 91.423, and Figure 4 in appendix B of this subpart), or
    (ii) Continuously integrated measurement of diluted HC meeting the 
minimum requirements and technical specifications contained in paragraph 
(b)(2) of this section.
    (iii) The dilute HC analytical system for marine spark-ignition 
engines does not require a heated flame ionization detector (HFID).
    (iv) If used, the HFID sample must be taken directly from the 
diluted exhaust stream through a heated probe and integrated 
continuously over the test cycle.
    (v) The heated probe must be located in the sampling system far 
enough downstream of the mixing area to ensure a uniform sample 
distribution across the CVS duct at the sampling zone.
    (3) The CO and CO2 analytical system requires:
    (i) Grab sampling (see Sec. 91.420, and Figure 2 or Figure 3 in 
appendix B of this subpart) and analytical capabilities (see 
Sec. 91.423, and Figure 4 in appendix B of this subpart), or
    (ii) Continuously integrated measurement of diluted CO and 
CO2 meeting the minimum requirements and technical 
specifications contained in paragraph (b)(4) of this section.
    (4) The NOX analytical system requires:

[[Page 348]]

    (i) Grab sampling (see Sec. 91.420, and Figure 2 or Figure 3 in 
appendix B of this subpart) and analytical capabilities (see 
Sec. 91.423, and Figure 4 in appendix B of this subpart), or
    (ii) A continuously integrated measurement of diluted NOX 
meeting the minimum requirements and technical specifications contained 
in paragraph (b)(4) of this section.
    (5) Since various configurations can produce equivalent results, 
exact conformance with these drawings is not required. Additional 
components such as instruments, valves, solenoids, pumps, and switches 
may be used to provide additional information and coordinate the 
functions of the component systems. Other components, such as snubbers, 
which are not needed to maintain accuracy on some systems, may be 
excluded if their exclusion is based upon good engineering judgment.
    (6) Other sampling and/or analytical systems may be used if shown to 
yield equivalent results and if approved in advance by the 
Administrator.
    (b) Component description. The components necessary for exhaust 
sampling must meet the following requirements:
    (1) Exhaust dilution system. The PDP-CVS must conform to all of the 
requirements listed for the exhaust gas PDP-CVS in Sec. 91.420 of this 
chapter. The CFV-CVS must conform to all of the requirements listed for 
the exhaust gas CFV-CVS in Sec. 91.420. In addition, the CVS must 
conform to the following requirements:
    (i) The flow capacity of the CVS must be sufficient to maintain the 
diluted exhaust stream in the dilution system at a temperature of 190 
deg.C or less at the sampling zone for hydrocarbon measurement and as 
required to prevent condensation at any point in the dilution system. 
Gaseous emission samples may be taken directly from this sampling point.
    (ii) For the CFV-CVS, either a heat exchanger or electronic flow 
compensation is required (see Figure 3 in appendix B of this subpart).
    (iii) For the CFV-CVS when a heat exchanger is used, the gas mixture 
temperature, measured at a point immediately ahead of the critical flow 
venturi, must be within 11  deg.C of the average operating 
temperature observed during the test with the simultaneous requirement 
that condensation does not occur. The temperature measuring system 
(sensors and readout) must have an accuracy and precision of 
2  deg.C. For systems utilizing a flow compensator to 
maintain proportional flow, the requirement for maintaining constant 
temperature is not necessary.
    (2) Continuous HC measurement system. (i) The continuous HC sample 
system (as shown in Figure 2 or 3 in appendix B of this subpart) uses an 
``overflow'' zero and span system. In this type of system, excess zero 
or span gas spills out of the probe when zero and span checks of the 
analyzer are made.
    (ii) No other analyzers may draw a sample from the continuous HC 
sample probe, line, or system, unless a common sample pump is used for 
all analyzers and the sample line system design reflects good 
engineering practice.
    (iii) The overflow gas flow rates into the sample line must be at 
least 105 percent of the sample system flow rate.
    (iv) The overflow gases must enter the sample line as close as 
practical to the outside surface of the CVS duct or dilution system.
    (v) The continuous HC sampling system consists of a probe (which for 
a HFID analyzer must raise the sample to the specified temperature) and, 
where used, a sample transfer system (which for a HFID must maintain the 
specified temperature). The HFID continuous hydrocarbon sampling system 
(exclusive of the probe) must:
    (A) Maintain a wall temperature of 190  11  deg.C as 
measured at every separately controlled heated component (that is, 
filters, heated line sections), using permanent thermocouples located at 
each of the separate components.
    (B) Have a wall temperature of 190  11  deg.C over its 
entire length. The temperature of the system is demonstrated by 
profiling the thermal characteristics of the system where possible at 
initial installation and after any major maintenance performed on the 
system. The profiling is to be accomplished using the insertion 
thermocouple probing technique. The system temperature

[[Page 349]]

must be monitored continuously during testing at the locations and 
temperature described in Sec. 91.421(b)(2).
    (C) Maintain a gas temperature of 190  11  deg.C 
immediately before the heated filter and HFID. Determine these gas 
temperatures by a temperature sensor located immediately upstream of 
each component.
    (vi) The continuous hydrocarbon sampling probe:
    (A) Is defined as the first 25.4 to 76.2 cm of the continuous 
hydrocarbon sampling system.
    (B) Has a 0.483 cm minimum inside diameter.
    (C) Is installed in the dilution system at a point where the 
dilution air and exhaust are well mixed and provide a homogenous 
mixture.
    (D) Is sufficiently distant (radially) from other probes and the 
system wall so as to be free from the influence of any wakes or eddies.
    (E) For a continuous HFID sample probe, the probe must increase the 
gas stream temperature to 190  11  deg.C at the exit of the 
probe. Demonstrate the ability of the probe to accomplish this using the 
insertion thermocouple technique at initial installation and after any 
major maintenance. Demonstrate compliance with the temperature 
specification by continuously recording during each test the temperature 
of either the gas stream or the wall of the sample probe at its 
terminus.
    (vii) The response time of the continuous measurement system must be 
taken into account when logging test data.
    (3) Sample mixing. (i) configure the dilution system to ensure a 
well mixed, homogeneous sample prior to the sampling probe(s).
    (ii) Make the temperature of the diluted exhaust stream inside the 
dilution system sufficient to prevent water condensation.
    (iii) Direct the engine exhaust downstream at the point where it is 
introduced into the dilution system.
    (4) Continuously integrated NOX, CO, and CO2 
measurement systems. (i) Sample probe requirements:
    (A) The sample probe for continuously integrated NOX, CO, 
and CO2 must be in the same plane as the continuous HC probe, 
but sufficiently distant (radially) from other probes and the tunnel 
wall so as to be free from the influences of any wakes or eddies.
    (B) The sample probe for continuously integrated NOX, CO, 
and CO2 must be heated and insulated over the entire length, 
to prevent water condensation, to a minimum temperature of 55  deg.C. 
Sample gas temperature immediately before the first filter in the system 
must be at least 55  deg.C.
    (ii) Conform to the continuous NOX, CO, or CO2 
sampling and analysis system to the specifications of part 86, subpart D 
of this chapter with the following exceptions and revisions:
    (A) Heat the system components requiring heating only to prevent 
water condensation, the minimum component temperature is 55  deg.C.
    (B) Coordinate analysis system response time with CVS flow 
fluctuations and sampling time/test cycle offsets, if necessary.
    (C) Use only analytical gases conforming to the specifications of 
Sec. 91.312 for calibration, zero and span checks.
    (D) Use a calibration curve conforming to Sec. 91.321 for CO and 
CO2 and Sec. 91.318 for NOX for any range on a 
linear analyzer below 155 ppm.
    (iii) Convert the chart deflections or voltage output of analyzers 
with non-linear calibration curves to concentration values by the 
calibration curve(s) specified in Sec. 91.321 before flow correction (if 
used) and subsequent integration takes place.



Sec. 91.423  Exhaust gas analytical system; CVS grab sample.

    (a) Schematic drawings. Figure 4 in appendix B of this subpart is a 
schematic drawing of the exhaust gas analytical system used for 
analyzing CVS grab ``bag'' samples from spark-ignition engines. Since 
various configurations can produce accurate results, exact conformance 
with the drawing is not required. Additional components such as 
instruments, valves, solenoids, pumps and switches may be used to 
provide additional information and coordinate the functions of the 
component systems. Other components such as snubbers, which are not 
needed to maintain accuracy in some systems, may be excluded if their 
exclusion is based on good engineering judgement.

[[Page 350]]

    (b) Major component description. The analytical system, Figure 4 in 
Appendix B of this subpart, consists of a flame ionization detector 
(FID) or a heated flame ionization detector (HFID) for the measurement 
of hydrocarbons, nondispersive infrared analyzers (NDIR) for the 
measurement of carbon monoxide and carbon dioxide, and a 
chemiluminescence detector (CLD) (or heated CLD (HCLD)) for the 
measurement of oxides of nitrogen. The exhaust gas analytical system 
shall conform to the following requirements:
    (1) The CLD (or HCLD) requires that the nitrogen dioxide present in 
the sample be converted to nitric oxide before analysis. Other types of 
analyzers may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.
    (2) If CO instruments are used which are essentially free of 
CO2 and water vapor interference, the use of the conditioning 
column may be deleted. (See Secs. 91.317 and 91.320.)
    (3) A CO instrument will be considered to be essentially free of 
CO2 and water vapor interference if its response to a mixture 
of three percent CO2 in N2, which has been bubbled 
through water at room temperature, produces an equivalent CO response, 
as measured on the most sensitive CO range, which is less than one 
percent of full scale CO concentration on ranges above 300 ppm full 
scale or less than 3 ppm on ranges below 300 ppm full scale. (See 
Sec. 91.317.)
    (c) Alternate analytical systems. Analysis systems meeting the 
specifications and requirements of this subpart for dilute sampling may 
be used upon approval of the Administrator.
    (d) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.



Sec. 91.424  Dilute sampling procedure--CVS calibration.

    (a) The CVS is calibrated using an accurate flowmeter and restrictor 
valve. (1) The flowmeter calibration shall be traceable to the National 
Institute for Standards and Testing (NIST), and will serve as the 
reference value (NIST ``true'' value) for the CVS calibration.)
    Note: In no case should an upstream screen or other restriction 
which can affect the flow be used ahead of the flowmeter unless 
calibrated throughout the flow range with such a device.)
    (2) The CVS calibration procedures are designed for use of a 
``metering venturi'' type flowmeter. Large radius or American Society of 
Mechanical Engineers (ASME) flow nozzles are considered equivalent if 
traceable to NIST measurements. Other measurement systems may be used if 
shown to be equivalent under the test conditions in this section and 
traceable to NIST measurements.
    (3) Measurements of the various flowmeter parameters are recorded 
and related to flow through the CVS.
    (4) Procedures used by EPA for both PDP-CVS and CFV-CVS are outlined 
below. Other procedures yielding equivalent results may be used if 
approved in advance by the Administrator.
    (b) After the calibration curve has been obtained, verification of 
the entire system may be performed by injecting a known mass of gas into 
the system and comparing the mass indicated by the system to the true 
mass injected. An indicated error does not necessarily mean that the 
calibration is wrong, since other factors can influence the accuracy of 
the system (e.g., analyzer calibration, leaks, or HC hangup). A 
verification procedure is found in paragraph (e) of this section.
    (c) PDP-CVS calibration. (1) The following calibration procedure 
outlines the equipment, the test configuration, and the various 
parameters which must be measured to establish the flow rate of the CVS 
pump.
    (i) All the parameters related to the pump are simultaneously 
measured with the parameters related to a flowmeter which is connected 
in series with the pump.
    (ii) The calculated flow rate, in cm3/s, (at pump inlet 
absolute pressure and temperature) can then be plotted versus a 
correlation function which is the value of a specific combination of 
pump parameters.
    (iii) The linear equation which relates the pump flow and the 
correlation function is then determined.
    (iv) In the event that a CVS has a multiple speed drive, a 
calibration for each range used must be performed.

[[Page 351]]

    (2) This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Two conditions must be maintained to assure the 
accuracy and integrity of the calibration curve:
    (i) The temperature stability must be maintained during calibration. 
(Flowmeters are sensitive to inlet temperature oscillations; this can 
cause the data points to be scattered. Gradual changes in temperature 
are acceptable as long as they occur over a period of several minutes.)
    (ii) All connections and ducting between the flowmeter and the CVS 
pump must be absolutely void of leakage.
    (3) During an exhaust emission test the measurement of these same 
pump parameters enables the user to calculate the flow rate from the 
calibration equation.
    (4) Connect a system as shown in Figure 5 in appendix B of this 
subpart. Although particular types of equipment are shown, other 
configurations that yield equivalent results may be used if approved in 
advance by the Administrator. For the system indicated, the following 
measurements and accuracies are required:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
                                                                                              Sensor-readout
              Parameter                         Symbol                   Units                  tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)......  PB.....................  kPa....................   0.34 kPa
Ambient temperature..................  TEI....................    deg.C................   0.28
                                                                                          deg.C
Air temperature into metering venturi  TEI....................    deg.C................   1.11
                                                                                          deg.C
Pressure drop between the inlet and    PED....................  kPa....................   0.012 kPa
 throat of metering venturi.
Air flow.............................  QS.....................  m3/min.................   0.5
                                                                                          percent of NIST value
Air temperature at CVS pump inlet....  PTI....................    deg.C................   1.11
                                                                                          deg.C
Pressure depression at CVS pump inlet  PPI....................  kPa....................   0.055 kPa
Pressure head at CVS pump outlet.....  PPO....................  kPa....................   0.055 kPa
Air temperature at CVS pump outlet     PTO....................    deg.C................   1.11  deg.C
 (optional).
Pump revolutions during test period..  N......................  Revs...................   1 Rev.
Elapsed time for test period.........  t......................  s......................   0.5 s.
----------------------------------------------------------------------------------------------------------------

    (5) After the system has been connected as shown in Figure 5 of 
appendix B of this subpart, set the variable restrictor in the wide open 
position and run the CVS pump for 20 minutes. Record the calibration 
data.
    (6) Reset the restrictor valve to a more restricted condition in an 
increment of pump inlet depression that will yield a minimum of six data 
points for the total calibration. Allow the system to stabilize for 3 
minutes and repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point is 
calculated in standard cubic feet per minute 20  deg.C, 101.3 kPa from 
the flowmeter data using the manufacturer's prescribed method.
    (ii) The air flow rate is then converted to pump flow, 
Vo, in cubic meter per revolution at absolute pump inlet 
temperature and pressure:
[GRAPHIC] [TIFF OMITTED] TR04OC96.029

Where:
VO=Pump flow, m3/rev at TP, 
PP,
QS=Meter air flow rate in standard cubic meters per minute, 
standard conditions are 20  deg.C, 101.3 kPa.
n=Pump speed in revolutions per minute.
Tp=Pump inlet temperature in Kelvin,=PTI+273 
[ deg.K].
PP=Absolute pump inlet pressure, kPa.
=PP-PPI
Where:
PP=barometric pressure, kPa.
PPI=Pump inlet depression, kPa.

    (iii) The correlation function at each test point is then calculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR04OC96.030

Where:

[[Page 352]]

XO=correlation function.
[Delta]p = The pressure differential from pump inlet to pump 
outlet, kPa.
=PE-PP.
PE=Absolute pump outlet pressure, [kPa]
=PB+PPO
Where:
PPO=Pressure head at pump outlet, kPa (inches fluid).

    (iv) A linear least squares fit is performed to generate the 
calibration equation which has the form:

VO = DO - M(XO)

DO and M are the intercept and slope constants, respectively, 
describing the regression line.

    (8) A CVS system that has multiple speeds should be calibrated on 
each speed used. The calibration curves generated for the ranges will be 
approximately parallel and the intercept values, DO, will increase as 
the pump flow range decreases.
    (9) If the calibration has been performed carefully, the calculated 
values from the equation will be within  0.50 percent of the 
measured value of VO. Values of M will vary from one pump to 
another, but values of DO for pumps of the same make, model 
and range should agree within  three percent of each other. 
Calibrations should be performed at pump start-up and after major 
maintenance to assure the stability of the pump slip rate. Analysis of 
mass injection data will also reflect pump slip stability.
    (d) CFV-CVS calibration. (1) Calibration of the CFV is based upon 
the flow equation for a critical venturi.
    (i) Gas flow is a function of inlet pressure and temperature:
    [GRAPHIC] [TIFF OMITTED] TR04OC96.031
    
QS=flow rate [m3/min.].
KV=calibration coefficient.
P=absolute pressure [kPa].
TK=absolute temperature [ deg.K].

    (ii) The calibration procedure described in paragraph (d)(3) of this 
section establishes the value of the calibration coefficient at measured 
values of pressure, temperature and air flow.
    (2) The manufacturer's recommended procedure shall be followed for 
calibrating electronic portions of the CFV.
    (3) Measurements necessary for flow calibration are as follows:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
              Parameter                         Symbol                   Units                  Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric Pressure (corrected)......  PB.....................  kPa....................   0.34 kPa
Air Temperature into flow meter......  TEI....................    deg.C................   0.28
                                                                                          deg.C
Pressure drop between the inlet and    PED....................  kPa....................   0.012 kPa
 throat of metering venturi.
Air flow.............................  QS.....................  m3/min.................   0.5
                                                                                          percent of NIST value
CVS inlet depression.................  PPI....................  kPa....................   0.055 kPa
Pressure head at CVS pump outlet.....  PPO....................  kPa....................   0.055 kPa
Temperature at venturi inlet.........  TV.....................    deg.C................   2.22
                                                                                          deg.C
----------------------------------------------------------------------------------------------------------------

    (4) Set up equipment as shown in Figure 6 in appendix B of this 
subpart and eliminate leaks. (Leaks between the flow measuring devices 
and the critical flow venturi will seriously affect the accuracy of the 
calibration.)
    (5) Set the variable flow restrictor to the open position, start the 
blower, and allow the system to stabilize. Record data from all 
instruments.
    (6) Vary the flow restrictor and make at least eight readings across 
the critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibration are to 
be used in the following calculations:
    (i) The air flow rate (designated as Qs) at each test 
point is calculated in standard cubic feet per minute from the flow 
meter data using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each test 
point:
[GRAPHIC] [TIFF OMITTED] TR04OC96.032

QS=Flow rate in standard cubic meter per minute, at the 
standard conditions of 20  deg.C, 101.3 kPa.
TV=Temperature at venturi inlet,  deg.K.
PV=Pressure at venturi inlet, kPA

[[Page 353]]

=PB-PPI

Where:

PPI = Venturi inlet pressure depression, kPa.

    (iii) Plot KV as a function of venturi inlet pressure. 
For choked flow, KV will have a relatively constant value. As 
pressure decreases (vacuum increases), the venturi becomes unchoked and 
KV decreases. (See Figure 7 in appendix B of this subpart)
    (iv) For a minimum of eight points in the critical region calculate 
an average KV and the standard deviation.
    (v) If the standard deviation exceeds 0.3 percent of the average 
KV, take corrective action.
    (e) CVS system verification. The following ``gravimetric'' technique 
can be used to verify that the CVS and analytical instruments can 
accurately measure a mass of gas that has been injected into the system. 
(Verification can also be accomplished by constant flow metering using 
critical flow orifice devices.)
    (1) Obtain a small cylinder that has been charged with 99.5 percent 
or greater propane or carbon monoxide gas (CAUTION--carbon monoxide is 
poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01 grams.
    (3) Operate the CVS in the normal manner and release a quantity of 
pure propane into the system during the sampling period (approximately 
five minutes).
    (4) The calculations are performed in the normal way except in the 
case of propane. The density of propane (0.6109 kg/m\3\carbon atom is 
used in place of the density of exhaust hydrocarbons.
    (5) The gravimetric mass is subtracted from the CVS measured mass 
and then divided by the gravimetric mass to determine the percent 
accuracy of the system.
    (6) Good engineering practice requires that the cause for any 
discrepancy greater than  2 percent must be found and 
corrected.



Sec. 91.425  CVS calibration frequency.

    Calibrate the CVS positive displacement pump or critical flow 
venturi following initial installation, major maintenance or as 
necessary when indicated by the CVS system verification (described in 
Sec. 91.424(e)).



Sec. 91.426  Dilute emission sampling calculations.

    (a) The final reported emission test results must be computed by use 
of the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.033

Where:

Awm=Weighted mass emission level (HC, CO, CO2, or 
NOX) for a test [g/kW-hr].
Wi=Average mass flow rate of an emission from a test engine 
during mode i [g/hr].
WFi = Weighting factor for each mode i as defined in 
Sec. 91.410(a).
Pi = Gross average power generated during mode i [kW] 
calculated from the following equation (power for the idle mode shall 
always be zero for this calculation):
[GRAPHIC] [TIFF OMITTED] TR04OC96.034

speed = average engine speed measured during mode i [rev./minute]
torque = average engine torque measured during mode i [N-m]
KHi = Humidity correction factor for mode i. This correction 
factor only affects calculations for NOX and is equal to one 
for all other emissions. KHi is also equal to one for all 
two-stroke engines.
    (b) The mass flow rate (Wi) of an emission for mode i is 
determined from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.035

Where:
Qi = Volumetric flow rate of the dilute exhaust through the 
CVS at standard conditions [m3/hr at STP].
D = Density of a specific emission (DHC, DCO, 
DCO2, DNOx) in the exhaust [g/m3].
DFi = Dilution factor of the dilute exhaust during mode i.
CDi = Concentration of the emission (HC, CO, NOX) 
in the dilute exhaust extracted from the CVS during mode i [ppm].
CBi = Concentration of the emission (HC, CO, NOX) 
in the background sample during mode i [ppm].
STP = Standard temperature and pressure. All volumetric calculations 
made for the equations in this section are to be corrected to a standard 
temperature of 20  deg.C and 101.3 kPa.

    (c) Densities for emissions that are to be measured for this test 
procedure are:


[[Page 354]]


DHC = 576.8 g/m3
DNOX = 1912 g/m3
DCO = 1164 g/m3
DCO2 = 1829 g/m3

    (1) The value of DHC above is calculated based on the 
assumption that the fuel used has a carbon to hydrogen ratio of 1:1.85. 
For other fuels, DHC can be calculated from the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.036

Where:
MHC = Molecular weight of the hydrocarbon molecule divided by 
the number of carbon atoms in the molecule [g/mole].
RSTP = Ideal gas constant for a gas at STP = 0.024065 
[m3-mole].

    (2) The idealized molecular weight of the exhaust hydrocarbons, ie., 
the molecular weight of the hydrocarbon molecule divided by the number 
of carbon atoms in the molecule, MHC can be calculated from 
the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.037

Where:
MC = Molecular weight of carbon = 12.01 [g/mole].
MH = Molecular weight of hydrogen = 1.008 [g/mole].
[alpha] = Hydrogen to carbon ratio of the test fuel.

    (3) The value of DNOx above assumes that NOX 
in entirely in the form of NO2.
    (d) The dilution factor (DF) is the ratio of the volumetric flow 
rate of the background air to that of the raw engine exhaust. The 
following formula is used to determine DF:
[GRAPHIC] [TIFF OMITTED] TR04OC96.038

Where:
CDHC = Concentration of HC in the dilute sample [ppm].
CDCO = Concentration of CO in the dilute sample [ppm].
CDCO2 = Concentration of CO2 in the dilute sample 
[ppm].

    (e) The humidity correction factor KH is an adjustment 
made to the measured NOX. This corrects for the sensitivity 
that a spark-ignition engine has to the humidity of its combustion air. 
The following formula is used to determine KH for 
NOX calculations:
[GRAPHIC] [TIFF OMITTED] TR04OC96.039

Where:
H = Absolute humidity of the engine intake air [grams of water per 
kilogram of dry air].

    (f) The absolute humidity of the engine intake air H is calculated 
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.040

Where:
Pdew = Saturated vapor pressure at the dew point temperature 
[kPa].
Pb = Barometric pressure [kPa].

    (g) The fuel mass flow rate Fi can be either measured or 
calculated using the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.041

Where:
Mf = Mass of fuel consumed by the engine during the mode [g].
T = Duration of the sampling period [hr].

    (h) The mass of fuel consumed during the mode sampling period, 
MFUEL can be calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.042

Where:
GS = Mass of carbon measured during the mode sampling period 
[g].
R2 = The fuel carbon weight fraction, which is the mass of 
carbon in fuel per mass of fuel [g/g].

    (i) The grams of carbon measured during the mode GS can 
be calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.043


[[Page 355]]


Where:
HCmass = mass of hydrocarbon emissions for the mode sampling 
period [g].
COmass = mass of carbon monoxide emissions for the mode 
sampling period [g].
CO2mass = mass of carbon dioxide emissions for the mode 
sampling period [g].
[alpha] = The atomic hydrogen to carbon ratio of the fuel.



Sec. 91.427  Catalyst thermal stress resistance evaluation.

    (a)(1) The purpose of the evaluation procedure specified in this 
section is to determine the effect of thermal stress on catalyst 
conversion efficiency. The thermal stress is imposed on the test 
catalyst by exposing it to quiescent heated air in an oven. The 
evaluation of the effect of such stress on catalyst performance is based 
on the resultant degradation of the efficiency with which the 
conversions of specific pollutants are promoted. The application of this 
evaluation procedure involves the several steps that are described in 
the following paragraphs.
    (2) The engine manufacturer need not submit catalyst conversion 
efficiency data for pollutants that the catalyst being tested was not 
designed to reduce/oxidize. The engine manufacturer must specify the 
pollutants that the catalyst will be converting and submit catalyst 
conversion efficiency data on only those pollutants.
    (b) Determination of initial conversion efficiency.
    (1) A synthetic exhaust gas mixture having the composition specified 
in Sec. 91.329 is heated to a temperature of 450  
5  deg.C and passed through the new test catalyst or, optionally, a test 
catalyst that has been exposed to temperatures less than or equal to 500 
 deg.C for less than or equal to two hours, under flow conditions that 
are representative of anticipated in-use conditions.
    (2) The concentration of each pollutant of interest, that is, 
hydrocarbons, carbon monoxide, or oxides of nitrogen, in the effluent of 
the catalyst is determined by means of the instrumentation that is 
specified for exhaust gas analysis in subpart D of this part.
    (3) The conversion efficiency for each pollutant is determined by:
    (i) Subtracting the effluent concentration from the initial 
concentration,
    (ii) Dividing this result by the initial concentration,
    (iii) Multiplying this result by 100 percent.
    (c) Imposition of thermal stress.
    (1) The catalyst is placed in an oven that has been pre-heated to 
1000  deg.C and the temperature of the air in the oven is maintained at 
1000  10  deg.C for six hours. Optionally, the 
catalyst may instead be placed in an oven having a 90% nitrogen/10% 
water vapor environment that has been pre-heated to at least 850  deg.C 
and the temperature of the nitrogen/water vapor environment in the oven 
is maintained at 850  deg.C  10  deg.C for six 
hours.
    (2) The catalyst is removed from the oven and allowed to cool to 
room temperature.
    (d) Determination of final conversion efficiency. The steps listen 
in paragraph (b) of this section are repeated.
    (e) Determination of conversion efficiency degradation.
    (1) The final conversion efficiency determined in paragraph (c) of 
this section is subtracted from the initial conversion efficiency 
determined in paragraph (b) of this section.
    (2) This result is divided by the initial conversion efficiency.
    (3) This result is multiplied by 100 percent.
    (f) Determination of compliance with degradation limit. The percent 
degradation determined in paragraph (e) of this section must not be 
greater than 20 percent.

               Appendix A to Subpart E of Part 91--Tables

      Table 1--Parameters To Be Measured or Calculated and Recorded
------------------------------------------------------------------------
                  Parameter                              Units
------------------------------------------------------------------------
Airflow rate (dry), if applicable...........  g/h
Fuel flow rate..............................  g/h
Engine speed................................  rpm
Engine torque output........................  N [middot] m
Power output................................  kW
Air inlet temperature.......................   deg.C
Air humidity................................  mg/kg
Coolant temperature (liquid cooled).........   deg.C
Exhaust mixing chamber surface temperature,    deg.C
 if applicable.
Exhaust sample line temperature, if            deg.C
 applicable.
Total accumulated hours of engine operation.  h

[[Page 356]]

 
Barometric pressure.........................  kPa
------------------------------------------------------------------------


 Table 2--Test Cycle and Weighting Factors for Marine Engines
------------------------------------------------------------------------
                                                     Engine
                                         Engine     torque as
                                       speed as a       a
                                       percentage  percentage     Mode
               Mode No.                 of engine  of maximum  weighting
                                          rated     torque at    factor
                                          speed       rated
                                                      speed
------------------------------------------------------------------------
1....................................         100       100         0.06
2....................................          80        71.6       0.14
3....................................          60        46.5       0.15
4....................................          40        25         0.25
5....................................        idle         0         0.40
------------------------------------------------------------------------


[[Page 357]]

               Appendix B to Subpart E of Part 91--Figures
[GRAPHIC] [TIFF OMITTED] TR04OC96.044


[[Page 358]]


[GRAPHIC] [TIFF OMITTED] TR04OC96.045


[[Page 359]]


[GRAPHIC] [TIFF OMITTED] TR04OC96.046


[[Page 360]]


[GRAPHIC] [TIFF OMITTED] TR04OC96.047


[[Page 361]]


[GRAPHIC] [TIFF OMITTED] TR04OC96.048


[[Page 362]]


[GRAPHIC] [TIFF OMITTED] TR04OC96.049


[[Page 363]]


[GRAPHIC] [TIFF OMITTED] TR04OC96.050



         Subpart F--Manufacturer Production Line Testing Program



Sec. 91.501  Applicability.

    (a) The requirements of this subpart F are applicable to all marine 
spark-ignition engines subject to the provisions of subpart A of this 
part 91.
    (1) This subpart F applies to marine spark-ignition outboard engines 
beginning with model year 1999.
    (2) This subpart F applies to marine spark-ignition personal 
watercraft engines beginning with model year 2000.
    (b) The Administrator may waive the provisions of this subpart for a 
manufacturer or a specific engine family, as

[[Page 364]]

specified in paragraphs (b) (1), (2) and (3) of this section.
    (1) The provisions of this subpart are waived for existing 
technology OB/PWC through model year 2003.
    (2) Upon request by a manufacturer, the Administrator may waive the 
provisions of this subpart for existing technology OB/PWC for a specific 
engine family through model year 2005 if the Administrator determines 
that the engine family will be phased out of production for sale in the 
U.S. by the end of model year 2005. As a condition to receiving such a 
waiver for either model year 2004, 2005 or both, the manufacturer must 
discontinue production of engines for sale in the U.S. according to a 
schedule determined by the Administrator upon granting this waiver. 
Failure to do so by the manufacturer will void ab initio the applicable 
certificate of conformity.
    (3) A manufacturer request under paragraph (b)(2) of this section 
must be in writing and apply to a specific engine family. The request 
must identify the engine family designation, a written rationale 
supporting the FEL choice, the type of information used as a basis for 
the FEL (e.g., previous emission tests, development tests), the specific 
source of the information including when the information was generated, 
the requested schedule for phasing the engine family out of production, 
and any other information the Administrator may require.

[61 FR 52102, Oct. 4, 1996, as amended at 62 FR 15808, Apr. 2, 1997]



Sec. 91.502  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.



Sec. 91.503  Production line testing by the manufacturer.

    (a) Manufacturers of marine SI engines shall test production line 
engines from each engine family according to the provisions of this 
subpart.
    (b) Production line engines must be tested using the test procedure 
specified in subpart E of this part that was used in certification 
unless an alternate procedure is approved by the Administrator. Any 
adjustable engine parameter must be set to values or positions that are 
within the range recommended to the ultimate purchaser, unless otherwise 
specified by the Administrator. The Administrator may specify values 
within or without the range recommended to the ultimate purchaser.



Sec. 91.504  Maintenance of records; submittal of information.

    (a) The manufacturer of any new marine SI engine subject to any of 
the provisions of this subpart must establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines in accordance with Sec. 91.503. Subpart D of this part sets 
forth relevant equipment requirements in Secs. 91.306, 91.308, 91.309, 
and 91.313.
    (2) Individual records. These records pertain to each production 
line test conducted pursuant to this subpart and include:
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the test engine 
when the test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the production line test;
    (iv) A record and description of any adjustment, repair, preparation 
or modification performed prior to and/or subsequent to approval by the 
Administrator pursuant to Sec. 91.507(b)(1), giving the date, associated 
time, justification, name(s) of the authorizing personnel, and names of 
all supervisory personnel responsible for the conduct of the repair;
    (v) If applicable, the date the engine was shipped from the assembly 
plant,

[[Page 365]]

associated storage facility or port facility, and the date the engine 
was received at the testing facility;
    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, in accordance with the record requirements 
specified in Sec. 91.405.
    (vii) A brief description of any significant events during testing 
not otherwise described under paragraph (a)(2) of this section, 
commencing with the test engine selection process and including such 
extraordinary events as engine damage during shipment.
    (3) The manufacturer must establish, maintain and retain general 
records, pursuant to paragraph (a)(1) of this section, for each test 
cell that can be used to perform emission testing under this subpart.
    (b) The manufacturer must retain all records required to be 
maintained under this subpart for a period of one year after completion 
of all testing required for the engine family in a model year. Records 
may be retained as hard copy (i.e., on paper) or reduced to microfilm, 
floppy disk, or some other method of data storage, depending upon the 
manufacturer's record retention procedure; provided, that in every case, 
all the information contained in the hard copy is retained.
    (c) The manufacturer must, upon request by the Administrator, submit 
the following information with regard to engine production:
    (1) Projected production or actual production for each engine 
configuration within each engine family for which certification has been 
requested and/or approved,
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production or actually produced.
    (d) Nothing in this section limits the Administrator's discretion to 
require a manufacturer to establish, maintain, retain or submit to EPA 
information not specified by this section.
    (e) All reports, submissions, notifications, and requests for 
approval made under this subpart must be addressed to: Manager, Engine 
Compliance Programs Group 6403J, U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    (f) The manufacturer must electronically submit the results of its 
production line testing using an EPA information format. The 
Administrator may exempt manufacturers from this requirement upon 
written request with supporting justification.



Sec. 91.505  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this or other subparts of this part, 
one or more EPA enforcement officers may enter during operating hours 
and upon presentation of credentials any of the following places:
    (1) Any facility, including ports of entry, where any engine to be 
introduced into commerce or any emission-related component is 
manufactured, assembled, or stored;
    (2) Any facility where any test conducted pursuant to this or any 
other subpart or any procedure or activity connected with such test is 
or was performed;
    (3) Any facility where any test engine is present; and
    (4) Any facility where any record required under Sec. 91.504 or 
other document relating to this subpart or any other subpart of this 
part is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers are authorized to perform the 
following inspection-related activities:
    (1) To inspect and monitor any aspect of engine manufacture, 
assembly, storage, testing and other procedures, and to inspect and 
monitor the facilities in which these procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including test engine selection, preparation and service 
accumulation, emission test cycles, and maintenance and verification of 
test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection, and testing of an engine; and
    (4) To inspect and photograph any part or aspect of any engine and 
any

[[Page 366]]

component used in the assembly thereof that is reasonably related to the 
purpose of the entry.
    (c) EPA enforcement officers are authorized to obtain reasonable 
assistance without cost from those in charge of a facility to help the 
officers perform any function listed in this subpart and they are 
authorized to request the manufacturer to make arrangements with those 
in charge of a facility operated for the manufacturer's benefit to 
furnish reasonable assistance without cost to EPA.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services; the making available 
on an EPA enforcement officer's request of personnel of the facility 
being inspected during their working hours to inform the EPA enforcement 
officer of how the facility operates and to answer the officer's 
questions; and the performance on request of emission tests on any 
engine which is being, has been, or will be used for production line or 
other testing.
    (2) By written request, signed by the Assistant Administrator for 
Air and Radiation, and served on the manufacturer, a manufacturer may be 
compelled to cause the personal appearance of any employee at such a 
facility before an EPA enforcement officer. Any such employee who has 
been instructed by the manufacturer to appear will be entitled to be 
accompanied, represented, and advised by counsel.
    (d) EPA enforcement officers are authorized to seek a warrant or 
court order authorizing the EPA enforcement officers to conduct the 
activities authorized in this section, as appropriate, to execute the 
functions specified in this section. EPA enforcement officers may 
proceed ex parte to obtain a warrant or court order whether or not the 
EPA enforcement officers first attempted to seek permission from the 
manufacturer or the party in charge of the facility(ies) in question to 
conduct the activities authorized in this section.
    (e) A manufacturer must permit an EPA enforcement officer(s) who 
presents a warrant or court order to conduct the activities authorized 
in this section as described in the warrant or court order. The 
manufacturer must also cause those in charge of its facility or a 
facility operated for its benefit to permit entry and access as 
authorized in this section pursuant to a warrant or court order whether 
or not the manufacturer controls the facility. In the absence of a 
warrant or court order, an EPA enforcement officer(s) may conduct the 
activities authorized in this section only upon the consent of the 
manufacturer or the party in charge of the facility(ies) in question.
    (f) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit an EPA enforcement officer(s) to conduct the 
activities authorized in this section if the officer(s) appears without 
a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions where local law does not 
prohibit an EPA enforcement officer(s) from conducting the entry and 
access activities specified in this section. EPA will not attempt to 
make any inspections which it has been informed local foreign law 
prohibits.



Sec. 91.506  Engine sample selection.

    (a) At the start of each model year, the marine SI engine 
manufacturer will begin to randomly select engines from each engine 
family for production line testing at a rate of one percent. Each engine 
will be selected from the end of the assembly line.
    (1) For newly certified engine families: After two engines are 
tested, the manufacturer will calculate the required sample size for the 
model year according to the Sample Size Equation in paragraph (b) of 
this section.
    (2) For carry-over engine families: After one engine is tested, the 
manufacturer will combine the test with the last test result from the 
previous model year and then calculate the required sample size for the 
model year according to the Sample Size Equation in paragraph (b) of 
this section.
    (b)(1) Manufacturers will calculate the required sample size for the 
model year for each engine family using the Sample Size Equation below. 
N is calculated from each test result. The number N indicates the number 
of tests

[[Page 367]]

required for the model year for an engine family. N, is recalculated 
after each test. Test results used to calculate the variables in the 
Sample Size Equation must be final deteriorated test results as 
specified in Sec. 91.509(c).
[GRAPHIC] [TIFF OMITTED] TR04OC96.051

where:
N=required sample size for the model year.
t95=95% confidence coefficient. It is dependent on the actual 
number of tests completed, n, as specified in the table in paragraph 
(b)(2) of this section. It defines one-tail, 95 percent confidence 
intervals.
[sigma]=actual test sample standard deviation calculated from the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.052

xi=emission test result for an individual engine
x=mean of emission test results of the actual sample
FEL=Family Emission Limit
n=The actual number of tests completed in an engine family

    (2) Actual Number of Tests (n) & 1-tail Confidence Coefficients 
(t95)

------------------------------------------------------------------------
        n          t95           n          t95          n          t95
------------------------------------------------------------------------
2                  6.31  12                 1.80  22                1.72
3                  2.92  13                 1.78  23                1.72
4                  2.35  14                 1.77  24                1.71
5                  2.13  15                 1.76  25                1.71
6                  2.02  16                 1.75  26                1.71
7                  1.94  17                 1.75  27                1.71
8                  1.90  18                 1.74  28                1.70
9                  1.86  19                 1.73  29                1.70
10                 1.83  20                 1.73  30                1.70
11                 1.81  21                 1.72  [infin]          1.645
------------------------------------------------------------------------

    (3) A manufacturer must distribute the testing of the remaining 
number of engines needed to meet the required sample size N, evenly 
throughout the remainder of the model year.
    (4) After each new test, the required sample size, N, is 
recalculated using updated sample means, sample standard deviations and 
the appropriate 95% confidence coefficient.
    (5) A manufacturer must continue testing and updating each engine 
family's sample size calculations according to paragraphs (b)(1) through 
(b)(4) of this section until a decision is made to stop testing as 
described in paragraph (b)(6) of this section or a noncompliance 
decision is made pursuant to Sec. 91.510(b).
    (6) If, at any time throughout the model year, the calculated 
required sample size, N, for an engine family is less than or equal to 
the actual sample size, n, and the sample mean, x, for HC+NOX 
is less than or equal to the FEL, the manufacturer may stop testing that 
engine family.
    (7) If, at any time throughout the model year, the sample mean, x, 
for HC+NOX is greater than the FEL, the manufacturer must 
continue testing that engine family at the appropriate maximum sampling 
rate.
    (8) The maximum required sample size for an engine family 
(regardless of the required sample size, N, as calculated in paragraph 
(b)(1) of this section) is the lesser of thirty tests per model year or 
one percent of projected annual production for that engine family for 
that model year.
    (9) Manufacturers may elect to test additional randomly chosen 
engines. All additional randomly chosen engines tested in accordance 
with the testing procedures specified in Sec. 91.507 must be included in 
the Sample Size and Cumulative Sum equation calculations as defined in 
paragraph (b)(1) of this section and Sec. 91.508(a), respectively.
    (c) The manufacturer must produce and assemble the test engines 
using its normal production and assembly process for engines to be 
distributed into commerce.
    (d) No quality control, testing, or assembly procedures will be used 
on any test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in production or assembly 
procedures.



Sec. 91.507  Test procedures.

    (a)(1) For marine SI engines subject to the provisions of this 
subpart, the prescribed test procedures are specified in subpart E of 
this part.
    (2) The Administrator may, on the basis of a written application by 
a

[[Page 368]]

manufacturer, prescribe test procedures other than those specified in 
paragraph (a)(1) of this section for any marine engine he or she 
determines is not susceptible to satisfactory testing using procedures 
specified in paragraph (a)(1) of this section.
    (b)(1) The manufacturer may not adjust, repair, prepare, or modify 
any test engine and may not perform any emission test on any test engine 
unless this adjustment, repair, preparation, modification and/or test is 
documented in the manufacturer's engine assembly and inspection 
procedures and is actually performed by the manufacturer or unless this 
adjustment, repair, preparation, modification and/or test is required or 
permitted under this subpart or is approved in advance by the 
Administrator.
    (2) The Administrator may adjust or require to be adjusted any 
engine parameter which the Administrator has determined to be subject to 
adjustment for certification, production line testing and Selective 
Enforcement Audit testing, to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator, 
prior to the performance of any test. However, if the idle speed 
parameter is one which the Administrator has determined to be subject to 
adjustment, the Administrator may not adjust it or require that it be 
adjusted to any setting which causes a lower engine idle speed than 
would have been possible within the physically adjustable range of the 
idle speed parameter if the manufacturer had accumulated 12 hours of 
service on the engine under paragraph (c) of this section, all other 
parameters being identically adjusted for the purpose of the comparison. 
The manufacturer may be requested to supply information necessary to 
establish an alternate minimum idle speed. The Administrator, in making 
or specifying these adjustments, may consider the effect of the 
deviation from the manufacturer's recommended setting on emission 
performance characteristics as well as the likelihood that similar 
settings will occur on in-use engines. In determining likelihood, the 
Administrator may consider factors such as, but not limited to, the 
effect of the adjustment on engine performance characteristics and 
information from similar in-use engines.
    (c) Service accumulation. (1) Prior to performing exhaust emission 
production line testing, the manufacturer may accumulate on each test 
engine a number of hours of service equal to the greater of 12 hours or 
the number of hours the manufacturer accumulated during certification on 
the emission data engine for each engine family.
    (2) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of 
production line engines.
    (d) The manufacturer may not perform any maintenance on test engines 
after selection for testing.
    (e) If an engine is shipped to a remote facility for production line 
testing, and an adjustment or repair is necessary because of shipment, 
the engine manufacturer must perform the necessary adjustment or repair 
only after the initial test of the engine, except in cases where the 
Administrator has determined that the test would be impossible or unsafe 
to perform or would permanently damage the engine. Engine manufacturers 
must report to the Administrator, in the quarterly report required by 
Sec. 91.509(e), all adjustments or repairs performed on test engines 
prior to each test.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or its 
deletion from the test sequence.
    (g) Testing. A manufacturer must test engines with the test 
procedure specified in subpart E of this part to demonstrate compliance 
with the applicable FEL. If alternate procedures were used in 
certification, then those alternate procedures must be used in 
production line testing.
    (h) Retesting. (1) If an engine manufacturer reasonably determines 
that an emission test of an engine is invalid, the engine may be 
retested. Emission results from all tests must be reported to EPA. The 
engine manufacturer must also include a detailed explanation of the 
reasons for invalidating any test in the quarterly report required in

[[Page 369]]

Sec. 91.509(e). In the event a retest is performed, a request may be 
made to the Administrator, within ten days of the end of the production 
quarter, for permission to substitute the after-repair test results for 
the original test results. The Administrator will either affirm or deny 
the request by the engine manufacturer within ten working days from 
receipt of the request.



Sec. 91.508  Cumulative Sum (CumSum) procedure.

    (a) Manufacturers must construct the following CumSum Equation for 
HC+NOX for each engine family. Test results used to calculate 
the variables in the CumSum Equation must be final deteriorated test 
results as defined in Sec. 91.509(c).

Ci = max[0 0R (Ci-1 + Xi - (FEL + F))]

Where:

Ci = The current CumSum statistic
Ci-1 = The previous CumSum statistic. Prior to any testing, 
the CumSum statistic = 0 (i.e. C0 = 0)
Xi = The current emission test result for an individual 
engine
FEL = Family Emission Limit
F = 0.25 x [sigma]

    After each test, Ci is compared to the action limit, H, 
the quantity which the CumSum statistic must exceed, in two consecutive 
tests, before the engine family may be determined to be in noncompliance 
for purposes of Sec. 91.510.

H = The Action Limit. It is 5.0 x [sigma], and is a function of the 
standard deviation, [sigma].
[sigma] = is the sample standard deviation and is recalculated after 
each test.

    (b) After each engine is tested, the CumSum statistic shall be 
promptly updated according to the CumSum Equation in paragraph (a) of 
this section.
    (c)(1) If, at any time during the model year, a manufacturer amends 
the application for certification for an engine family as specified in 
paragraph (a) of Sec. 91.122 by performing an engine family modification 
(i.e. a change such as a running change involving a physical 
modification to an engine, a change in specification or setting, the 
addition of a new configuration, or the use of a different deterioration 
factor) with no changes to the FEL, all previous sample size and CumSum 
statistic calculations for the model year will remain unchanged.
    (2) If, at any time during the model year, a manufacturer amends the 
application for certification for an engine family as specified in 
paragraph (a) of Sec. 91.122 by modifying its FEL as a result of an 
engine family modification, the manufacturer must continue its 
calculations by inserting the new FEL into the sample size equation as 
specified in Sec. 91.506(b)(1) and into the CumSum equation in paragraph 
(a) of this section. All previous calculations remain unchanged. If the 
sample size calculation indicates that additional tests are required, 
then those tests must be performed. The CumSum statistic recalculation 
must not indicate that the family has exceeded the action limit for two 
consecutive tests. The manufacturer's final credit report as required by 
Sec. 91.210 must break out the credits that result from each FEL and 
corresponding CumSum analysis for each FEL set.
    (3) If, at any time during the model year, a manufacturer amends the 
application for certification for an engine family as specified in 
paragraph (a) of Sec. 91.122 by modifying its FEL without performing an 
engine modification, all previous sample size and CumSum statistic 
calculations for the model year must be recalculated using the new FEL. 
If the sample size calculation indicates that additional tests are 
required, then those tests must be performed. The CumSum statistic 
recalculation must not indicate that the family has exceeded the action 
limit for two consecutive tests.
    (4) If, at any time after the end of the model year but prior to the 
manufacturer's final credit report submittal as specified in 
Sec. 91.210, a manufacturer changes an FEL for an entire family, or for 
an affected part of the year's production, as specified in paragraph (a) 
of Sec. 91.122, in cases where there were one or more mid-year engine 
family modifications, all previous sample size and CumSum statistic 
calculations for the model year, or part of the model year affected by 
an engine family change, must be recalculated using the new FEL. The 
sample size equation must not indicate a larger number of

[[Page 370]]

tests than were appropriately performed using the previous FEL and the 
CumSum statistic recalculation must not exceed the action limit in two 
consecutive tests. The manufacturer's final credit report as required by 
Sec. 91.210 must break out the credits that result from each FEL and 
corresponding CumSum analysis for each FEL set.



Sec. 91.509  Calculation and reporting of test results.

    (a) Initial test results are calculated following the applicable 
test procedure specified in paragraph (a) of Sec. 91.507. The 
manufacturer rounds these results, in accordance with ASTM E29-93a, to 
the number of decimal places contained in the applicable emission 
standard expressed to one additional significant figure. (ASTM E29-93a 
has been incorporated by reference. See Sec. 91.6.)
    (b) Final test results are calculated by summing the initial test 
results derived in paragraph (a) of this section for each test engine, 
dividing by the number of tests conducted on the engine, and rounding in 
accordance with ASTM E29-93a to the same number of decimal places 
contained in the applicable standard expressed to one additional 
significant figure.
    (c) The final deteriorated test results for each test engine are 
calculated by applying the appropriate deterioration factors, derived in 
the certification process for the engine family, to the final test 
results, and rounding in accordance with ASTM E29-93a to the same number 
of decimal places contained in the applicable standard expressed to one 
additional significant figure.
    (d) If, at any time during the model year, the CumSum statistic 
exceeds the applicable action limit, H, in two consecutive tests, the 
engine family may be determined to be in noncompliance and the 
manufacturer must notify EPA within two working days of such exceedance 
by the CumSum statistic.
    (e) Within 30 calendar days of the end of each quarter, each engine 
manufacturer must submit to the Administrator a report which includes 
the following information:
    (1) The location and description of the manufacturer's or other's 
exhaust emission test facilities which were utilized to conduct testing 
reported pursuant to this section;
    (2) Total production and sample sizes, N and n, for each engine 
family;
    (3) The FEL against which each engine family was tested;
    (4) A description of the process to obtain engines on a random 
basis;
    (5) A description of the test engines;
    (6) For each test conducted,
    (i) A description of the test engine, including:
    (A) Configuration and engine family identification,
    (B) Year, make, and build date,
    (C) Engine identification number, and
    (D) Number of hours of service accumulated on engine prior to 
testing;
    (ii) Location where service accumulation was conducted and 
description of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all exhaust 
emission tests, whether valid or invalid, and the reason for 
invalidation, if applicable;
    (iv) A complete description of any adjustment, modification, repair, 
preparation, maintenance, and/or testing which was performed on the test 
engine, was not reported pursuant to any other paragraph of this 
subpart, and will not be performed on all other production engines;
    (v) A CumSum analysis, as required in Sec. 91.508, of the production 
line test results for each engine family;
    (vi) Any other information the Administrator may request relevant to 
the determination whether the new engines being manufactured by the 
manufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued;
    (7) For each failed engine as defined in Sec. 91.510(a), a 
description of the remedy and test results for all retests as required 
by Sec. 91.511(g);
    (8) The date of the end of the engine manufacturer's model year 
production for each engine family; and
    (9) The following signed statement and endorsement by an authorized 
representative of the manufacturer:


[[Page 371]]


    This report is submitted pursuant to sections 213 and 208 of the 
Clean Air Act. This production line testing program was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
91 et seq. No emission-related changes to production processes or 
quality control procedures for the engine family tested have been made 
during this production line testing program that affect engines from the 
production line. All data and information reported herein is, to the 
best of (Company Name) knowledge, true and accurate. I am aware of the 
penalties associated with violations of the Clean Air Act and the 
regulations thereunder. (Authorized Company Representative.)



Sec. 91.510  Compliance with criteria for production line testing.

    (a) A failed engine is one whose final deteriorated test results 
pursuant to Sec. 91.509(c), for HC + NOX exceeds the 
applicable Family Emission Limit (FEL).
    (b) An engine family may be determined to be in noncompliance, if at 
any time throughout the model year, the CumSum statistic, Ci, 
for HC+NOX, is greater than the action limit, H, for two 
consecutive tests.



Sec. 91.511  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is automatically suspended with 
respect to any engine failing pursuant to paragraph (a) of Sec. 91.510 
effective from the time that testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformity for 
an engine family which is determined to be in noncompliance pursuant to 
Sec. 90.510(b). This suspension will not occur before fifteen days after 
the engine family is determined to be in noncompliance.
    (c) If the results of testing pursuant to these regulations indicate 
that engines of a particular family produced at one plant of a 
manufacturer do not conform to the regulations with respect to which the 
certificate of conformity was issued, the Administrator may suspend the 
certificate of conformity with respect to that family for engines 
manufactured by the manufacturer at all other plants.
    (d) Notwithstanding the fact that engines described in the 
application for certification may be covered by a certificate of 
conformity, the Administrator may suspend such certificate immediately 
in whole or in part if the Administrator finds any one of the following 
infractions to be substantial:
    (1) The manufacturer refuses to comply with any of the requirements 
of this subpart.
    (2) The manufacturer submits false or incomplete information in any 
report or information provided to the Administrator under this subpart.
    (3) The manufacturer renders inaccurate any test data submitted 
under this subpart.
    (4) An EPA enforcement officer is denied the opportunity to conduct 
activities authorized in this subpart and a warrant or court order is 
presented to the manufacturer or the party in charge of the facility in 
question.
    (5) An EPA enforcement officer is unable to conduct activities 
authorized in Sec. 91.505 because a manufacturer has located its 
facility in a foreign jurisdiction where local law prohibits those 
activities.
    (e) The Administrator shall notify the manufacturer in writing of 
any suspension or revocation of a certificate of conformity in whole or 
in part. A suspension or revocation is effective upon receipt of the 
notification or fifteen days from the time an engine family is 
determined to be in noncompliance pursuant to Sec. 91.510(b), whichever 
is later, except that the certificate is immediately suspended with 
respect to any failed engines as provided for in paragraph (a) of this 
section.
    (f) The Administrator may revoke a certificate of conformity for an 
engine family after the certificate has been suspended pursuant to 
paragraph (b) or (c) of this section if the proposed remedy for the 
nonconformity, as reported by the manufacturer to the Administrator, is 
one requiring a design change or changes to the engine and/or emission 
control system as described in the application for certification of the 
affected engine family.
    (g) Once a certificate has been suspended for a failed engine, as 
provided for in paragraph (a) of this section, the manufacturer must 
take the following actions before the certificate is reinstated for that 
failed engine:
    (1) Remedy the nonconformity;

[[Page 372]]

    (2) Demonstrate that the engine conforms to the Family Emission 
Limit by retesting the engine in accordance with these regulations; and
    (3) Submit a written report to the Administrator, after successful 
completion of testing on the failed engine, which contains a description 
of the remedy and test results for each engine in addition to other 
information that may be required by this part.
    (h) Once a certificate for a failed engine family has been suspended 
pursuant to paragraph (b), (c) or (d) of this section, the manufacturer 
must take the following actions before the Administrator will consider 
reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the engines, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
future occurrences of the problem, and states the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with the regulations 
of this part by testing as many engines as needed so that the CumSum 
statistic, as calculated in Sec. 91.508(a), falls below the action 
limit. Such testing must comply with the provisions of this part. If the 
manufacturer elects to continue testing individual engines after 
suspension of a certificate, the certificate is reinstated for any 
engine actually determined to be in conformance with the Family Emission 
Limits through testing in accordance with the applicable test 
procedures, provided that the Administrator has not revoked the 
certificate pursuant to paragraph (f) of this section.
    (i) Once the certificate has been revoked for an engine family, if 
the manufacturer desires to continue introduction into commerce of a 
modified version of that family, the following actions must be taken 
before the Administrator may issue a certificate for that modified 
family:
    (1) If the Administrator determines that the proposed change(s) in 
engine design may have an effect on emission performance deterioration, 
the Administrator shall notify the manufacturer, within five working 
days after receipt of the report in paragraph (h)(1) of this section, 
whether subsequent testing under this subpart will be sufficient to 
evaluate the proposed change or changes or whether additional testing 
will be required; and
    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer must demonstrate that the modified 
engine family does in fact conform with the regulations of this part by 
testing as many engines as needed from the modified engine family so 
that the CumSum statistic, as calculated in Sec. 91.508(a) using the 
newly assigned FEL if applicable, falls below the action limit. When 
both of these requirements are met, the Administrator shall reissue the 
certificate or issue a new certificate, as the case may be, to include 
that family. As long as the CumSum statistic remains above the action 
limit, the revocation remains in effect.
    (j) At any time subsequent to a suspension of a certificate of 
conformity for a test engine pursuant to paragraph (a) of this section, 
but not later than 15 days (or such other period as may be allowed by 
the Administrator) after notification of the Administrator's decision to 
suspend or revoke a certificate of conformity in whole or in part 
pursuant to paragraphs (b), (c), or (f) of this section, a manufacturer 
may request a hearing as to whether the tests have been properly 
conducted or any sampling methods have been properly applied.
    (k) Any suspension of a certificate of conformity under paragraph 
(d) of this section:
    (1) Shall be made only after the manufacturer concerned has been 
offered an opportunity for a hearing conducted in accordance with 
Secs. 91.512, 91.513, and 91.514 and
    (2) Need not apply to engines no longer in the possession of the 
manufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section and prior to the commencement of a 
hearing under

[[Page 373]]

Sec. 91.512, if the manufacturer demonstrates to the Administrator's 
satisfaction that the decision to suspend or revoke the certificate was 
based on erroneous information, the Administrator shall reinstate the 
certificate.
    (m) To permit a manufacturer to avoid storing non-test engines while 
conducting subsequent testing of the noncomplying family, a manufacturer 
may request that the Administrator conditionally reinstate the 
certificate for that family. The Administrator may reinstate the 
certificate subject to the following condition: the manufacturer must 
commit to recall all engines of that family produced from the time the 
certificate is conditionally reinstated if the CumSum statistic does not 
fall below the action limit and must commit to remedy any nonconformity 
at no expense to the owner.



Sec. 91.512  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator's decision 
to suspend or revoke a certificate or disputes the basis for an 
automatic suspension pursuant to Sec. 91.511(a), the manufacturer may 
request a public hearing.
    (b) The manufacturer's request shall be filed with the Administrator 
not later than 15 days after the Administrator's notification of his or 
her decision to suspend or revoke, unless otherwise specified by the 
Administrator. The manufacturer shall simultaneously serve two copies of 
this request upon the Manager of the Engine Compliance Programs Group 
and file two copies with the Hearing Clerk for the Agency. Failure of 
the manufacturer to request a hearing within the time provided 
constitutes a waiver of the right to a hearing. Subsequent to the 
expiration of the period for requesting a hearing as of right, the 
Administrator may, in his or her discretion and for good cause shown, 
grant the manufacturer a hearing to contest the suspension or 
revocation.
    (c) A manufacturer shall include in the request for a public 
hearing:
    (1) A statement as to which engine configuration(s) within a family 
is to be the subject of the hearing;
    (2) A concise statement of the issues to be raised by the 
manufacturer at the hearing, except that in the case of the hearing 
requested under Sec. 91.511(j), the hearing is restricted to the 
following issues:
    (i) Whether tests have been properly conducted (specifically, 
whether the tests were conducted in accordance with applicable 
regulations under this part and whether test equipment was properly 
calibrated and functioning);
    (ii) Whether sampling plans and statistical analyses have been 
properly applied (specifically, whether sampling procedures and 
statistical analyses specified in this subpart were followed and whether 
there exists a basis for distinguishing engines produced at plants other 
than the one from which engines were selected for testing which would 
invalidate the Administrator's decision under Sec. 91.511(c));
    (3) A statement specifying reasons why the manufacturer believes it 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the manufacturer's 
position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.



Sec. 91.513  Administrative procedures for public hearing.

    (a) The Presiding Officer shall be an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as 
amended).
    (b) The Judicial Officer shall be an officer or employee of the 
Agency appointed as a Judicial Officer by the Administrator, pursuant to 
this section, who shall meet the qualifications and perform functions as 
follows:
    (1) Qualifications. A Judicial Officer may be a permanent or 
temporary employee of the Agency who performs other duties for the 
Agency. The Judicial Officer shall not be employed by the Office of 
Enforcement and Compliance Assurance or have any connection with the 
preparation or presentation of evidence for a hearing held pursuant to 
this subpart. The Judicial Officer shall be a graduate of an accredited 
law school and a member in good standing

[[Page 374]]

of a recognized Bar Association of any state or the District of 
Columbia.
    (2) Functions. The Administrator may consult with the Judicial 
Officer or delegate all or part of the Administrator's authority to act 
in a given case under this section to a Judicial Officer, provided that 
this delegation does not preclude the Judicial Officer from referring 
any motion or case to the Administrator when the Judicial Officer 
determines such referral to be appropriate.
    (c) For the purposes of this section, one or more Judicial Officers 
may be designated by the Administrator. As work requires, a Judicial 
Officer may be designated to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requested under 
Sec. 91.511(j), when it clearly appears from the data and other 
information contained in the request for a hearing that no genuine and 
substantial question of fact or law exists with respect to the issues 
specified in Sec. 91.512(c)(2), the Administrator may enter an order 
denying the request for a hearing and reaffirming the original decision 
to suspend or revoke a certificate of conformity.
    (2) In the case of a hearing requested under Sec. 91.512 to 
challenge a suspension of a certificate of conformity for the reason(s) 
specified in Sec. 91.511(d), when it clearly appears from the data and 
other information contained in the request for the hearing that no 
genuine and substantial question of fact or law exists with respect to 
the issue of whether the refusal to comply with this subpart was caused 
by conditions and circumstances outside the control of the manufacturer, 
the Administrator may enter an order denying the request for a hearing 
and suspending the certificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of this 
section has the force and effect of a final decision of the 
Administrator, as issued pursuant to Sec. 91.515.
    (4) If the Administrator determines that a genuine and substantial 
question of fact or law does exist with respect to any of the issues 
referred to in paragraphs (d)(1) and (d)(2) of this section, the 
Administrator shall grant the request for a hearing and publish a notice 
of public hearing in the Federal Register or by such other means as the 
Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section and Sec. 91.512(c) must be filed with the Hearing Clerk of the 
Agency. Filing is considered timely if mailed, as determined by the 
postmark, to the Hearing Clerk within the time allowed by this section 
and Sec. 91.512(b). If filing is to be accomplished by mailing, the 
documents must be sent to the address set forth in the notice of public 
hearing referred to in paragraph (d)(4) of this section.
    (2) To the maximum extent possible, testimony will be presented in 
written form. Copies of written testimony will be served upon all 
parties as soon as practicable prior to the start of the hearing. A 
certificate of service will be provided on or accompany each document or 
paper filed with the Hearing Clerk. Documents to be served upon the 
Manager of the Engine Compliance Programs Group must be sent by 
registered mail to: Manager, Engine Compliance Programs Group 6403-J, 
U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460. Service by registered mail is complete upon 
mailing.
    (f) Computation of time. (1) In computing any period of time 
prescribed or allowed by this section, except as otherwise provided, the 
day of the act or event from which the designated period of time begins 
to run is not included. Saturdays, Sundays, and federal legal holidays 
are included in computing the period allowed for the filing of any 
document or paper, except that when the period expires on a Saturday, 
Sunday, or federal legal holiday, the period is extended to include the 
next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act is computed from the time of service, except that 
when service is accomplished by mail, three days will be added to the 
prescribed period.
    (g) Consolidation. The Administrator or the Presiding Officer in his 
or her discretion may consolidate two or more proceedings to be held 
under this

[[Page 375]]

section for the purpose of resolving one or more issues whenever it 
appears that consolidation will expedite or simplify consideration of 
these issues. Consolidation does not affect the right of any party to 
raise issues that could have been raised if consolidation had not 
occurred.
    (h) Hearing date. To the extent possible hearings under Sec. 91.512 
will be scheduled to commence within 14 days of receipt of the request 
for a hearing.



Sec. 91.514  Hearing procedures.

    The procedures provided in Sec. 86.1014-84(i) to (s) apply for 
hearings requested pursuant to Sec. 91.512 regarding suspension, 
revocation, or voiding of a certificate of conformity.



Sec. 91.515  Appeal of hearing decision.

    The procedures provided in Sec. 86.1014-84(t) to (aa) apply for 
appeals filed with respect to hearings held pursuant to Sec. 91.514.



Sec. 91.516  Treatment of confidential information.

    Except for information required by Sec. 91.509(e)(2) and Sec. 91.509 
(e)(6)(vi), information submitted to EPA pursuant to Sec. 91.509(e) 
shall be made available to the public upon request by EPA 
notwithstanding any claim of confidentiality made by the submitter. The 
provisions for treatment of confidential information described in 
Sec. 91.7 apply to the information required by Sec. 91.509(e)(2) and all 
other information submitted pursuant to this subpart.



          Subpart G--Selective Enforcement Auditing Regulations



Sec. 91.601  Applicability.

    The requirements of subpart G are applicable to all marine SI 
engines subject to the provisions of subpart A of part 91.



Sec. 91.602  Definitions.

    The definitions in subpart A and subpart F of this part apply to 
this subpart. The following definitions also apply to this subpart.
    Acceptable quality level (AQL) means the maximum percentage of 
failing engines that can be considered a satisfactory process average 
for sampling inspections.
    Inspection criteria means the pass and fail numbers associated with 
a particular sampling plan.



Sec. 91.603  Applicability of part 91, subpart F.

    (a) For purposes of selective enforcement audits conducted under 
this subpart, marine SI engines subject to provisions of subpart B of 
this part are subject to regulations specified in subpart F of this 
part, except:
    (1) Section 91.501 does not apply.
    (2) Section 91.503 does not apply. See Sec. 91.605.
    (3) Section 91.506 does not apply. See Sec. 91.606.
    (4) Section 91.507 does not apply. See Sec. 91.607.
    (5) Section 91.508 does not apply.
    (6) Paragraphs (d) and (e)(6)(v) and references to ``sample sizes, N 
and n'' of Sec. 91.509 do not apply.
    (7) The introductory text in Sec. 91.509 does not apply. The 
following text applies:
    ``Within 5 working days after completion of testing of all engines 
pursuant to a test order.''
    (8) The introductory text of Sec. 91.509(e)(9) does not apply. The 
following text applies:
    The following signed statement and endorsement by an authorized 
representative of the manufacturer:

    This report is submitted pursuant to Sections 213 and 208 of the 
Clean Air Act. This Selective Enforcement Audit was conducted in 
complete conformance with all applicable regulations under 40 CFR Part 
91 et seq and the conditions of the test order. No emission-related 
changes to production processes or quality control procedures for the 
engine family tested have been made between receipt of the test order 
and conclusion of the audit. All data and information reported herein 
is, to the best of (Company Name) knowledge, true and accurate. I am 
aware of the penalties associated with violations of the Clean Air Act 
and the regulations thereunder. (Authorized Company Representative.)

    (9) Section 91.510 does not apply. See Sec. 91.608.

[[Page 376]]



Sec. 91.604  Test orders.

    (a) A test order addressed to the manufacturer is required for any 
testing under this subpart.
    (b) The test order is signed by the Assistant Administrator for Air 
and Radiation or his or her designee. The test order must be delivered 
in person by an EPA enforcement officer or EPA authorized representative 
to a company representative or sent by registered mail, return receipt 
requested, to the manufacturer's representative who signed the 
application for certification submitted by the manufacturer, pursuant to 
the requirements of the applicable section of subpart B of this part. 
Upon receipt of a test order, the manufacturer must comply with all of 
the provisions of this subpart and instructions in the test order.
    (c) Information included in test order. (1) The test order will 
specify the engine family to be selected for testing, the manufacturer's 
engine assembly plant or associated storage facility or port facility 
(for imported engines) from which the engines must be selected, the time 
and location at which engines must be selected, and the procedure by 
which engines of the specified family must be selected. The test order 
may specify the configuration to be audited and/or the number of engines 
to be selected per day. Engine manufacturers are required to select a 
minimum of four engines per day unless an alternate selection procedure 
is approved pursuant to Sec. 91.606(a), or unless total production of 
the specified configuration is less than four engines per day. If total 
production of the specified configuration is less than four engines per 
day, the manufacturer selects the actual number of engines produced per 
day.
    (2) The test order may include alternate families to be selected for 
testing at the Administrator's discretion in the event that engines of 
the specified family are not available for testing because those engines 
are not being manufactured during the specified time or are not being 
stored at the specified assembly plant, associated storage facilities, 
or port of entry.
    (3) If the specified family is not being manufactured at a rate of 
at least two engines per day in the case of manufacturers specified in 
40 CFR 89.607(g)(1), or one engine per day in the case of manufacturers 
specified in 40 CFR 89.607(g)(2), over the expected duration of the 
audit, the Assistant Administrator or her or his designated 
representative may select engines of the alternate family for testing.
    (4) In addition, the test order may include other directions or 
information essential to the administration of the required testing.
    (d) A manufacturer may submit a list of engine families and the 
corresponding assembly plants, associated storage facilities, or (in the 
case of imported engines) port facilities from which the manufacturer 
prefers to have engines selected for testing in response to a test 
order. In order that a manufacturer's preferred location be considered 
for inclusion in a test order for a particular engine family, the list 
must be submitted prior to issuance of the test order. Notwithstanding 
the fact that a manufacturer has submitted the list, the Administrator 
may order selection at other than a preferred location.
    (e) Upon receipt of a test order, a manufacturer must proceed in 
accordance with the provisions of this subpart.



Sec. 91.605  Testing by the Administrator.

    (a) The Administrator may require by test order under Sec. 91.604 
that engines of a specified family be selected in a manner consistent 
with the requirements of Sec. 91.606 and submitted to the Administrator 
at the place designated for the purpose of conducting emission tests. 
These tests will be conducted in accordance with Sec. 91.607 to 
determine whether engines manufactured by the manufacturer conform with 
the regulations with respect to which the certificate of conformity was 
issued.
    (b) Designating official data. (1) Whenever the Administrator 
conducts a test on a test engine or the Administrator and manufacturer 
each conduct a test on the same test engine, the results of the 
Administrator's test comprise the official data for that engine.
    (2) Whenever the manufacturer conducts all tests on a test engine, 
the manufacturer's test data is accepted as the official data, provided 
that if the

[[Page 377]]

Administrator makes a determination based on testing conducted under 
paragraph (a) of this section that there is a substantial lack of 
agreement between the manufacturer's test results and the 
Administrator's test results, no manufacturer's test data from the 
manufacturer's test facility will be accepted for purposes of this 
subpart.
    (c) If testing conducted under Sec. 91.604 is unacceptable under 
paragraph (b)(2) of this section, the Administrator must:
    (1) Notify the manufacturer in writing of the Administrator's 
determination that the test facility is inappropriate for conducting the 
tests required by this subpart and the reasons therefor; and
    (2) Reinstate any manufacturer's data upon a showing by the 
manufacturer that the data acquired under Sec. 91.604 was erroneous and 
the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the Administrator 
reconsider the determination in paragraph (b)(2) of this section based 
on data or information which indicates that changes have been made to 
the test facility and these changes have resolved the reasons for 
disqualification.



Sec. 91.606  Sample selection.

    (a) Engines comprising a test sample will be selected at the 
location and in the manner specified in the test order. If a 
manufacturer determines that the test engines cannot be selected in the 
manner specified in the test order, an alternative selection procedure 
may be employed, provided the manufacturer requests approval of the 
alternative procedure prior to the start of test sample selection, and 
the Administrator approves the procedure.
    (b) The manufacturer must produce and assemble the test engines of 
the family selected for testing using its normal production and assembly 
process for engines to be distributed into commerce. If, between the 
time the manufacturer is notified of a test order and the time the 
manufacturer finishes selecting test engines, the manufacturer 
implements any change(s) in its production or assembly processes, 
including quality control, which may reasonably be expected to affect 
the emissions of the engines selected, then the manufacturer must, 
during the audit, inform the Administrator of such changes. If the test 
engines are selected at a location where they do not have their 
operational and emission control systems installed, the test order will 
specify the manner and location for selection of components to complete 
assembly of the engines. The manufacturer must assemble these components 
onto the test engines using normal assembly and quality control 
procedures as documented by the manufacturer.
    (c) No quality control, testing, or assembly procedures will be used 
on the test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in production or assembly 
procedures pursuant to paragraph (b) of this section.
    (d) The test order may specify that an EPA enforcement officer(s) or 
authorized representative(s), rather than the manufacturer, select the 
test engines according to the method specified in the test order.
    (e) The order in which test engines are selected determines the 
order in which test results are to be used in applying the sampling plan 
in accordance with Sec. 91.608.
    (f) The manufacturer must keep on hand all untested engines, if any, 
comprising the test sample until a pass or fail decision is reached in 
accordance with Sec. 91.608(e). The manufacturer may ship any tested 
engine which has not failed the requirements as set forth in 
Sec. 91.608(b). However, once the manufacturer ships any test engine, it 
relinquishes the prerogative to conduct retests as provided in 
Sec. 91.607(i).



Sec. 91.607  Test procedures.

    (a)(1) For marine SI engines subject to the provisions of this 
subpart, the prescribed test procedures are the test procedures as 
specified in subpart E of this part.
    (2) The Administrator may, on the basis of a written application by 
a manufacturer, prescribe test procedures other than those specified in

[[Page 378]]

paragraph (a)(1) of this section for any marine engine he or she 
determines is not susceptible to satisfactory testing using the 
procedures specified in paragraph (a)(1) of this section.
    (b)(1) The manufacturer may not adjust, repair, prepare, or modify 
the engines selected for testing and may not perform any emission tests 
on engines selected for testing pursuant to the test order unless this 
adjustment, repair, preparation, modification, and/or tests are 
documented in the manufacturer's engine assembly and inspection 
procedures and are actually performed or unless these adjustments and/or 
tests are required or permitted under this subpart or are approved in 
advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted any engine 
parameter which the Administrator has determined to be subject to 
adjustment for certification and Selective Enforcement Audit testing in 
accordance with Sec. 91.112, to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator 
in accordance with Sec. 91.112, prior to the performance of any tests. 
However, if the idle speed parameter is one which the Administrator has 
determined to be subject to adjustment, the Administrator may not adjust 
it to any setting which causes a lower engine idle speed than would have 
been possible within the physically adjustable range of the idle speed 
parameter if the manufacturer had accumulated 12 hours of service on the 
engine under paragraph (c) of this section, all other parameters being 
identically adjusted for the purpose of the comparison. The manufacturer 
may be requested to supply information needed to establish an alternate 
minimum idle speed. The Administrator, in making or specifying these 
adjustments, may consider the effect of the deviation from the 
manufacturer's recommended setting on emission performance 
characteristics as well as the likelihood that similar settings will 
occur on in-use engines. In determining likelihood, the Administrator 
may consider factors such as, but not limited to, the effect of the 
adjustment on engine performance characteristics and information from 
similar in-use engines.
    (c) Service accumulation. Prior to performing exhaust emission 
testing on an SEA test engine, the manufacturer may accumulate on each 
engine a number of hours of service equal to the greater of 12 hours or 
the number of hours the manufacturer accumulated during certification on 
the emission data engine corresponding to the family specified in the 
test order.
    (1) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of normal 
production engines. This service accumulation must be consistent with 
the new engine break-in instructions contained in the applicable owner's 
manual.
    (2) The manufacturer must accumulate service at a minimum rate of 6 
hours per engine during each 24-hour period, unless otherwise approved 
by the Administrator.
    (i) The first 24-hour period for service begins as soon as 
authorized checks, inspections, and preparations are completed on each 
engine.
    (ii) The minimum service accumulation rate does not apply on 
weekends or holidays.
    (iii) If the manufacturer's service or target is less than the 
minimum rate specified (6 hours per day), then the minimum daily 
accumulation rate is equal to the manufacturer's service target.
    (3) Service accumulation must be completed on a sufficient number of 
test engines during consecutive 24-hour periods to assure that the 
number of engines tested per day fulfills the requirements of paragraphs 
(g)(1) and (g)(2) of this section.
    (d) The manufacturer may not perform any maintenance on test engines 
after selection for testing, nor may the Administrator allow deletion of 
any engine from the test sequence, unless requested by the manufacturer 
and approved by the Administrator before any engine maintenance or 
deletion.
    (e) The manufacturer must expeditiously ship test engines from the 
point of selection to the test facility. If the test facility is not 
located at or in close proximity to the point of selection, the 
manufacturer must assure that test engines arrive at the test facility 
within 24 hours of selection. The

[[Page 379]]

Administrator may approve more time for shipment based upon a request by 
the manufacturer accompanied by a satisfactory justification.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or its 
deletion from the test sequence.
    (g) Whenever a manufacturer conducts testing pursuant to a test 
order issued under this subpart, the manufacturer must notify the 
Administrator within one working day of receipt of the test order as to 
which test facility will be used to comply with the test order. If no 
test cells are available at a desired facility, the manufacturer must 
provide alternate testing capability satisfactory to the Administrator.
    (1) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of 7,500 or greater must 
complete emission testing at a minimum rate of two engines per 24-hour 
period, including each voided test and each smoke test.
    (2) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of less than 7,500 must 
complete emission testing at a minimum rate of one engine per 24-hour 
period, including each voided test and each smoke test.
    (3) The Administrator may approve a lower daily rate of emission 
testing based upon a request by a manufacturer accompanied by a 
satisfactory justification.
    (h) The manufacturer must perform test engine selection, shipping, 
preparation, service accumulation, and testing in such a manner as to 
assure that the audit is performed in an expeditious manner.
    (i) Retesting. (1) The manufacturer may retest any engines tested 
during a Selective Enforcement Audit once a fail decision for the audit 
has been reached in accordance with Sec. 91.608(e).
    (2) The Administrator may approve retesting at other times based 
upon a request by the manufacturer accompanied by a satisfactory 
justification.
    (3) The manufacturer may retest each engine a total of three times. 
The manufacturer must test each engine or vehicle the same number of 
times. The manufacturer may accumulate additional service before 
conducting a retest, subject to the provisions of paragraph (c) of this 
section.
    (j) A manufacturer must test engines with the test procedure 
specified in subpart E of this part to demonstrate compliance with the 
exhaust emission standard (or applicable FEL) for HC+NOX. If 
alternate procedures were used in certification pursuant to Sec. 91.119, 
then those alternate procedures must be used.



Sec. 91.608  Compliance with acceptable quality level and passing and 
failing criteria for selective enforcement audits.

    (a) The prescribed acceptable quality level is 40 percent.
    (b) A failed engine is one whose final test results pursuant to 
Sec. 91.509(b), for HC+NOX, exceed the applicable family 
emission level.
    (c) The manufacturer must test engines comprising the test sample 
until a pass decision is reached for HC+NOX or a fail 
decision is reached for HC+NOX. A pass decision is reached 
when the cumulative number of failed engines, as defined in paragraph 
(b) of this section, for HC+NOX is less than or equal to the 
pass decision number, as defined in paragraph (d) of this section, 
appropriate to the cumulative number of engines tested. A fail decision 
is reached when the cumulative number of failed engines for 
HC+NOX is greater than or equal to the fail decision number, 
as defined in paragraph (d) of this section, appropriate to the 
cumulative number of engines tested.
    (d) The pass and fail decision numbers associated with the 
cumulative number of engines tested are determined by using the tables 
in Appendix A to this subpart, ``Sampling Plans for Selective 
Enforcement Auditing of Marine Engines,'' appropriate to the projected 
sales as made by the manufacturer in its report to EPA under 
Sec. 91.504(c)(1). In the tables in Appendix A to this subpart, sampling 
plan ``stage'' refers to the cumulative number of engines tested. Once a 
pass or fail decision has been made for HC+NOX, the number of 
engines with

[[Page 380]]

final test results exceeding the emission standard for HC+NOX 
shall not be considered any further for the purposes of the audit.
    (e) Passing or failing of an SEA occurs when the decision is made on 
the last engine required to make a decision under paragraph (c) of this 
section.
    (f) The Administrator may terminate testing earlier than required in 
paragraph (c) of this section.

    Appendix A to Subpart G of Part 91--Sampling Plans for Selective 
                 Enforcement Auditing of Marine Engines

    Appendix A to Subpart G of Part 91--Sampling Plans for Selective 
                 Enforcement Auditing of Marine Engines

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
         Annual engine family sales                   Code letter
------------------------------------------------------------------------
20-50.......................................  AA \1\
20-99.......................................  A \1\
100-299.....................................  B
300-499.....................................  C
500 or greater..............................  D
------------------------------------------------------------------------
\1\ A manufacturer may optionally use either the sampling plan for code
  letter ``AA'' or sampling plan for code letter ``A'' for Selective
  Enforcement Audits of engine families with annual sales between 20 and
  50 engines. Additional, the manufacturers may switch between these
  plans during the audit.


              Table 2--Sampling Plan for Code Letter ``AA''
                      [Sample inspection criteria]
------------------------------------------------------------------------
   Stage       Pass No.    Fail No.      Stage     Pass No.    Fail No.
------------------------------------------------------------------------
       1          (1)          (2)          11           4           8
       2          (1)          (2)          12           4           9
       3            0          (2)          13           5           9
       4            0          (2)          14           5          10
       5            1            5          15           6          10
       6            1            6          16           6          10
       7            2            6          17           7          10
       8            2            7          18           8          10
       9            3            7          19           8          10
      10            3            8          20           9          10
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 3--Sampling Plan for Code Letter ``A''
                      [Sample inspection criteria]
------------------------------------------------------------------------
   Stage       Pass No.    Fail No.      Stage     Pass No.    Fail No.
------------------------------------------------------------------------
       1          (1)          (2)          16           6          11
       2          (1)          (2)          17           7          12
       3          (1)          (2)          18           7          12
       4            0          (2)          19           8          13
       5            0          (2)          20           8          13
       6            1            6          21           9          14
       7            1            7          22          10          14
       8            2            7          23          10          15
       9            2            8          24          11          15
      10            3            8          25          11          16
      11            3            8          26          12          16
      12            4            9          27          12          17
      13            5           10          28          13          17
      14            5           10          29          14          17
      15            6           11          30          16          17
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 4--Sampling Plan for Code Letter ``B''
                      [Sample inspection criteria]
------------------------------------------------------------------------
         Stage                   Pass No.                Fail No.
------------------------------------------------------------------------
              1                      (1)                      (2)
              2                      (1)                      (2)
              3                      (1)                      (2)
              4                      (1)                      (2)
              5                        0                      (2)
              6                        1                        6
              7                        1                        7
              8                        2                        7
              9                        2                        8
             10                        3                        8
             11                        3                        9
             12                        4                        9
             13                        4                       10
             14                        5                       10
             15                        5                       11
             16                        6                       12
             17                        6                       12
             18                        7                       13
             19                        8                       13
             20                        8                       14
             21                        9                       14
             22                        9                       15
             23                       10                       15
             24                       10                       16
             25                       11                       16
             26                       11                       17
             27                       12                       17
             28                       12                       18
             29                       13                       18
             30                       13                       19
             31                       14                       19
             32                       14                       20
             33                       15                       20
             34                       16                       21
             35                       16                       21
             36                       17                       22
             37                       17                       22
             38                       18                       22
             39                       18                       22
             40                       21                       22
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 5--Sampling Plan for Code Letter ``C''
                      [Sample inspection criteria]
------------------------------------------------------------------------
         Stage                   Pass No.                Fail No.
------------------------------------------------------------------------
              1                    (\1\)                    (\2\)

[[Page 381]]

 
              2                    (\1\)                    (\2\)
              3                    (\1\)                    (\2\)
              4                    (\1\)                    (\2\)
              5                        0                    (\2\)
              6                        0                        6
              7                        1                        7
              8                        2                        7
              9                        2                        8
             10                        3                        9
             11                        3                        9
             12                        4                       10
             13                        4                       10
             14                        5                       11
             15                        5                       11
             16                        6                       12
             17                        6                       12
             18                        7                       13
             19                        7                       13
             20                        8                       14
             21                        8                       14
             22                        9                       15
             23                       10                       15
             24                       10                       16
             25                       11                       16
             26                       11                       17
             27                       12                       17
             28                       12                       18
             29                       13                       18
             30                       13                       19
             31                       14                       19
             32                       14                       20
             33                       15                       20
             34                       15                       21
             35                       16                       21
             36                       16                       22
             37                       17                       22
             38                       18                       23
             39                       18                       23
             40                       19                       24
             41                       19                       24
             42                       20                       25
             43                       20                       25
             44                       21                       26
             45                       21                       27
             46                       22                       27
             47                       22                       27
             48                       23                       27
             49                       23                       27
             50                       26                      27
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 6--Sampling Plan for Code Letter ``D''
                      [Sample inspection criteria]
------------------------------------------------------------------------
         Stage                   Pass No.                Fail No.
------------------------------------------------------------------------
              1                    (\1\)                    (\2\)
              2                    (\1\)                    (\2\)
              3                    (\1\)                    (\2\)
              4                    (\1\)                    (\2\)
              5                        0                    (\2\)
              6                        0                        6
              7                        1                        7
              8                        2                        8
              9                        2                        8
             10                        3                        9
             11                        3                        9
             12                        4                       10
             13                        4                       10
             14                        5                       11
             15                        5                       11
             16                        6                       12
             17                        6                       12
             18                        7                       13
             19                        7                       13
             20                        8                       14
             21                        8                       14
             22                        9                       15
             23                        9                       15
             24                       10                       16
             25                       11                       16
             26                       11                       17
             27                       12                       17
             28                       12                       18
             29                       13                       19
             30                       13                       19
             31                       14                       20
             32                       14                       20
             33                       15                       21
             34                       15                       21
             35                       16                       22
             36                       16                       22
             37                       17                       23
             38                       17                       23
             39                       18                       24
             40                       18                       24
             41                       19                       25
             42                       19                       26
             43                       20                       26
             44                       21                       27
             45                       21                       27
             46                       22                       28
             47                       22                       28
             48                       23                       29
             49                       23                       29
             50                       24                       30
             51                       24                       30
             52                       25                       31
             53                       25                       31
             54                       26                       32
             55                       26                       32
             56                       27                       33
             57                       27                       33
             58                       28                       33
             59                       28                       33
             60                       32                      33
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


[61 FR 52102, Oct. 4, 1996, as amended at 67 FR 68340, Nov. 8, 2002]



         Subpart H--Importation of Nonconforming Marine Engines



Sec. 91.701  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
marine SI engines for which the Administrator has promulgated 
regulations under this part prescribing emission standards,

[[Page 382]]

including engines incorporated into marine vessels or equipment, that 
are offered for importation or imported into the United States, but 
which engines, at the time of importation or being offered for 
importation are not covered by certificates of conformity issued under 
section 213 and section 206(a) of the Clean Air Act as amended (that is, 
which are nonconforming marine engines as defined in Sec. 91.702), and 
this part. Compliance with regulations under this subpart does not 
relieve any person or entity from compliance with other applicable 
provisions of the Clean Air Act.
    (b) Regulations prescribing further procedures for the importation 
of marine SI engines and marine vessels or equipment into the customs 
territory of the United States, as defined in 19 U.S.C. 1202, are set 
forth in U.S. Customs Service regulations.



Sec. 91.702  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Certificate of conformity. The document issued by the Administrator 
under section 213 and section 206(a) of the Act.
    Nonconforming marine engine. A marine SI engine which is not covered 
by a certificate of conformity prior to importation or being offered for 
importation (or for which such coverage has not been adequately 
demonstrated to EPA). Also, a marine SI engine which was originally 
covered by a certificate of conformity, but subsequently altered or 
modified such that it is no longer in a certified configuration.
    Original engine manufacturer (OEM). The entity which originally 
manufactured the marine engine.
    United States. United States includes the customs territory of the 
United States as defined in 19 U.S.C. 1202, and the Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands.



Sec. 91.703  Admission.

    (a) A nonconforming marine SI engine offered for importation may 
only be imported into the United States under Sec. 91.704, provided that 
an exemption or exclusion is granted by the Administrator. Final 
admission shall not be granted unless the marine SI engine is exempted 
or excluded under Sec. 91.704.
    (b) In order to obtain admission the importer must submit to the 
Administrator a written request for approval containing the following:
    (1) Identification of the importer of the marine SI engine and the 
importer's address, telephone number, and taxpayer identification 
number;
    (2) Identification of the marine SI engine owner, the owner's 
address, telephone number, and taxpayer identification number;
    (3) Identification of the marine SI engine including make, model, 
identification number, and original production year;
    (4) Information indicating under what provision of these regulations 
the marine SI engine is to be imported;
    (5) Identification of the place(s) where the subject marine SI 
engine is to be stored;
    (6) Authorization for EPA enforcement officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder; and
    (7) Such other information as is deemed necessary by the 
Administrator.



Sec. 91.704  Exemptions and exclusions.

    (a) Individuals and businesses are eligible to import nonconforming 
marine SI engines into the United States only under the provisions of 
this section.
    (b) Notwithstanding other requirements of this subpart, a 
nonconforming marine SI engine entitled to one of the temporary 
exemptions of this paragraph may be conditionally admitted into the 
United States if prior written approval for the conditional admission is 
obtained from the Administrator. Conditional admission must be under 
bond. The Administrator may request that the U.S. Customs Service 
require a specific bond amount to ensure compliance with the 
requirements of the Act and this subpart. A written request for approval 
from the Administrator must contain the identification required in 
Sec. 91.703(b) and information that demonstrates that the importer is 
entitled to the exemption. Noncompliance with provisions of this section

[[Page 383]]

may result in the forfeiture of the total amount of the bond or 
exportation of the marine engine. The following temporary exemptions are 
permitted by this paragraph:
    (1) Exemption for repairs or alterations. Upon written approval by 
EPA, a person may conditionally import under bond a nonconforming marine 
SI engine solely for purpose of repair(s) or alteration(s). The marine 
SI engines may not be operated in the United States other than for the 
sole purpose of repair or alteration. It may not be sold or leased in 
the United States and must be exported upon completion of the repair(s) 
or alteration(s).
    (2) Testing exemption. A nonconforming test marine SI engine may be 
conditionally imported under bond by a person subject to the 
requirements of Sec. 91.1005. A test marine SI engine may be operated in 
the United States provided that the operation is an integral part of the 
test. This exemption is limited to a period not exceeding one year from 
the date of importation unless a request is made by the appropriate 
importer, and subsequently granted by EPA, concerning the marine engine 
in accordance with Sec. 91.1005(f) for a subsequent one-year period.
    (3) Display exemptions. (i) A nonconforming marine engine intended 
solely for display may be conditionally imported under bond subject to 
the requirements of Sec. 91.1007.
    (ii) A display marine engine may be imported by any person for 
purposes related to a business or the public interest. Such purposes do 
not include collections normally inaccessible or unavailable to the 
public on a daily basis, display of a marine engine at a dealership, 
private use, or other purpose that the Administrator determines is not 
appropriate for display exemptions. A display marine engine may not be 
sold or leased in the United States and may not be operated in the 
United States except for the operation incident and necessary to the 
display purpose.
    (iii) A temporary display exemption is granted for 12 months or for 
the duration of the display purpose, whichever is shorter. Extensions of 
up to 12 months each are available upon approval by the Administrator. 
In no circumstances, however, may the total period of exemption exceed 
36 months.
    (c) Notwithstanding any other requirement of this subpart, a marine 
SI engine may be finally admitted into the United States under this 
paragraph if prior written approval for such final admission is obtained 
from the Administrator. A request for approval is to contain the 
identification information required in Sec. 91.703(b) (except for 
Sec. 91.703(b)(5)) and information that demonstrates that the importer 
is entitled to the exemption. The following exemptions are permitted by 
this paragraph:
    (1) National security exemption. A nonconforming marine engine may 
be imported under the national security exemption found at Sec. 91.1008.
    (2) Exemption for marine engines identical to United States 
certified versions. (i) Any person (including businesses) is eligible 
for importing a nonconforming marine SI engine into the United States 
under the provisions of this paragraph. An exemption will be granted if 
the applicant demonstrates to the satisfaction of the Administrator that 
the marine engine:
    (A) Is owned by the importer;
    (B) Is not offered for importation for the purpose of resale; and
    (C) Is proven to be identical, in all material respects, to a marine 
SI engine of the same or later model year certified by the Original 
Engine Manufacturer for sale in the United States or is proven to have 
been modified to be identical, in all material respects, to a marine 
engine of the same or later model year certified by the OEM for sale in 
the United States according to complete written instructions provided by 
the OEM's United States representative, or his/her designee.
    (ii) Proof of conformity.
    (A) Documentation submitted pursuant to this section for the purpose 
of proving conformity of individual marine engines is to contain 
sufficiently organized data or evidence demonstrating that the marine 
engine identified pursuant to Sec. 91.703(b) is identical, in all 
material respects, to a marine engine identified in an OEM's application 
for certification.
    (B) If the documentation does not contain all the information 
required by

[[Page 384]]

this part, or is not sufficiently organized, EPA will notify the 
importer of any areas of inadequacy and that the documentation will not 
receive further consideration until the required information or 
organization is provided.
    (C) If EPA determines that the documentation does not clearly or 
sufficiently demonstrate that a marine engine is eligible for 
importation under this paragraph, EPA will notify the importer in 
writing.
    (D) If EPA determines that the documentation clearly and 
sufficiently demonstrates that a marine engine is eligible for 
importation under this paragraph, EPA will grant approval for final 
admission in writing.
    (d) Foreign diplomatic and military personnel may conditionally 
import a nonconforming marine engine without bond. At the time of 
conditional admission, the importer must submit to the Administrator the 
written report required in Sec. 91.703(b) (except for information 
required by Sec. 91.703(b)(5)) and a statement from the U.S. Department 
of State confirming qualification for this exemption. Foreign military 
personnel may, in lieu of a statement from the U.S. Department of State, 
submit to the Administrator a copy of their orders for duty in the 
United States. The marine SI engine may not be sold or leased in the 
United States and must be exported if the individual's diplomatic status 
or the foreign military orders for duty in the U.S. are no longer 
applicable, as determined by the Department of State, unless 
subsequently brought into conformity with U.S. emission requirements in 
accordance with Sec. 91.704(c)(2).
    (e) Competition exclusion. A nonconforming marine engine may be 
conditionally imported by any person provided the importer demonstrates 
to the Administrator that the marine engine is used to propel a marine 
vessel used solely for competition and obtains prior written approval 
from the Administrator. A nonconforming engine imported pursuant to this 
paragraph may not be operated in the United States except for that 
operation incident and necessary for the competition purpose, unless 
subsequently brought into conformity with United States emission 
requirements in accordance with Sec. 91.704(c)(2).
    (f) An application for exemption and exclusion provided for in 
paragraphs (b), (c), and (e) of this section shall be mailed to: U.S. 
Environmental Protection Agency, Office of Mobile Sources, Engine 
Programs & Compliance Division (6403-J), 1200 Pennsylvania Ave., NW., 
Washington, DC 20460, Attention: Imports.



Sec. 91.705  Prohibited acts; penalties.

    (a) The importation of a marine SI engine, including a marine engine 
incorporated into marine vessels or equipment, which is not covered by a 
certificate of conformity other than in accordance with this subpart and 
the entry regulations of the U.S. Customs Service is prohibited. Failure 
to comply with this section is a violation of Sec. 91.1103(a)(1) and 
section 213(d) of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of a marine engine may not:
    (1) Register, license, or operate the marine engine in the United 
States;
    (2) Sell or lease or offer the marine engine for sale or lease;
    (c) A marine SI engine conditionally admitted pursuant to 
Sec. 91.704 (b), (d) or (e) and not granted final admission by the end 
of the period of conditional admission, or within such additional time 
as the Administrator and the U.S. Customs Service may allow, is deemed 
to be unlawfully imported into the United States in violation of 
Sec. 91.1103(a)(1), section 213(d) and section 203 of the Act, unless 
the marine engine has been delivered to the U.S. Customs Service for 
export or other disposition under applicable Customs laws and 
regulations. A marine SI engine not so delivered is subject to seizure 
by the U.S. Customs Service.
    (d) An importer who violates Sec. 91.1103(a)(1), section 213(d) and 
section 203 of the Act is subject to a civil penalty under Sec. 91.1106 
and section 205 of the Act of not more than $25,000 for each marine 
engine subject to the violation. In addition to the penalty provided in 
the Act, where applicable, a person or entity who imports an engine 
under the exemption provisions of

[[Page 385]]

Sec. 91.704(b) and, who fails to deliver the marine engine to the U.S. 
Customs Service by the end of the period of conditional admission is 
liable for liquidated damages in the amount of the bond required by 
applicable Customs laws and regulations.



Sec. 91.706  Treatment of confidential information.

    The provisions for treatment of confidential information as 
described in Sec. 91.7 apply.



            Subpart I--In-Use Testing and Recall Regulations



Sec. 91.801  Applicability.

    The requirements of subpart I are applicable to all marine SI 
engines subject to the provisions of subpart A of part 91.
    (a) Marine engines subject to provisions of subpart B of this part 
are subject to recall regulations specified in 40 CFR part 85, subpart 
S, except for the items set forth in this subsection.
    (b) Reference to section 214 of the Clean Air Act in 40 CFR 
85.1801(a) does not apply. Reference to section 216 of the Clean Air Act 
does apply.
    (c) Reference to section 202 of the Act in 40 CFR 85.1802(a) does 
not apply. Reference to section 213 of the Act does apply.
    (d) Reference to ``family particulate emission limits as defined in 
Part 86 promulgated under section 202 of the Act'' in 40 CFR 85.1803(a) 
and 85.1805(a)(1) does not apply. Family emission limits as defined in 
40 CFR part 89 promulgated under section 213 of the Act does apply.
    (e) Add the following paragraph to 40 CFR 85.1805 (a)(9): A 
telephone number provided by the manufacturer, which may be used to 
report difficulty in obtaining recall repairs.
    (f) The requirements of the Manufacturer In-use testing program set 
forth in Secs. 91.803 through 91.805 are waived for existing technology 
OB/PWC as defined in Sec. 91.3 through model year 2003.
    (1) The Administrator has the discretion to waive the requirements 
of the Manufacturer In-use testing program set forth in sections 91.803 
through 91.805 for existing technology OB/PWC for a specific engine 
family up to model year 2005 if, upon the request of the manufacturer, 
the Administrator determines that the engine family will be phased out 
of U.S. production by model year 2005. As a condition to receiving such 
a waiver for either model year 2004 or 2005 or both, the manufacturer 
must discontinue U.S. production according to the schedule upon which 
the Administrator based the waiver. Failure to do so by the manufacturer 
will void ab initio the certificate of conformity.
    (2) A manufacturer request under paragraph (f)(1) of this section 
must be in writing and must apply to a specific engine family. The 
request must identify the engine family designation, the schedule for 
phasing the engine family out of U.S. production, and any other 
information the Administrator may require.



Sec. 91.802  Definitions.

    (a) For the purposes of this subpart, except as otherwise provided, 
the definitions in subpart A of this part apply to this subpart.
    (b) The definitions of 40 CFR Part 85, subpart S, Sec. 85.1801 also 
apply to this Part.



Sec. 91.803  Manufacturer in-use testing program.

    (a) EPA shall annually identify engine families and those 
configurations within families which the manufacturers must then subject 
to in-use testing. For each model year, EPA may identify the following 
number of engine families for testing, based on the number of the 
manufacturer's engine families to which this subpart is applicable 
produced in that model year:
    (1) For manufactures with three or fewer engine families, EPA may 
identify a single engine family.
    (2) For manufacturers with four or more engine families, EPA may 
identify a number of engine families that is no greater than twenty-five 
percent of the number of engine families to which this subpart is 
applicable that are produced by the manufacturer in that model year.
    (b) For each engine family identified by EPA, engine manufacturers 
shall perform emission testing of an appropriate sample of in-use 
engines from

[[Page 386]]

each engine family. Manufacturers shall submit data from this in-use 
testing to EPA.
    (c) Number of engines to be tested. An engine manufacturer shall 
test in-use engines from each engine family identified by EPA. Engines 
to be tested shall have accumulated between half and three-quarters of 
the family's useful life. The number of engines to be tested by a 
manufacturer will be determined by the following method:
    (1) A minimum of four (4) engines per family provided that no engine 
fails any standard. For each failing engine, two more engines shall be 
tested until the total number of engines equals ten (10).
    (2) For engine families of less than 500 engines for the identified 
model year or for engine manufacturers who make less than or equal to 
2,000 for that model year, a minimum of two (2) engines per family 
provided that no engine fails any standard. For each failing engine, two 
more engines shall be tested until the total number of engines equals 
ten (10).
    (3) If an engine family was certified using carry over emission data 
and has been previously tested under paragraph (c) (1) or (2) of this 
section (and EPA has not ordered a recall for that family), then only 
one engine for that family must be tested. If that one engine fails any 
pollutant, testing must be conducted as outlined at paragraph (c) (1) or 
(2) of this section, whichever is appropriate.
    (d) At the discretion of the Administrator, an engine manufacturer 
may test more engines than the minima described in paragraph (c) of this 
section or may concede failure before testing a total of ten (10) 
engines.
    (e) The Administrator will consider failure rates, average emission 
levels and the existence of any defects among other factors in 
determining whether to pursue remedial action under this subpart. The 
Administrator may order a recall pursuant to Secs. 91.807-91.814 before 
testing reaches the tenth engine.
    (f) The Administrator may approve an alternative to manufacturer in-
use testing, where:
    (1) Engine family production is less than or equal to 200 per year; 
or
    (2) Engines cannot be obtained for testing because they are used 
substantially in craft which are not conducive to engine removal such as 
large vessels where the engine can not be removed without dismantling 
either the engine or the vessel; or
    (3) Other compelling circumstances associated with the structure of 
the industry and uniqueness of marine engine applications. Such 
alternatives shall be designed to determine whether the engine family is 
in compliance in-use.
    (g) Collection of in-use engines. The engine manufacturer shall 
procure in-use engines which have been operated for between half and 
three-quarters of the engine's useful life. The engine manufacturer may 
test engines from more than one model year in a given year. The 
manufacturer shall begin testing within twelve calendar months after 
receiving notice that EPA has identified a particular engine family for 
testing and shall complete testing of such engine family within twelve 
calendar months from the start of such testing. Test engines may be 
procured from sources associated with the engine manufacturer (i.e., 
manufacturer established fleet engines, etc.) or from sources not 
associated with the manufacturer (i.e., consumer-owned engines, 
independently-owned fleet engines, etc.).

[61 FR 52102, Oct. 4, 1996, as amended at 67 FR 68340, Nov. 8, 2002]



Sec. 91.804  Maintenance, procurement and testing of in-use engines.

    (a) A test engine must have a maintenance and use history 
representative of actual in-use conditions.
    (1) To comply with this requirement a manufacturer must obtain 
information from the end users regarding the accumulated usage, 
maintenance, operating conditions, and storage of the test engines.
    (2) Documents used in the procurement process must be maintained as 
required in Sec. 91.121.
    (b) The manufacturer may perform minimal set-to-spec maintenance on 
components of a test engine that are not subject to parameter 
adjustment. Maintenance may include only that

[[Page 387]]

which is listed in the owner's instructions for engines with the amount 
of service and age of the acquired test engine. Documentation of all 
maintenance and adjustments shall be maintained and retained as required 
by Sec. 91.121.
    (c) At least one valid emission test, according to the test 
procedure outlined in subpart E of this part, is required for each in-
use engine.
    (d) The Administrator may waive portions or requirements of the test 
procedure, if any, that are not necessary to determine in-use 
compliance.
    (e) If a selected in-use engine fails to comply with any applicable 
emission standards, the manufacturer shall determine the reason for 
noncompliance. The manufacturer must report all such reasons of 
noncompliance within fifteen days of completion of testing.



Sec. 91.805  In-use test program reporting requirements.

    (a) The manufacturer shall electronically submit to the 
Administrator within three (3) months of completion of testing all 
emission testing results generated from the in-use testing program. The 
following information must be reported for each test engine:
    (1) Engine family,
    (2) Model,
    (3) Engine serial number,
    (4) Date of manufacture,
    (5) Estimated hours of use,
    (6) Date and time of each test attempt,
    (7) Results (if any) of each test attempt,
    (8) Results of all emission testing,
    (9) Summary of all maintenance and/or adjustments performed,
    (10) Summary of all modifications and/or repairs,
    (11) Determinations of noncompliance.
    (b) The manufacturer must electronically submit the results of its 
in-use testing with a pre-approved information heading. The 
Administrator may exempt manufacturers from this requirement upon 
written request with supporting justification.
    (c) All testing reports and requests for approvals made under this 
subpart shall be addressed to: Manager, Engine Compliance Programs Group 
6403-J, U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460.
    (d) The Administrator may approve and/or require modifications to a 
manufacturer's in-use testing programs.



Sec. 91.806  Voluntary emissions recall.

    (a) Prior to an EPA ordered recall, the manufacturer may perform a 
voluntary emissions recall pursuant to regulations at Sec. 91.904 of 
this part. Such manufacturer is subject to the reporting requirements at 
Sec. 91.905 of this part.
    (b) Once EPA determines that a substantial number of engines fail to 
conform with the requirements of section 213 of the Act or this part, 
the manufacturer will not have the option of a voluntary emissions 
recall.



  Subpart J--Emission-related Defect Reporting Requirements, Voluntary 
                         Emission Recall Program



Sec. 91.901  Applicability.

    The requirements of this subpart J are applicable to all marine 
engines subject to the provisions of subpart A of this part 91. The 
requirement to report emission-related defects affecting a given class 
or category of engines remains applicable for five years from the end of 
the model year in which such engines were manufactured.



Sec. 91.902  Definitions.

    The definitions in subpart A of this part apply to this subpart.



Sec. 91.903  Applicability to part 85, subpart T.

    (a) Marine SI engines subject to provisions of subpart A of this 
part are subject to emission defect reporting requirements specified in 
40 CFR Part 85, subpart T, except for the items set forth in this 
section.
    (b) 40 CFR 85.1901 does not apply. See Sec. 91.901.
    (c) Reference to the Clean Air Act, 42 U.S.C. 1857 in 40 CFR 
85.1902(a) does not apply. Reference to the Clean Air Act, 42 U.S.C. 
7401 does apply.
    (d) Reference to the ``approved Application for Certification 
required by 40 CFR 86.077-22 and like provisions of

[[Page 388]]

Part 85 and Part 86 of Title 40 of the Code of Federal Regulations'' 
does not apply. Reference to the approved application for certification 
required by 91.108 and like provisions of Part 91 does apply.
    (e) Reference to section 202(d) of the Act in Sec. 85.1902(c) does 
not apply. Reference to section 202(d) and section 213 of the Act does 
apply.
    (f) Reference to section 214 of the Act in Sec. 85.1902(e) and (f) 
does not apply. Reference to section 216 of the Act does apply.



Sec. 91.904  Voluntary emission recall.

    (a) A manufacturer, prior to initiating a voluntary emission recall 
program, must submit to the EPA the following information for a 15 day 
review and comment period:
    (1) A description of each class or category of engines recalled, 
including the number of engines to be recalled, the model year, and such 
other information as may be required to identify the engines recalled;
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments, or other changes to be made to 
correct the engines affected by the emission-related defect;
    (3) A description of the method by which the manufacturer will 
notify engine owners including copies of any letters of notification to 
be sent to engine owners;
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
recall plan, and a description of the proof to be required of an engine 
owner to demonstrate compliance with any such conditions;
    (5) A description of the procedure to be followed by engine owners 
to obtain correction of the nonconformity. This may include designation 
of the date on or after which the owner can have the nonconformity 
remedied, the time reasonably necessary to perform the labor to remedy 
the defect, and the designation of facilities at which the defect can be 
remedied;
    (6) A description of the class of persons other than dealers and 
authorized warranty agents of the manufacturer who will remedy the 
defect; and
    (7) A description of the system by which the manufacturer will 
assure that an adequate supply of parts is available to perform the 
repair under the plan.
    (b) The manufacturer must submit at least one report on the progress 
of the recall campaign. This report is submitted one year from the date 
notification begins and includes the following information:
    (1) The methods used to notify both engine owners, dealers and other 
individuals involved in the recall campaign;
    (2) The number of engines known or estimated to be affected by the 
emission-related defect and an explanation of the means by which this 
number was determined;
    (3) The number of engines actually receiving repair under the plan;
    (4) The number of engine owners, dealers, and other individuals 
involved in the recall campaign that have been notified and the number 
of engines that have actually received repair; and
    (5) The number of engines determined to be ineligible for remedial 
action due to a failure to properly maintain or use such engines.



Sec. 91.905  Reports, voluntary recall plan filing, record retention.

    (a) The defect report, voluntary recall plan, and the voluntary 
recall progress report shall be sent to: Manager, Engine Compliance 
Programs Group 6403-J, Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    (b) The information gathered by the manufacturer to compile the 
reports must be retained for not less than five years from the date of 
the manufacture of the engines and must be made available to duly 
authorized officials of the EPA upon request.



Sec. 91.906  Responsibility under other legal provisions preserved.

    The filing of any report under the provisions of this subpart will 
not affect a manufacturer's responsibility to file reports or 
applications, obtain approval, or give notice under any provision of 
law.

[[Page 389]]



Sec. 91.907  Disclaimer of production warranty applicability.

    (a) The act of filing an Emission Defect Information Report is 
inconclusive as to the existence of a defect subject to the warranty 
provided by section 207(a) of the Act.
    (b) A manufacturer may include on each page of its Emission Defect 
Information Report a disclaimer stating that the filing of a Defect 
Information Report pursuant to these regulations is not conclusive as to 
the applicability of the warranty provided by subpart M of this part.



         Subpart K--Exclusion and Exemption of Marine SI Engines



Sec. 91.1001  Applicability.

    The requirements of this subpart K are applicable to all marine 
spark-ignition propulsion engines subject to the provisions of subpart A 
of this part 91.



Sec. 91.1002  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart:
    Exemption means exemption from the prohibitions of Sec. 91.1103.
    Export exemption means an exemption granted under Sec. 91.1104(b) 
for the purpose of exporting new marine SI engines.
    National security exemption means an exemption which may be granted 
under Sec. 91.1104(b) for the purpose of national security.
    Manufacturer-owned marine engine means an uncertified marine SI 
engine owned and controlled by a marine SI engine manufacturer and used 
in a manner not involving lease or sale by itself or in a marine vessel 
or piece of equipment employed from year to year in the ordinary course 
of business for product development, production method assessment, or 
market promotion purposes.
    Testing exemption means an exemption which may be granted under 
Sec. 91.1104(b) for the purpose of research, investigations, studies, 
demonstrations or training, but not including national security.



Sec. 91.1003  Exclusions based on section 216(10) of the Act.

    (a) For the purpose of determining the applicability of section 
216(10) of the Act, any marine SI engine as that term is defined in 
subpart A of this part, is deemed a nonroad engine.
    (b) EPA will maintain a list of models of marine SI engines, and the 
marine vessels which use such engines, that have been determined to be 
excluded because they are used solely for competition. This list will be 
available to the public and may be obtained by writing to the following 
address: Group Manager, Engine Compliance Programs Group, Engine 
Programs and Compliance Division (6403J), Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
    (c) Upon written request with supporting documentation, EPA will 
make written determinations as to whether certain engines are or are not 
marine SI engines. Engines that are determined not to be marine SI 
engines are excluded from regulations under this part but may be subject 
to regulations under another part.



Sec. 91.1004  Who may request an exemption.

    (a) Any person may request a testing exemption under Sec. 91.1005.
    (b) Any marine SI engine manufacturer may request a national 
security exemption under Sec. 91.1008.
    (c) For marine SI engine manufacturers, marine SI engines for export 
purposes are exempt without application, subject to the provisions of 
Sec. 91.1009.
    (d) For eligible manufacturers, as determined by Sec. 91.1006, 
manufacturer-owned marine SI engines are exempt without application, 
subject to the provisions of Sec. 91.1006.
    (e) For any person, display marine SI engines are exempt without 
application, subject to the provisions of Sec. 91.1007.



Sec. 91.1005  Testing exemption.

    (a) Any person requesting a testing exemption must demonstrate the 
following:
    (1) That the proposed test program has a purpose which constitutes 
an appropriate basis for an exemption in accordance with 
Sec. 91.1104(b);

[[Page 390]]

    (2) That the proposed test program necessitates the granting of an 
exemption;
    (3) That the proposed test program is reasonable in scope; and
    (4) That the proposed test program exhibits a degree of control 
consonant with the purpose of the program and the EPA's monitoring 
requirements.
    (5) Paragraphs (b), (c), (d), and (e) of this section describe what 
constitutes a sufficient demonstration for each of the four identified 
elements.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose would be research, investigations, studies, 
demonstrations, or training, but not national security. A concise 
statement of purpose is a required item of information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under Sec. 91.1103. In appropriate 
circumstances, time constraints may be a sufficient basis for necessity, 
but the cost of certification alone, in the absence of extraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of engines. 
In this regard, required items of information include:
    (1) An estimate of the program's duration.
    (2) The maximum number of marine engines involved.
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the test;
    (2) The site of the test;
    (3) The duration and accumulated engine operation associated with 
the test;
    (4) The ownership arrangement with regard to the engines involved in 
the test;
    (5) The intended final disposition of the engines;
    (6) The manner in which the engine identification numbers will be 
identified, recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer of new marine SI engines may request a testing 
exemption to cover marine SI engines intended for use in test programs 
planned or anticipated over the course of a subsequent one-year period. 
Unless otherwise required by the Manager, Engine Compliance Programs 
Group, a manufacturer requesting such an exemption need only furnish the 
information required by paragraphs (a)(1) and (d)(2) of this section 
along with a description of the recordkeeping and control procedures 
that will be employed to assure that the engines are used for purposes 
consistent with section 91.1104(b).



Sec. 91.1006  Manufacturer-owned exemption and precertification exemption.

    (a) Except as provided in paragraph (b) of this section, any 
manufacturer-owned marine SI engine, as defined by Sec. 91.1002, is 
exempt from compliance with Sec. 91.1103, without application, if the 
manufacturer complies with the following terms and conditions:
    (1) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed information on each exempted 
engine:
    (i) Engine identification number,
    (ii) Use of the engine on exempt status and
    (iii) Final disposition of any engine removed from exempt status.
    (2) The manufacturer must provide right of entry and access to these 
records to EPA authorized representatives as outlined in Sec. 91.505.
    (3) Unless the requirement is waived or an alternative procedure is 
approved by the Director, Engine Programs & Compliance Division, the 
manufacturer must permanently affix a label to each marine engine on 
exempt status. This label should:
    (i) Be affixed in a readily visible portion of the engine,
    (ii) Be attached in such a manner that it cannot be removed without 
destruction or defacement,
    (iii) State in the English language/and in block letters and 
numerals of a

[[Page 391]]

color that contrasts with the background of the label, the following 
information:
    (A) The label heading ``Emission Control Information;''
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement, engine family identification, and model 
year of engine; or person or office to be contacted for further 
information about the engine;
    (D) The statement ``This marine SI engine is exempt from the 
prohibitions of 40 CFR 91.1103.''
    (4) No provision of paragraph (a)(3) of this section prevents a 
manufacturer from including any other information it desires on the 
label.



Sec. 91.1007  Display exemption.

    An uncertified marine SI engine is a display engine when it is to be 
used solely for display purposes, will only be operated incident and 
necessary to the display purpose, and will not be sold unless an 
applicable certificate of conformity has been received or the engine has 
been finally admitted pursuant to subpart H of this part. A display 
engine is exempt without application.



Sec. 91.1008  National security exemption.

    (a)(1) Any marine SI engine, otherwise subject to this part, which 
is used in a vessel that exhibits substantial features ordinarily 
associated with military combat such as armor and/or permanently affixed 
weaponry and which will be owned and/or used by an agency of the Federal 
government with responsibility for national defense, will be exempt from 
these regulations for purposes of national security. No request for 
exemption is necessary.
    (2) Manufacturers may request a national security exemption for any 
marine SI engine, otherwise subject to this part, which does not meet 
the conditions described in paragraph (a)(1) of this section. A 
manufacturer requesting a national security exemption must state the 
purpose for which the exemption is required and the request must be 
endorsed by an agency of the federal government charged with 
responsibility for national defense.
    (b) EPA will maintain a list of models of marine SI engines (and the 
vessels which use them) that have been granted a national security 
exemption under paragraph (a)(2) of this section. This list will be 
available to the public and may be obtained by writing to the following 
address: Manager, Engine Compliance Programs Group 6403-J, Environmental 
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.



Sec. 91.1009  Export exemptions.

    (a) A new marine SI engine intended solely for export, and so 
labeled or tagged on the outside of the container and on the engine 
itself, is subject to the provisions of Sec. 91.1103, unless the 
importing country has emission standards for new marine engines which 
differ from EPA standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards, whatsoever, is deemed to be a country having 
emission standards which differ from EPA standards.
    (c) EPA will maintain a list of foreign countries that have in force 
marine SI emission standards identical to U.S. EPA standards and have so 
notified EPA. This list may be obtained by writing to the following 
address: Manager, Engine Compliance Programs Group 6403-J, Environmental 
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460. 
New marine SI engines exported to such countries must comply with EPA 
certification regulations.
    (d) It is a condition of any exemption for the purpose of export 
under Sec. 91.1004(b) that such exemption be void ab initio with respect 
to a new marine SI engine intended solely for export if such marine SI 
engine is sold, or offered for sale, to an ultimate purchaser in the 
United States for purposes other than export.



Sec. 91.1010  Granting of exemptions.

    (a) If upon completion of the review of an exemption request made 
pursuant to Sec. 91.1005 or Sec. 91.1008, EPA determines it is 
appropriate to grant such an exemption, a memorandum of exemption will 
be prepared and submitted to the person requesting the exemption. The 
memorandum shall set forth the basis for the exemption, its scope, and 
such terms and conditions as are deemed

[[Page 392]]

necessary. Such terms and conditions shall generally include, but are 
not limited to, agreements by the applicant to conduct the exempt 
activity in the manner described to EPA, create and maintain adequate 
records accessible to EPA at reasonable times, employ labels for the 
exempt engines setting forth the nature of the exemption, take 
appropriate measures to assure that the terms of the exemption are met, 
and advise EPA of the termination of the activity and the ultimate 
disposition of the engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
is deemed to cover any subject engine only to the extent that the 
specified terms and conditions are complied with. A breach of any term 
or condition causes the exemption to be void ab initio with respect to 
any engine. Consequently, the causing or the performing of an act 
prohibited under Sec. 91.1103(a) (1) or (3), other than in strict 
conformity with all terms and conditions of this exemption renders the 
person to whom the exemption is granted, and any other person to whom 
the provisions of Sec. 91.1103 are applicable, liable under sections 204 
and 205 of the Act.



Sec. 91.1011  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/or the exemption request review procedure should be addressed to: 
Manager, Engine Compliance Programs Group 6403J, Environmental 
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.



Sec. 91.1012  Treatment of confidential information.

    The provisions for treatment of confidential information described 
in Sec. 91.7 apply to this subpart.



      Subpart L--Prohibited Acts and General Enforcement Provisions



Sec. 91.1101  Applicability.

    The requirements of subpart L are applicable to all marine engines 
and vessels subject to the provisions of subpart A of this part 91.



Sec. 91.1102  Definitions.

    The definitions in subpart A of this part apply to this subpart. All 
terms not defined herein or in subpart A have the meaning given them in 
the Act.



Sec. 91.1103  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1)(i) In the case of a manufacturer of new marine SI engines or 
vessels for distribution in commerce, the sale, the offering for sale, 
or the introduction, or delivery for introduction, into commerce, of any 
new marine SI engine manufactured after the applicable effective date 
under this part unless such engine is covered by a certificate of 
conformity issued (and in effect) under regulations found in this part.
    (ii) In the case of any person, except as provided by regulation of 
the Administrator, the importation into the United States of any new 
marine SI engine manufactured after the applicable effective date under 
this part unless such engine is covered by a certificate of conformity 
issued (and in effect) under regulations found in this part.
    (2)(i) For a person to fail or refuse to permit access to or copying 
of records or to fail to make reports or provide information required 
under Sec. 91.1104.
    (ii) For a person to fail or refuse to permit entry, testing or 
inspection authorized under Sec. 91.118, 91.505 or 91.1104.
    (iii) For a person to fail or refuse to perform tests, or to have 
tests performed as required under Sec. 91.118 or Sec. 91.1104.
    (iv) For a person to fail to establish or maintain records as 
required under Sec. 91.1104.
    (3)(i) For a person to remove or render inoperative a device or 
element of design installed on or in a marine engine in compliance with 
regulations under this part prior to its sale and delivery to the 
ultimate purchaser, or for a person knowingly to remove or render 
inoperative such a device or element of design after the sale and 
delivery to the ultimate purchaser; or
    (ii) For a person to manufacture, sell or offer to sell, or install, 
a part or component intended for use with, or as part of, a marine SI 
engine, where a

[[Page 393]]

principal effect of the part or component is to bypass, defeat, or 
render inoperative a device or element of design installed on or in a 
marine SI engine in compliance with regulations issued under this part, 
and where the person knows or should know that the part or component is 
being offered for sale or installed for this use or put to such use.
    (4) For a manufacturer of a new marine SI engine subject to 
standards prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver into commerce, 
a marine SI engine unless the manufacturer has complied with the 
requirements of Sec. 91.1203.
    (ii) To sell, offer for sale, or introduce or deliver into commerce, 
a marine SI engine unless a label or tag is affixed to the engine in 
accordance with regulations under this part.
    (iii) To provide directly or indirectly in any communication to the 
ultimate purchaser or a subsequent purchaser that the coverage of a 
warranty under the Act is conditioned upon use of a part, component, or 
system manufactured by the manufacturer or a person acting for the 
manufacturer or under its control, or conditioned upon service performed 
by such persons, except as provided in subpart M of this part.
    (iv) To fail or refuse to comply with the terms and conditions of 
the warranty under subpart M of this part.
    (5) For a manufacturer of new marine vessels or equipment to 
distribute in commerce, sell, offer for sale, or introduce into 
commerce, marine vessels or equipment which contain an engine not 
covered by a certificate of conformity.
    (b) For the purposes of enforcement of this part, the following 
apply:
    (1) Nothing in paragraph (a) of this section is to be construed to 
require the use of manufacturer parts in maintaining or repairing a 
marine SI engine.
    (2) Actions for the purpose of repair or replacement of a device or 
element of design or any other item are not considered prohibited acts 
under Sec. 91.1103(a) if the actions are a necessary and temporary 
procedure, the device or element is replaced upon completion of the 
procedure, and the action results in the proper functioning of the 
device or element of design.
    (3) Actions for the purpose of a conversion of a marine SI engine 
for use of a clean alternative fuel (as defined in Title II of the Act) 
are not considered prohibited acts under Sec. 91.1103(a) if:
    (i) The engine complies with the applicable standard when operating 
on the alternative fuel, and the device or element is replaced upon 
completion of the conversion procedure, and
    (ii) In the case of engines converted to dual fuel or flexible use, 
the action results in proper functioning of the device or element when 
the marine SI engine operates on conventional fuel.
    (4) A new marine spark-ignition engine intended solely to replace an 
engine in an outboard engine, or other engine to which this part is 
applicable as determined by Secs. 91.1, 91.101, 91.106 that was 
originally produced with an engine manufactured prior to the applicable 
implementation date as described in Secs. 91.2, and 91.106 and 
91.205(a)(1), or that was originally produced in a model year in which 
less stringent emission standards under this part were in effect shall 
not be subject to the requirements of Sec. 91.106 or the prohibitions of 
paragraph (a)(1) of this section provided that:
    (i) The engine manufacturer has ascertained that no engine produced 
by itself or the manufacturer of the engine that is being replaced, if 
different, and certified to the requirements of this subpart, is 
available with the appropriate physical or performance characteristics 
to repower the outboard, personal watercraft or jetboat; and
    (ii) Unless an alternative control mechanism is approved in advance 
by the Administrator, the engine manufacturer or its agent takes 
ownership and possession of the engine being replaced; and
    (iii) The replacement engine is clearly labeled with the following 
language, or similar alternate language approved in advance by the 
Administrator:

This engine does not comply with Federal nonroad or on-highway emission 
requirements. Sale or installation of this engine for any purpose other 
than as a replacement engine in a marine vessel whose original engine 
was not certified, or was certified to less

[[Page 394]]

stringent emission standards than those that apply to the year of 
manufacture of this engine, is a violation of Federal law subject to 
civil penalty; and

    (iv) Where the replacement engine is intended to replace an engine 
built after the applicable implementation date as described in 
Secs. 91.2, 91.106 and 91.205(a)(1), but built to less stringent 
emission standards than are currently applicable, the replacement engine 
shall be identical in all material respects to a certified configuration 
of the same or later model year as the engine being replaced; and
    (v) In cases where an engine is to be imported for replacement 
purposes under the provisions of this paragraph (b)(4), the term 
``engine manufacturer'' does not apply to an individual or other entity 
that does not possess a current Certificate of Conformity issued by EPA 
under this part.

[61 FR 52102, Oct. 4, 1996, as amended at 62 FR 42644, Aug. 7, 1997; 65 
FR 24314, Apr. 25, 2000]



Sec. 91.1104  General enforcement provisions.

    (a) Information collection provisions. (1) Every manufacturer of new 
marine SI engines and other persons subject to the requirements of this 
part must establish and maintain records, perform tests where such 
testing is not otherwise reasonably available under this part, make 
reports and provide information the Administrator may reasonably require 
to determine whether the manufacturer or other person has acted or is 
acting in compliance with this part or to otherwise carry out the 
provisions of this part, and must, upon request of an officer or 
employee duly designated by the Administrator, permit the officer or 
employee at reasonable times to have access to and copy such records.
    (2) For purposes of enforcement of this part, an officer or employee 
duly designated by the Administrator, upon presenting appropriate 
credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of the 
manufacturer, or of any person whom the manufacturer engaged to perform 
any activity required under paragraph (a)(1) of this section, for the 
purposes of inspecting or observing any activity conducted pursuant to 
paragraph (a)(1) of this section, and
    (ii) To inspect records, files, papers, processes, controls, and 
facilities used in performing an activity required by paragraph (a)(1) 
of this section, by the manufacturer or by a person whom the 
manufacturer engaged to perform the activity.
    (b) Exemption provision. The Administrator may exempt a new marine 
engine from compliance with Sec. 91.1103 upon such terms and conditions 
as the Administrator may find necessary for the purpose of export, 
research, investigations, studies, demonstrations, or training, or for 
reasons of national security.
    (c) Importation provision. (1) A new marine SI engine, or vessel 
offered for importation or imported by a person in violation of 
Sec. 91.1103 shall be refused admission into the United States, but the 
Secretary of the Treasury and the Administrator may, by joint 
regulation, provide for deferring a final determination as to admission 
and authorizing the delivery of such a marine SI engine offered for 
import to the owner or consignee thereof upon such terms and conditions 
(including the furnishing of a bond) as may appear to them appropriate 
to insure that the marine SI engine will be brought into conformity with 
the standards, requirements, and limitations applicable to it under this 
part.
    (2) If a marine SI engine is finally refused admission under this 
paragraph, the Secretary of the Treasury shall cause disposition thereof 
in accordance with the customs laws unless it is exported, under 
regulations prescribed by the Secretary, within 90 days of the date of 
notice of the refusal or additional time as may be permitted pursuant to 
the regulations.
    (3) Disposition in accordance with the customs laws may not be made 
in such manner as may result, directly or indirectly, in the sale, to 
the ultimate consumer, of a new marine SI engine that fails to comply 
with applicable standards of the Administrator under this part.
    (d) Export provision. A new marine SI engine intended solely for 
export, and so labeled or tagged on the outside of the container and on 
the engine itself,

[[Page 395]]

shall be subject to the provisions of Sec. 91.1103, except that if the 
country that is to receive the engine has emission standards that differ 
from the standards prescribed under subpart B of this part, then the 
engine must comply with the standards of the country that is to receive 
the engine.



Sec. 91.1105  Injunction proceedings for prohibited acts.

    (a) The district courts of the United States have jurisdiction to 
restrain violations of Sec. 91.1103.
    (b) Actions to restrain such violations must be brought by and in 
the name of the United States. In an action, subpoenas for witnesses who 
are required to attend a district court in any district may run into any 
other district.



Sec. 91.1106  Penalties.

    (a) Violations. A violation of the requirements of this subpart is a 
violation of the applicable provisions of the Act, including sections 
203 and 213(d), and is subject to the penalty provisions thereunder.
    (1) A person who violates Sec. 91.1103 (a)(1), (a)(4), or (a)(5), or 
a manufacturer or dealer who violates Sec. 91.1103(a)(3)(i), is subject 
to a civil penalty of not more than $25,000 for each violation.
    (2) A person other than a manufacturer or dealer who violates 
Sec. 91.1103(a)(3)(i) or any person who violates Sec. 91.1103(a)(3)(ii) 
is subject to a civil penalty of not more than $2,500 for each 
violation.
    (3) A violation with respect to Sec. 91.1103 (a)(1), (a)(3)(i), 
(a)(4), or (a)(5) constitutes a separate offense with respect to each 
marine SI engine.
    (4) A violation with respect to Sec. 91.1103(a)(3)(ii) constitutes a 
separate offense with respect to each part or component. Each day of a 
violation with respect to Sec. 91.1103(a)(6) constitutes a separate 
offense.
    (5) A person who violates Sec. 91.1103 (a)(2) or (a)(6) is subject 
to a civil penalty of not more than $25,000 per day of violation.
    (b) Civil actions. The Administrator may commence a civil action to 
assess and recover any civil penalty under paragraph (a) of this 
section.
    (1) An action under this paragraph may be brought in the district 
court of the United States for the district in which the violation is 
alleged to have occurred or in which the defendant resides or has the 
Administrator's principal place of business, and the court shall have 
jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessed 
under this paragraph, the court is to take into account the gravity of 
the violation, the economic benefit or savings (if any) resulting from 
the violation, the size of the violator's business, the violator's 
history of compliance with Title II of the Act, action taken to remedy 
the violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are required to 
attend a district court in any district may run into any other district.
    (c) Administrative assessment of certain penalties--(1) 
Administrative penalty authority. In lieu of commencing a civil action 
under paragraph (b) of this section, the Administrator shall assess any 
civil penalty prescribed in paragraph (a) of this section, except that 
the maximum amount of penalty sought against each violator in a penalty 
assessment proceeding can not exceed $200,000, unless the Administrator 
and the Attorney General jointly determine that a matter involving a 
larger penalty amount is appropriate for administrative penalty 
assessment. Any such determination by the Administrator and the Attorney 
General is not subject to judicial review. Assessment of a civil penalty 
is made by an order made on the record after opportunity for a hearing 
held in accordance with the procedures found at part 22 of this chapter. 
The Administrator may compromise, or remit, with or without conditions, 
any administrative penalty which may be imposed under this section.
    (2) Determining amount. In determining the amount of any civil 
penalty assessed under this subsection, the Administrator is to take 
into account the gravity of the violation, the economic benefit or 
savings (if any) resulting

[[Page 396]]

from the violation, the size of the violator's business, the violator's 
history of compliance with Title II of the Act, action taken to remedy 
the violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) Effect of administrator's action. (i) Action by the 
Administrator under this paragraph does not affect or limit the 
Administrator's authority to enforce any provisions of this part; except 
that any violation with respect to which the Administrator has commenced 
and is diligently prosecuting an action under this part, or for which 
the Administrator has issued a final order not subject to further 
judicial review and for which the violator has paid a penalty assessment 
under this part may not be the subject of a civil penalty action under 
paragraph (b) of this section.
    (ii) No action by the Administrator under this part affects a 
person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this subsection is to 
become final 30 days after its issuance unless a petition for judicial 
review is filed under paragraph (c)(5) of this section.
    (5) Judicial review. (i) A person against whom a civil penalty is 
assessed in accordance with this subsection may seek review of the 
assessment in the United States District Court for the District of 
Columbia or for the district in which the violation is alleged to have 
occurred, in which such person resides, or where the person's principle 
place of business is located, within the 30-day period beginning on the 
date a civil penalty order is issued. The person must simultaneously 
send a copy of the filing by certified mail to the Administrator and the 
Attorney General.
    (ii) The Administrator must file in the court within 30 days a 
certified copy, or certified index, as appropriate, of the record on 
which the order was issued. The court is not to set aside or remand any 
order issued in accordance with the requirements of this paragraph 
unless substantial evidence does not exist in the record, taken as a 
whole, to support the finding of a violation or unless the 
Administrator's assessment of the penalty constitutes an abuse of 
discretion, and the court is not to impose additional civil penalties 
unless the Administrator's assessment of the penalty constitutes an 
abuse of discretion. In any proceedings, the United States may seek to 
recover civil penalties assessed under this section.
    (6) Collection. (i) If any person fails to pay an assessment of a 
civil penalty imposed by the Administrator as provided in this part 
after the order making the assessment has become final or after a court 
in an action brought under paragraph (c)(5) of this section has entered 
a final judgment in favor of the Administrator, the Administrator is to 
request that the Attorney General bring a civil action in an appropriate 
district court to recover the amount assessed (plus interest at rates 
established pursuant to section 6621(a)(2) of the Internal Revenue Code 
of 1986 from the date of the final order or the date of final judgment, 
as the case may be). In such an action, the validity, amount, and 
appropriateness of the penalty is not subject to review.
    (ii) A person who fails to pay on a timely basis the amount of an 
assessment of a civil penalty as described in paragraph (c)(6)(i) of 
this section is required to pay, in addition to that amount and 
interest, the United States' enforcement expenses, including attorney's 
fees and costs for collection proceedings, and a quarterly nonpayment 
penalty for each quarter during which the failure to pay persists. The 
nonpayment penalty is an amount equal to 10 percent of the aggregate 
amount of that person's penalties and nonpayment penalties which are 
unpaid as of the beginning of such quarter.



Sec. 91.1107  Warranty provisions.

    (a) The manufacturer of each marine SI engine must warrant to the 
ultimate purchaser and each subsequent purchaser that the engine is 
designed, built, and equipped so as to conform at the time of sale with 
applicable regulations under section 213 of the Act, and is free from 
defects in materials and workmanship which cause such engine to fail to 
conform with applicable regulations for its warranty period (as 
determined under Sec. 91.1203).

[[Page 397]]

    (b) In the case of an engine part, the manufacturer or rebuilder of 
the part may certify according to Sec. 85.2112 of this chapter that use 
of the part will not result in a failure of the engine to comply with 
emission standards promulgated in this part.
    (c) For the purposes of this section, the owner of any engine 
warranted under this part is responsible for the proper maintenance of 
the engine. Proper maintenance includes replacement and service, at the 
owner's expense at a service establishment or facility of the owner's 
choosing, such items as spark plugs, points, condensers, and any other 
part, item, or device related to emission control (but not designed for 
emission control) under the terms of the last sentence of section 
207(a)(3) of the Act, unless such part, item, or device is covered by 
any warranty not mandated by this Act.



Sec. 91.1108  In-use compliance provisions.

    (a) Effective with respect to marine engine and vessels manufactured 
during model years 1997 and after:
    (1) If the Administrator determines that a substantial number of any 
class or category of engines, although properly maintained and used, do 
not conform to the regulations prescribed under section 213 of the Act 
when in actual use throughout their useful life (as defined under 
Sec. 91.105(a)), the Administrator shall immediately notify the 
manufacturer of such nonconformity and require the manufacturer to 
submit a plan for remedying the nonconformity of the engines with 
respect to which such notification is given.
    (i) The manufacturer's plan shall provide that the nonconformity of 
any such engines which are properly used and maintained will be remedied 
at the expense of the manufacturer.
    (ii) If the manufacturer disagrees with such determination of 
nonconformity and so advises the Administrator, the Administrator shall 
afford the manufacturer and other interested persons an opportunity to 
present their views and evidence in support thereof at a public hearing. 
Unless, as a result of such hearing, the Administrator withdraws such 
determination of nonconformity, the Administrator shall, within 60 days 
after the completion of such hearing, order the manufacturer to provide 
prompt notification of such nonconformity in accordance with paragraph 
(a)(2) of this section. The manufacturer shall comply in all respects 
with the requirements of subpart I of this part.
    (2) Any notification required to be given by the manufacturer under 
paragraph (a)(1) of this section with respect to any class or category 
of engines shall be given to dealers, ultimate purchasers, and 
subsequent purchasers (if known) in such manner and containing such 
information as required in subparts I and J of this part.
    (3)(i) The manufacturer shall furnish with each new engine written 
instructions for the proper maintenance and use of the engine by the 
ultimate purchaser as required under Sec. 91.1204. The manufacturer 
shall provide in boldface type on the first page of the written 
maintenance instructions notice that maintenance, replacement, or repair 
of the emission control devices and systems may be performed by any 
engine repair establishment or individual using any engine part which 
has been certified as provided in Sec. 91.1107(b).
    (ii) The instruction under paragraph (a)(3)(i) of this section must 
not include any condition on the ultimate purchaser's using, in 
connection with such engine, any component or service (other than a 
component or service provided without charge under the terms of the 
purchase agreement) which is identified by brand, trade, or corporate 
name. Subject instructions also must not directly or indirectly 
distinguish between service performed by the franchised dealers of such 
manufacturer, or any other service establishments with which such 
manufacturer has a commercial relationship, and service performed by 
independent engine repair facilities with which such manufacturer has no 
commercial relationship.
    (iii) The prohibition of paragraph (a)(3)(ii) of this section may be 
waived by the Administrator if:
    (A) The manufacturer satisfies the Administrator that the engine 
will function properly only if the component or service so identified is 
used in connection with such engine, and

[[Page 398]]

    (B) The Administrator finds that such a waiver is in the public 
interest.
    (iv) In addition, the manufacturer shall indicate by means of a 
label or tag permanently affixed to the engine that the engine is 
covered by a certificate of conformity issued for the purpose of 
assuring achievement of emission standards prescribed under section 213 
of the Act. This label or tag shall also contain information relating to 
control of emissions as prescribed under Sec. 91.113.
    (b) The manufacturer bears all cost obligation a dealer incurs as a 
result of a requirement imposed by paragraph (a) of this section. The 
transfer of any such cost obligation from a manufacturer to a dealer 
through franchise or other agreement is prohibited.
    (c) If a manufacturer includes in an advertisement a statement 
respecting the cost or value of emission control devices or systems, the 
manufacturer shall set forth in the statement the cost or value 
attributed to these devices or systems by the Secretary of Labor 
(through the Bureau of Labor Statistics). The Secretary of Labor, and 
his or her representatives, has the same access for this purpose to the 
books, documents, papers, and records of a manufacturer as the 
Comptroller General has to those of a recipient of assistance for 
purposes of section 311 of the Act.
    (d) Any inspection of a engine for purposes of paragraph (a)(1) of 
this section, after its sale to the ultimate purchaser, is to be made 
only if the owner of such vehicle or engine voluntarily permits such 
inspection to be made, except as may be provided by any state or local 
inspection program.



        Subpart M--Emission Warranty and Maintenance Instructions



Sec. 91.1201  Applicability.

    The requirements of this subpart M are applicable to all engines 
subject to the provisions of subpart A of this part 91.



Sec. 91.1202  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 91.1203  Emission warranty, warranty period.

    (a) Warranties imposed by this subpart shall be phased in according 
to the following schedule.
    (1) For model years 1998-2000, and for MY 1997 engine families 
certified pursuant to Sec. 91.205, all emission related components shall 
be warranted for a period of one year of engine use.
    (2) For model years 2001-2003:
    (i) Emission related components shall be warranted for a period of 
one year of engine use.
    (ii) Specified major emission control components shall be warranted 
for a period of three years or 200 hours of engine use, whichever occurs 
first.
    (3) For model years 2004 and beyond:
    (i) Emission-related components shall be warranted for a period of 
two years or 200 hours of engine use, whichever occurs first.
    (ii) Specified major emission control components shall be warranted 
for a period of three years or 200 hours of engine use, whichever occurs 
first.
    (b) The manufacturer of each new marine SI engine must warrant to 
the ultimate purchaser and each subsequent purchaser, that the engine is 
designed, built, and equipped so as to conform at the time of sale with 
applicable regulations under section 213 of the Act, and the engine is 
free from defects in materials and workmanship which cause such engine 
to fail to conform with applicable regulations for its warranty period.
    (c) In the case of a marine SI engine part, the manufacturer or 
rebuilder of the part may certify according to Sec. 85.2112 ot this 
chapter that use of the part will not result in a failure of the engine 
to comply with emission standards promulgated in this part.
    (d) For the purposes of this section, the owner of any marine SI 
engine warranted under this part is responsible for the proper 
maintenance of the engine as stated in the manufacturer's written 
instructions. Proper maintenance generally includes replacement and 
service, at the owner's expense at a service establishment or facility 
of the owner's choosing, such items as spark plugs, points, condensers, 
and any other part, item, or device related to emission control (but not 
designed for

[[Page 399]]

emission control) under the terms of the last sentence of section 
207(a)(3) of the Act, unless such part, item, or device is covered by 
any warranty not mandated by this Act.



Sec. 91.1204  Furnishing of maintenance and use instructions to ultimate 
purchaser.

    (a) The manufacturer must furnish or cause to be furnished to the 
ultimate purchaser of each new marine SI engine written instructions for 
the maintenance and use needed to assure proper functioning of the 
emission control system.
    (b) The manufacturer must provide in boldface type on the first page 
of the written maintenance instructions notice that maintenance, 
replacement, or repair of the emission control devices and systems may 
be performed by any marine SI engine repair establishment or individual.
    (c) The instructions under paragraph (a) of this section will not 
include any condition on the ultimate purchaser's using, in connection 
with such engine, any component or service (other than a component or 
service provided without charge under the terms of the purchase 
agreement) which is identified by brand, trade, or corporate name. Such 
instructions also will not directly or indirectly distinguish between 
service performed by the franchised dealers of such manufacturer or any 
other service establishments with which such manufacturer has a 
commercial relationship and service performed by independent marine 
engine repair facilities which such manufacturer has no commercial 
relationship.
    (d) The prohibition of paragraph (c) of this section may be waived 
by the Administrator if:
    (1) The manufacturer satisfies the Administrator that the engine 
will function properly only if the component or service so identified is 
used in connection with such engine, and
    (2) The Administrator finds that such a waiver is in the public 
interest.



         Subpart N--In-Use Credit Program for New Marine Engines



Sec. 91.1301  Applicability.

    Marine SI engines subject to the provisions of subpart A of this 
part 91 are eligible to participate in the in-use credit program 
described in this subpart.



Sec. 91.1302  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions shall also apply to this subpart:
    Averaging means the exchange of marine engine in-use emission 
credits among engine families within a given manufacturer's product 
line.
    Banking means the retention of marine engine in-use emission credits 
by the manufacturer generating the emission credits for use in future 
model year averaging or trading as permitted by these regulations.
    Carry-over engine family means an engine family which undergoes 
certification using carryover test data from previous model years. See 
Sec. 91.118(c).
    Emission credits or in-use credits represent the amount of emission 
reduction or exceedance, for each regulated pollutant, by a marine 
engine family below or above, respectively, the applicable certification 
family emission limit (FEL) to which the engine family is certified. 
Emission reductions below the FEL are considered ``positive credits,'' 
while emission exceedances above the FEL are considered ``negative or 
required credits.''
    Banked credits refer to positive emission credits based on actual 
applicable production/sales volume as contained in the end of model year 
in-use testing reports submitted to EPA. Some or all of these banked 
credits may be revoked if EPA review of the end of model year in-use 
testing reports or any subsequent audit action(s) uncovers problems or 
errors.
    Trading means the exchange of marine SI engine in-use emission 
credits between manufacturers and/or brokers.

[[Page 400]]

    Compliance level for an engine family is determined by averaging the 
in-use test results from each engine.



Sec. 91.1303  General provisions.

    (a) The in-use credit program for eligible marine engines is 
described in this subpart. Participation in this program is voluntary.
    (b) A marine SI engine family is eligible to participate in the in-
use credit program if it is subject to regulation under subpart B of 
this part with certain exceptions specified in paragraph (c) of this 
section.
    (c) Marine SI engines may not participate in the in-use averaging, 
banking, and trading program if they are delivered to a ``point of first 
retail sale'' outside of the U.S., as defined in Sec. 91.202.
    (d) Credits generated and used in the marine engine certification 
averaging, banking, and trading program pursuant to the provisions of 
subpart C of this part are not interchangeable with credits generated 
and used in the marine engine in-use credit program.
    (e) An engine family with a compliance level, as determined by in-
use testing pursuant to subpart I of this part and paragraph (h) of this 
section, below the applicable FEL to which the engine family is 
certified may generate emission credits for averaging, banking, or 
trading in the in-use credit program.
    (f) Positive credits generated in a given model year may be used in 
that model year and/or in any subsequent model year.
    (g) A manufacturer of an engine family with a compliance level 
exceeding the applicable FEL to which the engine family is certified, 
may, prior to the date of the report required under paragraph (j) of 
this section use previously banked credits, purchase credits from 
another manufacturer, or perform additional testing pursuant to 
paragraph (i) of this section to address (as calculated elsewhere in 
this subpart) the associated credit deficit (negative credits or a need 
for credits).
    (h) A manufacturer may carry-over an in-use credit deficit up to and 
including model year 2003. Beginning with model year 2004, all 
manufacturers must have a zero or positive credit balance.
    (i) A manufacturer must notify EPA of plans to test additional 
engine families beyond the maximum 25 percent required in subpart I of 
this part for the in-use testing program. Such notice must be submitted 
30 days prior to initiation of service accumulation. EPA may approve, 
with adequate justification, the use of an existing fleet for additional 
testing. If the additional testing discovers an engine family to be in 
noncompliance with the applicable FEL, the testing must be treated as if 
it were a failure of the normal in-use testing requirement of an engine 
family.
    (j) Manufacturers must demonstrate a zero or positive credit balance 
under the in-use credit program for a particular model year within 90 
days of the end of the in-use testing of that model year's engine 
families, or at the same time as the final certification AB&T report 
(required under Sec. 91.210), whichever is later.



Sec. 91.1304  Averaging.

    (a) A manufacturer may use averaging across engine families to 
demonstrate a zero or positive credit balance for a model year. Positive 
credits to be used in averaging may be obtained from credits generated 
by another engine family of the same model year, credits banked in 
previous model years, or credits obtained through trading.
    (b) Beginning in model year 2004, credits used to demonstrate a zero 
or positive credit balance must be used at a rate of 1.1 to 1.



Sec. 91.1305  Banking.

    (a) A manufacturer of a marine SI engine family with an in-use 
compliance level below the applicable FEL to which the engine family is 
certified for a given model year may bank positive in-use credits for 
that model year for use in in-use averaging and trading.
    (b) A manufacturer may consider credits banked 30 days after the 
submission of the report required by Sec. 91.1309(a). During the 30 day 
period EPA will work with the manufacturer to correct any error in 
calculating banked credits, if necessary.

[[Page 401]]



Sec. 91.1306  Trading.

    (a) A marine engine manufacturer may exchange positive in-use 
emission credits with other marine engine manufacturers through trading.
    (b) In-use credits for trading can be obtained from credits banked 
for model years prior to the model year of the engine family requiring 
in-use credits.
    (c) Traded in-use credits can be used for averaging, banking, or 
further trading transactions.
    (d) Unless otherwise approved by EPA, a manufacturer that generates 
positive in-use credits must wait 30 days after it has both completed 
in-use testing for the model year for which the credits were generated 
and submitted the report required by Sec. 91.1309(a) before it may 
transfer credits to another manufacturer or broker.
    (e) In the event of a negative credit balance resulting from a 
transaction, both the buyer and the seller are liable, except in cases 
involving fraud. Engine families participating in a negative trade may 
be subject to recall under subpart I of this part.



Sec. 91.1307  Credit calculation.

    For each participating engine family, emission credits (positive or 
negative) are to be calculated according to the following equation and 
rounded, in accordance with ASTM E29-93a, to the nearest gram. ASTM E29-
93a has been incorporated by reference. See Sec. 91.6. Consistent units 
are to be used throughout the equation. The following equation is used 
to determine the credit status for an engine family whether generating 
positive or negative in-use emission credits:
[GRAPHIC] [TIFF OMITTED] TR04OC96.053

Where:

S(t)=cumulative fraction survived at time t;
[mu]life=average useful life in years, specific to the power 
rating and the application as given below.
[GRAPHIC] [TIFF OMITTED] TR04OC96.055

Power=the average power of an engine family in kW (sales weighted). The 
power of each configuration is the rated output in kilowatts as 
determined by SAE J1228. This procedure has been incorporated by 
reference. See Sec. 91.6.
t=time in model years
max useful life=maximum useful life specific to the power rating and the 
application; max useful life = 2[mu]life
sales = the number of eligible sales tracked to the point of first 
retail sale in the U.S. for the given engine family during the model 
year.
FEL=the family emission limit for the engine family in grams per 
kilowatt hour.
CL=compliance level of the in-use testing in g/kW-hr.
[mu]use=mean use in hours per year. For outboard engines, 
[mu]use=34.8 hrs /yr. For personal watercraft, 
[mu]use=77.3 hrs/yr;
AF=adjustment factor for the number of tests conducted

 
 
------------------------------------------------------------------------
No. eng. tested.........................   2*, 4       6       8      10
Adjustment factor.......................      .5     .75      .9       1
* Small volume manufacturer



Sec. 91.1308  Maintenance of records.

    (a) Any manufacturer that is participating in the in-use credit 
program set forth in this subpart shall establish, maintain, and retain 
the records required by Sec. 91.209 with respect to its participation in 
the in-use credit program.
    (b) EPA may void ab initio a certificate of conformity for an engine 
family for which the manufacturer fails to retain the records required 
under this section or to provide such information to the Administrator 
upon request.

[[Page 402]]



Sec. 91.1309  Reporting requirements.

    (a) Any manufacturer who participates in the in-use credit program 
is required to submit an end of the model year in-use testing report 
either within 90 days of the end of the model year in-use testing of a 
given model year's engine families, or at the same time as the final 
certification AB&T report (required under Sec. 91.210), whichever is 
later. The end of the model year in-use testing report must contain the 
required information and show the calculated credits from all the in-use 
testing conducted by the manufacturer for a given model year.
    (b) Reports shall be submitted to: Manager, Engine Compliance 
Programs Group 6403-J, U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    (c) A manufacturer that fails to submit a timely report as required 
in paragraph (a) of this section will be considered to not have 
participated in the in-use credit program.
    (d) If EPA or the manufacturer determines that a reporting error 
occurred on an end of model year report previously submitted to EPA 
under this subpart, or an engine family in-use testing report submitted 
to EPA under subpart I, the manufacturer's credits and credit 
calculations will be recalculated. Erroneous positive credits will be 
void. Erroneous negative credits may be adjusted by EPA. An update of 
previously submitted ``point of first retail sale'' information is not 
considered an error and no increase in the number of credits will be 
allowed unless an actual error occurred in the calculation of credits 
due to an error in the ``point of first retail sale'' information from 
the time of the original end of model year report.



Sec. 91.1310  Notice of opportunity for hearing.

    Any voiding of an engine family's certificate of conformity under 
Sec. 91.1308(b) of this subpart will occur only after the manufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Sec. Sec. 91.512, 91.513, 91.514 and 91.515.



PART 92--CONTROL OF AIR POLLUTION FROM LOCOMOTIVES AND LOCOMOTIVE ENGINES--
Table of Contents




 Subpart A--General Provisions for Emission Regulations for Locomotives 
                         and Locomotive Engines

Sec.
92.1  Applicability.
92.2  Definitions.
92.3  Abbreviations.
92.4  Treatment of confidential information.
92.5  Reference materials.
92.6  Regulatory structure.
92.7  General standards.
92.8  Emission standards.
92.9  Compliance with emission standards.
92.10  Warranty period.
92.11  Compliance with emission standards in extraordinary 
          circumstances.
92.12  Interim provisions.

                       Subpart B--Test Procedures

92.101  Applicability.
92.102  Definitions and abbreviations.
92.103  Test procedures; overview.
92.104  Locomotive and engine testing; overview.
92.105  General equipment specifications.
92.106  Equipment for loading the engine.
92.107  Fuel flow measurement.
92.108  Intake and cooling air measurements.
92.109  Analyzer specifications.
92.110  Weighing chamber and micro-balance.
92.111  Smoke measurement system.
92.112  Analytical gases.
92.113  Fuel specifications.
92.114  Exhaust gas and particulate sampling and analytical system.
92.115  Calibrations; frequency and overview.
92.116  Engine output measurement system calibrations.
92.117  Gas meter or flow instrumentation calibration, particulate 
          measurement.
92.118  Analyzer checks and calibrations.
92.119  Hydrocarbon analyzer calibration.
92.120  NDIR analyzer calibration and checks.
92.121  Oxides of nitrogen analyzer calibration and check.
92.122  Smoke meter calibration.
92.123  Test procedure; general requirements.
92.124  Test sequence; general requirements.
92.125  Pre-test procedures and preconditioning.
92.126  Test run.
92.127  Emission measurement accuracy.
92.128  Particulate handling and weighing.
92.129  Exhaust sample analysis.
92.130  Determination of steady-state concentrations.
92.131  Smoke, data analysis.
92.132  Calculations.

[[Page 403]]

92.133  Required information.

                   Subpart C--Certification Provisions

92.201  Applicability.
92.202  Definitions.
92.203  Application for certification.
92.204  Designation of engine families.
92.205  Prohibited controls, adjustable parameters.
92.206  Required information.
92.207  Special test procedures.
92.208  Certification.
92.209  Certification with multiple manufacturers or remanufacturers.
92.210  Amending the application and certificate of conformity.
92.211  Emission-related maintenance instructions for purchasers.
92.212  Labeling.
92.213  Submission of locomotive and engine identification numbers.
92.214  Production locomotives and engines.
92.215  Maintenance of records; submittal of information; right of 
          entry.
92.216  Hearing procedures.

   Subpart D--Certification Averaging, Banking, and Trading Provisions

92.301  Applicability.
92.302  Definitions.
92.303  General provisions.
92.304  Compliance requirements.
92.305  Credit generation and use calculation.
92.306  Certification.
92.307  Labeling.
92.308  Maintenance of records.
92.309  Reports.
92.310  Notice of opportunity for hearing.

  Subpart E--Emission-Related Defect Reporting Requirements, Voluntary 
                         Emission Recall Program

92.401  Applicability.
92.402  Definitions.
92.403  Emission defect information report.
92.404  Voluntary emissions recall reporting.
92.405  Alternative report formats.
92.406  Reports filing: record retention.
92.407  Responsibility under other legal provisions preserved.
92.408  Disclaimer of production warranty applicability.

 Subpart F--Manufacturer and Remanufacturer Production Line Testing and 
                             Audit Programs

92.501  Applicability.
92.502  Definitions.
92.503  General requirements.
92.504  Right of entry and access.
92.505  Sample selection for testing.
92.506  Test procedures.
92.507  Sequence of testing.
92.508  Calculation and reporting of test results.
92.509  Maintenance of records; submittal of information.
92.510  Compliance with criteria for production line testing.
92.511  Remanufactured locomotives: installation audit requirements.
92.512  Suspension and revocation of certificates of conformity.
92.513  Request for public hearing.
92.514  Administrative procedures for public hearing.
92.515  Hearing procedures.
92.516  Appeal of hearing decision.
92.517  Treatment of confidential information.

                    Subpart G--In-Use Testing Program

92.601  Applicability.
92.602  Definitions.
92.603  General provisions.
92.604  In-use test procedure.
92.605  General testing requirements.
92.606  Maintenance, procurement and testing of in-use locomotives.
92.607  In-use test program reporting requirements.

                      Subpart H--Recall Regulations

92.701  Applicability.
92.702  Definitions.
92.703  Voluntary emissions recall.
92.704  Notice to manufacturer or remanufacturer of nonconformity; 
          submission of remedial plan.
92.705  Remedial plan.
92.706  Approval of plan: Implementation.
92.707  Notification to locomotive or locomotive engine owners.
92.708  Records and reports.
92.709  Public hearings.

   Subpart I--Importation of Nonconforming Locomotives and Locomotive 
                                 Engines

92.801  Applicability.
92.802  Definitions.
92.803  Admission.
92.804  Exemptions.
92.805  Prohibited acts; penalties.

              Subpart J--Exclusion and Exemption Provisions

92.901  Purpose and applicability.
92.902  Definitions.
92.903  Exclusions.
92.904  Exemptions.
92.905  Testing exemption.
92.906  Manufacturer-owned, remanufacturer-owned exemption and display 
          exemption.
92.907  Non-locomotive-specific engine exemption.

[[Page 404]]

92.908  National security exemption.
92.909  Export exemptions.
92.910  Granting of exemptions.
92.911  Submission of exemption requests.

     Subpart K--Requirements Applicable to Owners and Operators of 
                   Locomotives and Locomotive Engines

92.1001  Applicability.
92.1002  Definitions.
92.1003  In-use testing program.
92.1004  Maintenance and repair.
92.1005  In-use locomotives.
92.1006  Refueling requirements.

      Subpart L--General Enforcement Provisions and Prohibited Acts

92.1101  Applicability.
92.1102  Definitions.
92.1103  Prohibited acts.
92.1104  General enforcement provisions.
92.1105  Injunction proceedings for prohibited acts.
92.1106  Penalties.
92.1107  Warranty provisions.
92.1108  In-use compliance provisions.

Appendix I to Part 92--Emission-Related Locomotive and Engine Parameters 
          and Specifications
Appendix II to Part 92--Interpretive Ruling for Sec. 92.705--Remedial 
          Plans
Appendix III to Part 92--Smoke Standards for Non-normalized Measurements
Appendix IV to Part 92--Guidelines for Determining Equivalency Between 
          Emission Measurement Systems

    Authority: 42 U.S.C. 7522, 7523, 7524, 7525, 7541, 7542, 7543, 7545, 
7547, 7549, 7550 and 7601(a).

    Source: 63 FR 18998, Apr. 16, 1998, unless otherwise noted.



 Subpart A--General Provisions for Emission Regulations for Locomotives 
                         and Locomotive Engines



Sec. 92.1  Applicability.

    (a) Except as noted in paragraph (b) of this section, the provisions 
of this part apply to manufacturers, remanufacturers, owners and 
operators of:
    (1) Locomotives and locomotive engines manufactured on or after 
January 1, 2000; and
    (2) Locomotives and locomotive engines manufactured on or after 
January 1, 1973 and remanufactured on or after January 1, 2000; and
    (3) Locomotives and locomotive engines manufactured prior to January 
1, 1973, and upgraded on or after January 1, 2000.
    (b) The requirements and prohibitions of this part do not apply with 
respect to:
    (1) Steam locomotives, as defined in Sec. 92.2;
    (2) Locomotives powered solely by an external source of electricity;
    (3) Locomotive engines which provide only hotel power (see 40 CFR 
part 89 to determine if such engines are subject to EPA emission 
requirements); or
    (4) Nonroad vehicles excluded from the definition of locomotive in 
Sec. 92.2, and the engines used in such nonroad vehicles (see 40 CFR 
parts 86 and 89 to determine if such vehicles or engines are subject to 
EPA emission requirements).
    (c) For cases in which there are multiple entities meeting the 
definition of manufacturer or remanufacturer, see Sec. 92.209 for 
guidance.



Sec. 92.2  Definitions.

    (a) The definitions of this section apply to this subpart. They also 
apply to all subparts of this part, except where noted otherwise.
    (b) As used in this part, all terms not defined in this section 
shall have the meaning given them in the Act:
    Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq.).
    Administrator means the Administrator of the Environmental 
Protection Agency or his/her authorized representative.
    Aftertreatment system or aftertreatment component or aftertreatment 
technology means any system or component or technology mounted 
downstream of the exhaust valve or exhaust port whose design function is 
to reduce exhaust emissions.
    Alcohol fuel means a fuel consisting primarily (more than 50 percent 
by weight) of one or more alcohols: e.g., methyl alcohol, ethyl alcohol.
    Alternator/generator efficiency means the ratio of the electrical 
power output from the alternator/generator to the mechanical power input 
to the alternator/generator at the operating point.
    Alternator/generator input horsepower means the mechanical 
horsepower input to the main alternator or generator of a locomotive. 
For the purpose

[[Page 405]]

of calculating brake horsepower, alternator/generator input horsepower 
does not include any power used to circulate engine coolant, circulate 
engine lubricant, or to supply fuel to the engine.
    Applicable standard means a standard to which a locomotive or 
locomotive engine is subject; or, where a locomotive or locomotive 
engine is certified another standard or FEL, applicable standard means 
the other standard or FEL to which the locomotive or locomotive engine 
is certified, as allowed by Sec. 92.8. This definition does not apply to 
subpart D of this part.
    Auxiliary emission control device (AECD) means any element of design 
which senses temperature, locomotive speed, engine RPM, atmospheric 
pressure, manifold pressure or vacuum, or any other parameter for the 
purpose of activating, modulating, delaying, or deactivating the 
operation of any part of the emission control system (including, but not 
limited to injection timing); or any other feature that causes in-use 
emissions to be higher than those measured under test conditions, except 
as allowed by this part.
    Auxiliary engine means a locomotive engine that provides hotel 
power, but does not provide power to propel the locomotive.
    Auxiliary power means the power provided by the main propulsion 
engine to operate accessories such as cooling fans.
    Averaging for locomotives and locomotive engines means the exchange 
of emission credits among engine families within a given manufacturer's, 
or remanufacturer's, product line.
    Banking means the retention of emission credits by a credit holder 
for use in future calendar year averaging or trading as permitted by the 
regulations in this part.
    Brake horsepower means the sum of the alternator/generator input 
horsepower and the mechanical accessory horsepower, excluding any power 
used to circulate engine coolant, circulate engine lubricant, or to 
supply fuel to the engine.
    Calibration means the set of specifications, including tolerances, 
unique to a particular design, version, or application of a component, 
or components, or assembly capable of functionally describing its 
operation over its working range. This definition does apply to subpart 
B of this part.
    Class I freight railroad means a Class I railroad that primarily 
transports freight rather than passengers.
    Class I railroad means a railroad that has been classified as a 
Class I railroad by the Surface Transportation Board.
    Class II railroad means a railroad that has been classified as a 
Class II railroad by the Surface Transportation Board.
    Class III railroad means a railroad that has been classified as a 
Class III railroad by the Surface Transportation Board.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Crankcase emissions means emissions to the atmosphere from any 
portion of the crankcase ventilation or engine lubrication systems.
    Defeat device means an AECD or other control feature that reduces 
the effectiveness of the emission control system under conditions which 
may reasonably be expected to be encountered in normal locomotive 
operation and use, unless the AECD or other control feature has been 
identified by the certifying manufacturer or remanufacturer in the 
application for certification, and:
    (1) Such conditions are substantially represented by the portion of 
the federal test procedure during which the applicable emission rates 
are measured;
    (2) The need for the AECD is justified in terms of protecting the 
locomotive or locomotive engine against damage or accident; or
    (3) The AECD does not go beyond the requirements of engine starting.
    Deterioration factor means the difference between exhaust emissions 
at the end of useful life and exhaust emissions at the low mileage test 
point expressed as either: the ratio of exhaust emissions at the end of 
useful life to exhaust emissions at the low mileage test point (for 
multiplicative deterioration factors); or the difference between

[[Page 406]]

exhaust emissions at the end of useful life exhaust emissions at the low 
mileage test point (for additive deterioration factors).
    Diesel fuel means any fuel suitable for use in diesel engines, and 
which is commonly or commercially known or sold as diesel fuel.
    Emission control system means those devices, systems or elements of 
design which control or reduce the emission of substances from an 
engine. This includes, but is not limited to, mechanical and electronic 
components and controls, and computer software.
    Emission credits represent the amount of emission reduction or 
exceedance, by a locomotive engine family, below or above the emission 
standard, respectively. Emission reductions below the standard are 
considered as ``positive credits,'' while emission exceedances above the 
standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a calendar year waiting 
to be reported to EPA at the end of the calendar year. ``Actual 
credits'' refer to emission credits based on actual applicable 
production/sales volume as contained in the end-of-year reports 
submitted to EPA.
    Emission-data engine means an engine which is tested for purposes of 
emission certification or production line testing.
    Emission-data locomotive means a locomotive which is tested for 
purposes of emission certification or production line testing.
    Emission-related defect means a defect in design, materials, or 
workmanship in a device, system, or assembly described in the approved 
Application for certification which affects any parameter or 
specification enumerated in Appendix I of this part.
    Emission-related maintenance means that maintenance which 
substantially affects emissions or which is likely to affect the 
deterioration of the locomotive or engine with respect to emissions, as 
described in an approved Application for certification.
    Engine family means a group of locomotive or locomotive engine 
configurations which are expected to have similar emission 
characteristics throughout the useful lives of the locomotives and 
engines (see Sec. 92.204), and which are (or were) covered (or requested 
to be covered) by a specific certificate of conformity.
    Engine used in a locomotive means an engine incorporated into a 
locomotive or intended for incorporation into a locomotive.
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer or remanufacturer, with respect to compliance with the 
provisions of this part.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator or his/her designee.
    Ethanol means a fuel that contains at least 50 percent ethanol 
(ethyl alcohol, (C2H5OH)) by volume.
    Exhaust emissions means substances (i.e., gases and particles) 
emitted to the atmosphere from any opening downstream from the exhaust 
port or exhaust valve of a locomotive engine.
    Family Emission Limit means an emission level declared by the 
certifying manufacturer or remanufacturer to serve in lieu of an 
otherwise applicable emission standard for certification and compliance 
purposes in the averaging, banking and trading program. FELs are 
expressed to the same number of decimal places as the applicable 
emission standard.
    Freshly manufactured locomotive means a locomotive which is powered 
by a freshly manufactured engine, and which contains fewer than 25 
percent previously used parts (weighted by the dollar value of the 
parts).
    Freshly manufactured locomotive engine means a new locomotive engine 
which has not been remanufactured.
    Fuel system means the combination of fuel tank(s), fuel pump(s), 
fuel lines and filters, pressure regulator(s), and fuel injection 
components (or pressure regulator(s) and carburetor(s) if fuel injection 
is not employed), fuel system vents, and any other component involved in 
the delivery of fuel to the engine.

[[Page 407]]

    Gaseous fuel means a fuel which is a gas at standard temperature and 
pressure. This includes both natural gas and liquefied petroleum gas.
    Green engine factor means a factor that is applied to emission 
measurements from a locomotive or locomotive engine that has had little 
or no service accumulation. The green engine factor adjusts emission 
measurements to be equivalent to emission measurements from a locomotive 
or locomotive engine that has had approximately 300 hours of use.
    High-altitude means relating to an altitude greater than 4000 feet 
(1220 meters) and less than 7000 feet (2135 meters), or equivalent 
observed barometric test conditions of 25.7 to 22.7 inch Hg (88.5 to 
78.1 kilopascals).
    Hotel power means the power provided by an engine on a locomotive to 
operate equipment on passenger cars of a train; e.g., heating and air 
conditioning, lights, etc.
    Idle speed means that speed, expressed as the number of revolutions 
of the crankshaft per unit of time (e.g., rpm), at which the engine is 
set to operate when not under load for purposes of propelling the 
locomotive.
    Importer means an entity or person who imports locomotives or 
locomotive engines from a foreign country into the United States 
(including the Commonwealth of Puerto Rico, the Virgin Islands, Guam, 
American Samoa, and the Northern Mariana Islands).
    Inspect and qualify means to determine that a previously used 
component or system meets all applicable criteria listed for the 
component or system in a certificate of conformity for remanufacturing 
(e.g., determine that the component or system is functionally equivalent 
to one that has not been used previously).
    Installer means an individual or entity which assembles 
remanufactured locomotives or locomotive engines.
    Liquefied petroleum gas means the commercial product marketed as 
liquefied petroleum gas or propane.
    Locomotive means a self-propelled piece of on-track equipment 
designed for moving or propelling cars that are designed to carry 
freight, passengers or other equipment, but which itself is not designed 
or intended to carry freight, passengers (other than those operating the 
locomotive) or other equipment. Other equipment which is designed for 
operation both on highways and rails; specialized railroad equipment for 
maintenance, construction, post accident recovery of equipment, and 
repairs; and other similar equipment; and vehicles propelled by engines 
with rated horsepower of less than 750 kW (1006 hp) are not locomotives 
(see 40 CFR Parts 86 and 89 for this equipment).
    Locomotive engine means an engine incorporated into a locomotive or 
intended for incorporation into a locomotive.
    Low hour engine means an engine during the interval between the time 
that normal assembly operations and adjustments are completed and the 
time that 300 additional operating hours have been accumulated 
(including hours accumulated during emission testing if performed).
    Low idle speed means a speed which is less than normal idle speed, 
expressed as the number of revolutions of the crankshaft per unit of 
time, at which an engine can be set when not under load for purposes of 
propelling the locomotive.
    Low mileage locomotive means a locomotive during the interval 
between the time that normal assembly operations and adjustments are 
completed and the time that either 10,000 miles of locomotive operation 
or 300 additional operating hours have been accumulated (including 
emission testing if performed).
    Malfunction means a condition in which the operation of a component 
in a locomotive or locomotive engine occurs in a manner other than that 
specified by the certifying manufacturer or remanufacturer (e.g., as 
specified in the application for certification); or the operation of the 
locomotive or locomotive engine in that condition.
    Manufacturer means an individual or entity engaged in the 
manufacturing or assembling of freshly manufactured locomotives or 
freshly manufactured locomotive engines; or the importing of locomotives 
or locomotive engines originally manufactured on or after

[[Page 408]]

January 1, 1973 and not remanufactured. (See Secs. 92.1(c) and 92.209 
for applicability of this term.)
    Maximum rated horsepower means the maximum brake horsepower output 
of an engine.
    Mechanical accessory horsepower means the sum of mechanical 
horsepower generated by an engine to supply accessories. Mechanical 
accessory horsepower does not include power supplied to the main 
alternator or generator, power used to circulate engine coolant or 
engine lubricant, or power used to supply fuel to the engine.
    Methanol means a fuel that contains at least 50 percent methanol 
(methyl alcohol, (CH3OH)) by volume.
    Method of aspiration means the method whereby air for fuel 
combustion enters the engine (e.g., natural or turbocharged).
    Model year means a calendar year; except where the Administrator 
determines a different production period which includes January 1 of 
such calendar year.
    Natural gas means the commercial product marketed as natural gas 
whose primary constituent is methane.
    New locomotive or new locomotive engine means:
    (1)(i) A locomotive or locomotive engine the equitable or legal 
title to which has never been transferred to an ultimate purchaser; or
    (ii) A locomotive or locomotive engine which has been 
remanufactured, but has not been placed back into service.
    (2) Where the equitable or legal title to a locomotive or locomotive 
engine is not transferred prior to its being placed into service, the 
locomotive or locomotive engine ceases to be new when it is placed into 
service.
    (3) With respect to imported locomotives or locomotive engines, the 
term ``new locomotive'' or ``new locomotive engine'' means a locomotive 
or locomotive engine that is not covered by a certificate of conformity 
under this part at the time of importation, and that was manufactured or 
remanufactured after the effective date of the emission standards in 
this part which is applicable to such locomotive or engine (or which 
would be applicable to such locomotive or engine had it been 
manufactured or remanufactured for importation into the United States).
    (4) Notwithstanding paragraphs (1) through (3) of this definition, 
locomotives and locomotive engines which were originally manufactured 
before January 1, 1973 and which have not been upgraded are not new.
    (5) Notwithstanding paragraphs (1) through (3) of this definition, 
locomotives and locomotive engines which are owned by a small railroad 
and which have never been remanufactured into a certified configuration 
are not new.
    Nonconforming locomotive or nonconforming locomotive engine means a 
locomotive or locomotive engine which is not covered by a certificate of 
conformity prior to importation or being offered for importation (or for 
which such coverage has not been adequately demonstrated to EPA); or a 
locomotive or locomotive engine which was originally covered by a 
certificate of conformity, but which is not in a certified 
configuration, or otherwise does not comply with the conditions of that 
certificate of conformity.
    (Note: Domestic locomotives and locomotive engines which are not 
covered by a certificate of conformity prior to their introduction into 
U.S. commerce are considered to be noncomplying locomotives and 
locomotive engines.)
    Non-locomotive-specific engine means an engine that is sold for and 
used in non-locomotive applications more than for locomotive 
applications.
    Normal idle means relating to the idle throttle-notch position for 
locomotives that have one throttle-notch position, or the highest the 
idle throttle-notch position for locomotives that have two throttle-
notch positions.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke as measured and calculated 
under the provisions of subpart B of this part.
    Original manufacture means the event of freshly manufacturing a 
locomotive or locomotive engine. The date of original manufacture is the 
date of final assembly; except as provided in Sec. 92.11. Where a 
locomotive or locomotive engine is manufactured under Sec. 92.11, the 
date of original manufacture is the date on which the final assembly

[[Page 409]]

of locomotive or locomotive engine was originally scheduled.
    Original remanufacture means the first remanufacturing of a 
locomotive or locomotive engine at which the locomotive or locomotive 
engines is subject to the emission standards of this part.
    Oxides of nitrogen means nitric oxide and nitrogen dioxide. Oxides 
of nitrogen are expressed quantitatively as if the nitric oxide were in 
the form of nitrogen dioxide (oxides of nitrogen are assumed to have a 
molecular weight equivalent to nitrogen dioxide).
    Passenger locomotive means a locomotive designed and constructed for 
the primary purpose of propelling passenger trains, and providing power 
to the passenger cars of the train for such functions as heating, 
lighting and air conditioning.
    Petroleum fuel means a fuel primarily derived from crude oil (e.g., 
gasoline or diesel fuel).
    Power assembly means the components of an engine in which combustion 
of fuel occurs, and consists of the cylinder, piston and piston rings, 
valves and ports for admission of charge air and discharge of exhaust 
gases, fuel injection components and controls, cylinder head and 
associated components.
    Primary fuel means that type of fuel (e.g., diesel fuel) that is 
consumed in the greatest quantity (mass basis) when the locomotive or 
locomotive engine is operated in use.
    Produce means to manufacture or remanufacture. Where a certificate 
holder does not actually assemble the locomotives or locomotive engines 
that it manufactures or remanufactures, produce means to allow other 
entities to assemble locomotives or locomotive engines under the 
certificate holder's certificate.
    Railroad means a commercial entity that operates locomotives to 
transport passengers or freight.
    Rated horsepower means the maximum horsepower output of a locomotive 
engine in use.
    Remanufacture means:
    (1)(i) To replace, or inspect and qualify, each and every power 
assembly of a locomotive or locomotive engine, whether during a single 
maintenance event or cumulatively within a five year period; or
    (ii) To upgrade a locomotive or locomotive engine; or
    (iii) To convert a locomotive or locomotive engine to enable it to 
operate using a fuel other than it was originally manufactured to use; 
or
    (iv) To install a remanufactured engine or a freshly manufactured 
engine into a previously used locomotive.
    (2) Remanufacture also means the act of remanufacturing.
    Remanufacture system or remanufacturing system means all components 
(or specifications for components) and instructions necessary to 
remanufacture a locomotive or locomotive engine in accordance with 
applicable requirements of this part.
    Remanufactured locomotive means either a locomotive which is powered 
by a remanufactured locomotive engine, or a repowered locomotive.
    Remanufactured locomotive engine means a locomotive engine which has 
been remanufactured.
    Remanufacturer means an individual or entity that is engaged in the 
manufacture or assembly of remanufactured locomotives or locomotive 
engines, (including: Entities that design or produce the emission-
related parts used in remanufacturing; entities that install parts in an 
existing locomotive or locomotive engine to remanufacture it; and 
entities that own or operate the locomotive or locomotive engine and 
provide specifications as to how an engine is to be remanufactured 
(i.e., specifying who will perform the work, when the work is to be 
performed, what parts are to be used, or how to calibrate the adjustable 
parameters of the engine)); or an importer of remanufactured locomotives 
or locomotive engines. (See Secs. 92.1(c) and 92.209 for applicability 
of this term.)
    Repower means replacement of the engine in a previously used 
locomotive with a freshly manufactured locomotive engine. Replacing a 
locomotive engine with a freshly manufactured locomotive engine in a 
locomotive that has a refurbished or reconditioned chassis such that 
less than 25 of the parts of the locomotive were previously used (as 
weighted by dollar value) is not repowering.

[[Page 410]]

    Repowered locomotive means a locomotive that has been repowered with 
a freshly manufactured engine.
    Service life means the total life of a locomotive or locomotive 
engine. Service life begins when the locomotive or locomotive engine is 
originally manufactured and continues until the locomotive or locomotive 
engine is permanently removed from service.
    Small railroad means a railroad that is classified by the Small 
Business Administration as a small business.
    Small remanufacturer means a remanufacturer that is classified by 
the Small Business Administration as a small business.
    Smoke means the matter in the engine exhaust which obscures the 
transmission of light.
    Specified adjustable range means the range of allowable settings for 
an adjustable component specified by a certificate of conformity.
    Specified by a certificate of conformity or specified in a 
certificate of conformity means stated or otherwise specified in a 
certificate of conformity or an approved application for certification.
    Steam locomotive means a historic locomotive propelled by a steam 
engine.
    Switch locomotive means a locomotive designed or used solely for the 
primary purpose of propelling railroad cars a short distance, and that 
is powered by an engine with a maximum horsepower rating of 2300 hp or 
less.
    Test locomotive or locomotive engine means a locomotive or 
locomotive engine in a test sample.
    Test sample means the collection of locomotives or locomotive 
engines selected from the population of an engine family for emission 
testing or auditing.
    Throttle means the component, or components, which either directly 
or indirectly controls the fuel flow to the engine.
    Throttle notch means a discrete throttle position for a locomotive 
with a limited number of throttle positions.
    Throttle notch horsepower means the brake horsepower output of an 
engine corresponding to each throttle notch position, including dynamic-
brake settings.
    Throttle notch speed means the speed of the engine, expressed as the 
number of revolutions of the crankshaft per unit of time (e.g., rpm), 
corresponding to each throttle notch position, including dynamic-brake, 
and hotel power settings.
    Tier 0 means relating to emission standards applicable to 
locomotives originally manufactured before January 1, 2002; or relating 
to such locomotives.
     1 means relating to emission standards applicable to locomotives 
originally manufactured on or after January 1, 2002 and before January 
1, 2005; or relating to such locomotives.
    Tier 2 means relating to emission standards applicable to 
locomotives originally manufactured on or after January 1, 2005; or 
relating to such locomotives.
    Total Hydrocarbon Equivalent means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or 
other organic compounds that are measured separately as contained in a 
gas sample, expressed as gasoline-fueled vehicle hydrocarbons. The 
hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1. Total 
Hydrocarbon Equivalent is abbreviated THCE.
    Trading means the exchange of locomotive or locomotive engine 
emission credits between credit holders.
    United States. United States includes the customs territory of the 
United States as defined in 19 U.S.C. 1202, and the Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands.
    Upgrade means to modify a locomotive or locomotive engine that was 
originally manufactured prior to January 1, 1973 (or a locomotive or 
locomotive engine that was originally manufactured on or after January 
1, 1973, and that is not subject to the emission standards of this 
part), such that it is intended to comply with the Tier 0 standards. 
Upgrading is a type of remanufacturing.
    Useful life means the period during which the locomotive engine is 
designed to properly function in terms of reliability and fuel 
consumption, without being remanufactured, specified as work output or 
miles. It is the period during which a new locomotive or locomotive 
engine is required to comply with all applicable emission standards.

[[Page 411]]

    Volatile liquid fuel means any liquid fuel other than diesel or 
biodiesel.
    Voluntary emission recall means a repair, adjustment, or 
modification program voluntarily initiated and conducted by a 
manufacturer or remanufacturer to remedy any emission-related defect for 
which notification of locomotive or locomotive engine owners has been 
provided.



Sec. 92.3  Abbreviations.

    The abbreviations of this section apply to all subparts of this part 
and have the following meanings:

ANSI--American National Standards Institute
API--American Petroleum Institute
ASTM--American Society for Testing and Materials
BHP--Brake horsepower
BSCO--Brake specific carbon monoxide
BSHC--Brake specific hydrocarbons
BSNOX--Brake specific oxides of nitrogen
  deg.C--Celsius
cfh--cubic feet per hour
cfm--cubic feet per minute
CFV--Critical flow venturi
CL--Chemiluminescence
CO--Carbon monoxide
CO2--Carbon dioxide
cu in--cubic inch(es)
CVS--Constant volume sampler
EP--End point
EPA--Environmental Protection Agency
  deg.F--Fahrenheit
FEL--Family emission limit
FID--Flame ionization detector
ft--foot or feet
g--gram(s)
gal--U.S. gallon
GC--Gas Chromatograph
h--hour(s)
H2O--water
HC--hydrocarbon
HFID--Heated flame ionization detector
Hg--Mercury
hp--horsepower
IBP--Initial boiling point
in--inch(es)
K--Kelvin
kg--kilogram(s)
km--kilometer(s)
kPa--kilopascal(s)
lb--pound(s)
LPG--Liquified Petroleum Gas
m--meter(s)
max--maximum
mg--milligram(s)
mi--mile(s)
min--minute
ml--milliliter(s)
mm--millimeter
mph--miles per hour
mv--millivolt(s)
N2--nitrogen
NDIR--Nondispersive infrared
NMHC--Non-methane hydrocarbons
NO--nitric oxide
NO2--nitrogen dioxide
NOX--oxides of nitrogen
No.--number
O2--oxygen
pct--percent
PM--particulate matter
ppm--parts per million by volume
ppmC--parts per million, carbon
psi--pounds per square inch
psig--pounds per square inch gauge
 deg.R--Rankin
rpm--revolutions per minute
s--second(s)
SAE--Society of Automotive Engineers
SI--International system of units (i.e., metric)
THCE--Total hydrocarbon equivalent
U.S.--United States
V--volt(s)
vs--versus
W--watt(s)
wt--weight



Sec. 92.4  Treatment of confidential information.

    (a) Any manufacturer or remanufacturer may assert that some or all 
of the information submitted pursuant to this part is entitled to 
confidential treatment as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this part is 
confidential, a person or manufacturer or remanufacturer must indicate 
clearly the items of information claimed confidential by marking, 
circling, bracketing, stamping, or otherwise specifying the confidential 
information. Furthermore, EPA requests, but does not require, that the 
submitter also provide a second copy of its submittal from which all 
confidential information has been deleted. If a need arises to publicly 
release nonconfidential information, EPA will assume that the submitter 
has accurately deleted the confidential information from this second 
copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this part is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
EPA only to the extent and

[[Page 412]]

by means of the procedures set forth in 40 CFR part 2, subpart B.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).



Sec. 92.5  Reference materials.

    (a) The documents in paragraph (b) of this section have been 
incorporated by reference. The incorporation by reference was approved 
by the Director of the Federal Register in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Copies may be inspected at U.S. EPA, OAR, 401 
M St., SW., Washington, DC 20460, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
    (b) The following paragraphs and tables set forth the material that 
has been incorporated by reference in this part:
    (1) ASTM material. The following table sets forth material from the 
American Society for Testing and Materials that has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of the part, other than this 
section, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. More recent 
versions of these standards may be used with advance approval of the 
Administrator. Copies of these materials may be obtained from American 
Society for Testing and Materials, 1916 Race St., Philadelphia, PA 
19103. The table follows:

------------------------------------------------------------------------
          Document number and name            40 CFR part 92  reference
------------------------------------------------------------------------
ASTM D 86-95, Standard Test Method for       Sec.  92.113
 Distillation of Petroleum Products.
ASTM D 93-94, Standard Test Methods for      Sec.  92.113
 Flash-Point by Pensky-Martens Closed Cup
 Tester.
ASTM D 287-92, Standard Test Method for API  Sec.  92.113
 Gravity of Crude Petroleum and Petroleum
 Products (Hydrometer Method).
ASTM D 445-94, Standard Test Method for      Sec.  92.113
 Kinematic Viscosity of Transparent and
 Opaque Liquids (the Calculation of Dynamic
 Viscosity).
ASTM D 613-95, Standard Test Method for      Sec.  92.113
 Cetane Number of Diesel Fuel Oil.
ASTM D 976-91, Standard Test Method for      Sec.  92.113
 Calculated Cetane Index of Distillate
 Fuels.
ASTM D 1319-95, Standard Test Method for     Sec.  92.113
 Hydrocarbon Types in Liquid Petroleum
 Products by Fluorescent Indicator
 Adsorption.
ASTM D 1945-91, Standard Test Method for     Sec.  92.113
 Analysis of Natural Gas by Gas
 Chromatography.
ASTM D 2622-94, Standard Test Method for     Sec.  92.113
 Sulfur in Petroleum Products by X-Ray
 Spectrometry.
ASTM D 5186-91, Standard Test Method for     Sec.  92.113
 Determination of Aromatic Content of
 Diesel Fuels by Supercritical Fluid
 Chromatography.
ASTM E 29-93a, Standard Practice for Using   Secs.  92.9, 92.305, 92.509
 Significant Digits in Test Data to
 Determine Conformance with Specifications.
------------------------------------------------------------------------

    (2) SAE material. The following table sets forth material from the 
Society of Automotive Engineers that has been incorporated by reference. 
The first column lists the number and name of the material. The second 
column lists the section(s) of the part, other than this section, in 
which the matter is referenced. The second column is presented for 
information only and may not be all inclusive. Copies of these materials 
may be obtained from Society of Automotive Engineers International, 400 
Commonwealth Dr., Warrendale, PA 15096-0001. The table follows:

------------------------------------------------------------------------
          Document number and name             40 CFR part 92 reference
------------------------------------------------------------------------
SAE Paper 770141, Optimization of a Flame     Sec.  92.119
 Ionization Detector for Determination of
 Hydrocarbon in Diluted Automotive Exhausts,
 by Glenn D. Reschke.
SAE Recommended Practice J244, Measurement    Sec.  92.108
 of Intake Air or Exhaust Gas Flow of Diesel
 Engines.
------------------------------------------------------------------------

    (3) ANSI material. The following table sets forth material from the 
American National Standards Institute that has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of the part, other than this 
section, in which the matter is referenced. The second column is 
presented for information only and

[[Page 413]]

may not be all inclusive. More recent versions of these standards may be 
used with advance approval of the Administrator. Copies of these 
materials may be obtained from American National Standards Institute, 11 
West 42nd St., 13th Floor, New York, NY 10036. The table follows:

------------------------------------------------------------------------
          Document number and name             40 CFR part 92 reference
------------------------------------------------------------------------
ANSI B109.1-1992, Diaphragm Type Gas         Sec.  92.117
 Displacment Meters.
------------------------------------------------------------------------



Sec. 92.6  Regulatory structure.

    This section provides an overview of the regulatory structure of 
this part.
    (a) The regulations of this part 92 are intended to control 
emissions from in-use locomotives. Because locomotive chassis and 
locomotive engines are sometimes manufactured or remanufactured 
separately, the regulations in this part include some provisions that 
apply specifically to locomotive engines. However, the use of the term 
``locomotive engine'' in the regulations in this part does not limit in 
any manner the liability of any manufacturer or remanufacturer for the 
emission performance of a locomotive powered by an engine that it has 
manufactured or remanufactured.
    (b) The locomotives and locomotive engines for which the regulations 
of this part (i.e., 40 CFR part 92) apply are specified by Sec. 92.1, 
and by the definitions of Sec. 92.2. The point at which a locomotive or 
locomotive engine becomes subject to the regulations of this part is 
determined by the definition of ``new locomotive or new locomotive 
engine'' in Sec. 92.2. Subpart J of this part contains provisions 
exempting certain locomotives or locomotive engines from the regulations 
in this part under special circumstances.
    (c) To comply with the requirements of this part, a manufacturer or 
remanufacturer must demonstrate to EPA that the locomotive or locomotive 
engine meets the applicable standards of Secs. 92.7 and 92.8, and all 
other requirements of this part. The requirements of this certification 
process are described in subparts C and D of this part.
    (d) Subpart B of this part specifies procedures and equipment to be 
used for conducting emission tests for the purpose of the regulations of 
this part.
    (e) Subparts E, F, G, and H of this part specify requirements for 
manufacturers and remanufacturers after certification; that is during 
production and use of the locomotives and locomotive engines.
    (f) Subpart I of this part contains requirements applicable to the 
importation of locomotives and locomotive engines.
    (g) Subpart K of this part contains requirements applicable to the 
owners and operators of locomotives and locomotive engines.
    (h) Subpart L of this part describes prohibited acts and contains 
other enforcement provisions relating to locomotives and locomotive 
engines.
    (i) Unless specified otherwise, the provisions of this part apply to 
all locomotives and locomotive engines subject to the emission standards 
of this part.



Sec. 92.7  General standards.

    (a) Locomotives and locomotive engines may not be equipped with 
defeat devices.
    (b) New locomotives fueled with a volatile fuel shall be designed to 
minimize evaporative emissions during normal operation, including 
periods when the engine is shut down.
    (c)(1) Locomotive hardware for refueling locomotives fueled with a 
volatile fuel shall be designed so as to minimize the escape of fuel 
vapors.
    (2) Hoses used to refuel gaseous-fueled locomotives shall not be 
designed to be bled or vented to the atmosphere under normal operating 
conditions.
    (3) No valves or pressure relief vents shall be used on gaseous-
fueled locomotives except as emergency safety devices, and these shall 
not operate at normal system operating flows and pressures.
    (d) All new locomotives and new locomotive engines subject to any of 
the standards imposed by this subpart shall, prior to sale, introduction 
into service, or return to service, be designed to include features that 
compensate for changes in altitude to ensure that the locomotives or 
locomotive engines will comply with the

[[Page 414]]

applicable emission standards when operated at any altitude less than 
7000 feet above sea level.



Sec. 92.8  Emission standards.

    (a) Exhaust standards. Exhaust emissions from locomotives and 
locomotive engines, when measured in accordance with the provisions of 
Subpart B of this part, shall comply with both the applicable line-haul 
duty-cycle standards, and the applicable switch duty-cycle standards of 
paragraph (a)(1) (and/or the standards of paragraphs (a)(3) and (a)(4) 
of this section, as applicable) of this section, and the smoke standards 
of paragraph (a)(2) of this section. Emissions that do not exceed the 
standards comply with the standards.
    (1) Gaseous and particulate standards. Gaseous and particulate 
emission standards are expressed as gram per brake horsepower hour (g/
bhp-hr). Non-methane hydrocarbon standards apply to locomotives and 
locomotive engines fueled with natural gas, and any combination of 
natural gas and other fuels where natural gas is the primary fuel; total 
hydrocarbon equivalent standards apply to locomotives and locomotive 
engines fueled with an alcohol, and any combination of alcohol and other 
fuels where alcohol is the primary fuel. Total hydrocarbon standards 
apply to all other locomotives and locomotive engines; that is, those 
not fueled by natural gas or alcohol. The line-haul duty-cycle standards 
and switch duty-cycle standards apply to the respective cycle-weighted 
emission rates as calculated in subpart B of this part.
    (i) Tier 0. The following locomotives (and the engines used in the 
following locomotives) are subject to the Tier 0 emission standards 
listed in Table A8-1 of this section: Locomotives manufactured on, or 
after, January 1, 1973, and before January 1, 2002; and upgraded 
locomotives manufactured prior to January 1, 1973. The standards apply 
when such a locomotive or locomotive engine is manufactured, 
remanufactured, or imported on or after January 1, 2002; except where 
the locomotive was previously certified to one or more FELs under 
subpart D of this part instead of the applicable standards, in which 
case, the applicable standards are replaced at each subsequent 
remanufacture by the FELs specified by the previous certificate. 
Example: a locomotive that is certified to a NOX FEL of 8.0 
g/bhp-hr must be recertified to a NOX FEL of 8.0 g/bhp-hr at 
each subsequent remanufacture, except as allowed by paragraph 
(a)(4)(iii) of this section.
    (ii) Tier 1. Locomotives and engines used in locomotives 
manufactured on, or after, January 1, 2002, and before January 1, 2005 
are subject to the Tier 1 standards listed in Table A8-2 of this 
section. The standards apply when such a locomotive or locomotive engine 
is manufactured or imported, and each time it is remanufactured; except 
where the locomotive was previously certified to one or more FELs under 
subpart D of this part instead of the applicable standard, in which 
case, the standards are replaced at each subsequent remanufacture by the 
FELs specified by the previous certificate.
    (iii) Tier 2. Locomotives and engines used in locomotives 
manufactured on, or after, January 1, 2005 are subject to the Tier 2 
standards listed in Table A8-3 of this section. The standards apply when 
such a locomotive or locomotive engine is manufactured or imported, and 
each time it is remanufactured except where the locomotive was 
previously certified to one or more FELs under subpart D of this part 
instead of the applicable standard, in which case, the standards are 
replaced at each subsequent remanufacture by the FELs specified by the 
previous certificate.
    (2) Smoke standards. The smoke opacity standards listed in Table A8-
4 of this section apply, as specified in the table, to locomotives and 
locomotive engines subject to the Tier 0, Tier 1, or Tier 2 standards. 
Smoke emissions, when measured in accordance with the provisions of 
Subpart B of this part, shall not exceed the standards of Table A8-4 of 
this section.
    (3) Alternate standards. In lieu of the CO and PM standards 
specified in paragraph (a)(1) of this section, manufacturers and 
remanufacturers may elect to comply with the alternate CO and PM 
standards listed in Table A8-5 of this section. Manufacturers and 
remanufacturers electing to comply with these alternate standards must 
comply

[[Page 415]]

with both the CO and PM standards listed in Table A8-5 of this section.
    (4) Averaging, banking and trading. (i) In lieu of the 
NOX and/or PM standards specified in paragraph (a)(1) of this 
section, manufacturers and remanufacturers may elect to include engine 
families in the averaging, banking, and trading program, the provisions 
of which are specified in subpart D of this part. The manufacturer or 
remanufacturer must set family emission limits (FEL) for the applicable 
duty-cycle. This FEL serves as the standard for that family.
    (ii) When a locomotive is certified to an FEL other than the 
applicable standard, it must be recertified to that same FEL at all 
subsequent remanufactures, except as specified otherwise in paragraph 
(a)(4)(iii) of this section.
    (iii) After a locomotive has been certified to any given FEL other 
than the applicable standard, it may be recertified to a different FEL 
at a subsequent remanufacture, as allowed by subpart D of this part. For 
subsequent remanufactures (i.e. those remanufactures that occur after 
the recertification to a different FEL), the locomotive must be 
recertified to the FEL(s) and standards that were applicable to the 
locomotive during its previous useful life, except where specified 
otherwise by subpart D of this part.
    (5) Tables. The tables referenced in paragraphs (a) (1) through (3) 
of this section follow:

                      Table A8-1--Tier 0 Standards
                               [g/bhp-hr]
------------------------------------------------------------------------
                                                   Line-haul
                                                   \1\ cycle    Switch
                                                   standard      cycle
                                                               standard
------------------------------------------------------------------------
NOX.............................................         9.5        14.0
PM..............................................        0.60        0.72
CO..............................................         5.0         8.0
THC.............................................        1.00        2.10
NMHC............................................        1.00        2.10
THCE............................................        1.00        2.10
------------------------------------------------------------------------
\1\ Line-haul standards do not apply to Tier 0 switch locomotives.


                      Table A8-2--Tier 1 Standards
                               [g/bhp-hr]
------------------------------------------------------------------------
                                                   Line-haul    Switch
                                                     cycle       cycle
                                                   standard    standard
------------------------------------------------------------------------
NOX.............................................         7.4        11.0
PM..............................................        0.45        0.54
CO..............................................         2.2         2.5
THC.............................................        0.55        1.20
NMHC............................................        0.55        1.20
THCE............................................        0.55        1.20
------------------------------------------------------------------------


                      Table A8-3--Tier 2 Standards
                               [g/bhp-hr]
------------------------------------------------------------------------
                                                   Line-haul    Switch
                                                     cycle       cycle
                                                   standard    standard
------------------------------------------------------------------------
NOX.............................................         5.5         8.1
PM..............................................        0.20        0.24
CO..............................................         1.5         2.4
THC.............................................        0.30        0.60
NMHC............................................        0.30        0.60
THCE............................................        0.30        0.60
------------------------------------------------------------------------


               Table A8-4--Smoke Standards for Locomotives
                            [Percent Opacity]
------------------------------------------------------------------------
                                             Steady-   30-sec     3-sec
                                              state     peak      peak
------------------------------------------------------------------------
Tier 0....................................        30        40        50
Tier 1....................................        25        40        50
Tier 2....................................        20        40        50
------------------------------------------------------------------------


                Table A8-5--Alternate CO and PM Standards
                               [g/bhp-hr]
------------------------------------------------------------------------
                                                Line-haul   Switch cycle
                                                  cycle    -------------
                                             --------------
                                                CO     PM     CO     PM
------------------------------------------------------------------------
Tier 0......................................   10.0   0.30   12.0   0.36
Tier 1......................................   10.0   0.22   12.0   0.27
Tier 2......................................   10.0   0.10   12.0   0.12
------------------------------------------------------------------------

    (b) No crankcase emissions shall be discharged directly into the 
ambient atmosphere from any new locomotive or new locomotive engine. 
Discharge of crankcase emissions into the engine exhaust complies with 
this prohibition, provided crankcase emissions are measured and included 
with exhaust emissions. Compliance with this standard is required 
throughout the entire service life of the locomotive or locomotive 
engine.
    (c) Notch standards. (1) Exhaust emissions from locomotives and 
locomotive engines shall not exceed the notch standards set forth in 
paragraph (c)(2) of this section, except as allowed in paragraph (c)(3) 
of this section, when

[[Page 416]]

measured using any test procedures under any test conditions.
    (2) Notch standards for each pollutant for each notch are calculated 
from the certified notch emission rate as follows:

Notch standard=(Ex)x(1.1+(1-ELHx/std))

Where:

Ex=The deteriorated brake-specific emission rate (for 
pollutant x) for the notch (i.e., the brake-specific emission rate 
calculated under subpart B of this part, multplied by the deterioration 
factor in the application for certification expressed as a 
multiplicative deterioration factor); where x is NOX, HC (or 
NMHC or THCE, as applicable), CO or PM.
ELHx=The deteriorated line-haul duty-cycle weighted brake-
specific emission rate for pollutant x, as reported in the application 
for certification.
std=The applicable line-haul duty-cycle standard, or the certified line-
haul duty-cycle FEL for locomotives or locomotive engines participating 
in the averaging, banking and trading program for NOx or PM.

    (3) Where exhaust emissions exceed the notch standards set forth in 
paragraph (c)(2) of this section, the locomotive or locomotive engine is 
considered to be in compliance with such standards only if:
    (i) The same emission controls are applied during the test 
conditions causing the noncompliance as were applied during 
certification test conditions (and to the same degree); or
    (ii) The exceeding emissions result from a design feature that was 
described (including its effect on emissions) in the approved 
application for certification, and is necessary for safety or is 
otherwise allowed by this part.



Sec. 92.9  Compliance with emission standards.

    (a) The general standards in Sec. 92.7 and the emission standards in 
Sec. 92.8 apply to the emissions from new locomotives and new locomotive 
engines for their useful life. The useful life is specified as MW-hrs 
and years, and ends when either of the values (MW-hrs or years) is 
exceeded.
    (1) The minimum useful life in terms of MW-hrs is equal to the 
product of the rated horsepower multiplied by 7.50. The minimum useful 
life in terms of years is ten years. For locomotives or locomotive 
engines originally manufactured before January 1, 2000 and not equipped 
with MW-hr meters, the minimum useful life is equal to 750,000 miles or 
ten years, whichever is reached first.
    (2) The certifying manufacturer or remanufacturer shall specify a 
longer useful life if the locomotive or locomotive engine is designed to 
last longer than the applicable minimum useful life. A manufacturer's or 
remanufacturer's recommended time to remanufacture which is longer than 
the minimum useful life is one indicator of a longer design life.
    (3) Manufacturers and remanufacturers of non-locomotive-specific 
engines (as defined in Sec. 92.2) may petition the Administrator prior 
to certification to allow a shorter useful life for an engine family 
containing only non-locomotive-specific engines. This petition must 
include the full rationale behind the request together with any other 
supporting evidence. Based on this or other information, the 
Administrator may allow a shorter useful life.
    (4) Remanufacturers of locomotive or locomotive engine 
configurations that have been previously certified under paragraph 
(a)(3) of this section to a useful life that is shorter than the value 
specified in paragraph (a)(1) of this section may certify to that same 
useful life value without request.
    (b) Certification. Certification is the process by which 
manufacturers and remanufacturers apply for and obtain certificates of 
conformity from EPA that allow the manufacturer or remanufacturer to 
introduce into commerce new locomotives and/or new locomotive engines 
for sale or use in the U.S.
    (1)(i) Compliance with the applicable emission standards by an 
engine family must be demonstrated by the certifying manufacturer or 
remanufacturer before a certificate of conformity may be issued under 
Sec. 92.208.
    (A) Manufacturers shall demonstrate compliance using emission data, 
measured using the procedures specified in subpart B of this part, from 
a low mileage locomotive, or a development engine (that is equivalent in 
design to the locomotive engines being certified), or another low hour 
engine.

[[Page 417]]

    (B) Remanufacturers shall demonstrate compliance using emission 
data, measured using the procedures specified in subpart B of this part, 
from a low mileage remanufactured locomotive, or a development engine 
(that is equivalent in design to the locomotive engines being 
certified), or another low hour remanufactured engine that was 
remanufactured in the manner specified in the application for 
certification.
    (ii) The emission values to compare with the standards shall be the 
emission values of a low mileage locomotive, or development engine, or 
low hour locomotive engine, adjusted by the deterioration factors 
developed in accordance with the provisions of paragraph (b)(2) of this 
section. Before any emission value is compared with the standard, it 
shall be rounded, in accordance with ASTM E 29-93a (incorporated by 
reference at Sec. 92.5), to the same number of significant figures as 
contained in the applicable standard.
    (2) Exhaust emission deterioration factors shall be determined by 
the certifying manufacturer or remanufacturer for each engine family. 
The manufacturer's or remanufacturer's determination is subject to the 
requirements of paragraph (b)(2)(iv) of this section. The deterioration 
factor relates emissions from low mileage or low hour data to emissions 
at the end of useful life. If certification data is obtained from a 
development engine, and the emissions performance of that engine is 
significantly different from a typical low hour engine, then the 
deterioration factors may be adjusted for the purpose of certification.
    (i) A separate exhaust emission deterioration factor shall be 
established, as required, for compliance with applicable emission 
standards for HC, THCE, NMHC, CO, NOX, particulate and smoke 
for each engine family.
    (ii)(A) For locomotives or locomotive engines not utilizing 
aftertreatment technology (e.g., catalyst). For HC, THCE, NMHC, CO, 
NOX, and PM, additive deterioration factors shall be used; 
that is, a deterioration factor that when added to the low mileage 
emission rate equals the emission rate at the end of useful life. 
However, if the deterioration factor supplied by the manufacturer or 
remanufacturer is less than zero, it shall be zero for the purposes of 
this section.
    (B) For locomotives or locomotive engines utilizing aftertreatment 
technology (e.g., catalyst). For HC, THCE, NMHC, CO, NOX, and 
PM, Multiplicative deterioration factors shall be used; that is 
deterioration factors that when multiplied by the low mileage emission 
rate equal the emission rate at the end of useful life. However, if the 
deterioration factor supplied by the manufacturer or remanufacturer is 
less than one, it shall be one for the purposes of this paragraph (b).
    (C) For all locomotives and locomotive engines. For smoke, additive 
deterioration factors shall be used. However, if the deterioration 
factor supplied by the manufacturer or remanufacturer is less than zero, 
it shall be zero for the purposes of this paragraph (b).
    (iii) In the case of a multiplicative exhaust emission deterioration 
factor, the factor shall be rounded to three places to the right of the 
decimal point in accordance with ASTM E 29-93a (incorporated by 
reference at Sec. 92.5). In the case of an additive exhaust emission 
deterioration factor, the factor shall be established to a minimum of 
two places to the right of the decimal in accordance with ASTM E 29-93a 
(incorporated by reference at Sec. 92.5).
    (iv) Every deterioration factor must be, in the Administrator's 
judgement, consistent with emissions increases observed in-use based on 
emission testing of similar locomotives or locomotive engines. 
Deterioration factors that predict emission increases over the useful 
life of a locomotive or locomotive engine that are significantly less 
than the emission increases over the useful life observed from in-use 
testing of similar locomotives or locomotive engines shall not be used.



Sec. 92.10  Warranty period.

    Warranties imposed by Sec. 92.1107 shall apply for at least the 
first third of the full useful life of the locomotive or locomotive 
engine, or for the same period during which the manufacturer or 
remanufacturer provides any other mechanical warranty, whichever is 
longer.

[[Page 418]]

A copy of the manufacturer's or remanufacturer's warranty shall be 
submitted with the application for certification.



Sec. 92.11  Compliance with emission standards in extraordinary circumstances.

    The provisions of this section are intended to address problems that 
could occur near the date on which more stringent emission standards 
become effective, such as the transition from the Tier 1 standards to 
the Tier 2 standards on January 1, 2005.
    (a) In appropriate extreme and unusual circumstances which are 
clearly outside the control of the manufacturer and which could not have 
been avoided by the exercise of prudence, diligence, and due care, the 
Administrator may permit a manufacturer, for a brief period, to 
introduce into commerce locomotives which do not comply with the 
applicable emission standards if:
    (1) The locomotives cannot reasonably be manufactured in such a 
manner that they would be able to comply with the applicable standards;
    (2) The manufacture of the locomotives was substantially completed 
prior to the applicability date of the standards from which the 
manufacturer seeks relief;
    (3) Manufacture of the locomotives was previously scheduled to be 
completed at such a point in time that locomotives would have been 
included in the previous model year, such that they would have been 
subject to less stringent standards, and that such schedule was feasible 
under normal conditions;
    (4) The manufacturer demonstrates that the locomotives comply with 
the less stringent standards that applied to the previous model year's 
production described in paragraph (a)(3) of this section, as prescribed 
by subpart C of this part (i.e., that the locomotives are identical to 
locomotives certified in the previous model year);
    (5) The manufacturer exercised prudent planning and was not able to 
avoid the violation and has taken all reasonable steps to minimize the 
extent of the nonconformity; and
    (6) The manufacturer receives approval from EPA prior to introducing 
the locomotives into commerce.
    (b) Any manufacturer seeking relief under this section shall notify 
EPA as soon as it becomes aware of the extreme or unusual circumstances.
    (c)(1) Locomotives for which the Administrator grants relief under 
this section shall be included in the engine family for which they were 
originally intended to be included.
    (2) Where the locomotives are to be included in an engine family 
that was certified to an FEL above the applicable standard, the 
manufacturer shall reserve credits to cover the locomotives covered by 
this section, and shall include the required information for these 
locomotives in the end-of-year report required by subpart D of this 
part.
    (d) In granting relief under this section, the Administrator may 
also set other conditions as he/she determines to be appropriate, such 
as requiring payment of fees to negate an economic gain that such relief 
would otherwise provide to the manufacturer.



Sec. 92.12  Interim provisions.

    Notwithstanding other provisions of this part, the following 
provisions apply as specified to locomotives and locomotive engines 
subject to the provisions of this part:
    (a) Tier 0 standards. In addition to the requirements of 
Sec. 92.8(a)(1)(i), the following new locomotives and new locomotive 
engines are subject to the Tier 0 emission standards of Sec. 92.8. The 
requirements of this paragraph do not apply to passenger locomotives. 
The requirements of this paragraph (a) provide manufacturers of freshly 
manufactured locomotives two options for compliance. The first option is 
to comply with the requirements of paragraphs (a) (1) and (2) of this 
section, which has the effect of requiring compliance with Tier 0 
standards on average beginning on January 1, 2001 for all freshly 
manufactured and remanufactured locomotives originally manufactured on 
or after January 1, 1994. The second option requires compliance with the 
requirements of paragraph (a)(3) of this section that the manufacturer 
make a remanufacturing system available at a

[[Page 419]]

reasonable cost for its primary model for the 1994 through 1997 
production period prior to January 1, 2000, and to apply the same 
emission controls to its new production of similar locomotives. 
Manufacturers complying with paragraph (a)(3) of this section would be 
allowed to manufacture and remanufacture other locomotives without a 
certificate of conformity, prior to January 1, 2002, except as required 
by paragraph (a)(2)(ii) of this section. Manufacturers may comply with 
paragraph (a)(3) of this section through compliance with the provisions 
of paragraph (a)(5) of this section.
    (1) Freshly manufactured locomotives. Except as provided in 
paragraph (a)(3) of this section, all freshly manufactured locomotives 
manufactured on or after January 1, 2001 must comply with the emission 
standards listed in Table A8-1 of Sec. 92.8 and all other applicable 
requirements of this part.
    (2) Remanufactured locomotives. The following locomotives (and 
engines used in the following locomotives) must comply with the emission 
standards listed in Table A8-1 of Sec. 92.8 and all other applicable 
requirements of this part:
    (i) Locomotives originally manufactured on or after January 1, 1994, 
that are remanufactured on or after January 1, 2001; and
    (ii) Locomotives originally manufactured on or after January 1, 1990 
for which a remanufacturing system has been certified to Tier 0 
standards and is available for use at reasonable cost.
    (3) New model exemption. (i) Freshly manufactured locomotive models 
not introduced for widespread production prior to January 1, 1998 are 
exempt from the requirements of paragraph (a)(1) of this section 
provided the manufacturer of the locomotive:
    (A) Has obtained a certificate of conformity and made available for 
use at reasonable cost before January 1, 2000, a remanufacturing system 
for its primary locomotive model (including its primary engine model) 
originally manufactured between January 1, 1994 and January 1, 1998; and
    (B) Complies with the emission standards listed in Table A8-1 of 
Sec. 92.8 and all applicable requirements of this part for all freshly 
manufactured locomotives manufactured on or after January 1, 2000 that 
are similar to the primary model described in paragraph (a)(3)(i)(A) of 
this section.
    (ii) New locomotives and locomotive engines that are manufactured 
and remanufactured by a manufacturer that complies with the requirements 
of paragraphs (a)(3)(i) (A) and (B) of this section, and that are not 
similar to the locomotive models identified in paragraphs (a)(3)(i) (A) 
and (B) of this section are exempt from the requirements of paragraphs 
(a)(1) and (a)(2)(i) of this section.
    (4) Make available at a reasonable cost means to make a certified 
remanufacturing system available for use where:
    (i) The total cost to the owner and user of the locomotive 
(including initial hardware, increased fuel consumption, and increased 
maintenance costs) during the useful life of the locomotive is less than 
$220,000; and
    (ii) The initial hardware costs are reasonably related to the 
technology included in the remanufacturing system and are less than 
$50,000 for 2-stroke locomotives and 4-stroke locomotives equipped with 
split cooling systems, or $125,000 for 4-stroke locomotives not equipped 
with split cooling systems; and
    (iii) The system will not increase fuel consumption by more than 3 
percent; and
    (iv) The remanufactured locomotive will have reliability throughout 
its useful life that is similar to the reliability the locomotive would 
have had if it had been remanufactured without the certified 
remanufacture system.
    (5)(i) Instead of the provisions of paragraph (a)(3) of this 
section, a manufacturer may comply with the emissions standards listed 
in Table A8-1 of Sec. 92.8 and all other applicable requirements of this 
part with respect to any combination of locomotive models that are 
manufactured or remanufactured on or after January 1, 2000, provided 
that the manufacturer has demonstrated to the satisfaction of the 
Administrator that such locomotives will produce greater emissions 
reductions than would otherwise occur through compliance with paragraph 
(a)(3) of this section.

[[Page 420]]

    (ii) New locomotives and locomotive engines that are manufactured 
and remanufactured by a manufacturer that complies with the requirements 
of paragraph (a)(5)(i) of this section, and that are not similar to the 
locomotive models identified in paragraph (a)(5)(i) of this section, are 
exempt from the requirements of paragraphs (a)(1) and (a)(2)(i) of this 
section.
    (b) Production line and in-use testing. (1) The requirements of 
subpart F of this part (i.e., production line testing) do not apply 
prior to January 1, 2002.
    (2) The requirements of subpart F of this part (i.e., production 
line testing) do not apply to small remanufacturers prior to January 1, 
2007.
    (3) The requirements of subpart G of this part (i.e., in-use 
testing) only apply for locomotives and locomotive engines that become 
new on or after January 1, 2002.
    (4) For locomotives and locomotive engines that are covered by a 
small business certificate of conformity, the requirements of subpart G 
of this part (i.e., in-use testing) only apply for locomotives and 
locomotive engines that become new on or after January 1, 2007.
    (c) Small business certificates of conformity. (1) Prior to January 
1, 2007, small remanufacturers (as defined in Sec. 92.2) may use a 
modified version of the federal test procedures of subpart B of this 
part to obtain certificates of conformity. Such certificates are valid 
only for production that occurs prior to January 1, 2007. Specifically, 
the following modifications are allowed:
    (i) Measurement of HC, CO, and PM may be omitted;
    (ii) Dynamometers are not required to meet the specifications of 
subpart B of this part, provided their design and use is consistent with 
good engineering practice;
    (iii) Other modifications that are necessary because of excessive 
costs or technical infeasibility may be approved by the Administrator 
prior to the start of testing.
    (2)(i) Small remanufacturers may use test procedures other than 
those specified in subpart B of this part or in paragraph (c)(1) of this 
section to obtain certificates of conformity, provided that the test 
procedures are consistent with good engineering practice, and are 
approved by the Administrator prior to the start of testing. Such 
certificates are valid only for production that occurs prior to January 
1, 2007.
    (ii) The total number of locomotives and locomotive engines that may 
be remanufactured under a certificate of conformity issued based on the 
testing described in paragraph (c)(2)(i) of this section shall be 
subject to the following annual limits for each individual 
remanufacturer: No more than 300 units in 2003, no more than 200 units 
in 2004, no more than 100 units in 2005, no more than 50 units in 2006. 
These sales limits apply to the combined number of locomotives and 
locomotive engines remanufactured within the calendar year that are 
covered by an individual remanufacturer's certificates issued under 
paragraph (c)(2)(i) of this section.
    (3) Upon request, and prior to January 1, 2007, the Administrator 
may modify other certification requirements, as appropriate, for small 
remanufacturers.
    (4) Remanufacturers certifying under this paragraph (c) shall 
provide along with their application for certification a brief 
engineering analysis describing the emission control technology to be 
incorporated in the remanufactured locomotive or locomotive engine, and 
demonstrating that such controls will result in compliance with the 
applicable standards.
    (d) Early banking of emission credits. (1) Consistent with the 
provisions of subpart D of this part, NOx and PM emission credits may be 
generated from Tier 0 locomotives and locomotive engines prior to the 
applicable effective compliance date of the Tier 0 standard (i.e., the 
effective compliance date in Sec. 92.8(a)(1)(i) or the effective 
compliance dates of paragraph (a) of this section, as applicable), 
relative to baseline emission rates.
    (2)(i) Credits generated under this paragraph (d) that are granted 
or transferred to the owner or primary operator of the locomotives or 
locomotive engines generating credits may be used without restriction.
    (ii) Credits generated under this paragraph (d) that are not granted 
or

[[Page 421]]

transferred to the owner or primary operator of the locomotives or 
locomotive engines generating credits may not be used for compliance 
with the Tier 0 standards for 2002 or later model years.
    (3)(i) Prior to January 1, 2000, the provisions of this paragraph 
(d) apply to all locomotives and locomotive engines.
    (ii) During the period January 1, 2000 through December 31, 2001, 
the provisions of this paragraph (d) apply only to engine families that 
include only locomotives and/or locomotive engines originally 
manufactured prior to January 1, 1990.
    (iii) The provisions of this paragraph (d) other than the provisions 
of paragraph (d)(2) of this section do not apply to any locomotives and 
locomotive engines manufactured or remanufactured on or after January 1, 
2002.
    (4)(i) NOX credits generated under this paragraph (d) 
shall be calculated as specified in Sec. 92.305, except that the 
applicable standard shall be replaced by:
    (A) 10.5 g/bhp-hr for the line-haul cycle standards, and 14.0 g/bhp-
hr for the switch standards; or
    (B) For remanufactured locomotives, a measured baseline emission 
rate for the configuration with the lowest NOX emission rate 
in the applicable engine family that is approved in advance by the 
Administrator.
    (ii) PM credits generated under this paragraph (d) shall be 
calculated as specified in Sec. 92.305, except that the applicable 
standard shall be replaced by:
    (A) 0.20 g/bhp-hr for the line-haul cycle standards, and 0.24 g/bhp-
hr for the switch standards; or
    (B) For remanufactured locomotives, a measured baseline emission 
rate for the configuration with the lowest NOX emission rate 
in the applicable engine family that is approved in advance by the 
Administrator.
    (iii) The proration factor for all credits generated under this 
paragraph (d) shall be 0.143.
    (5) Locomotives and locomotive engines generating credits under this 
paragraph (d) must meet all applicable requirements of this part.
    (e) Particulate notch standards. For model year 2006 and earlier 
locomotives, the particulate notch standard shall be calculated as:
Notch standard=(EX)x(1.2+(1-ELHx/std)).

    (f) Passenger locomotives. Passenger locomotives originally 
manufactured before January 1, 2002 are exempt from the requirements and 
prohibitions of this part for model years through 2006. New passenger 
locomotives and locomotive engines produced on or after January 1, 2007 
shall comply with all applicable requirements of this part.



                       Subpart B--Test Procedures



Sec. 92.101  Applicability.

    Provisions of this subpart apply to tests performed by the 
Administrator, certificate holders, other manufacturers and 
remanufacturers of locomotives or locomotive engines, railroads (and 
other owners and operators of locomotives), and their designated testing 
laboratories. This subpart contains gaseous emission test procedures, 
particulate emission test procedures, and smoke test procedures for 
locomotives and locomotive engines.



Sec. 92.102  Definitions and abbreviations.

    The definitions and abbreviations of subpart A of this part apply to 
this subpart. The following definitions and abbreviations, as well as 
those found in Sec. 92.132 (Calculations), also apply:
    Accuracy means the difference between the measured value and the 
true value, where the true value is determined from NIST traceable 
measurements where possible, or otherwise determined by good engineering 
practice.
    Calibration means the act of calibrating an analytical instrument 
using known standards.
    Calibration gas means a gas of known concentration which is used to 
establish the response curve of an analyzer.
    Good engineering practice means those methods and practices which 
the Administrator determines to be consistent with scientific and 
engineering principles.
    Hang-up refers to the process of hydrocarbon molecules being 
adsorbed, condensed, or by any other method removed from the sample flow 
prior to reaching the instrument detector. It also refers to any 
subsequent

[[Page 422]]

desorption of the molecules into the sample flow when they are assumed 
to be absent.
    Parts per million, carbon or ppmC means the concentration of an 
organic compound in a gas expressed as parts per million (by volume or 
by moles) multiplied by the number of carbon atoms in a molecule of that 
compound.
    Precision means the standard deviation of replicated measurements, 
or one-half of the readability, whichever is greater; except where 
explicitly noted otherwise.
    Readability means the smallest difference in measured values that 
can be detected. For example, the readability for a digital display with 
two decimal places would be 0.01.
    Span gas means a gas of known concentration which is used routinely 
to set the output level of an analyzer.
    Standard conditions and standard temperature and pressure mean 68 
deg.F (20  deg.C) and 29.92 in Hg. (101.3 kPa).



Sec. 92.103  Test procedures; overview.

    (a) This subpart contains procedures for exhaust emission tests of 
locomotives and locomotive engines. The procedures specified here are 
intended to measure brake-specific mass emissions of organic compounds 
(hydrocarbons for locomotives using petroleum diesel fuel), oxides of 
nitrogen, particulates, carbon monoxide, carbon dioxide, and smoke in a 
manner representative of a typical operating cycle.
    (b)(1) The sampling systems specified in this subpart are intended 
to collect representative samples for analysis, and minimize losses of 
all analytes.
    (i) For gaseous emissions, a sample of the raw exhaust is collected 
directly from the exhaust stream and analyzed during each throttle 
setting.
    (ii) Particulates are collected on filters following dilution with 
ambient air of a separate raw exhaust sample.
    (2) Analytical equipment is identical for all fuel types, with the 
exception of the systems used to measure organics (i.e., hydrocarbons, 
alcohols, and aldehydes); diesel-fueled and biodiesel-fueled locomotives 
Parts per million and locomotive engines require a heated, continuous 
hydrocarbon detector; natural gas-fueled locomotives and locomotive 
engines require a continuous hydrocarbon detector and a methane 
detector; alcohol-fueled locomotives and locomotive engines require a 
heated hydrocarbon detector, alcohol sampling and detection systems, and 
aldehyde sampling and detection systems. Necessary equipment and 
specifications appear in Secs. 92.105 through 92.111.
    (3) Fuel specifications for emission testing are specified in 
Sec. 92.113. Analytical gases are specified in Sec. 92.112.
    (c) The power produced by the engine is measured at each throttle 
setting.
    (d) The fuel flow rate for each throttle setting is measured in 
accordance with Sec. 92.107.
    (e) Locomotives and locomotive engines are tested using the test 
sequence as detailed in Secs. 92.124 and 92.126.
    (f) Alternate sampling and/or analytical systems may be used if 
shown to yield equivalent results, and if approved in advance by the 
Administrator. Guidelines for determining equivalency are found in 
Appendix IV of this part.
    (g) At the time of the creation of this part, essentially all 
locomotives and locomotive engines subject to the standards of this part 
were designed to use diesel fuel. Therefore, the testing provisions of 
this subpart focus primarily on that fuel. Some provisions for fuels 
other than diesel are also included. If a manufacturer or remanufacturer 
of locomotives or locomotive engines, or a user of locomotives, or other 
party wishes or intends to use a fuel other than diesel in locomotives 
or locomotive engines, it shall notify the Administrator, who shall 
specify those changes to the test procedures that are necessary for the 
testing to be consistent with good engineering practice. The changes 
made under this paragraph (g) shall be limited to:
    (1) Exhaust gas sampling and analysis;
    (2) Test fuels; and
    (3) Calculations.



Sec. 92.104  Locomotive and engine testing; overview.

    (a) The test procedures described here include specifications for 
both locomotive testing and engine testing.

[[Page 423]]

Unless specified otherwise in this subpart, all provisions apply to both 
locomotive and engine testing.
    (b)(1) The test procedures for engine testing are intended to 
produce emission measurements that are essentially identical to emission 
measurements produced during locomotive testing using the same engine 
configuration. The following requirements apply for all engine tests:
    (i) Engine speed and load for each mode shall be within 2 percent of 
the speed and load of the engine when it is operated in the locomotive.
    (ii) The temperature of the air entering the engine after any charge 
air cooling shall be within 5  deg.F of the typical intake air 
temperature when the engine is operated in the locomotive under similar 
ambient conditions. Auxiliary fan(s) may be used to maintain engine 
cooling during operation on the dynamometer.
    (iii) The engine air inlet system used during testing shall have an 
air inlet restriction within 1 inch of water of the upper limit of a 
typical engine as installed with clean air filters, as established by 
the manufacturer or remanufacturer for the engine being tested.
    (2) Testers performing engine testing under this subpart shall not 
use test procedures otherwise allowed by the provisions of this subpart 
where such procedures are not consistent with good engineering practice 
and the regulatory goal specified in paragraph (b)(1) of this section.
    (c) Provisions that specify different requirements for locomotive 
and/or engine testing are described in Secs. 92.106, 92.108(a) and 
(b)(1), 92.111(b)(2) and (c), 92.114(a)(2)(ii), (b)(3)(ii), 
(c)(2)(iii)(A) and (d), 92.115(c), 92.116, 92.123(a)(2) and (b), 
92.124(d), 92.125(a) and (b), 92.126(a)(7)(iii)(A).



Sec. 92.105  General equipment specifications.

    (a) Chart recorders. (1) The recommended minimum chart speed for 
gaseous measurements is 1 cm per minute. (Higher chart speeds are 
required for smoke measurements during the acceleration phases of the 
test sequence.)
    (2) All chart recorders (analyzers, torque, rpm, etc.) shall be 
provided with automatic markers which indicate ten second intervals. 
Preprinted chart paper (ten second intervals) may be used in lieu of the 
automatic markers provided the correct chart speed is used. (Markers 
which indicate 1 second intervals are required for smoke measurements 
during the acceleration phases of the test sequence.)
    (b) Automatic data collection. (1) In lieu of the use of chart 
recorders, automatic data collection equipment may be used to record all 
required data. The automatic data collection equipment must be capable 
of sampling at least two records per second.
    (2) Other means may be used provided they produce a permanent visual 
data record of a quality equal to or better than those required by this 
subpart (e.g., tabulated data, traces, or plots).
    (c) Temperature measurements. (1) The following temperature 
measurements shall be accurate to within 1.0  deg.F (0.6  deg.C):
    (i) Temperature measurements used in calculating the engine intake 
humidity;
    (ii) The temperature of the fuel, in volume measuring flow rate 
devices;
    (iii) The temperature of the sample within the water trap(s);
    (iv) Temperature measurements used to correct gas volumes (e.g., to 
standard conditions) or to calculate mass or moles of a sample.
    (2) All other temperature measurements shall be accurate within 3.0 
deg.F (1.7  deg.C).
    (d) Electrical measurements. (1) Voltmeters shall have accuracy and 
precision of 1 percent of point or better.
    (2) Ammeters shall have accuracy and precision of 1 percent of point 
or better.
    (3) Wattmeters shall have accuracy and precision of 1 percent of 
point or better.
    (4) Instruments used in combination to measure engine power output 
shall comply with the requirements of Sec. 92.106.
    (e) Pressure measurements. (1) Gauges and transducers used to 
measure any pressures used to correct gas volumes

[[Page 424]]

(e.g., to standard conditions) or to calculate mass or moles of a sample 
shall have an accuracy and precision of 0.1 percent of absolute pressure 
at point or better.
    (2) Gauges and transducers used to measure any other pressures shall 
have an accuracy and precision of 1 percent of absolute pressure at 
point or better.



Sec. 92.106  Equipment for loading the engine.

    For purposes of placing the required load on the engine during an 
emissions test, either the equipment specified in paragraph (a) of this 
section, or the equipment specified in paragraph (b) of this section may 
be used.
    (a) Locomotive testing. (1) The equipment required for loading the 
locomotive engine-alternator/generator assembly electrically, and for 
measurement of the electrical power output from the alternator/generator 
consists of the following, either in total or in part: electrical 
resistance load bank; fans or other means for cooling of the load bank; 
wattmeter, including phase angle compensation; meter(s) for measurement 
of the current through the load bank (a calibrated electrical shunt and 
voltmeter is allowed for current measurement); meter(s) to measure the 
voltage across the load bank; and electrical cable to connect the 
alternator/generator to the load bank. Many locomotives are equipped 
with an internal electrical resistance load bank and fans for cooling of 
the load bank; when so equipped, the locomotive load bank may be used 
for purposes of loading the engine during emissions tests.
    (2) The combination of instruments (meters) used to measure engine 
or alternator/generator power output (wattmeter, ammeter, voltmeter) 
shall have accuracy and precision such that the accuracy of the measured 
alternator/generator power out is better than:
    (i) 2 percent of point at all power settings except idle and dynamic 
brake; and
    (ii) Less accuracy and precision is allowed at idle and dynamic 
brake, consistent with good engineering practice. Equipment with 
accuracy or precision worse than 20 percent of point is not allowed.
    (3) The efficiency curve for the alternator/generator, shall specify 
the efficiency at each test point. The manufacturer or remanufacturer 
shall provide EPA with a detailed description of the procedures used to 
establish the alternator/generator efficiency.
    (b) Engine testing. (1) For engine testing using a dynamometer, the 
engine dynamometer system must be capable of controlling engine torque 
and speed simultaneously under steady speed operation, during 
accelerations where the rate of change in torque and speed is 
representative of those changes which occur when the engine is operating 
in a locomotive. It must also be capable of performing the test sequence 
described in this subpart. In addition to these general requirements, 
the engine or dynamometer readout signals for speed and torque shall 
meet the following accuracy specifications:
    (i) Engine speed readout shall be accurate to within 2 
percent of the absolute standard value, as defined in Sec. 92.116 of 
this part.
    (ii) Engine flywheel torque readout shall be accurate to either 
within 3 percent of the NIST ``true'' value torque, or the 
following accuracies, whichever provides the most accurate readout:
    (A) 20 ft.-lbs. of the NIST ``true'' value if the full 
scale value is 9000 ft.-lbs. or less.
    (B) 30 ft.-lbs., of the NIST ``true'' value if the full 
scale value is greater than 9000 ft.-lbs.
    (C) Option. Internal dynamometer signals (i.e., armature current, 
etc.) may be used for torque measurement provided that it can be shown 
that the engine flywheel torque during the test sequence conforms to the 
accuracy specifications in paragraph (b)(1)(ii)(A) or (b)(1)(ii)(B) of 
this section. Such a measurement system must include compensation for 
increased or decreased flywheel torque due to the armature inertia 
during accelerations between throttle notch (test mode) settings in the 
test.
    (2) For engine testing using a locomotive alternator/generator 
instead of a dynamometer, the equipment used shall comply with the 
requirements of paragraph (a) of this section.

[[Page 425]]



Sec. 92.107  Fuel flow measurement.

    (a) Fuel flow measurement for locomotive and engine testing. The 
rate of fuel consumption by the engine must be measured with equipment 
conforming to the following:
    (1) The fuel flow rate measurement instrument must have a minimum 
accuracy of 2 percent of measurement flow rate for each 
measurement range used. An exception is allowed at idle where the 
minimum accuracy is 10 percent of measured flow rate for 
each measurement range used. The measurement instrument must be able to 
comply with this requirement with an averaging time of one minute or 
less, except for idle, dynamic brake, and notches 1 and 2 where the 
instrument must be able to comply with this requirement with an 
averaging time of three minutes or less.
    (2) The controlling parameters are the elapsed time measurement of 
the event and the weight or volume measurement. Restrictions on these 
parameters are:
    (i) The error in the elapsed time measurement of the event must not 
be greater than 1 percent of the absolute event time. This includes 
errors in starting and stopping the clock as well as the period of the 
clock.
    (ii) If the mass of fuel consumed is measured by discrete weights, 
then the error in the actual weight of the fuel consumed must not be 
greater than 1 percent of the measuring weight. An exception 
is allowed at idle, where the error in the actual weight of the fuel 
consumed must not be greater than 2 percent of the measuring 
weight.
    (iii) If the mass of fuel consumed is measured electronically (load 
cell, load beam, etc.), the error in the actual weight of fuel consumed 
must not be greater than 1 percent of the full-scale value 
of the electronic device.
    (iv) If the mass of fuel consumed is measured by volume flow and 
density, the error in the actual volume consumed must not be greater 
than 1 percent of the full-scale value of the volume 
measuring device.
    (3) For devices that have varying mass scales (electronic weight, 
volume, density, etc.), compliance with the requirements of paragraph 
(a)(1) of this section may require a separate flow measurement system 
for low flow rates.
    (b) Calibration. Fuel flow rate measurement devices shall be 
calibrated against an independent measurement of the total mass of fuel 
dispensed during a fixed amount of time in accordance with the following 
provisions:
    (1) Measurement of the total mass shall have an accuracy and 
precision of 1 percent of point, or better.
    (2) Fuel measurements shall be performed for at least 10 flow rates 
evenly distributed over the entire range of fuel flow rates used during 
testing.
    (3) For each flow rate, either the total mass of fuel dispense must 
exceed 5.0 kilograms (11.0 pounds), or the length of time during which 
the fuel is dispensed must exceed 30 minutes. In all cases, the length 
of time during which fuel is dispensed must be at least 180 seconds.



Sec. 92.108  Intake and cooling air measurements.

    (a) Intake air flow measurement. Measurement of the flow rate of 
intake air into the engine is allowed for engine testing, but not 
required. When it is measured, the measurement technique shall conform 
to the following:
    (1) The air flow measurement method used must have a range large 
enough to accurately measure the air flow over the engine operating 
range during the test. Overall measurement accuracy must be 
2 percent of full-scale value of the measurement device for 
all modes except idle. For idle, the measurement accuracy shall be 
5 percent or less of the full-scale value. The Administrator 
must be advised of the method used prior to testing.
    (2) Corrections to the measured air mass flowrate shall be made when 
an engine system incorporates devices that add or subtract air mass (air 
injection, bleed air, etc.). The method used to determine the air mass 
from these devices shall be approved by the Administrator.
    (3) Measurements made in accordance with SAE recommended practice 
J244 (incorporated by reference at Sec. 92.5) are allowed.
    (b) Humidity and temperature measurements. (1) Air that has had its 
absolute

[[Page 426]]

humidity altered is considered humidity-conditioned air. For this type 
of intake air supply, the humidity measurements must be made within the 
intake air supply system, and after the humidity conditioning has taken 
place.
    (2) Humidity measurements for non-conditioned intake air supply 
systems shall be made as closely as possible to the point at which the 
intake air stream enters the locomotive, or downstream of that point.
    (3) Temperature measurements of engine intake air, engine intake air 
after compression and cooling in the charge air cooler(s) (engine 
testing only), and air used to cool the charge air after compression, 
and to cool the engine shall be made as closely as possible to obtain 
accurate results based on engineering judgement. Measurement of ambient 
temperature for locomotive testing shall be made within 48 inches of the 
locomotive, at a location that minimizes the effect of heat generated by 
the locomotive on the measured temperature.
    (4) Temperature measurements shall comply with the requirements of 
Sec. 92.105(c).
    (5) Humidity measurements shall be accurate within 2 percent of the 
measured absolute humidity.



Sec. 92.109  Analyzer specifications.

    (a) General analyzer specifications.--(1) Analyzer response time. 
Analyzers for THC, CO2, CO, and NOX must respond 
to an instantaneous step change at the entrance to the analyzer with a 
response equal to 95 percent of that step change in 6.0 seconds or less 
on all ranges used. The step change shall be at least 60 percent of 
full-scale chart deflection. For NOX analyzers using a water 
trap, the response time increase due to the water trap and associated 
plumbing need not be included in the analyzer response time.
    (2) Precision. The precision of the analyzers for THC, 
CO2, CO, and NOX must be no greater than 
1 percent of full-scale concentration for each range used 
above 155 ppm (or ppmC), or 2 percent for each range used 
below 155 ppm (or ppmC). The precision is defined as 2.5 times the 
standard deviation(s) of 10 repetitive responses to a given calibration 
or span gas.
    (3) Noise. The analyzer peak-to-peak response to zero and 
calibration or span gases over any 10-second period shall not exceed 2 
percent of full/scale chart deflection on all ranges used.
    (4) Zero drift. For THC, CO2, CO, and NOX 
analyzers, the zero-response drift during a 1-hour period shall be less 
than 2 percent of full-scale chart deflection on the lowest range used. 
The zero-response is defined as the mean response including noise to a 
zero-gas during a 30-second time interval.
    (5) Span drift. For THC, CO2, CO, and NOX 
analyzers, the span drift during a 1-hour period shall be less than 2 
percent of full-scale chart deflection on the lowest range used. The 
analyzer span is defined as the difference between the span-response and 
the zero-response. The span-response is defined as the mean response 
including noise to a span gas during a 30-second time interval.
    (b) Carbon monoxide and carbon dioxide analyzer specifications. (1) 
Carbon monoxide and carbon dioxide measurements are to be made with 
nondispersive infrared (NDIR) analyzers.
    (2) The use of linearizing circuits is permitted.
    (3) The minimum water rejection ratio (maximum CO2 
interference) as measured in Sec. 92.120(a) shall be:
    (i) For CO analyzers, 1000:1.
    (ii) For CO2 analyzers, 100:1.
    (4) The minimum CO2 rejection ratio (maximum 
CO2 interference) as measured in Sec. 92.120(b) for CO 
analyzers shall be 5000:1.
    (5) Zero suppression. Various techniques of zero suppression may be 
used to increase readability, but only with prior approval by the 
Administrator.
    (6) Option: if the range of CO concentrations encountered during the 
different test modes is too broad to allow accurate measurement using a 
single analyzer, then multiple CO analyzers may be used.
    (c) Hydrocarbon analyzer specifications. (1) Hydrocarbon 
measurements are to be made with a heated flame ionization detector 
(HFID) analyzer. An overflow sampling system is recommended but not 
required. (An overflow system is one in which excess zero gas or span 
gas spills out of the probe

[[Page 427]]

when zero or span checks of the analyzer are made.
    (i) Option. A non-heated flame ionization detector (FID) that 
measures hydrocarbon emissions on a dry basis is permitted for petroleum 
fuels other than diesel and biodiesel; Provided, that equivalency is 
demonstrated to the Administrator prior to testing. With the exception 
of temperatures, all specifications contained in Subpart B of this part 
apply to the optional system.
    (ii) The analyzer shall be fitted with a constant temperature oven 
housing the detector and sample-handling components. It shall maintain 
temperature with 3.6  deg.F (2  deg.C) of the set point. The detector, 
oven, and sample-handling components within the oven shall be suitable 
for continuous operation at temperatures to 395  deg.F (200  deg.C).
    (iii) Fuel and burner air shall conform to the specifications in 
Sec. 92.112(e).
    (iv) The percent of oxygen interference must be less than 3 percent, 
as specified in Sec. 92.119(3).
    (v) Premixed burner air. (A) For diesel and biodiesel fueled 
engines, premixing a small amount of air with the HFID fuel prior to 
combustion within the HFID burner is not recommended as a means of 
improving oxygen interference (%O2I). However, this procedure 
may be used if the engine manufacturer demonstrates on each basic 
combustion system (i.e., four-cycle direct injection, two-cycle direct 
injection, four-cycle indirect injection, etc.) that an HFID using this 
procedure produces comparable results to an HFID not using this 
procedure. These data must be submitted to the Administrator for his/her 
approval prior to testing.
    (B) For engines operating on fuels other than diesel or biodiesel, 
premixing burner air with the HFID fuel is not allowed.
    (2) Methane analyzer. The analytical system for methane consists of 
a gas chromatograph (GC) combined with a flame ionization detector 
(FID).
    (3) Alcohols and Aldehydes. The sampling and analysis procedures for 
alcohols and aldehydes, where applicable, shall be approved by the 
Administrator prior to the start of testing. Procedures consistent with 
the general requirements of 40 CFR Part 86 for sampling and analysis of 
alcohols and aldehydes emitted by on-highway alcohol-fueled engines, and 
consistent with good engineering practice are allowed.
    (4) Other methods of measuring organics that are shown to yield 
equivalent results can be used upon approval of the Administrator prior 
to the start of testing.
    (d) Oxides of nitrogen analyzer specifications. (1) Oxides of 
nitrogen are to be measured with a chemiluminescence (CL) analyzer.
    (i) The NOX sample must be heated per Sec. 92.114 up to 
the NO2 to NO converter.
    (ii) For high vacuum CL analyzers with heated capillary modules, 
supplying a heated sample to the capillary module is sufficient.
    (iii) The NO2 to NO converter efficiency shall be at 
least 90 percent.
    (iv) The CO2 quench interference must be less than 3.0 
percent as measured in Sec. 92.121(a).



Sec. 92.110  Weighing chamber and micro-balance.

    (a) Ambient conditions--(1) Temperature. The temperature of the 
chamber (or room) in which the particulate filters are conditioned and 
weighed shall be maintained at a measured temperature between 19  deg.C 
and 25  deg.C during all filter conditioning and weighing.
    (2) Humidity. The relative humidity of the chamber (or room) in 
which the particulate filters are conditioned and weighed shall be 
458 percent during all filter conditioning and weighing. The 
dew point shall be 6.4 to 12.4  deg.C.
    (b) Weighing balance specifications. The microbalance used to 
determine the weights of all filters shall have a precision (standard 
deviation) of no more than 20 micrograms and readability down to 10 
micrograms or lower.
    (c) Reference filters. The chamber (or room) environment shall be 
free of any ambient contaminants (such as dust) that would settle on the 
particulate filters during their stabilization. It is required that at 
least two unused reference filters remain in the weighing room at all 
times in covered (to reduce dust contamination) but unsealed (to permit 
humidity exchange) petri dishes.

[[Page 428]]

    (1) These reference filters shall be placed in the same general area 
as the sample filters. These reference filters shall be weighed within 4 
hours of, but preferably at the same time as, the sample filter 
weighings.
    (2) If the average weight of the reference filters changes between 
sample filter weighings by 5.0 percent (7.5 if 
the filters are weighed in pairs) or more of the target nominal filter 
loading (the recommended nominal loading is 0.5 milligrams per 1075 
square millimeters of stain area), then all sample filters in the 
process of stabilization shall be discarded and the emissions tests 
repeated.
    (3) If the average weight of the reference filters decreases between 
sample filter weighings by more than 1.0 percent but less than 5.0 
percent of the nominal filter loading then the manufacturer or 
remanufacturer has the option of either repeating the emissions test or 
adding the average amount of weight loss to the net weight of the 
sample.
    (4) If the average weight of the reference filters increases between 
sample filter weighing by more than 1.0 percent but less than 5.0 
percent of the nominal filter loading, then the manufacturer or 
remanufacturer has the option of either repeating the emissions test or 
accepting the measured sample filter weight values.
    (5) If the average weight of the reference filters changes between 
sample filter weighings by not more than 1.0 percent, then 
the measured sample filter weights shall be used.
    (6) The reference filters shall be changed at least once a month, 
but never between clean and used weighings of a given sample filter. 
More than one set of reference filters may be used. The reference 
filters shall be the same size and material as the sample filters.



Sec. 92.111  Smoke measurement system.

    (a) Schematic drawing. Figure B111-1 of this section is a schematic 
drawing of the optical system of the light extinction meter, as follows:

[[Page 429]]

[GRAPHIC] [TIFF OMITTED] TR16AP98.000

    (b) Equipment. The following equipment shall be used in the system.
    (1) Adapter. The smokemeter optical unit may be mounted on a fixed 
or movable frame. The normal unrestricted shape of the exhaust plume 
shall not be modified by the adaptor, the meter, or any ventilation 
system

[[Page 430]]

used to remove the exhaust from the test site. Distortion due to the 
gaseous or particulate sample probes, or the exhaust duct is allowed 
subject to the provisions of Sec. 92.114.
    (2) Wind shielding. Tests shall not be conducted under excessively 
windy conditions. Winds are excessive if they disturb the size, shape, 
or location of the exhaust plume in the region where exhaust samples are 
drawn or where the smoke plume is measured. Tests may be conducted if 
wind shielding is placed adjacent to the exhaust plume to prevent 
bending, dispersion, or any other distortion of the exhaust plume as it 
passes through the optical unit.
    (3) Smokemeter, (light extinction meter). A continuously recording, 
full-flow light obscuration meter shall be used.
    (i) It is positioned as specified in paragraph (c) of this section, 
so that a built-in light beam traverses the exhaust smoke plume which 
issues from the duct. The light beam shall be at right angles to the 
axis of the plume, and in those cases were the exhaust is not circular 
at its discharge, the path of the light beam through the plume shall be 
along the longest axis of the exhaust stack which is not a diagonal of a 
rectangular exhaust stack.
    (ii) The light source shall be an incandescent lamp with a color 
temperature range of 2800K to 3250K, or a light source with a spectral 
peak between 550 and 570 nanometers.
    (iii) The light output is collimated to a beam with a nominal 
diameter of 1.125 inches and an angle of divergence within a 6 degree 
included angle.
    (iv) The light detector shall be a photocell or photodiode. If the 
light source is an incandescent lamp, the detector shall have a spectral 
response similar to the photopic curve of the human eye (a maximum 
response in the range of 550 to 570 nanometers, to less than four 
percent of that maximum response below 430 nanometers and above 680 
nanometers).
    (v) A collimating tube with apertures equal to the beam diameter is 
attached to the detector to restrict the viewing angle of the detector 
to within a 16 degree included angle.
    (vi) An amplified signal corresponding to the amount of light 
blocked is recorded continuously on a remote recorder.
    (vii) An air curtain across the light source and detector window 
assemblies may be used to minimize deposition of smoke particles on 
those surfaces provided that it does not measurably affect the opacity 
of the plume.
    (viii) The smokemeter consists of two units; an optical unit and a 
remote control unit.
    (ix) Light extinction meters employing substantially identical 
measurement principles and producing substantially equivalent results, 
but which employ other electronic and optical techniques may be used 
only after having been approved in advance by the Administrator.
    (4) Recorder. A continuous recorder, with variable chart speed over 
a minimal range of 1 to 20 cm per minute (or equivalent) and an 
automatic marker indicating 1-second intervals, continuously records the 
exhaust gas opacity and throttle position.
    (i) The recorder is equipped to indicate each of the throttle notch 
(test mode) positions.
    (ii) The recorder scale for opacity is linear and calibrated to read 
from 0 to 100 percent opacity full scale.
    (iii) The opacity trace has a resolution within one percent opacity.
    (iv) The throttle position trace clearly indicates each throttle 
position.
    (5) The recorder used with the smokemeter shall be capable of full-
scale deflection in 0.5 second or less. The smokemeter-recorder 
combination may be damped so that signals with a frequency higher than 
10 cycles per second are attenuated. A separate low-pass electronic 
filter with the following performance characteristics may be installed 
between the smokemeter and the recorder to achieve the high-frequency 
attenuation:
    (i) Three decibel point: 10 cycles per second.
    (ii) Insertion loss: 0 0.5 decibel.
    (iii) Selectivity: 12 decibels down at 40 cycles per second minimum.
    (iv) Attenuation: 27 decibels down at 40 cycles per second minimum.
    (6) Automatic data collection equipment may be used, provided it is 
capable of collecting data equivalent to or

[[Page 431]]

better than the data required by paragraphs (b)(4) and (5) of this 
section.
    (c)(1) Assembling equipment for locomotive testing. The optical unit 
of the smokemeter shall be mounted radially to the exhaust duct so that 
the measurement will be made at right angles to the axis of the exhaust 
plume. The distance from the optical centerline to the exhaust outlet 
shall be minimized; in all cases it shall be less than 10 feet. The 
maximum allowable distance of unducted space upstream of the optical 
centerline is 18 inches. The full flow of the exhaust stream shall be 
centered between the source and detector apertures (or windows and 
lenses) and on the axis of the light beam.
    (2) Assembling equipment for engine testing. The optical unit of the 
smokemeter shall be mounted radially to the exhaust duct so that the 
measurement will be made at right angles to the axis of the exhaust 
plume. The distance from the optical centerline to the exhaust outlet 
shall be less than 25 feet. The maximum allowable distance of unducted 
space upstream of the optical centerline is 18 inches. In-line 
smokemeters are allowed. The full flow of the exhaust stream shall be 
centered between the source and detector apertures (or windows and 
lenses) and on the axis of the light beam.
    (d) Power supply. Power shall be supplied to the control unit of the 
smokemeter in time to allow at least 15 minutes for stabilization prior 
to testing.



Sec. 92.112  Analytical gases.

    (a) Gases for the CO and CO2 analyzers shall be single 
blends of CO and CO2, respectively, using zero grade nitrogen 
as the diluent.
    (b) Gases for the hydrocarbon analyzer shall be single blends of 
propane using zero grade air as the diluent.
    (c) Gases for the methane analyzer shall be single blends of methane 
using air as the diluent.
    (d) Gases for the NOX analyzer shall be single blends of 
NO named as NOX with a maximum NO2 concentration 
of 5 percent of the nominal value using zero grade nitrogen as the 
diluent.
    (e) Fuel for the HFID (or FID, as applicable) and the methane 
analyzer shall be a blend of 402 percent hydrogen with the 
balance being helium. The mixture shall contain less than 1 ppm 
equivalent carbon response; 98 to 100 percent hydrogen fuel may be used 
with advance approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen 
must be within 1 mole percent of the oxygen concentration of the burner 
air used in the latest oxygen interference check (%O2I). If 
the difference in oxygen concentration is greater than 1 mole percent, 
then the oxygen interference must be checked and the analyzer adjusted 
if necessary, to meet the %O2I requirements. The burner air 
must contain less than 2 ppmC hydrocarbon.
    (g) The allowable zero gas (air or nitrogen) impurity concentrations 
shall not exceed 1 ppm equivalent carbon response, 1 ppm carbon 
monoxide, 0.04 percent (400 ppm) carbon dioxide and 0.1 ppm nitric 
oxide.
    (h)(1) ``Zero-grade air'' includes artificial ``air'' consisting of 
a blend of nitrogen and oxygen with oxygen concentrations between 18 and 
21 mole percent.
    (2) Calibration gases shall be accurate to within 1 
percent of NIST gas standards, or other gas standards which have been 
approved by the Administrator.
    (3) Span gases shall be accurate to within 2 percent of 
NIST gas standards, or other gas standards which have been approved by 
the Administrator.
    (i) Oxygen interference check gases shall contain propane at a 
concentration greater than 50 percent of range. The concentration value 
shall be determined to calibration gas tolerances by chromatographic 
analysis of total hydrocarbons plus impurities or by dynamic blending. 
Nitrogen shall be the predominant diluent with the balance being oxygen. 
Oxygen concentration in the diluent shall be between 20 and 22 percent.
    (j) The use of precision blending devices (gas dividers) to obtain 
the required calibration gas concentrations is acceptable, provided that 
the blended gases are accurate to within 1.5 percent of NIST 
gas standards, or other gas standards which have been approved by the 
Administrator. This accuracy implies that primary gases used

[[Page 432]]

for blending must be ``named'' to an accuracy of at least 1 
percent, traceable to NIST or other approved gas standards.



Sec. 92.113  Fuel specifications.

    (a) Diesel test fuel. (1) The diesel fuels for testing locomotives 
or locomotive engines designed to operate on diesel fuel shall be clean 
and bright, with pour and cloud points adequate for operability. The 
diesel fuel may contain nonmetallic additives as follows: cetane 
improver, metal deactivator, antioxidant, dehazer, antirust, pour 
depressant, dye, dispersant, and biocide. The diesel fuel shall also 
meet the specifications (as determined using methods incorporated by 
reference at Sec. 92.5) in Table B113-1 of this section, or 
substantially equivalent specifications approved by the Administrator, 
as follows:

                                                  Table B113-1
----------------------------------------------------------------------------------------------------------------
                     Item                                        ASTM                           Type 2-D
----------------------------------------------------------------------------------------------------------------
Cetane Number.................................  D613.................................           40-48
Cetane Index..................................  D976.................................           40-48
Distillation range:
  IBP,
      deg.F...................................  D86..................................         340-400
    (  deg.C).................................  .....................................    (171.1-204.4)
  10 pct. point,
      deg.F...................................  D86..................................         400-460
    (  deg.C).................................  .....................................    (204.4-237.8)
  50 pct. point,
      deg.F...................................  D86..................................         470-540
    (  deg.C).................................  .....................................    (243.3-282.2)
  90 pct. point,
      deg.F...................................  D86..................................         560-630
    (  deg.C).................................  .....................................    (293.3-332.2)
  EP,
      deg.F...................................  D86..................................         610-690
    (  deg.C).................................  .....................................    (321.1-365.6)
Gravity,  deg.API.............................  D287.................................           32-37
Total sulfur, pct.............................  D2622................................         0.2-0.4
Hydrocarbon composition, pct:
  Aromatics,..................................  D5186................................            1 27
  Paraffins, Naphthenes, Olefins..............  D1319................................              (2)
Flashpoint, min.,
    deg.F.....................................  D93..................................             130
    deg.C.....................................  .....................................           (54.4)
Viscosity, centistokes........................  D445.................................         2.0-3.2
----------------------------------------------------------------------------------------------------------------
\1\ Minimum.    \2\ Remainder.

    (2) Other diesel fuels may be used for testing provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in service; and
    (iii) Use of a fuel listed under paragraph (a)(1) of this section 
would have a detrimental effect on emissions or durability; and
    (iv) Written approval from the Administrator of the fuel 
specifications is provided prior to the start of testing.
    (3) The specification of the fuel to be used under paragraphs 
(a)(1), and (a)(2) of this section shall be reported in accordance with 
Sec. 92.133.
    (b) Natural gas test fuel (compressed natural gas, liquefied natural 
gas). (1) Natural gas-fuel meeting the specifications (as determined 
using methods incorporated by reference at Sec. 92.5) in Table B113-2 of 
this section, or substantially similar specifications approved by the 
Administrator, shall be used in exhaust emissions testing of locomotives 
or locomotive engines designed to operate on natural gas-fuel, as 
follows:

                              Table B113-2
------------------------------------------------------------------------
                                                    ASTM test
               Item                  Mole pct.     method No.     Value
------------------------------------------------------------------------
Methane..........................  Min.........  D1945.........     89.0
Ethane...........................  Max.........  D1945.........      4.5

[[Page 433]]

 
C3 and higher....................  Max.........  D1945.........      2.3
C6 and higher....................  Max.........  D1945.........      0.2
Oxygen...........................  Max.........  D1945.........      0.6
Inert gases: Sum of CO2 and N2--   Max.........  D1945.........      4.0
 Odorant \1\.
------------------------------------------------------------------------
\1\ The natural gas at ambient conditions must have a distinctive odor
  potent enough for its presence to be detected down to a concentration
  in air of not over \1/5\ (one-fifth) of the lower limit of
  flammability.

    (2) Other natural gas-fuels may be used for testing provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service; 
and
    (iii) Written approval from the Administrator of the fuel 
specifications is provided prior to the start of testing.
    (3) The specification of the fuel to be used under paragraph (b)(1) 
or (b)(2) of this section shall be reported in accordance with 
Sec. 92.133.
    (c) Other fuel types. (1) For locomotives or locomotive engines 
which are designed to be capable of using a type of fuel (or mixed fuel) 
other than diesel fuel, or natural gas fuel (e.g., methanol), and which 
are expected to use that type of fuel (or mixed fuel) in service, a 
commercially available fuel of that type shall be used for exhaust 
emission testing. The Administrator shall determine the specifications 
of the fuel to be used for testing, based on the engine design, the 
specifications of commercially available fuels, and the recommendation 
of the manufacturer.
    (2) The specification of the fuel to be used under paragraph (c)(1) 
of this section shall be reported in accordance with Sec. 92.133.



Sec. 92.114  Exhaust gas and particulate sampling and analytical system.

    (a) General. (1) During emission testing, the engine exhaust is 
routed through an exhaust duct connected to, or otherwise adjacent to 
the outlet of the locomotive exhaust system. Emission samples are 
collected as specified in paragraphs (b) and (c) of this section. 
Exhaust duct requirements are specified in paragraph (d) of this 
section.
    (2) The systems described in this section are appropriate for use 
with locomotives or engines employing a single exhaust.
    (i) For testing where the locomotive or engine has multiple exhausts 
all exhaust streams shall be combined into a single stream prior to 
sampling, except as allowed by paragraph (a)(2)(ii) of this section.
    (ii) For locomotive testing where the locomotive has multiple 
exhaust stacks, proportional samples may be collected from each exhaust 
outlet instead of ducting the exhaust stacks together, provided that the 
CO2 concentrations in each exhaust stream are shown (either 
prior to testing or during testing) to be within 5 percent of each other 
for each test mode.
    (3) All vents, including analyzer vents, bypass flow, and pressure 
relief vents of regulators, should be vented in such a manner to avoid 
endangering personnel in the immediate area.
    (4) Additional components, not specified here, such as instruments, 
valves, solenoids, pumps, switches, and so forth, may be employed to 
provide additional information and coordinate the functions of the 
component systems, provided that their use is consistent with good 
engineering practice. Any variation from the specifications in this 
subpart including performance specifications and emission detection 
methods may be used only with prior approval by the Administrator.
    (b) Raw exhaust sampling for gaseous emissions. (1)(i) An example of 
the type of sampling and analytical system which is to be used for 
gaseous emissions testing under this subpart is shown in Figure B114-1 
of this section. All components or parts of components that are wetted 
by the sample or corrosive calibration gases shall be either chemically 
cleaned stainless steel or other inert material, for example, 
polytetrafluoroethylene resin. The use of ``gauge savers'' or 
``protectors'' with nonreactive diaphragms to reduce dead volumes is 
permitted. Additional components such as instruments, valves, solenoids, 
pumps, switches, etc. may be employed to provide additional information 
and coordinate the functions of the component systems.

[[Page 434]]

    (ii) System components list. The following is a list of components 
shown in Figure B114-1 of this section by numeric identifier.
    (A) Filters. Glass fiber filter paper is permitted for the fine 
particulate filters (F1, F2, and F3). Optional filter F4 is a coarse 
filter for large particulates. Filters F3 and F4 are heated filters
    (B) Flowmeters. Flowmeters FL1 and FL2 indicate sample flow rates 
through the CO and CO2 analyzers. Flowmeters FL3, FL4, FL5, 
and FL6 indicate bypass flow rates.
    (C) Gauges. Downstream gauges are required for any system used for 
testing under this subpart. Upstream gauges may be required under this 
subpart. Upstream gauges G1 and G2 measure the input to the CO and 
CO2 analyzers. Downstream gauges G3 and G4 measure the exit 
pressure of the CO and CO2 analyzers. If the normal operating 
range of the downstream gauges is less than 3 inches of water, then the 
downstream gauges must be capable of reading both pressure and vacuum. 
Gauges G3 and G4 are not necessary if the analyzers are vented directly 
to atmospheric pressure.
    (D) Pressure gauges. P1 is a bypass pressure gauge; P2, P3, P4, and 
P5 are for sample or span pressure at inlet to flow control valves.
    (E) Water traps. Water traps WT1 and WT2 to remove water from the 
sample. A water trap performing the function of WT1 is required for any 
system used for testing under this subpart. Chemical dryers are not an 
acceptable method of removing the water. Water removal by condensation 
is acceptable. If water is removed by condensation, the sample gas 
temperature or sample dew point must be monitored either within the 
water trap or downstream; it may not exceed 45  deg.F (7  deg.C). Means 
other than condensation may be used only with prior approval from the 
Administrator.
    (F) Regulators. R1, R3, R4, and R6 are line pressure regulators to 
control span pressure at inlet to flow control valves; R2 and R5 are 
back pressure regulators to control sample pressure at inlet to flow 
control valves.
    (G) Valves. V1, V7, V8, and V14 are selector valves to select zero 
or calibration gases; V2 are optional heated selector valves to purge 
the sample probe, perform leak checks, or to perform hang-up checks; V3 
and V5 are selector valves to select sample or span gases; V4, V6, and 
V15 are flow control valves; V9 and V13--heated selector valve to select 
sample or span gases; V10 and V12--heated flow control valves; V11--
Selector valve to select NOX or bypass mode in the 
chemiluminescence analyzer; V16--heated selector valve to perform leak 
checks.
    (H) Pump. Sample transfer pump to transport sample to analyzers.
    (I) Temperature sensor. A temperature sensor (T1) to measure the 
NO2 to NO converter temperature is required for any system 
used for testing under this subpart.
    (J) Dryer. Dryers D1 and D2 to remove the water from the bypass 
flows to prevent condensation in flowmeters FL3, FL4, and FL6.
    (2) The following requirements must be incorporated in each gaseous 
sampling system used for testing under this subpart:
    (i) The exhaust is analyzed for gaseous emissions using analyzers 
meeting the specifications of Sec. 92.109, and all analyzers must obtain 
the sample to be analyzed from the same sample probe, and internally 
split to the different analyzers.
    (ii) Sample transfer lines must be heated as specified in paragraph 
(b)(4) of this section.
    (iii) Carbon monoxide and carbon dioxide measurements must be made 
on a dry basis. Specific requirements for the means of drying the sample 
can be found in paragraph (b)(1)(ii)(E) of this section.
    (iv) All NDIR analyzers must have a pressure gauge immediately 
downstream of the analyzer. The gauge tap must be within 2 inches of the 
analyzer exit port. Gauge specifications can be found in paragraph 
(b)(1)(ii)(C) of this section.
    (v) All bypass and analyzer flows exiting the analysis system must 
be measured. Capillary flows such as in HFID and CL analyzers are 
excluded. For each NDIR analyzer with a flow meter located upstream of 
the analyzer, an upstream pressure gauge must be used. The gauge tap 
must be

[[Page 435]]

within 2 inches of the analyzer entrance port.
    (vi) Calibration or span gases for the NOX measurement 
system must pass through the NO2 to NO converter.
    (vii) The temperature of the NO2 to NO converter must be 
displayed continuously.
    (3) Gaseous sample probe. (i) The gaseous emissions sample probe 
shall be a straight, closed end, stainless steel, multi-hole probe. The 
inside diameter shall not be greater than the inside diameter of the 
sample line by more than 0.01 inches (0.03 cm). The wall thickness of 
the probe shall not be greater than 0.04 inches (0.10 cm). The fitting 
that attaches the probe to the exhaust duct shall be as small as 
practical in order to minimize heat loss from the probe.
    (ii) The gaseous emissions sample probe shall have a minimum of 
three holes in each 3 inch segment of length of the probe. The spacing 
of the radial planes for each hole in the probe must be such that they 
cover approximately equal cross-sectional areas of the exhaust duct. The 
angular spacing of the holes must be approximately equal. The angular 
spacing of any two holes in one plane may not be 180 
deg.20 deg. (see section view C-C of Figure B114-2 of this 
section). The holes should be sized such that each has approximately the 
same flow. If only three holes are used in each 3 inch segment of probe 
length, they may not all be in the same radial plane.
    (iii) The sample probe shall be so located in the center of the 
exhaust duct to minimize stratification, with respect to both 
concentration and velocity, present in the exhaust stream. The probe 
shall be located between two feet and five feet downstream of the 
locomotive exhaust outlet (or nearest practical equivalent during engine 
testing), and at least 1 foot upstream of the outlet of the exhaust duct 
to the atmosphere.
    (iv) If the exhaust duct is circular in cross section, the sample 
probe should extend approximately radially across the exhaust duct, and 
approximately through the center of the duct. The sample probe must 
extend across at least 80 percent of the diameter of the duct.
    (v) If the exhaust duct is not circular in cross section, the sample 
probe should extend across the exhaust duct approximately parallel to 
the longest sides of the duct, or along the longest axis of the duct 
which is not a diagonal, and through the approximate center of the duct. 
The sample probe must extend across at least 80 percent of the longest 
axis of the duct which is not a diagonal, and be approximately parallel 
to the longest sides of the duct.
    (vi) Other sample probe designs and/or locations may be used only if 
demonstrated (to the Administrator's satisfaction) to provides a more 
representative sample.
    (4) Sample transfer line(s). (i) The maximum inside diameter of the 
gaseous emissions sample line shall not exceed 0.52 inches (1.32 cm).
    (ii) If valve V2 is used, the sample probe must connect directly to 
valve V2. The location of optional valve V2 may not be greater than 4 
feet (1.22 m) from the exhaust duct.
    (iii) The sample transport system from the engine exhaust duct to 
the HC analyzer and the NOX analyzer must be heated as is 
indicated in Figure B114-1 of this section.
    (A) For diesel fueled and biodiesel fueled locomotives and engines, 
the wall temperature of the HC sample line must be maintained at 375 
 20  deg.F (191  11  deg.C). An exception is 
made for the first 4 feet (122 cm) of sample line from the exhaust duct. 
The upper temperature tolerance for this 4 foot section is waived and 
only the minimum temperature specification applies.
    (B) For locomotives and engines using fuels other than diesel or 
biodiesel, the heated components in the HC sample path shall be 
maintained at a temperature approved by the Administrator, not exceeding 
446  deg.F (230  deg.C).
    (C) For all fuels, wall temperature of the NOX sample 
line must be maintained between 140  deg.F (60  deg.C) and 446  deg.F 
(230  deg.C). An exception is made for the first 4 feet (122 cm) of 
sample line from the exhaust duct. The upper temperature tolerance for 
this 4 foot section is waived and only the minimum temperature 
specification applies.
    (D) For each component (pump, sample line section, filters, etc.) in 
the heated portion of the sampling system

[[Page 436]]

that has a separate source of power or heating element, use engineering 
judgment to locate the coolest portion of that component and monitor the 
temperature at that location. If several components are within an oven, 
then only the surface temperature of the component with the largest 
thermal mass and the oven temperature need be measured.
    (c) Particulate emissions. (1)(i) Schematic drawing. An example of a 
sampling system which may be used for particulate emissions testing 
under this subpart is shown in Figure B114-3 of this section. All 
components or parts of components that are wetted by the samples gases 
upstream of the filter shall be either chemically cleaned stainless 
steel or other inert material, for example, polytetrafluoroethylene 
resin. The use of ``gauge savers'' or ``protectors'' with nonreactive 
diaphragms to reduce dead volumes is permitted. Additional components 
such as instruments, valves, solenoids, pumps, switches, etc. may be 
employed to provide additional information and coordinate the functions 
of the component systems.
    (ii) The following requirements must be incorporated in each system 
used for testing under this subpart:
    (A) All particulate filters must obtain the sample from the same 
sample probe located within the exhaust gas extension with internal 
split to the different filters.
    (B) The wall temperature of the sample transport system from the 
probe to the dilution tunnel (excluding the first 4 feet of the 
particulate transfer tube) must be maintained at 375  deg.F to 395 
deg.F (191  deg.C to 202  deg.C).
    (2) Particulate raw sample probe. (i) The sample probe for the raw 
exhaust shall be a straight, closed end, stainless steel, multi-hole 
probe of approximately 1.25 inch (3.2 cm) diameter. The inside diameter 
shall not be greater than the inside diameter of the sample line by more 
than 0.1 inches (0.3 cm). The wall thickness of the probe shall not be 
greater than 0.06 inches (0.15 cm). The fitting that attaches the probe 
to the exhaust duct shall be as small as practical in order to minimize 
heat loss from the probe.
    (ii) All sample collection holes in the probe shall be located so as 
to face away from the direction of flow of the exhaust stream or at most 
be tangential to the flow of the exhaust stream past the probe (see 
Figure B114-4 of this section). Five holes shall be located in each 
radial plane along the length of the probe in which sample holes are 
placed. The spacing of the radial planes for each set of holes in the 
probe must be such that they cover approximately equal cross-sectional 
areas of the exhaust duct. For rectangular ducts, this means that the 
sample hole-planes must be equidistant from each other. For circular 
ducts, this means that the distance between the sample hole-planes must 
be decreased with increasing distance from the center of the duct (see 
Figure B114-4 of this section).

    (Note: Particulate concentrations are expected to vary to some 
extent as a function of the distance to the duct wall; thus each set of 
sample holes collects a sample that is representative of a cross-
sectional disk at that approximate distance from the wall.)


The spacing between sets of sample holes along the length of the probe 
shall be no more than 4 inches (10 cm). The holes should be sized such 
that each has approximately the same flow.
    (iii)(A) The particulate sample probe shall be located in the 
exhaust duct on an axis which is directly downstream of, and parallel to 
the axis of the gaseous sample probe. The distance between the probes 
shall be between 3 inches (7.6 cm) and 6 inches (15.2 cm). Greater 
spacing is allowed for engine testing, where spacing of 3 inches (7.6 
cm) to 6 inches (15.2 cm) is not practical.
    (B) If the exhaust duct is circular in cross section, the sample 
probe should extend approximately radially across the exhaust duct, and 
approximately through the center of the duct. The sample probe must 
extend across at least 80 percent of the diameter of the duct.
    (C) If the exhaust duct is not circular in cross section, the sample 
probe should extend across the exhaust duct approximately parallel to 
the longest sides of the duct, or along the longest

[[Page 437]]

axis of the duct which is not a diagonal, and through the approximate 
center of the duct. The sample probe must extend across at least 80 
percent of the longest axis of the duct which is not a diagonal, and be 
approximately parallel to the longest sides of the duct.
    (3) Particulate sample transfer line. (i) The maximum inside 
diameter of the particulate emissions sample line shall be approximately 
2.5 inches (6.4 cm).
    (ii) The sample transfer line shall be heated to maintain a wall 
temperature above 375  deg.F.
    (4) Dilution tunnel. The flow capacity of the blower moving the 
mixture of sample and air through the tunnel must be sufficient to 
maintain the diluted sample stream at a temperature of 125  deg.F (51.7 
deg.C) or less, at the sampling zone in the dilution tunnel and at the 
sample filter. A single measurement of diluted exhaust temperature is 
required. The temperature shall also be maintained as required to 
prevent condensation at any point in the dilution tunnel. A small 
negative pressure is to be maintained in the dilution tunnel by 
throttling at the source of the dilution air, and adjusted as necessary, 
sufficient to draw sample through the probe and sample transfer line. 
Direct sampling of the particulate material may take place (Figure B114-
3 of this section) at this point.
    (i)(A) The dilution tunnel shall be:
    (1) Small enough in diameter to cause turbulent flow (Reynolds 
Number greater than 4000) and of sufficient length to cause complete 
mixing of the exhaust and dilution air;
    (2) 4 inches (10 cm) minimum inside diameter;
    (3) Constructed of electrically conductive material which does not 
react with the exhaust components; and
    (4) Electrically grounded.
    (B) The temperature of the diluted exhaust stream inside of the 
dilution tunnel shall be sufficient to prevent water condensation.
    (C) The engine exhaust shall be directed downstream at the point 
where it is introduced into the dilution tunnel.
    (ii) Dilution air:
    (A) Shall be at a temperature of 68  deg.F (20  deg.C) or greater.
    (B) May be filtered at the dilution air inlet.
    (C) May be sampled to determine background particulate levels, which 
can then be subtracted from the values measured in the exhaust stream.
    (D) Shall be sampled to determine the background concentration of 
CO2.
    (iii) Dilute sample probe and collection system.
    (A) The particulate sample probe in the dilution tunnel shall be:
    (1) Installed facing upstream at a point where the dilution air and 
exhaust are well mixed (i.e., on the tunnel centerline, approximately 10 
tunnel diameters downstream of the point where the exhaust enters the 
dilution tunnel).
    (2) Sufficiently distant (radially) from other sampling probes so as 
to be free from the influence of wakes or eddies produced by the other 
probes.
    (3) 0.5 in. (1.3 cm) minimum inside diameter.
    (4) The distance from the sampling tip to the filter holder shall 
not be more than 40 inches (102 cm).
    (5) Designed to minimize the deposition of particulate during 
transfer (i.e., bends should be as gradual as possible, protrusions (due 
to sensors, etc.) should be smooth and not sudden, etc.).
    (B) The gas meters or flow instrumentation shall be located 
sufficiently distant from the tunnel so that the inlet gas temperature 
remains constant (5  deg.F (2.8  deg.C)). 
Alternately, the temperature of the sample may be monitored at the gas 
meter, and the measured volume corrected to standard conditions.
    (C) Particulate sampling filters. (1) Fluorocarbon-coated glass 
fiber filters or fluorocarbon-based (membrane) filters are required.
    (2) Particulate filters must have a diameter to maintain the average 
face velocity of the sample across the filter between 35 and 80 cm/s.
    (3) The dilute exhaust will be simultaneously sampled by a pair of 
filters (one primary and one back-up filter) during each phase of the 
test. The back-up filter shall be located no more than 4 inches (10 cm) 
downstream of the primary filter. The primary and back-up filters shall 
not be in contact with each other.

[[Page 438]]

    (4) The recommended target loading on a primary 70-mm filter (60 mm 
diameter stain area) is 1.3 milligrams. Equivalent loadings (0.5 mg/1075 
mm2 stain area) shall be used as target loadings when other 
filter sizes are used.
    (D) Diluted CO2 sample collection system. (1) The 
concentrations of CO2 in the dilution air and diluted exhaust 
are determined by pumping a sample into a sample bag (made of a 
nonreactive material) or directly to the analyzer, as shown in Figure 
B114-3 of this section.
    (2) The sample probe for the diluted exhaust shall be installed 
facing upstream at a point where the dilution air and exhaust are well 
mixed (i.e., on the tunnel centerline, approximately 10 tunnel diameters 
downstream of the point where the exhaust enters the dilution tunnel). 
It shall also be sufficiently distant (radially) from other sampling 
probes so as to be free from the influence of any wakes or eddies 
produced by the other probes.
    (iv) Other sample flow handling and/or measurement systems may be 
used if shown to yield equivalent results and if approved in advance by 
the Administrator. (See Appendix IV of this part for guidance.)
    (d) Exhaust system. The exhaust system shall meet the following 
requirements:
    (1) For locomotive testing, the engine exhaust shall be routed 
through an exhaust duct with dimensions equal to or slightly larger than 
the dimensions of the locomotive exhaust outlet. The exhaust duct shall 
be designed so as to not significantly affect exhaust backpressure.
    (2) For engine testing, either a locomotive-type or a facility-type 
exhaust system (or a combination system) may be used. The exhaust 
backpressure for engine testing shall be set between 90 and 100 percent 
of the maximum backpressure that will result with the exhaust systems of 
the locomotives in which the engine will be used. The facility-type 
exhaust system shall meet the following requirements:
    (i) It must be composed of smooth ducting made of typical in-use 
steel or stainless steel.
    (ii) If an aftertreatment system is employed, the distance from the 
exhaust manifold flange(s), or turbocharger outlet to any exhaust 
aftertreatment device shall be the same as in the locomotive 
configuration unless the manufacturer is able to demonstrate equivalent 
performance at another location.
    (iii) If the exhaust system ducting from the exit of the engine 
exhaust manifold or turbocharger outlet to smoke meter exceeds 12 feet 
(3.7 m) in length, then all ducting shall be insulated consistent with 
good engineering practice.
    (iv) For engines designed for more than one exhaust outlet to the 
atmosphere, a specially fabricated collection duct may be used. The 
collection duct should be located downstream of the in-locomotive exits 
to the atmosphere. Any potential increase in backpressure due to the use 
of a single exhaust instead of multiple exhausts may be compensated for 
by using larger than standard exhaust system components in the 
construction of the collection duct.
    (e) Dilute exhaust sampling for gaseous and particulate emissions. 
(1) Dilution of the exhaust prior to sampling is allowed for gaseous 
emissions. The equipment and methods used for dilution, sampling and 
analysis shall comply with the requirements of subpart N of part 86 of 
this chapter, with the following exceptions and additional requirements:
    (i) Proportional sampling and heat exchangers are not required;
    (ii) Larger minimum dimensions for the dilution tunnel(s) shall be 
specified by the Administrator;
    (iii) Other modifications may be made with written approval from the 
Administrator.
    (2) Dilution of only a portion of the exhaust is allowed, provided 
that:
    (i) The fraction of the total exhaust that is diluted is determined 
for systems that determine mass emission rates (g/hr) from the total 
volume of the diluted sample; or
    (ii) The ratio of raw sample volume to diluted sample volume is 
determined for systems that determine mass emission rates (g/hr) from 
measured fuel flow rates.

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Sec. 92.115  Calibrations; frequency and overview.

    (a) Calibrations shall be performed as specified in Secs. 92.116 
through 92.122.
    (b) At least monthly or after any maintenance which could alter 
calibration, perform the periodic calibrations required by 
Sec. 92.118(a)(2) (certain analyzers may require more frequent 
calibration depending on the equipment and use). Exception: the water 
rejection ratio and the CO2 rejection ratio on all NDIR 
analyzers is only required to be performed quarterly.
    (c) At least monthly or after any maintenance which could alter 
calibration, calibrate the engine dynamometer flywheel torque and speed 
measurement transducers, as specified in Sec. 92.116.
    (d) At least monthly or after any maintenance which could alter 
calibration, check the oxides of nitrogen converter efficiency, as 
specified in Sec. 92.121.
    (e) At least weekly or after any maintenance which could alter 
calibration, check the dynamometer (if used) shaft torque feedback 
signal at steady-state conditions by comparing:
    (1) Shaft torque feedback to dynamometer beam load; or
    (2) By comparing in-line torque to armature current; or
    (3) By checking the in-line torque meter with a dead weight per 
Sec. 92.116(b)(1).
    (f) At least quarterly or after any maintenance which could alter 
calibration, calibrate the fuel flow measurement system as specified in 
Sec. 92.107.
    (g) At least annually or after any maintenance which could alter 
calibration, calibrate the electrical output measurement system for the 
electrical load bank used for locomotive testing.
    (h) Sample conditioning columns, if used in the CO analyzer train, 
should be checked at a frequency consistent with observed column life or 
when the indicator of the column packing begins to show deterioration.
    (i) For equipment not addressed in Secs. 92.116 through 92.122 
calibrations shall be performed at least as often as required by the 
equipment manufacturer or as necessary according to good practices. The 
calibrations shall be performed in accordance with procedures specified 
by the equipment manufacturer.
    (j) Where testing is conducted intermittently, calibrations are not 
required during period in which no testing is conducted, provided that 
times between the most recent calibrations and the date of any test does 
not exceed the calibration period. For example, if it has been more than 
one month since the analyzers have been calibrated (as specified in 
paragraph (c) of this section) then they must be calibrated prior to the 
start of testing.



Sec. 92.116  Engine output measurement system calibrations.

    (a) General requirements for dynamometer calibration. (1) The engine 
flywheel torque and engine speed measurement transducers shall be 
calibrated with the calibration equipment described in this section.
    (2) The engine flywheel torque feedback signals to the cycle 
verification equipment shall be electronically checked before each test, 
and adjusted as necessary.
    (3) Other engine dynamometer system calibrations shall be performed 
as dictated by good engineering practice.
    (4) When calibrating the engine flywheel torque transducer, any 
lever arm used to convert a weight or a force through a distance into a 
torque shall be used in a horizontal position (5 degrees).
    (5) Calibrated resistors may not be used for engine flywheel torque 
transducer calibration, but may be used to span the transducer prior to 
engine testing.
    (b) Dynamometer calibration equipment--(1) Torque calibration 
equipment. Two techniques are allowed for torque calibration. Alternate 
techniques may be used if shown to yield equivalent accuracies. The NIST 
``true'' value torque is defined as the torque calculated by taking the 
product of an NIST traceable weight or force and a sufficiently accurate 
horizontal lever arm distance, corrected for the hanging torque of the 
lever arm.
    (i) The lever-arm dead-weight technique involves the placement of 
known weights at a known horizontal distance from the center of rotation 
of the

[[Page 444]]

torque measuring device. The equipment required is:
    (A) Calibration weights. A minimum of six calibration weights for 
each range of torque measuring device used are required. The weights 
must be approximately equally spaced and each must be traceable to NIST 
weights within 0.1 percent. Laboratories located in foreign countries 
may certify calibration weights to local government bureau standards. 
Certification of weight by state government Bureau of Weights and 
Measures is acceptable. Effects of changes in gravitational constant at 
the test site may be accounted for if desired.
    (B) Lever arm. A lever arm with a minimum length of 24 inches is 
required. The horizontal distance from the centerline of the engine 
torque measurement device to the point of weight application shall be 
accurate to within 0.10 inches. The arm must be balanced, or 
the hanging torque of the arm must be known to within 0.1 
ft-lbs.
    (ii) The transfer technique involves the calibration of a master 
load cell (i.e., dynamometer case load cell). This calibration can be 
done with known calibration weights at known horizontal distances, or by 
using a hydraulically actuated precalibrated master load cell. This 
calibration is then transferred to the flywheel torque measuring device. 
The technique involves the following steps:
    (A) A master load cell shall be either precalibrated or be 
calibrated per paragraph (b)(1)(i)(A) of this section with known weights 
traceable to NIST within 0.1 percent, and used with the lever arm(s) 
specified in this section. The dynamometer should be either running or 
vibrated during this calibration to minimize static hysteresis.
    (B) Transfer of calibration from the case or master load cell to the 
flywheel torque measuring device shall be performed with the dynamometer 
operating at a constant speed. The flywheel torque measurement device 
readout shall be calibrated to the master load cell torque readout at a 
minimum of six loads approximately equally spaced across the full useful 
ranges of both measurement devices. (Note that good engineering practice 
requires that both devices have approximately equal useful ranges of 
torque measurement.) The transfer calibration shall be performed in a 
manner such that the accuracy requirements of Sec. 92.106(b)(1)(ii) for 
the flywheel torque measurement device readout be met or exceeded.
    (iii) Other techniques may be used if shown to yield equivalent 
accuracy.
    (2) Speed calibration equipment. A 60 (or greater) tooth wheel in 
combination with a common mode rejection frequency counter is considered 
an absolute standard for engine or dynamometer speed.
    (c) Dynamometer calibration. (1) If necessary, follow the 
manufacturer's instructions for initial start-up and basic operating 
adjustments.
    (2) Check the dynamometer torque measurement for each range used by 
the following:
    (i) Warm up the dynamometer following the equipment manufacturer's 
specifications.
    (ii) Determine the dynamometer calibration moment arm. Equipment 
manufacturer's data, actual measurement, or the value recorded from the 
previous calibration used for this subpart may be used.
    (iii) Calculate the indicated torque (IT) for each calibration 
weight to be used by:

IT=calibration weight (lb)xcalibration moment arm (ft)

    (iv) Attach each calibration weight specified in paragraph 
(b)(1)(i)(A) of this section to the moment arm at the calibration 
distance determined in paragraph (b)(2)(ii)(B) of this section. Record 
the power measurement equipment response (ft-lb) to each weight.
    (v) For each calibration weight, compare the torque value measured 
in paragraph (b)(2)(iv) of this section to the calculated torque 
determined in paragraph (b)(2)(iii) of this section.
    (vi) The measured torque must be within 2 percent of the calculated 
torque.
    (vii) If the measured torque is not within 2 percent of the 
calculated torque, adjust or repair the system. Repeat the steps in 
paragraphs (b)(2)(i) through (b)(2)(vi) of this section with the 
adjusted or repaired system.

[[Page 445]]

    (3) Option. A master load-cell or transfer standard may be used to 
verify the in-use torque measurement system.
    (i) The master load-cell and read out system must be calibrated with 
weights at each test weight specified in paragraph (b)(1)(i)(A) of this 
section. The calibration weights must be traceable to within 0.1 percent 
of NIST weights.
    (ii) Warm up the dynamometer following the equipment manufacturer's 
specifications.
    (iii) Attach the master load-cell and loading system.
    (iv) Load the dynamometer to a minimum of 6 equally spaced torque 
values as indicated by the master load-cell for each in-use range used.
    (v) The in-use torque measurement must be within 2 percent of the 
torque measured by the master system for each load used.
    (vi) If the in-use torque is not within 2 percent of the master 
torque, adjust or repair the system. Repeat steps in paragraphs 
(b)(3)(ii) through (b)(3)(vi) of this section with the adjusted or 
repaired system.
    (4) The dynamometer calibration must be completed within 2 hours 
from the completion of the dynamometer warm-up.
    (d) Electrical load banks. Equipment used to measure the electrical 
power output dissipated by electrical load banks shall be calibrated as 
frequently as required by Sec. 92.115, using a calibration procedure 
that is consistent with good engineering practice and approved by the 
Administrator.



Sec. 92.117  Gas meter or flow instrumentation calibration, particulate measurement.

    (a) Sampling for particulate emissions requires the use of gas 
meters or flow instrumentation to determine flow through the particulate 
filters. These instruments shall receive initial and monthly 
calibrations as follows:
    (1)(i) Install a calibration device in series with the instrument. A 
critical flow orifice, a bellmouth nozzle, or a laminar flow element or 
an NIST traceable flow calibration device is required as the standard 
device.
    (ii) The flow system should be checked for leaks between the 
calibration and sampling meters, including any pumps that may be part of 
the system, using good engineering practice.
    (2) Flow air through the calibration system at the sample flow rate 
used for particulate testing and at the backpressure which occurs during 
the sample test.
    (3) When the temperature and pressure in the system have stabilized, 
measure the indicated gas volume over a time period of at least five 
minutes or until a gas volume of at least 1 percent accuracy 
can be determined by the standard device. Record the stabilized air 
temperature and pressure upstream of the instrument and as required for 
the standard device.
    (4) Calculate air flow at standard conditions as measured by both 
the standard device and the instrument(s).
    (5) Repeat the procedures of paragraphs (a)(2) through (4) of this 
section using at least two flow rates which bracket the typical 
operating range.
    (6) If the air flow at standard conditions measured by the 
instrument differs by 1.0 percent of the maximum operating 
range or 2.0 percent of the point (whichever is smaller), 
then a correction shall be made by either of the following two methods:
    (i) Mechanically adjust the instrument so that it agrees with the 
calibration measurement at the specified flow rates using the criteria 
of paragraph (a)(6) of this section; or
    (ii) Develop a continuous best fit calibration curve for the 
instrument (as a function of the calibration device flow measurement) 
from the calibration points to determine corrected flow. The points on 
the calibration curve relative to the calibration device measurements 
must be within 1.0 percent of the maximum operating range of 
2.0 percent of the point through the filter.
    (b) Other systems. A bell prover may be used to calibrate the 
instrument if the procedure outlined in ANSI B109.1-1992 (incorporated 
by reference at Sec. 92.5) is used. Prior approval by the Administrator 
is not required to use the bell prover.

[[Page 446]]



Sec. 92.118  Analyzer checks and calibrations.

    (a)(1) Prior to initial use and after major repairs, bench check 
each analyzer for compliance with the specifications of Sec. 92.109.
    (2) The periodic calibrations are required:
    (i) Leak check of the pressure side of the system (see paragraph (b) 
of this section). If the option described in paragraph (b)(2) of this 
section is used, a pressure leak check is not required.
    (ii) Calibration of all analyzers (see Secs. 92.119 through 92.122).
    (iii) Check of the analysis system response time (see paragraph (c) 
of this section). If the option described in paragraph (c)(2) of this 
section is used, a response time check is not required.
    (b) Leak checks--(1) Vacuum side leak check. (i) Any location within 
the analysis system where a vacuum leak could affect the test results 
must be checked.
    (ii) The maximum allowable leakage rate on the vacuum side is 0.5 
percent of the in-use flow rate for the portion of the system being 
checked. the analyzer flows and bypass flows may be used to estimate the 
in-use flow rates.
    (iii) The sample probe and the connection between the sample probe 
and valve V2 may be excluded from the leak check.
    (2) Pressure side leak check. (i) The maximum allowable leakage rate 
on the pressure side in 5 percent of the in-use flow rate.
    (ii) Option: If the flow rate for each flow meter is equal to or 
greater than the flow rate recorded in paragraph (c)(2)(i) of this 
section, then a pressure side leak check is not required.
    (c) System response time; check procedure. (1) After any major 
change in the system, check the system response time by the following 
procedure:
    (i) Stabilize the operating temperature of the sample line, sample 
pump, and heated filters.
    (ii) Introduce an HC span gas into the sampling system at the sample 
probe or valve V2 at atmospheric pressure. Simultaneously, start the 
time measurement.
    (iii) When the HC instrument response is 95 percent of the span gas 
concentration used, stop the time measurement.
    (iv) If the elapsed time is more than 20.0 seconds, make necessary 
adjustments.
    (v) Repeat with the CO, CO2, and NOX 
instruments and span gases.
    (2) Option. If the following parameters are determined, the initial 
system response time may be generally applied to future checks:
    (i) Analyzer and bypass flow rates. (A) Determine by experimentation 
the minimum analyzer and bypass flow rates individually and in 
combination that will produce a response time as close as possible to 
20.0 seconds per paragraph (c)(1) of this section.
    (B) Record the highest minimum flow rate for each flow meter as 
determined in paragraph (c)(2)(i)(A) of this section.
    (ii) Capillary flow analyzers. This procedure is applicable only to 
analyzers that have sample capillaries such as the HFID and CL 
analyzers. It is also assumed that the system has sample/span valves 
that perform the function of valves V9 and V13 in.
    (A) Operate the analyzer(s) at the in-use capillary pressure.
    (B) Adjust the bypass flow rate to the flow rate recorded in 
paragraph (c)(2)(i)(B) of this section.
    (C) Measure and record the response time from the sample/span 
valve(s) per paragraph (c)(1) of this section.
    (D) The response time required by paragraph (c)(2)(ii)(C) of this 
section can be determined by switching from the ``sample'' position to 
the ``span'' position of the sample/span valve and observing the 
analyzer response on a chart recorder. Normally, the ``sample'' position 
would select a ``room air'' sample and the ``span'' position would 
select a span gas.
    (E) Adjust the bypass flow rate to the normal in-use value.
    (F) Measure and record the response time from the sample/span 
valve(s) per paragraph (c)(1) of this section.
    (G) Determine the slowest response time (step in paragraph 
(c)(2)(ii)(C) of this section or step in paragraph (c)(2)(ii)(D) of this 
section) and add 2 seconds to it.

[[Page 447]]



Sec. 92.119  Hydrocarbon analyzer calibration.

    The HFID hydrocarbon analyzer shall receive the following initial 
and periodic calibration:
    (a) Initial and periodic optimization of detector response. Prior to 
introduction into service and at least annually thereafter, the HFID 
hydrocarbon analyzer shall be adjusted for optimum hydrocarbon response. 
Alternate methods yielding equivalent results may be used, if approved 
in advance by the Administrator.
    (1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see 
Sec. 92.112) and zero-grade air.
    (2) Optimize on the most common operating range. Introduce into the 
analyzer a propane-in-air mixture with a propane concentration equal to 
approximately 90 percent of the most common operating range.
    (3) HFID optimization is performed:
    (i) According to the procedures outlined in Society of Automotive 
Engineers (SAE) paper No. 770141, ``Optimization of Flame Ionization 
Detector for Determination of Hydrocarbons in Diluted Automobile 
Exhaust'', author, Glenn D. Reschke (incorporated by reference at 
Sec. 92.5); or
    (ii) According to the following procedures:
    (A) If necessary, follow manufacturer's instructions for instrument 
start-up and basic operating adjustments.
    (B) Set the oven temperature 5  deg.C hotter than the required 
sample-line temperature. Allow at least one-half hour after the oven has 
reached temperature for the system to equilibrate.
    (C) Initial fuel flow adjustment. With the fuel and air-flow rates 
set at the manufacturer's recommendations, introduce a 350 ppmC 
75 ppmC span gas to the detector. Determine the response at 
a given fuel flow from the difference between the span-gas response and 
the zero-gas response. Incrementally adjust the fuel flow above and 
below the manufacturer's specification. Record the span and zero 
response at these fuel flows. A plot of the difference between the span 
and zero response versus fuel flow will be similar to the one shown in 
Figure B119-1 of this section. Adjust the fuel-flow rate to the rich 
side of the curve, as shown. This is initial flow-rate setting and may 
not be the final optimized flow rate.
    (D) Oxygen interference optimization. Choose a range where the 
oxygen interference check gases (see Sec. 92.112) will fall in the upper 
50 percent. Conduct this test with the oven temperature set as required. 
Oxygen interference check gas specifications are found in Sec. 92.112.
    (1) Zero the analyzer.
    (2) Span the analyzer with the 21-percent oxygen blend.
    (3) Recheck zero response. If it has changed more than 0.5 percent 
of full scale repeat paragraphs (a)(3)(ii)(D) (1) and (2) of this 
section.
    (4) Introduce the 5 percent and 10 percent oxygen interference check 
gases.
    (5) Recheck the zero response. If it has changed more 1 
percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (%O2I) 
for each mixture in step in paragraph (a)(3)(ii)(D)(4) of this section.

Percent O2I=((B-Analyzer response (ppmC))/B)x(100)
Analyzer response=((A)/(Percent of full-scale analyzer response due to 
    A))x(Percent of full-scale analyzer response due to B)

Where:

A=hydrocarbon concentration (ppmC) of the span gas used in step in 
paragraph (a)(3)(ii)(D)(2) of this section.
B=hydrocarbon concentration (ppmC) of the oxygen interference check 
gases used in step in paragraph (a)(3)(ii)(D)(4) of this section.

    (7) The percent of oxygen interference (%O2I) must be 
less than 3.0 percent for all required oxygen interference 
check gases prior to testing.
    (8) If the oxygen interference is greater than the specifications, 
incrementally adjust the air flow above and below the manufacturer's 
specifications, repeating paragraphs (a)(3)(ii)(D) (1) through (7) of 
this section for each flow.
    (9) If the oxygen interference is greater than the specification 
after adjusting the air flow, vary the fuel flow and thereafter the 
sample flow, repeating paragraphs (a)(3)(ii)(D) (1) through (7) of this 
section for each new setting.

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    (10) If the oxygen interference is still greater than the 
specifications, repair or replace the analyzer, FID fuel, or burner air 
prior to testing. Repeat this section with the repaired or replaced 
equipment or gases.
    (E) Linearity check. For each range used, check linearity as 
follows:
    (1) With the fuel flow, air flow and sample flow adjust to meet the 
oxygen interference specification, zero the analyzer.
    (2) Span the analyzer using a calibration gas that will provide a 
response of approximately 90 percent of full-scale concentration.
    (3) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat steps in paragraphs (a)(3)(ii)(E) (1) and 
(2) of this seciton.
    (4) Record the response of calibration gases having nominal 
concentrations of 30, 60, and 90 percent of full-scale concentration. It 
is permitted to use additional concentrations.
    (5) Perform a linear least square regression on the data generated. 
Use an equation of the form y = mx, where x is the actual chart 
deflection and y is the concentration.
    (6) Use the equation z = y/m to find the linear chart deflection (z) 
for each calibration gas concentration (y).
    (7) Determine the linearity (%L) for each calibration gas by:

Percent L=(100)(z-x)/(Full-scale linear chart deflection)

    (8) The linearity criterion is met if the %L is less than 
2 percent for each data point generated. Below 40 ppmC the 
linearity criterion may be expanded to 4 percent. For each 
emission test, a calibration curve of the form y = mx is to be used. The 
slope (m) is defined for each range by the spanning process.
    (9) If the %L for any point exceeds the specifications in step in 
paragraph (a)(3)(ii)(E)(8) of this section, the air fuel, and sample-
flow rates may be varied within the boundaries of the oxygen 
interference specifications.
    (10) If the %L for any data point still exceeds the specifications, 
repair or replace the analyzer, FID fuel, burner air, or calibration 
bottles prior to testing. Repeat the procedures of this section with the 
repaired or replaced equipment or gases.
    (F) Optimized flow rates. The fuel-flow rate, air-flow rate and 
sample-flow rate and sample-flow rate are defined as ``optimized'' at 
this point.
    (iii) Alternative procedures may be used if approved in advance by 
the Administrator.
    (4) After the optimum flow rates have been determined they are 
recorded for future reference.
    (b) Initial and periodic calibration. Prior to introduction into 
service and monthly thereafter, the HFID hydrocarbon analyzer shall be 
calibrated on all normally used instrument ranges. Use the same flow 
rate and pressures as when analyzing samples. Calibration gases shall be 
introduced directly at the analyzer.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with zero-grade air.
    (3) Calibrate on each used operating range with propane-in-air 
calibration gases having nominal concentrations of 15, 30, 45, 60, 75 
and 90 percent of that range. For each range calibrated, if the 
deviation from a least-squares best-fit straight line is 2 percent or 
less of the value at each data point, concentration values may be 
calculated by use of single calibration factor for that range. If the 
deviation exceeds 2 percent at any point, the best-fit non-linear 
equation which represents the data to within 2 percent of each test 
point shall be used to determine concentration.

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                          Figure to Sec. 92.119
[GRAPHIC] [TIFF OMITTED] TR16AP98.005


[[Page 450]]





Sec. 92.120  NDIR analyzer calibration and checks.

    (a) NDIR water rejection ratio check. (1) Zero and span the analyzer 
on the lowest range that will be used.
    (2) Introduce a saturated mixture of water and zero gas at room 
temperature directly to the analyzer.
    (3) Determine and record the analyzer operating pressure (GP) in 
absolute units in Pascal. Gauges G3 and G4 may be used if the values are 
converted to the correct units.
    (4) Determine and record the temperature of the zero-gas mixture.
    (5) Record the analyzers' response (AR) in ppm to the saturated 
zero-gas mixture.
    (6) For the temperature recorded in paragraph (a)(4) of this 
section, determine the saturation vapor pressure.
    (7) Calculate the water concentration (Z) in the mixture from:

Z=(PWB/GP)(106)

    (8) Calculate the water rejection ratio (WRR) from:

WRR=(Z/AR)

    (b) NDIR CO2 rejection ratio check. (1) Zero and span the 
analyzer on the lowest range that will be used.
    (2) Introduce a CO2 calibration gas of at least 10 
percent CO2 or greater to the analyzer.
    (3) Record the CO2 calibration gas concentration in ppm.
    (4) Record the analyzers' response (AR) in ppm to the CO2 
calibration gas.
    (5) Calculate the CO2 rejection ratio (CO2RR) 
from:

CO2RR=(ppm CO2)/AR

    (c) NDIR analyzer calibration. (1) Detector optimization. If 
necessary, follow the manufacturer's instructions for initial start-up 
and basic operating adjustments.
    (2) Calibration curve. Develop a calibration curve for each range 
used as follows:
    (i) Zero the analyzer.
    (ii) Span the analyzer to give a response of approximately 90 
percent of full-scale chart deflection.
    (iii) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat steps in paragraphs (c)(2)(i) and 
(c)(2)(ii) of this section.
    (iv) Record the response of calibration gases having nominal 
concentrations of 15, 30, 45, 60, 75, and 90 percent of full-scale 
concentration.
    (v) Generate a calibration curve. The calibration curve shall be of 
fourth order or less, have five or fewer coefficients, and be of the 
form of equation (1) or (2). Include zero as a data point. Compensation 
for known impurities in the zero gas can be made to the zero-data point. 
The calibration curve must fit the data points within 2 percent of point 
or 1 percent of full scale, whichever is less. Equations (1) and (2) 
follow:

 y = Ax4+Bx3+Cx2+Dx+E   (1)
 y = x/(Ax4+Bx3+Cx2+Dx+E)  (2)

where:

 y = concentration.
 x = chart deflection.

    (vi) Option. A new calibration curve need not be generated if:
    (A) A calibration curve conforming to paragraph (c)(2)(v) of this 
section exists;
    (B) The responses generated in paragraph (c)(2)(iv) of this section 
are within 1 percent of full scale or 2 percent of point, whichever is 
less, of the responses predicted by the calibration curve for the gases 
used in paragraph (c)(2)(iv) of this section.
    (vii) If multiple range analyzers are used, only the lowest range 
must meet the curve fit requirements below 15 percent of full scale.
    (3) If any range is within 2 percent of being linear a linear 
calibration may be used. To determine if this criterion is met:
    (i) Perform a linear least-square regression on the data generated. 
Use an equation of the form y=mx, where x is the actual chart deflection 
and y is the concentration.
    (ii) Use the equation z=y/m to find the linear chart deflection (z) 
for each calibration gas concentration (y).
    (iii) Determine the linearity (%L) for each calibration gas by:

Percent L=(100)(z-x)/(Full-scale chart deflection)

    (iv) The linearity criterion is met if the %L is less than 
2 percent for each data point generated. For each emission 
test, a calibration curve of the

[[Page 451]]

form y=mx is to be used. The slope (m) is defined for each range by the 
spanning process.



Sec. 92.121  Oxides of nitrogen analyzer calibration and check.

    (a) Quench checks; NOX analyzer. (1) Perform the reaction 
chamber quench check for each model of high vacuum reaction chamber 
analyzer prior to initial use.
    (2) Perform the reaction chamber quench check for each new analyzer 
that has an ambient pressure or ``soft vacuum'' reaction chamber prior 
to initial use. Additionally, perform this check prior to reusing an 
analyzer of this type any time any repairs could potentially alter any 
flow rate into the reaction chamber. This includes, but is not limited 
to, sample capillary, ozone capillary, and if used, dilution capillary.
    (3) Quench check as follows:
    (i) Calibrate the NOX analyzer on the lowest range that 
will be used for testing.
    (ii) Introduce a mixture of CO2 calibration gas and 
NOX calibration gas to the CL analyzer. Dynamic blending may 
be used to provide this mixture. Dynamic blending may be accomplished by 
analyzing the CO2 in the mixture. The change in the 
CO2 value due to blending may then be used to determine the 
true concentration of the NOX in the mixture. The 
CO2 concentration of the mixture shall be approximately equal 
to the highest concentration experienced during testing. Record the 
response.
    (iii) Recheck the calibration. If it has changed more than 
1 percent of full scale, recalibrate and repeat the quench 
check.
    (iv) Prior to testing, the difference between the calculated 
NOX response and the response of NOX in the 
presence of CO2 (step in paragraph (a)(3)(ii) of this section 
must not be greater than 3.0 percent of full-scale. The calculated 
NOX response is based on the calibration performed in step in 
paragraph (a)(3)(i) this section.
    (b) Oxides of nitrogen analyzer calibration. (1) Every 30 days, 
perform a converter-efficiency check (see paragraph (b)(2) of this 
section) and a linearity check (see paragraph (b)(3) of this section).
    (2) Converter-efficiency check. The apparatus described and 
illustrated in Figure B121-1 of this section is to be used to determine 
the conversion efficiency of devices that convert NO2 to NO. 
The following procedure is to be used in determining the values to be 
used in the equation below:
    (i) Follow the manufacturer's instructions for instrument startup 
and operation.
    (ii) Zero the oxides of nitrogen analyzer.
    (iii) Connect the outlet of the NOX generator to the 
sample inlet of the oxides of nitrogen analyzer which has been set to 
the most common operating range.
    (iv) Introduce into the NOX generator-analyzer system a 
span gas with a NO concentration equal to approximately 80 percent of 
the most common operating range. The NO2 content of the gas 
mixture shall be less than 5 percent of the NOX 
concentration.
    (v) With the oxides of nitrogen analyzer in the NO Mode, record the 
concentration of NO indicated by the analyzer.
    (vi) Turn on the NOX generator O2 (or air) 
supply and adjust the O2 (or air) flow rate so that the NO 
indicated by the analyzer is about 10 percent less than indicated in 
step in paragraph (b)(2)(v) of this section. Record the concentration of 
NO in this NO+O2 mixture.
    (vii) Switch the NOX generator to the generation mode and 
adjust the generation rate so that the NO measured on the analyzer is 20 
percent of that measured in step in paragraph (b)(2)(v) of this section. 
There must be at least 10 percent unreacted NO at this point. Record the 
concentration of residual NO.
    (viii) Switch the oxides of nitrogen analyzer to the NOX 
mode and measure total NOX. Record this value.
    (ix) Switch off the NOX generation, but maintain gas flow 
through the system. The oxides of nitrogen analyzer will indicate the 
total NOX in the NO+O2 mixture. Record this value.
    (x) Turn off the NOX generator O2 (or air) 
supply. The analyzer will now indicate the total NOX in the 
original NO

[[Page 452]]

in N2 mixture. This value should be no more than 5 percent 
above the value indicated in step in paragraph (b)(2)(iv) of this 
section.
    (xi) Calculate the efficiency of the NOX converter by 
substituting the concentrations obtained into the following equation:
    (A) Percent Efficiency=(1+(a-b)/(c-d))(100)

where:

a=concentration obtained in paragraph (b)(2)(viii) of this section.
b=concentration obtained in paragraph (b)(2)(ix) of this section.
c=concentration obtained in paragraph (b)(2)(vi) of this section.
d=concentration obtained in paragraph (b)(2)(vii) of this section.

    (B) The efficiency of the converter shall be greater than 90 
percent. Adjustment of the converter temperature may be necessary to 
maximize the efficiency. If the converter does not meet the conversion-
efficiency specifications, repair or replace the unit prior to testing. 
Repeat the procedures of this section with the repaired or new 
converter.
    (3) Linearity check. For each range used, check linearity as 
follows:
    (i) With the operating parameters adjusted to meet the converter 
efficiency check and the quench checks, zero the analyzer.
    (ii) Span the analyzer using a calibration gas that will give a 
response of approximately 90 percent of full-scale concentration.
    (iii) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat steps in paragraphs (b)(3)(i) and 
(b)(3)(ii) of this section.
    (iv) Record the response of calibration gases having nominal 
concentrations of 30, 60 and 90 percent of full-scale concentration. It 
is permitted to use additional concentrations.
    (v) Perform a linear least-square regression on the data generated. 
Use an equation of the form y=mx where x is the actual chart deflection 
and y is the concentration.
    (vi) Use the equation z=y/m to find the linear chart deflection (z) 
for each calibration gas concentration (y).
    (vii) Determine the linearity (%L) for each calibration gas by:

Percent L=(100)(z-x)/(Full-scale chart deflection)

    (viii) The linearity criterion is met if the %L is less than 
2 percent of each data point generated. For each emission 
test, a calibration curve of the form y=mx is to be used. The slope (m) 
is defined for each range by the spanning process.
    (ix) If the %L exceeds 2 percent for any data point 
generated, repair or replace the analyzer or calibration bottles prior 
to testing. Repeat the procedures of this section with the repaired or 
replaced equipment or gases.
    (x) Perform a converter-efficiency check (see paragraph (b)(2) of 
this section).
    (xi) The operating parameters are defined as ``optimized'' at this 
point.
    (4) Converter checking gas. If the converter quick-check procedure 
is to be employed, paragraph (b)(5) of this section, a converter 
checking gas bottle must be named. The following naming procedure must 
occur after each converter efficiency check, paragraph (b)(2) of this 
section.
    (i) A gas bottle with an NO2 concentration equal to 
approximately 80 percent of the most common operation range shall be 
designated as the converter checking gas bottle. Its NO concentration 
shall be less than 25 percent of its NO2 concentration, on a 
volume basis.
    (ii) On the most common operating range, zero and span the analyzer 
in the NOX mode. Use a calibration gas with a concentration 
equal to approximately 80 percent of the range for spanning.
    (iii) Introduce the converter checking gas. Analyze and record 
concentrations in both the NOX mode (X) and NO mode (Y).
    (iv) Calculate the concentration of the converter checking gas using 
the results from step in paragraph (b)(4)(iii) of this section and the 
converter efficiency from paragraph (b)(2) of this section as follows:

Concentration=(((X-Y)(100))/Efficiency)+Y

    (5) Converter quick-check.
    (i) Span the analyzer in the normal manner (NOX mode) for 
the most common operating range.

[[Page 453]]

    (ii) Analyze the converter checking gas in the NOX mode, 
record the concentration.
    (iii) Compare the observed concentration with the concentration 
assigned under the procedure in paragraph (b)(4) of this section. If the 
observed concentration is equal to or greater than 90 percent of the 
assigned concentration, the converter operation is satisfactory.
    (c) Initial and periodic calibration. Prior to its introduction into 
service and monthly thereafter, the chemiluminescent oxides of nitrogen 
analyzer shall be calibrated on all normally used instrument ranges. Use 
the same flow rate as when analyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations of 15, 30, 
45, 60, 75 and 90 percent of that range. For each range calibrated, if 
the deviation from a least-squares best-fit straight line is 2 percent 
or less of the value at each data point, concentration values may be 
calculated by use of a single calibration factor for that range. If the 
deviation exceeds 2 percent at any point, the best-fit non-linear 
equation which represents the data to within 2 percent of each test 
point shall be used to determine concentration.
    (d) If a stainless steel NO2 to NO converter is used, 
condition all new or replacement converters. The conditioning consists 
of either purging the converter with air for a minimum of 4 hours or 
until the converter efficiency is greater than 90 percent. The converter 
must be at operational temperature while purging. Do not use this 
procedure prior to checking converter efficiency on in-use converters.

[[Page 454]]

                          Figure to Sec. 92.121
[GRAPHIC] [TIFF OMITTED] TR16AP98.006


[[Page 455]]





Sec. 92.122  Smoke meter calibration.

    The smokemeter shall be checked according to the following procedure 
prior to each test:
    (a) The zero control shall be adjusted under conditions of ``no 
smoke'' to give a recorder or data collection equipment response of 
zero;
    (b) Calibrated neutral density filters having approximately 10, 20, 
and 40 percent opacity shall be employed to check the linearity of the 
instrument. The filter(s) shall be inserted in the light path 
perpendicular to the axis of the beam and adjacent to the opening from 
which the beam of light from the light source emanates, and the recorder 
response shall be noted. Filters with exposed filtering media should be 
checked for opacity every six months; all other filters shall be checked 
every year, using NIST or equivalent reference filters. Deviations in 
excess of 1 percent of the nominal opacity shall be corrected.



Sec. 92.123  Test procedure; general requirements.

    (a) The locomotive/locomotive engine test procedure is designed to 
determine the brake specific emissions of hydrocarbons (HC, total or 
non-methane as applicable), total hydrocarbon equivalent (THCE) and 
aldehydes (as applicable), carbon monoxide (CO), oxides of nitrogen 
(NOX), and particulates, and the opacity of smoke emissions. 
The test procedure consists of measurements of brake specific emissions 
and smoke opacity at each throttle position and of measurements of smoke 
opacity during each change in throttle position as engine power is 
increased. If less than 2 percent of the total exhaust flow is removed 
for gaseous and particulate sampling in notches 1 through 8, and if less 
than 4 percent of the total exhaust flow is removed for gaseous and 
particulate sampling at idle and dynamic brake, all measurements of 
gaseous, particulate and smoke emissions may be performed during one 
test sequence. If more than 2 percent, or 4 percent as applicable, of 
the total exhaust is removed for gaseous and particulate sampling, 
measurements of gaseous, and particulate emissions are performed during 
one test sequence, and a second test sequence is performed for the 
measurement of smoke.
    (1) In the raw exhaust sampling procedure, sample is collected 
directly from the exhaust stream during each throttle setting. 
Particulates are collected on filters following dilution with ambient 
air of another raw exhaust sample. The fuel flow rate for each throttle 
setting is measured.
    (2) For locomotives with multiple exhaust stacks, smoke testing is 
only required for one of the exhaust stacks provided the following 
conditions are met:
    (i) The stack that is not tested is not visibly smokier than the 
stack that is tested; and
    (ii) None of the measured opacity values for the stack tested are 
not greater than three-quarters of the level allowed by any of the 
applicable smoke standards.
    (b) The test consists of prescribed sequences of engine operating 
conditions (see Secs. 92.124 and 92.126) to be conducted either on a 
locomotive; or with the engine mounted on an engine dynamometer, or 
attached to a locomotive alternator/generator.
    (1) Locomotive testing. (i) The electrical power output produced by 
the alternator/generator at each throttle setting is recorded as 
measurements of either the wattmeter or the output voltage, phase angle, 
and current flow through the electrical resistance bank.
    (ii) The locomotive fuel supply system shall be disconnected and a 
system capable of measuring the net rate at which fuel is supplied to 
the engine (accounting for fuel recycle) shall be connected.
    (2) Engine testing. (i) When the test is performed using a 
dynamometer, engine torque and rpm shall be recorded during each 
throttle setting.
    (ii) The complete engine shall be tested, with all emission control 
devices, and charge air cooling equipment installed and functioning.
    (iii) On air-cooled engines, the engine cooling fan shall be 
installed.
    (iv) Additional accessories (e.g., air compressors) shall be 
installed or their loading simulated if typical of the in-

[[Page 456]]

use application. In the case of simulated accessory loadings, the 
manufacturer shall make available to the Administrator documentation 
which shows that the simulated loading is representative of in-use 
operation. Power for accessories necessary to operate the engine (such 
as fuel pumps) shall be treated as parasitic losses and would not be 
included in the engine power output for purposes of calculating brake 
specific emissions.
    (v) The engine may be equipped with a production type starter.
    (vi) Means of engine cooling shall be used which will maintain the 
engine operating temperatures (e.g., temperatures of intake air 
downstream of charge air coolers, oil, water, etc.) at approximately the 
same temperature as would occur in a locomotive at each test point under 
the equivalent ambient conditions. In the case of engine intake air 
after compression and cooling in the charge air cooler(s), the 
temperature of the air entering the engine shall be within 5 
 deg.F, at each test point, of the typical temperatures occurring in 
locomotive operations under ambient conditions represented by the test. 
Auxiliary fan(s) may be used to maintain engine cooling during operation 
on the dynamometer. Rust inhibitors and lubrication additives may be 
used, up to the levels recommended by the additive manufacturer. If 
antifreeze is to be used in the locomotive application, antifreeze 
mixtures and other coolants typical of those approved for use in the 
locomotive may be used.
    (vii) The provisions of paragraph (b)(1)(i) of this section apply to 
engine testing using a locomotive alternator/generator instead of a 
dynamometer.



Sec. 92.124  Test sequence; general requirements.

    (a) Air temperature. (1) The temperature of dilution air for the 
particulate sample dilution tunnel shall comply with the requirements of 
Sec. 92.114 throughout the test sequence.
    (2) For the testing of locomotives and engines, the ambient (test 
cell or out-of-door) air temperature, the temperature of the engine 
intake air, and the temperature of the air which provides cooling for 
the engine charge air cooling system shall be between 45  deg.F (7 
deg.C) and 105  deg.F (41  deg.C) throughout the test sequence. 
Manufacturers and remanufacturers may test at higher temperatures 
without approval from the Administrator, but no corrections are allowed 
for the deviations from test conditions.
    (b) For the testing of locomotives and engines, the atmospheric 
pressure shall be between 31.0 inches Hg and 26.0 inches Hg throughout 
the test sequence. Manufacturers and remanufacturers may test at lower 
pressures without approval from the Administrator, but no corrections 
are allowed for the deviations from test conditions.
    (c) No control of humidity is required for ambient air, engine 
intake air or dilution air.
    (d) Flow restrictions--(1) Locomotive testing. Restrictions to the 
flow of air into the engine and of exhaust out of the engine shall be 
those inherent to the locomotive. No adjustments or changes shall be 
made to these parameters. The temperature of the inlet fuel to the 
engine shall not exceed 125  deg.F.
    (2) Engine testing. (i) Air inlet and exhaust restrictions shall be 
set to represent the average restrictions which would be seen in use in 
a representative application.
    (ii) Inlet depression and exhaust backpressure shall be set with the 
engine operating at rated speed and maximum power, i.e., throttle notch 
8.
    (iii) The locations at which the inlet depression and exhaust 
backpressure are measured shall be specified by the manufacturer or 
remanufacturer.
    (iv) The settings shall be made during the preconditioning.
    (e) Pre-test engine measurements (e.g., idle and throttle notch 
speeds, fuel flows, etc.), pre-test engine performance checks (e.g., 
verification of engine power, etc.) and pre-test system calibrations 
(e.g., inlet and exhaust restrictions, etc.) can be done during engine 
preconditioning, or at the manufacturer's convenience subject to the 
requirements of good engineering practice.
    (f) The required test sequence is described in Table B124-1 of this 
section, as follows:

[[Page 457]]



                       Table B124-1--Test Sequence for Locomotives and Locomotive Engines
----------------------------------------------------------------------------------------------------------------
                                                                                                Power, and fuel
           Mode No.               Notch setting      Time in notch    Emissions measured \2\      consumption
                                                                                                   measured
----------------------------------------------------------------------------------------------------------------
Warmup........................  Notch 8..........  5  1   None..................  None.
                                                    min.
Warmup........................  Lowest Idle......  15 min maximum...  None..................  None.
1a............................  Low Idle \1\.....  6 min minimum....  All...................  Both.
1.............................  Normal Idle......  6 min minimum....  All...................  Both.
2.............................  Dynamic Brake \1\  6 min minimum....  All...................  Both.
3.............................  Notch 1..........  6 min minimum....  All...................  Both.
4.............................  Notch 2..........  6 min minimum....  All...................  Both.
5.............................  Notch 3..........  6 min minimum....  All...................  Both.
6.............................  Notch 4..........  6 min minimum....  All...................  Both.
7.............................  Notch 5..........  6 min minimum....  All...................  Both.
8.............................  Notch 6..........  6 min minimum....  All...................  Both.
9.............................  Notch 7..........  6 min minimum....  All...................  Both.
10............................  Notch 8..........  15 min minimum...  All...................  Both.
----------------------------------------------------------------------------------------------------------------
\1\ Omit if not so equipped.
\2\ The EPA test sequence for locomotives and locomotive engines may be performed once, with gaseous,
  particulate and smoke measurements performed simultaneously, or it may be performed twice with gaseous, and
  particulate measurements performed during one test sequence and smoke measurements performed during the other
  test sequence.



Sec. 92.125  Pre-test procedures and preconditioning.

    (a) Locomotive testing. (1) Determine engine lubricating oil and 
coolant levels and fill as necessary to manufacturers recommended full 
levels.
    (2) Connect fuel supply system and purge as necessary; determine 
that the fuel to be used during emission testing is in compliance with 
the specifications of Sec. 92.113.
    (3) Install instrumentation, engine loading equipment and sampling 
equipment as required.
    (4) Operate the engine until it has reached the specified operating 
temperature.
    (b) Engine testing. (1) Determine engine lubricating oil level and 
fill as necessary to manufacturers recommended full level.
    (2)(i) Connect fuel supply system and purge as necessary; determine 
that the fuel to be used during emission testing is in compliance with 
the specifications of Sec. 92.113.
    (ii) Connect engine cooling system.
    (3) Install instrumentation, and sampling equipment as required. 
Couple the engine to the dynamometer or locomotive alternator/generator.
    (4) Start cooling system.
    (5) Operate the engine until it has reached the specified operating 
temperature.
    (6) Establish that the temperature of intake air entering the engine 
after compression and cooling in the charge air cooler(s), at each test 
point, is within 5  deg.F of the temperatures which occur in 
locomotive operations at the ambient temperature represented by the 
test.
    (c) Both locomotive and engine testing. (1) Allow a minimum of 30 
minutes warm-up in the stand-by or operating mode prior to spanning the 
analyzers.
    (2) Replace or clean filter elements (sampling and analytical 
systems) as necessary, and then vacuum leak check the system, 
Sec. 92.118. A pressure leak check is also permitted per Sec. 92.118. 
Allow the heated sample line, filters, and pumps to reach operating 
temperature.
    (3) Perform the following system checks:
    (i) If a stainless steel NO2 to NO converter is used, 
purge the converter with air (zero-grade air, room air, or 
O2) for a minimum of 30 minutes. The converter must be at 
operational temperature while purging.
    (ii) Check the sample system temperatures (see Sec. 92.114).
    (iii) Check the system response time (see Sec. 92.118). System 
response time may be applied from the most recent check of response time 
if all of the following are met:
    (A) The flow rate for each flow meter is equal to or greater than 
the flow rate recorded in Sec. 92.118.
    (B) For analyzers with capillaries, the response time from the 
sample/span valve is measured using in-use pressures and bypass flows 
(see Sec. 92.118).

[[Page 458]]

    (C) The response time measured in step in paragraph (c)(3)(iii)(B) 
of this section is equal to or less than the slowest response time 
determined for Capillary flow analyzers in Sec. 92.118 plus 2 seconds.
    (iv) A hang-up check is permitted.
    (v) A converter-efficiency check is permitted. The check need not 
conform to Sec. 92.121. The test procedure may be aborted at this point 
in the procedure in order to repair the NO2 to NO converter. 
If the test is aborted, the converter must pass the efficiency check 
described in Sec. 92.121 prior to starting the test run.
    (4) Introduce the zero-grade gases at the same flow rates and 
pressures used to calibrate the analyzers and zero the analyzers on the 
lowest anticipated range that will be used during the test. Immediately 
prior to each test, obtain a stable zero for each anticipated range that 
will be used during the test.
    (5) Introduce span gases to the instruments under the same flow 
conditions as were used for the zero gases. Adjust the instrument gains 
on the lowest range that will be used to give the desired value. Span 
gases should have a concentration greater than 70 percent of full scale 
for each range used. Immediately prior to each test, record the response 
to the span gas and the span-gas concentration for each range that will 
be used during the test.
    (6) Check the zero responses. If they have changed more than 0.5 
percent of full scale, repeat paragraphs (c)(4) and (5) of this section.
    (7) Check system flow rates and pressures. Note the values of gauges 
for reference during the test.



Sec. 92.126  Test run.

    (a) The following steps shall be taken for each test:
    (1) Prepare the locomotive, engine, dynamometer, (as applicable) and 
sampling system for the test. Change filters, etc. and leak check as 
necessary.
    (2) Connect sampling equipment as appropriate for the sampling 
procedure employed; i.e. raw or dilute (evacuated sample collection 
bags, particulate, and raw exhaust sampling equipment, particulate 
sample filters, fuel flow measurement equipment, etc.).
    (3) Start the particulate dilution tunnel, the sample pumps, the 
engine cooling fan(s) (engine dynamometer testing) and the data 
collection and sampling systems (except particulate sample collection). 
The heated components of any continuous sampling systems(s) (if 
applicable) shall be preheated to their designated operating 
temperatures before the test begins.
    (4) Adjust the sample flow rates to the desired flow rates and set 
gas flow measuring devices to zero (particulate dilution tunnel).
    (5) Read and record all required general and pre-test data (i.e., 
all required data other than data that can only be collected during or 
after the emission test).
    (6) Warm-up the locomotive or locomotive engines according to normal 
warm-up procedures.
    (7) Begin the EPA Test Sequence for Locomotives and Locomotive 
Engines (see Sec. 92.124). Record all required general and test data 
throughout the duration of the test sequence.
    (i) Mark the start of the EPA Test Sequence for Locomotives and 
Locomotive Engines on all data records.
    (ii) Begin emission measurement after completing the warmup phase of 
the EPA Test Sequence for Locomotives and Locomotive Engines, as 
specified in paragraph (b) of this section. Mark the start and end of 
each mode on all data records.
    (iii) A mode shall be voided where the requirements of this subpart 
that apply to that test mode are not met. This includes the following:
    (A) The data acquisition is terminated prematurely; or
    (B) For engine testing, the engine speed or power output exceeds the 
tolerance bands established for that mode; or
    (C) Measured concentrations exceed the range of the instrument; or
    (D) The test equipment malfunctions.
    (iv) Modes within the test sequence shall be repeated if it is 
voided during the performance of the test sequence. A mode can be 
repeated by:
    (A) Repeating the two preceding modes and then continuing with the 
test sequence, provided that the locomotive or engine is not shut down 
after the voided test mode; or

[[Page 459]]

    (B) Repeating the preceding mode and then continuing with the test 
sequence from that point, provided that the locomotive or engine is not 
operated in any mode with lower power than the preceding mode after the 
voided test mode. For example, if the Notch 2 mode is voided, then the 
locomotive or engine would be returned to Notch 1 while any repairs are 
made.
    (b) Sampling and measurement timing. (1) Gaseous emissions shall be 
sampled and measured continuously.
    (2)(i) Sampling of particulate emissions from the raw exhaust (for 
dilution) shall be conducted continuously.
    (ii) Sampling of particulates from the diluted exhaust shall begin 
within ten seconds after the beginning of each test mode, and shall end 
six minutes after the beginning of each test mode.
    (iii) Sampling of CO2 in the dilution air and diluted 
exhaust does not need to be continuous, but the measurements used for 
the calculations must be made after the first two minutes of each mode.
    (3) Fuel flow rate shall be measured continuously. The value 
reported for the fuel flow rate shall be a one-minute average of the 
instantaneous fuel flow measurements taken during the last minute of the 
minimum sampling period listed in Table B124-1 in Sec. 92.124; except 
for testing during idle modes, where it shall be a three-minute average 
of the instantaneous fuel flow measurements taken during the last three 
minutes of the minimum sampling period listed in Table B124-1 in 
Sec. 92.124. Sampling periods greater than one minute, but no greater 
than three minutes are allowed for modes 2, 3, and 4, where required by 
good engineering practice.
    (4) Engine power shall be measured continuously. The value reported 
for the engine power shall be a one-minute average of the instantaneous 
power measurements taken during the last minute of the minimum sampling 
period listed in Table B124-1 in Sec. 92.124.
    (c) Exhaust gas measurements. (1) Should the analyzer response 
exceed 100 percent of full scale or respond less than 15 percent of full 
scale, the next higher or lower analyzer range shall be used.
    (2) Each analyzer range that may be used during a test sequence must 
have the zero and span responses recorded prior to the execution of the 
test sequence. Only the range(s) used to measure the emissions during a 
test sequence are required to have their zero and span recorded after 
the completion of the test sequence.
    (3) It is permitted to change filter elements between test modes, 
provided such changes do not cause a mode to be voided.
    (4) A leak check is permitted between test modes, provided such 
changes do not cause a mode to be voided.
    (5) A hang-up check is permitted between test modes, provided such 
changes do not cause a mode to be voided.
    (6) If, during the emission measurement portions of a test, the 
value of the gauges downstream of the NDIR analyzer(s) differs by more 
than 2 inches of water from the pretest value, the test is 
void.
    (7)(i) For bag samples, as soon as possible transfer the exhaust and 
dilution air bag samples to the analytical system and process the 
samples.
    (ii) A stabilized reading of the exhaust sample bag on all 
applicable analyzers shall be made within 20 minutes of the end of the 
sample collection phase of the mode.



Sec. 92.127  Emission measurement accuracy.

    (a) Good engineering practice dictates that exhaust emission sample 
analyzer readings below 15 percent of full scale chart deflection should 
generally not be used.
    (b) Some high resolution read-out systems such as computers, data 
loggers, etc., can provide sufficient accuracy and resolution below 15 
percent of full scale. Such systems may be used provided that additional 
calibrations are made to ensure the accuracy of the calibration curves. 
The following procedure for calibration below 15 percent of full scale 
may be used:
    (1) If a 16-point gas divider is used, 50 percent of the calibration 
points shall be below 10 percent of full scale. The gas divider shall 
conform to the accuracy requirements specified in Sec. 92.112.

[[Page 460]]

    (2) If a 7- or 9-point gas divider is used, the gas divider shall 
conform to the accuracy requirements specified in Sec. 92.112, and shall 
be used according to the following procedure:
    (i) Span the full analyzer range using a top range calibration gas 
meeting the calibration gas accuracy requirements of Sec. 92.112.
    (ii) Generate a calibration curve according to, and meeting the 
applicable requirements of Secs. 92.118 through 92.122.
    (iii) Select a calibration gas (a span gas may be used for 
calibrating the CO2 analyzer) with a concentration between 
the two lowest non-zero gas divider increments. This gas must be 
``named'' to an accuracy of 1.0 percent (2.0 
percent for CO2 span gas) of NIST gas standards, or other 
standards approved by the Administrator.
    (iv) Using the calibration curve fitted to the points generated in 
paragraphs (b)(2)(i) and (ii) of this section, check the concentration 
of the gas selected in paragraph (b)(2)(iii) of this section. The 
concentration derived from the curve shall be within 2.3 
percent (2.8 percent for CO2 span gas) of the 
gas' original named concentration.
    (v) Provided the requirements of paragraph (b)(2)(iv) of this 
section are met, use the gas divider with the gas selected in paragraph 
(b)(2)(iii) of this section and determine the remainder of the 
calibration points. Fit a calibration curve per Secs. 92.118 through 
92.122 for the entire analyzer range.



Sec. 92.128  Particulate handling and weighing.

    (a) At least 1 hour before the test, place each filter in a closed 
(to eliminate dust contamination) but unsealed (to permit humidity 
exchange) petri dish and place in a weighing chamber meeting the 
specifications of Sec. 92.110(a) of this section for stabilization.
    (b) At the end of the stabilization period, weigh each filter on the 
microbalance. This reading is the tare weight and must be recorded.
    (c) The filter shall then be stored in a covered petri dish or a 
sealed filter holder until needed for testing. If the filters are 
transported to a remote test location, the filter pairs, stored in 
individual petri dishes, should be transported in sealed plastic bags to 
prevent contamination. At the conclusion of a test run, the filters 
should be removed from the filter holder, and placed face to face in a 
covered but unsealed petri dish, with the primary filter placed face up 
in the dish. The filters shall be weighed as a pair. If the filters need 
to be transported from a remote test site, back to the weighing chamber, 
the petri dishes should be placed in a sealed plastic bag to prevent 
contamination. Care should be taken in transporting the used filters 
such that they are not exposed to excessive, sustained direct sunlight, 
or excessive handling.
    (d) After the emissions test, and after the sample and back-up 
filters have been returned to the weighing room after being used, they 
must be conditioned for at least 1 hour but not more than 80 hours and 
then weighed. This reading is the gross weight of the filter and must be 
recorded.
    (e) The net weight of each filter is its gross weight minus its tare 
weight. Should the sample on the filter contact the petri dish or any 
other surface, the test is void and must be rerun.
    (f) The particulate filter weight (Pf) is the sum of the net weight 
of the primary filter plus the net weight of the backup filter.
    (g) The following optional weighting procedure is permitted:
    (1) At the end of the stabilization period, weigh both the primary 
and back-up filters as a pair. This reading is the tare weight and must 
be recorded.
    (2) After the emissions test, in removing the filters from the 
filter holder, the back-up filter is inverted on top of the primary 
filter. They must then be conditioned in the weighing chamber for at 
least 1 hour but not more than 80 hours. The filters are then weighed as 
a pair. This reading is the gross weight of the filters (Pf) and must be 
recorded.
    (3) Paragraphs (a), (c), and (e) of this section apply to this 
option, except that the word ``filter'' is replaced by ``filters''.



Sec. 92.129  Exhaust sample analysis.

    (a) The analyzer response may be read by automatic data collection 
(ADC) equipment such as computers, data loggers, etc. If ADC equipment 
is used the following is required:

[[Page 461]]

    (1) The response complies with Sec. 92.130.
    (2) The response required in paragraph (a)(1) of this section may be 
stored on long-term computer storage devices such as computer tapes, 
storage discs, or they may be printed in a listing for storage. In 
either case a chart recorder is not required and records from a chart 
recorder, if they exist, need not be stored.
    (3) If the data from ADC equipment is used as permanent records, the 
ADC equipment and the analyzer values as interpreted by the ADC 
equipment are subject to the calibration specifications in Secs. 92.118 
through 92.122, as if the ADC equipment were part of the analyzer.
    (b) Data records from any one or a combination of analyzers may be 
stored as chart recorder records.
    (c) Software zero and span.
    (1) The use of ``software'' zero and span is permitted. The process 
of software zero and span refers to the technique of initially adjusting 
the analyzer zero and span responses to the calibration curve values, 
but for subsequent zero and span checks the analyzer response is simply 
recorded without adjusting the analyzer gain. The observed analyzer 
response recorded from the subsequent check is mathematically corrected 
back to the calibration curve values for zero and span. The same 
mathematical correction is then applied to the analyzer's response to a 
sample of exhaust gas in order to compute the true sample concentration.
    (2) The maximum amount of software zero and span mathematical 
correction is 10 percent of full scale chart deflection.
    (3) Software zero and span may be used to switch between ranges 
without adjusting the gain of the analyzer.
    (4) The software zero and span technique may not be used to mask 
analyzer drift. The observed chart deflection before and after a given 
time period or event shall be used for computing the drift. Software 
zero and span may be used after the drift has been computed to 
mathematically adjust any span drift so that the ``after'' span check 
may be transformed into the ``before'' span check for the next mode.
    (d) For sample analysis perform the following sequence:
    (1) Warm-up and stabilize the analyzers; clean and/or replace filter 
elements, conditioning columns (if used), etc., as necessary.
    (2) Leak check portions of the sampling system that operate at 
negative gauge pressures when sampling, and allow heated sample lines, 
filters, pumps, etc., to stabilize at operating temperature.
    (3) Optional: Perform a hang-up check for the HFID sampling system:
    (i) Zero the analyzer using zero air introduced at the analyzer 
port.
    (ii) Flow zero air through the overflow sampling system, where an 
overflow system is used. Check the analyzer response.
    (iii) If the overflow zero response exceeds the analyzer zero 
response by 2 percent or more of the HFID full-scale deflection, hang-up 
is indicated and corrective action must be taken.
    (iv) The complete system hang-up check specified in paragraph (f) of 
this section is recommended as a periodic check.
    (4) Obtain a stable zero reading.
    (5) Zero and span each range to be used on each analyzer used prior 
to the beginning of the test sequence. The span gases shall have a 
concentration between 75 and 100 percent of full scale chart deflection. 
The flow rates and system pressures shall be approximately the same as 
those encountered during sampling. The HFID analyzer shall be zeroed and 
spanned through the overflow sampling system, where an overflow system 
is used.
    (6) Re-check zero response. If this zero response differs from the 
zero response recorded in paragraph (d)(5) of this section by more than 
1 percent of full scale, then paragraphs (d) (4), (5), and (6) of this 
section should be repeated.
    (7) If a chart recorder is used, identify and record the most recent 
zero and span response as the pre-analysis values.
    (8) If ADC equipment is used, electronically record the most recent 
zero and span response as the pre-analysis values.

[[Page 462]]

    (9) Measure (or collect a sample of) the emissions continuously 
during each mode of the test cycle. Indicate the start of the test, the 
range(s) used, and the end of the test on the recording medium (chart 
paper or ADC equipment). Maintain approximately the same flow rates and 
system pressures used in paragraph (d)(5) of this section.
    (10)(i) Collect background HC, CO, CO2, and 
NOX in a sample bag (optional).
    (ii) Measure the concentration of CO2 in the dilution air 
and the diluted exhaust for particulate measurements.
    (11) Perform a post-analysis zero and span check for each range used 
at the conditions specified in paragraph (d)(5) of this section. Record 
these responses as the post-analysis values.
    (12) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed 3 percent 
for HC, or 2 percent for NOX, CO, and CO2, of full 
scale chart deflection, or the test is void. (If the HC drift is greater 
than 3 percent of full-scale chart deflection, hydrocarbon hang-up is 
likely.)
    (13) Determine HC background levels (if necessary) by introducing 
the background sample into the overflow sample system.
    (14) Determine background levels of NOX, CO, or 
CO2 (if necessary).
    (e) HC hang-up. If HC hang-up is indicated, the following sequence 
may be performed:
    (1) Fill a clean sample bag with background air.
    (2) Zero and span the HFID at the analyzer ports.
    (3) Analyze the background air sample bag through the analyzer 
ports.
    (4) Analyze the background air through the entire sample probe 
system.
    (5) If the difference between the readings obtained is 2 percent or 
more of the HFID full scale deflection:
    (i) Clean the sample probe and the sample line;
    (ii) Reassemble the sample system;
    (iii) Heat to specified temperature; and
    (iv) Repeat the procedure in this paragraph (e).



Sec. 92.130  Determination of steady-state concentrations.

    (a)(1) For HC and NOX emissions, a steady-state 
concentration measurement, measured after 300 seconds (or 840 seconds 
for notch 8) of testing shall be used instead of an integrated 
concentration for the calculations in Sec. 92.132 if the concentration 
response meets either of the criteria of paragraph (b) of this section 
and the criterion of paragraph (c) of this section.
    (2) For CO and CO2 emissions, a steady-state 
concentration measurement, measured after 300 seconds (or 840 seconds 
for notch 8) of testing shall be used. The provisions of paragraphs (b) 
through (f) of this section do not apply for CO and CO2 
emissions.
    (b) (1) The steady-state concentration is considered representative 
of the entire measurement period if the time-weighted concentration is 
not more than 10 percent higher than the steady-state concentration. The 
time-weighted concentration is determined by integrating the 
concentration response (with respect to time in seconds) over the first 
360 seconds (or 900 seconds for notch 8) of measurement, and dividing 
the area by 360 seconds (or 900 seconds for notch 8).
    (2) A steady-state concentration is considered representative of the 
entire measurement period if the estimated peak area is not more than 10 
percent of the product of the steady-state concentration and 360 seconds 
(or 900 seconds for notch 8). The estimated peak area is calculated as 
follows, and as shown in Figure B130-1 of this section):
    (i) Draw the peak baseline as a straight horizontal line 
intersecting the steady-state response.
    (ii) Measure the peak height from the baseline with the same units 
as the steady-state concentration; this value is h.
    (iii) Bisect the peak height by drawing a straight horizontal line 
halfway between the top of the peak and the baseline.
    (iv) Draw a straight line from the top of the peak to the baseline 
such that it intersects the response curve at the same point at which 
the line described in paragraph (b)(2)(iii) of this section intersects 
the response curve.

[[Page 463]]

    (v) Determine the time between the point at which the notch was 
changed and the point at which the line described in paragraph 
(b)(2)(iv) of this section intersects the baseline; this value is t.
    (vi) The estimated peak area is equal to the product of h and t, 
divided by 2.
    (c) In order to be considered to be a steady-state measurement, a 
measured response may not vary by more than 5 percent after the first 60 
seconds of measurement.
    (d) For responses meeting either of the criteria of paragraph (b) of 
this section, but not meeting the criterion of paragraph (c) of this 
section, one of the following values shall be used instead of a steady-
state or integrated concentration:
    (1) The highest value of the response that is measured after the 
first 60 seconds of measurement (excluding peaks lasting less than 5 
seconds, caused by such random events as the cycling of an air 
compressor); or
    (2) The highest 60-second, time-weighted, average concentration of 
the response after the first 60 seconds of measurement.
    (e) For responses not meeting the criterion in paragraph (c) of this 
section, the Administrator may require that the manufacturer or 
remanufacturer identify the cause of the variation, and demonstrate that 
it is not caused by a defeat device.
    (f) The integrated concentration used for calculations shall be from 
the highest continuous 120 seconds of measurement.
    (g) Compliance with paragraph (b)(2) of this section does not 
require calculation where good engineering practice allows compliance to 
be determined visually (i.e., that the area of the peak is much less 
than the limits set forth in paragraph (b)(2) of this section).

[[Page 464]]

                          Figure to Sec. 92.130
[GRAPHIC] [TIFF OMITTED] TR16AP98.007



Sec. 92.131  Smoke, data analysis.

    The following procedure shall be used to analyze the smoke test 
data:
    (a) Locate each throttle notch test mode, or percent rated power 
setting test mode. Each test mode starts when

[[Page 465]]

the throttle is placed in the mode and ends when the throttle is moved 
to the succeeding mode. The start of the first idle mode corresponds to 
the start of the test sequence.
    (b) Analyze the smoke trace by means of the following procedure:
    (1) Locate the highest reading, and integrate the highest 3-second 
average reading around it.
    (2) Locate and integrate the highest 30-second average reading.
    (3) The highest reading occurring more than two minutes after the 
notch change (excluding peaks lasting less than 5 seconds, caused by 
such random events as the cycling of an air compressor) is the ``steady-
state'' value.
    (c)(1) The values determined in paragraph (b) of this section shall 
be normalized by the following equation:
[GRAPHIC] [TIFF OMITTED] TR16AP98.008

Where:

Nn is the normalized percent opacity, Nm is the 
average measured percent opacity (peak or steady-state), and L is actual 
distance in meters from the point at which the light beam enters the 
exhaust plume to the point at which the light beam leaves the exhaust 
plume.

    (2) The normalized opacity values determined in paragraph (c)(1) of 
this section are the values that are compared to the standards of 
subpart A of this part for determination of compliance.
    (d) This smoke trace analysis may be performed by direct analysis of 
the recorder traces, or by computer analysis of data collected by 
automatic data collection equipment.



Sec. 92.132  Calculations.

    (a) Duty-cycle emissions. This section describes the calculation of 
duty-cycle emissions, in terms of grams per brake horsepower hour (g/
bhp-hr). The calculation involves the weighted summing of the product of 
the throttle notch mass emission rates and dividing by the weighted sum 
of the brake horsepower. The final reported duty-cycle emission test 
results are calculated as follows:
    (1)(i) Eidc=([Sigma](Mij)(Fj))/
([Sigma](BHPj)(Fj))

Where:

Eidc=Duty-cycle weighted, brake-specific mass emission rate 
of pollutant i (i.e., HC, CO, NOX or PM and, if appropriate, 
THCE or NMHC) in grams per brake horsepower-hour;
Mij=the mass emission rate pollutant i for mode j;
Fj=the applicable weighting factor listed in Table B132-1 for 
mode j;
BHPj=the measured brake horsepower for mode j.

    (ii) Table B132-1 follows:

                         Table B132-1--Weighting Factors for Calculating Emission Rates
----------------------------------------------------------------------------------------------------------------
                                                               Locomotive not equipped  Locomotive equipped with
                                                                 with multiple idle       multiple idle notches
             Throttle notch setting               Test mode            notches         -------------------------
                                                             --------------------------
                                                               Line-haul      Switch     Line-haul      Switch
----------------------------------------------------------------------------------------------------------------
Low Idle.......................................           1a           NA           NA        0.190        0.299
Normal Idle....................................            1        0.380        0.598        0.190        0.299
Dynamic Brake..................................            2        0.125        0.000        0.125        0.000
Notch 1........................................            3        0.065        0.124        0.065        0.124
Notch 2........................................            4        0.065        0.123        0.065        0.123
Notch 3........................................            5        0.052        0.058        0.052        0.058
Notch 4........................................            6        0.044        0.036        0.044        0.036
Notch 5........................................            7        0.038        0.036        0.038        0.036
Notch 6........................................            8        0.039        0.015        0.039        0.015
Notch 7........................................            9        0.030        0.002        0.030        0.002
Notch 8........................................           10        0.162        0.008        0.162        0.008
----------------------------------------------------------------------------------------------------------------


[[Page 466]]

    (2) Example: For the line-haul cycle, for locomotives equipped with 
normal and low idle, and with dynamic brake, the brake-specific emission 
rate for HC would be calculated as:

EHCdc=[(MHCla) (0.190)+(MHC1) 
    (0.190)+(MHC2) (0.125)+(MHC3) 
    (0.065)+(MHC4) (0.065)+(MHC5) 
    (0.052)+(MHC6) (0.044)+(MHC7) 
    (0.038)+(MHC8) (0.039)+(MHC9) 
    (0.030)+(MHC10) (0.162)]/[(BHP1a) 
    (0.190)+(BHP1) (0.190)+(BHP2) 
    (0.125)+(BHP3) (0.065)+(BHP4) 
    (0.065)+(BHP5) (0.052)+(BHP6) 
    (0.044)+(BHP7) (0.038)+(BHP8) 
    (0.039)+(BHP9) (0.030)+(BHP10) (0.162)]

    (3) In each mode, brake horsepower output is the power that the 
engine delivers as output (normally at the flywheel), as defined in 
Sec. 92.2.
    (i) For locomotive testing (or engine testing using a locomotive 
alternator/generator instead of a dynamometer), brake horsepower is 
calculated as:

BHP=HPout/Aeff+HPacc

Where:

HPout=Measured horsepower output of the alternator/generator.
Aeff=Efficiency of the alternator/generator.
HPacc=Accessory horsepower.

    (ii) For engine dynamometer testing, brake horsepower is determined 
from the engine speed and torque.
    (4) For locomotive equipped with features that shut the engine off 
after prolonged periods of idle, the measured mass emission rate 
Mi1 (and Mi1a as applicable) shall be multiplied 
by a factor equal to one minus the estimated fraction reduction in 
idling time that will result in use from the shutdown feature. 
Application of this adjustment is subject to the Administrator's 
approval.
    (b) Throttle notch emissions. This paragraph (b) describes the 
calculation of throttle notch emissions for all operating modes, 
including: idle (normal and low, as applicable); dynamic brake; and 
traction power points. The throttle notch (operating mode) emission test 
results, final reported values and values used in paragraph (a)(1) of 
this section are calculated as follows:
    (1) Brake specific emissions (Eij) in grams per brake 
horsepower-hour of each species i (i.e., HC, CO, NOX or PM 
and, if appropriate, THCE or NMHC) for each mode j:
    (i) EHC mode=HC grams/BHP-hr=MHC mode/Measured 
BHP in mode.

Where:

MHC mode=Mass HC emissions (grams per hour) for each test 
mode.

    (ii) ETHCE mode=THCE grams/BHP-hr=MTHCE mode/
Measured BHP in mode.

Where:

MTHCE mode (Total hydrocarbon equivalent mass emissions 
(grams per hour) for each test mode):
=MHCj+[Sigma] (Mij) (MWCp)/
MWCi
Mij=the mass emission rate oxygenated pollutant i for mode j.
MWCi=the molecular weight of pollutant i divided by the 
number of carbon atoms per molecule of pollutant i.
MWCp=the molecular weight of a typical petroleum fuel 
component divided by the number of carbon atoms per molecule of a 
typical petroleum fuel component=13.8756.

    (iii) ENMHC mode=NMHC grams/BHP-hr=MNMHC mode/
Measured BHP in mode.

Where:

MNMHC mode=Mass NMHC emissions (grams per hour) for each test 
mode.

    (iv) ECO mode=CO grams/BHP-hr=MCO mode/
Measured BHP in mode.

Where:

MCO mode=Mass CO emissions (grams per hour) for each test 
mode.

    (v) ENOx mode=NOX grams/BHP-
hr=MNOx mode/Measured BHP in mode.

Where:

MNOx mode=Mass NOX emissions (grams per hour) for 
each test mode.

    (vi) EPM mode=PM grams/BHP-hr=MPM mode/
Measured BHP in mode.

Where:

MPM mode=Mass PM emissions (grams per hour) for each test 
mode.

    (vii) EAL mode=Aldehydes grams/BHP-
hr=MAL mode/Measured BHP in mode.
    (vii) EAL mode=Aldehydes grams/BHP-
hr=MAL mode/Measured BHP in mode.

Where:

MAL mode=Total aldehyde mass emissions (grams per hour) for 
each test mode.

    (2) Mass Emissions--Raw exhaust measurements. For raw exhaust 
measurements mass emissions (grams per hour) of each species for each 
mode:
    (i) General equations. (A) The mass emission rate, 
MX mode (g/hr), of each

[[Page 467]]

pollutant (HC, NOX, CO2, CO, CH4 
CH3OH, CH3CH2OH, CH2O, 
CH3CH2O) for each operating mode for raw 
measurements is determined based on one of the following equations:

MX mode=(DX/106)(DVol)(MWX/
    Vm)
MX mode=(WX/106)(WVol)(MWX/
    Vm)

Where:

X designates the pollutant (e.g., HC), DX is the concentration of 
pollutant X (ppm or ppmC) on a dry basis, MWX is the 
molecular weight of the pollutant (g/mol), DVol is the total exhaust 
flow rate (ft3/hr) on a dry basis, WX is the concentration of 
pollutant X (ppm or ppmC) on a wet basis, WVol is the total exhaust flow 
rate (ft3/hr) on a wet basis, Vm is the volume of 
one mole of gas at standard temperature and pressure (ft3/
mol).

    (B) All measured volumes and volumetric flow rates must be corrected 
to standard temperature and pressure prior to calculations.
    (ii) The following abbreviations and equations apply to this 
paragraph (b)(2):

[alpha]=Atomic hydrogen/carbon ratio of the fuel.
[beta]=Atomic oxygen/carbon ratio of the fuel.
CMWf=Molecular weight of the fuel per carbon atom, or carbon 
molecular weight (g/moleC)=(12.011+1.008[alpha]+16.000[beta]).
DCO=CO concentration in exhaust, ppm (dry).
DCO2=CO2 concentration in exhaust, percent (dry).
DHC=HC carbon concentration in exhaust, ppm C (dry).
DNOX=NOX concentration in exhaust, in ppm (dry).
DVol=Total exhaust flow rate (ft3/hr) on a dry basis; or
  =(Vm)(Wf)/((CMWf) (DHC/
106+DCO/106+DCO2/100)).
K=Water gas equilibrium constant=3.5.
Kw=Wet to dry correction factor.
MF=Mass flow-rate of fuel used in the engine in lb/
hr=Wf/453.59.
MWC=Atomic weight of carbon=12.011.
MWCO=Molecular weight of CO=28.011.
MWH=Atomic weight of hydrogen=1.008.
MWNO2=Molecular weight of nitrogen dioxide 
(NO2)=46.008.
MWO=Molecular weight of atomic oxygen=16.000.
T=Temperature of inlet air (  deg.F).
Vm=Volume of one mole of gas at standard temperature and 
pressure (ft3/mole).
Wf=Mass flow-rate of fuel used in the engine, in grams/
hr=(453.59)x(Mf lbs/hr).
WCO2=CO2 concentration in exhaust, percent (wet).
WHC=HC concentration in exhaust, ppm C (wet).
WVol=Total exhaust flow rate (ft3/hr) on a wet basis; or
  =(Vm)(Wf)/((CMWf)(WHC/
106+WCO/106 WCO2/100)).

    (iii) Calculation of individual pollutant masses. Calculations for 
mass emission are shown here in multiple forms. One set of equations is 
used when sample is analyzed dry (equations where the concentrations are 
expressed as DX), and the other set is used when the sample is analyzed 
wet (equations where the concentrations are expressed as WX). When 
samples are analyzed for some constituents dry and for some constituents 
wet, the wet concentrations must be converted to dry concentrations, and 
the equations for dry concentrations used. Also, the equations for HC, 
NMHC, CO, and NOX have multiple forms that are algebraically 
equivalent: An explicit form that requires intermediate calculation of 
Vm and DVol or WVol; and an implicit form that uses only the 
concentrations (e.g., DCO) and the mass flow rate of the fuel. For these 
calculations, either form may be used.
    (A) Hydrocarbons and nonmethane hydrocarbons.
    (1) Hydrocarbons. (i) For petroleum-fueled engines:

MHC mode
      =(DHC)CMWf(DVol)(106)/Vm
      =((DHC/106)(Wf)/((DCO/
106)+(DCO2/100)+(DHC/106)+([Sigma]DX/
106)))
MHC mode
    =(WHC)CMWf(WVol)(106)/Vm
    =((WHC/106)(Wf)/((WCO/
106)+(WCO2/100)+(WHC/106)+([Sigma](WX/
106)))

    (ii) For alcohol-fueled engines:

DHC=FID HC-[Sigma](rx)(DX)
WHC=FID HC-[Sigma](rx)(WX)

Where:

FID HC=Concentration of ``hydrocarbon'' plus other organics such as 
methanol in exhaust as measured by the FID, ppm carbon equivalent.
rx=FID response to oxygenated speciesx(methanol, ethanol, or 
acetaldehyde).
DX=Concentration of oxygenated speciesx(methanol, ethanol, or 
acetaldehyde) in exhaust as determined from the dry exhaust sample, ppm 
carbon (e.g., DCH3OH, 2(DCH3CH2OH)).
WX=Concentration of oxygenated speciesx(methanol, ethanol, or 
acetaldehyde) in exhaust as determined from the wet exhaust sample, ppm 
carbon.

[[Page 468]]

[Sigma]DX=The sum of concentrations DX for all oxygenated species.
[Sigma]WX=The sum of concentrations WX for all oxygenated species.

    (2) Nonmethane hydrocarbons:

MNMHC mode=(DNMHC)CMWf(DVol) (106)/
    Vm
=((DNMHC/106)(Wf)/((DCO/
    106)+(DCO2/100)+(DHC/106)))
MNMHC mode=(WNMHC)CMWf(WVol) (106)/
    Vm
=((WNMHC/106)(Wf)/((WCO/
    106)+(WCO2/100)+(WHC/106)))

Where:

DNMHC=FID HC-(rCH4)(DCH4)
WNMHC=FID HC-(rCH4)(WCH4)
FID HC=Concentration of ``hydrocarbon'' plus other organics such as 
methane in exhaust as measured by the FID, ppm carbon equivalent.
rCH4=FID response to methane.
DCH4=Concentration of methane in exhaust as determined from the dry 
exhaust sample, ppm.
WCH4=Concentration of methane in exhaust as determined from the wet 
exhaust sample, ppm.

    (B) Carbon monoxide:

MCO mode=(DCO)MWCO(DVol)/106/
    Vm
=((MWCO(DCO/106)(Wf)/
    ((CMWf)(DCO/106)+(DCO2/100)+DHC/
    106)+([Sigma]DX/106)))
MCO mode=(WCO)MWCO(DVol)(106)/
    Vm
+((MWCO(WCO/106)(Wf)/
    ((CMWf)(WCO/106)+(WCO2/100)+WHC/
    106)+([Sigma]WX/106)))

    (C) Oxides of nitrogen:

MNOx mode=(DNOX)MWNO2(DVol)(106)/
    Vm
=((MWNO2(DNOX/106)(Wf)/
    ((CMWf)(DCO/106)+(DCO2/100)+(DHC/
    106)+([Sigma]DX/106)))
MNOx mode=(WNOX)MWNO2(DVol)(106)/
    Vm
=((MWNO2(WNOX/106)(Wf)/
    ((CMWf)(WCO/106)+(WCO2/100)+(WHC/
    106)+([Sigma]WX/106)))

    (D) Methanol:

MCH3OH mode=(DCH3OH/106)32.042(DVol)/Vm
MCH3OH mode=(WCH3OH/106)32.042(WVol)/Vm

Where:

DCH3OH=(Vm)(106)[(C1xAV1)+(C2
xAV2)]/DVolMS.
WCH3OH=(Vm)(106)[(C1xAV1)+(C2
xAV2)]/WVolMS.
Ci=concentration of methanol in impinger i (1 or 2) in mol/
ml.
AVi=Volume of absorbing reagent in impinger i (1 or 2) in ml.
DVolMS=Volume (standard ft3) of exhaust sample 
drawn through methanol impingers (dry).
WVolMS=Volume (standard ft3) of exhaust sample 
drawn through methanol impingers (wet).

    (E) Ethanol:

MCH3CH2OH mode=(DCH3CH2OH/106)23.035(DVol)/
    Vm
MCH3CH2OH mode = (WCH3CH2OH/106)23.035(WVol)/
    Vm

Where:

DCH3CH2OH=(Vm)(106)[(C1xAV1)
      +(C2xAV2)]/DVolES.
WCH3CH2OH=(Vm)(106)[(C1xAV1)+
(C2xAV2)]/WVolES.
Ci=concentration of ethanol in impinger i (1 or 2) in mol/ml.
AVi=Volume of absorbing reagent in impinger i (1 or 2) in ml.
DVolES=Volume (standard ft3) of exhaust sample 
drawn through ethanol impingers (dry).
WVolES=Volume (standard ft3) of exhaust sample 
drawn through ethanol impingers (wet).

    (F) Formaldehyde:

MCH2O mode=(DCH2O/106)30.026(DVol)/Vm
MCH2O mode=(WCH2O/106)30.026(WVol)/Vm

    (1) If aldehydes are measured using impingers:

DCH2O=(Vm)(106)[(C1xAV1)+(C2
    xAV2)]/DVolFS
WCH2O=(Vm)(106)[(C1xAV1)+(C2
    xAV2)]/WVolFS

    (2) If aldehydes are measured using cartridges:

DCH2O=(Vm)(106)(CRxAVR)/
    DVolFS

WCH2O=(Vm)(106)(CRxAVR)/
    WVolFS

    (3) The following definitions apply to this paragraph 
(b)(2)(iii)(F):

AVi=Volume of absorbing reagent in impinger i (1 or 2) in ml.
AVR=Volume of absorbing reagent use to rinse the cartridge in 
ml.
Ci=concentration of formaldehyde in impinger i (1 or 2) in 
mol/ml.
CR=concentration of formaldehyde in solvent rinse in mol/ml.
DVolFS=Volume (standard ft3) of exhaust sample 
drawn through formaldehyde sampling system (dry).
WVolFS=Volume (standard ft3) of exhaust sample 
drawn through formaldehyde sampling system (wet).

    (G) Acetaldehyde:

MCH3CHO mode=(DCH3CHO/106)27.027(DVol)/
    Vm
MCH3CHO mode=(WCH3CHO/106)27.027(WVol)/
    Vm


[[Page 469]]


    (1) If aldehydes are measured using impingers:

DCH3CHO=(Vm)(106)[(C1xAV1)+(C
    2x AV2)]/DVolAS

WCH3CHO=(Vm)(106)[(C1xAV1)+C2
    x AV2)]/WVolAS
    (2) If aldehydes are measured using cartridges:

DCH3CHO=(Vm)(106)(CRxAVR)/
    DVolAS
WCH3CHO=(Vm)(106)(CRxAVR)/
    WVolAS

    (3) The following definitions apply to this paragraph 
(b)(2)(iii)(G):

AVi=Volume of absorbing reagent in impinger i (1 or 2) in ml.
AVR=Volume of absorbing reagent use to rinse the cartridge in 
ml.
Ci=concentration of acetaldehyde in impinger i (1 or 2) in 
mol/ml.
CR=concentration of acetaldehyde in solvent rinse in mol/ml.
DVolAS=Volume (standard ft3) of exhaust sample 
drawn through acetaldehyde sampling system (dry).
WVolAS=Volume (standard ft3) of exhaust sample 
drawn through acetaldehyde sampling system (wet).

    (iv) Conversion of wet concentrations to dry concentrations. Wet 
concentrations are converted to dry concentrations using the following 
equation:

DX=KW WX

Where:

WX is the concentration of species X on a wet basis.
DX is the concentration of species X on a dry basis.
KW is a conversion factor=WVol/DVol=1+DH2O.

    (A) Iterative calculation of conversion factor. The conversion 
factor KW is calculated from the fractional volume of water 
in the exhaust on a dry basis (DH2O=volume of water in exhaust/dry 
volume of exhaust). Precise calculation of the conversion factor 
KW must be done by iteration, since it requires the dry 
concentration of HC, but HC emissions are measured wet.
    (1) The conversion factor is calculated by first assuming DHC=WHC to 
calculate DVol:

DVol=(Vm)(Wf)/((CMWf)(DHC/
    106+DCO/106+DCO2/100))

    (2) This estimate is then used in the following equations to 
calculate DVolair, then DH2O, then KW, which 
allows DHC to be determined more accurately from WHC:
[GRAPHIC] [TIFF OMITTED] TR16AP98.009


Where:

Y=Water volume concentration in intake air, volume fraction (dry).
DVolair=Air intake flow rate (ft3/hr) on a dry 
basis, measured, or calculated as:
[GRAPHIC] [TIFF OMITTED] TR16AP98.010


    (3) The calculations are repeated using this estimate of DHC. If the 
new estimate for KW is not within one percent of the previous 
estimate, the iteration is repeated until the difference in 
KW between iterations is less than one percent.
    (B) Alternate calculation of DH2O (approximation). The following 
approximation may be used for DH2O instead of the calculation in 
paragraph (b)(2)(iv)(A) of this section:

[[Page 470]]

[GRAPHIC] [TIFF OMITTED] TR16AP98.011


Where:

[GRAPHIC] [TIFF OMITTED] TR16AP98.012


Y=Water volume concentration in intake air, volume fraction (dry).

    (3) Mass Emissions--Dilute exhaust measurements. For dilute exhaust 
measurements mass emissions (grams per hour) of each species for each 
mode:
    (i) General equations. The mass emission rate, Mx mode 
(g/hr) of each pollutant (HC, NOX, CO2, CO, CH4 CH3OH, 
CH3CH2OH, CH2O, CH3CH2O) for each operating mode for bag measurements 
and diesel continuously heated sampling system measurements is 
determined from the following equation:

Mx mode=(Vmix)(Densityx)(Xconc
    )/(Vf)

Where:

x designates the pollutant (e.g., HC), Vmix is the total 
diluted exhaust volumetric flow rate (ft3/hr), 
Densityx is the specified density of the pollutant in the gas 
phase (g/ft3), Xconc is the fractional 
concentration of pollutant x (i.e., ppm/106, ppmC/
106, or %/100), and Vf is the fraction of the raw 
exhaust that is diluted for analysis.

    (ii) The following abbreviations and equations apply to paragraphs 
(b)(3)(i) through (b)(3)(iii)(J) of this section:
    (A) DF=Dilution factor, which is the volumetric ratio of the 
dilution air to the raw exhaust sample for total dilution, calculated 
as:
[GRAPHIC] [TIFF OMITTED] TR16AP98.013


Where:

WCO2=Carbon dioxide concentration of the raw exhaust sample, in percent 
(wet).
WCO2e=Carbon dioxide concentration of the dilute exhaust 
sample, in percent (wet).
WCO2d=Carbon dioxide concentration of the dilution air, in 
percent (wet).

    (B) Vmix=Diluted exhaust volumetric flow rate in cubic 
feet per hour corrected to standard conditions (528 deg.R, and 760 mm 
Hg).
    (C) Vf=Fraction of the total raw exhaust that is diluted 
for analysis.

=((CO2conc/102)+(COconc/
    106)+(HCconc/
    106))(Vmix)(CMWf)/Vm/
    Mf

    (iii) Calculation of individual pollutants.
    (A) MHC mode=Hydrocarbon emissions, in grams per hour by 
mode, are calculated using the following equations:

MHC mode=(Vmix)(DensityHC)(HCconc
    /106)/Vf
HCconc=HCe-(HCd)(1-(1/DF))
HCe=FID HCe-[Xi](rx)(Xe)

Where:

DensityHC=Density of hydrocarbons=16.42 g/ft3 
(0.5800 kg/m3) for l petroleum diesel fuel, 16.27 g/
ft3 (0.5746 kg/m3) for 2 diesel, and 
16.33 g/ft3 (0.5767 kg/m3) for other fuels, 
assuming an average carbon to hydrogen ratio of 1:1.93 for 1 
petroleum diesel fuel, 1:1.80 for 2 petroleum diesel fuel, and 
1:1.85 for hydrocarbons in other fuels at standard conditions.

[[Page 471]]

HCconc=Hydrocarbon concentration of the dilute exhaust sample 
corrected for background, in ppm carbon equivalent (i.e., equivalent 
propanex3).
HCe=Hydrocarbon concentration of the dilute exhaust bag 
sample, or for diesel continuous heated sampling systems, average 
hydrocarbon concentration of the dilute exhaust sample as determined 
from the integrated HC traces, in ppm carbon equivalent. For petroleum-
fueled engines, HCe is the FID measurement. For methanol-
fueled and ethanol-fueled engines:
FID HCe=Concentration of hydrocarbon plus methanol, ethanol 
and acetaldehyde in dilute exhaust as measured by the FID, ppm carbon 
equivalent.
rx=FID response to oxygenated species x (methanol, ethanol or 
acetaldehyde).
Xe=Concentration of species x (methanol, ethanol or 
acetaldehyde) in dilute exhaust as determined from the dilute exhaust 
sample, ppm carbon.
HCd=Hydrocarbon concentration of the dilution air as 
measured, in ppm carbon equivalent.

    (B) MNOx mode = Oxides of nitrogen emissions, in grams 
per hour by mode, are calculated using the following equations:

MNOx mode=(Vmix) (DensityNO2) 
(NOxconc/10 \6\) /Vf
NOxconc=(NOxe-NOxd(1-(1/DF)))

Where:

DensityNO2=Density of oxides of nitrogen is 54.16 g/ft\3\ 
(1.913 kg/m\3\), assuming they are in the form of nitrogen dioxide, at 
standard conditions.
NOxconc=Oxides of nitrogen concentration of the dilute 
exhaust sample corrected for background, in ppm.
NOxe=Oxides of nitrogen concentration of the dilute exhaust 
bag sample as measured, in ppm.
NOxd=Oxides of nitrogen concentration of the dilution air as 
measured, in ppm.

    (C) MCO2 mode=Carbon dioxide emissions, in grams per hour 
by mode, are calculated using the following equations:

MCO2 mode=(Vmix) (Density CO2) 
(CO2conc/10\2\) /Vf

CO2conc=CO2e-CO2d(1-(1/DF))

Where:

Density CO2=Density of carbon dioxide is 51.81 g/ft\3\ (1.830 
kg/m\3\), at standard conditions.
CO2conc=Carbon dioxide concentration of the dilute exhaust 
sample corrected for background, in percent.
CO2e=Carbon dioxide concentration of the dilute exhaust bag 
sample, in percent.
CO2d=Carbon dioxide concentration of the dilution air as 
measured, in percent.

    (D)(1) MCO mode=Carbon monoxide emissions, in grams per 
hour by mode, are calculated using the following equations:

MCO mode=(Vmix)(DensityCO)(COconc
/10\6\)/Vf

COconc=COe-COd(1-(1/DF))

COd=(1-0.000323R)COdm

Where:

DensityCO=Density of carbon monoxide is 32.97 g/ft\3\ (1.164 
kg/m\3\), at standard conditions.
COconc=Carbon monoxide concentration of the dilute exhaust 
sample corrected for background, water vapor, and CO2 
extraction, ppm.
COe=Carbon monoxide concentration of the dilute exhaust 
sample volume corrected for water vapor and carbon dioxide extraction, 
in ppm.
COe=(1-(0.01+0.005/[alpha])CO2e-
0.000323RH)COem, where [alpha] is the hydrogen to carbon 
ratio as measured for the fuel used.
COem=Carbon monoxide concentration of the dilute exhaust 
sample as measured, in ppm.
RH = Relative humidity of the dilution air, percent.
COd=Carbon monoxide concentration of the dilution air 
corrected for water vapor extraction, in ppm.
COdm=Carbon monoxide concentration of the dilution air sample 
as measured, in ppm.

    (2) If a CO instrument which meets the criteria specified in 
Sec. 86.1311 of this chapter is used and the conditioning column has 
been deleted, COem must be substituted directly for 
COe, and COdm must be substituted directly for 
COd.
    (E) MCH4 mode=Methane emissions corrected for background, 
in gram per hour by mode, are calculated using the following equations:

MCH4 mode=(Vmix) (DensityCH4) 
(CH4conc/10\6\) /Vf
CH4conc=CCH4e-CCH4d(1-(1/DF))

Where:

DensityCH4=Density of methane is 18.89 g/ft\3\ at 68  deg.F 
(20  deg.C) and 760 mm Hg (101.3kPa) pressure.
CH4conc=Methane concentration of the dilute exhaust corrected 
for background, in ppm.
CCH4e=Methane concentration in the dilute exhaust, in ppm.
CCH4d=Methane concentration in the dilution air, in ppm.


[[Page 472]]


    (F) MCH3OH mode=Methanol emissions corrected for 
background, in gram per hour by mode, are calculated using the following 
equations:

MCH3OH mode=(Vmix)(DensityCH3OH) 
(CH3OHconc/10\6\)/Vf
CH3OHconc=CCH3OHe-CCH3OHd(1-(1/DF))
CCH3OHe=((3.817)(10-2)(TEM)(((CS1
)(AVS1))+(CS2) (AVS2)))/
((PB)(VEM))
CCH3OHd=((3.817)(10-2)(TDM)(((CD1
) (AVD1))+(CD2) (AVD2)))/
((PB)(VDM))

Where:

DensityCH3OH=Density of methanol is 37.71 g/ft\3\ (1.332 kg/
m\3\), at 68  deg.F (20  deg.C) and 760 mm Hg (101.3kPa) pressure.
CH3OHconc=Methanol concentration of the dilute exhaust 
corrected for background, in ppm.
CCH3OHe=Methanol concentration in the dilute exhaust, in ppm.
CCH3OHd=Methanol concentration in the dilution air, in ppm.
TEM=Temperature of methanol sample withdrawn from dilute 
exhaust,  deg.R.
TDM=Temperature of methanol sample withdrawn from dilution 
air,  deg.R.
PB=Barometric pressure during test, mm Hg.
VEM=Volume of methanol sample withdrawn from dilute exhaust, 
ft \3\.
VDM=Volume of methanol sample withdrawn from dilution air, ft 
\3\.
CS=GC concentration of aqueous sample drawn from dilute 
exhaust, [mu]g/ml.
CD=GC concentration of aqueous sample drawn from dilution 
air, [mu]g/ml.
AVS=Volume of absorbing reagent (deionized water) in impinger 
through which methanol sample from dilute exhaust is drawn, ml.
AVD=Volume of absorbing reagent (deionized water) in impinger 
through which methanol sample from dilution air is drawn, ml.
    1=first impinger.
    2=second impinger.

    (G) MC2H5OH mode=Ethanol emissions corrected for 
background, in gram per hour by mode, are calculated using the following 
equations:

MCH3CH2OH mode=(Vmix)(DensityCH3CH2OH) 
((CH3CH2OHconc/10 \6\))/Vf
CH3CH2OHconc = CCH3CH2OHe - 
CCH3CH2OHd(1-(1/DF))
CCH3CH2OHd = 
((2.654)(10-2)(TDM)(((CD1)(AVD1
)) + (CD2)(AVD2)))/
((PB)(VDM))
CCH3CH2OHe = 
((2.654)(10-2)(TEM)(((CS1)(AV
S1)) + (CS2)(AVS2)))/
((PB)(VEM))

Where:

DensityC2H5OH=Density of ethanol is 54.23g/ft \3\ (1.915 kg/m 
\3\), at 68  deg.F (20  deg.C) and 760 mm Hg (101.3kPa) pressure.
CH3CH2OHconc=Ethanol concentration of 
the dilute exhaust corrected for background, in ppm.
CCH3CH2OHe=Ethanol concentration in the dilute exhaust, in 
ppm.
CCH3CH2OHd=Ethanol concentration in the dilution air, in ppm.
TEM= Temperature of ethanol sample withdrawn from dilute 
exhaust,  deg.R.
TDM=Temperature of ethanol sample withdrawn from dilution 
air,  deg.R.
PB=Barometric pressure during test, mm Hg.
VEM=Volume of ethanol sample withdrawn from dilute exhaust, 
ft \3\.
VDM=Volume of ethanol sample withdrawn from dilution air, ft 
\3\.
CS=GC concentration of aqueous sample drawn from dilute 
exhaust, [mu]g/ml.
CD=GC concentration of aqueous sample drawn from dilution 
air, [mu]g/ml.
AVS=Volume of absorbing reagent (deionized water) in impinger 
through which ethanol sample from dilute exhaust is drawn, ml.
AVD=Volume of absorbing reagent (deionized water) in impinger 
through which ethanol sample from dilution air is drawn, ml.
    1=first impinger.
    2=second impinger.

    (H) MCH2O mode=Formaldehyde emissions corrected for 
background, in gram per hour by mode, are calculated using the following 
equations:

MCH2O mode=(Vmix)(DensityCH2O) 
((CH2Oconc/10 \6\)/Vf
CH2Oconc=CCH2Oe-CCH2Od(1-(1/DF))
CCH2Oe=((4.069)(10-2)(CFDE)(V
AE)(Q)(TEF))/((VSE)(PB)
CCH2Od=((4.069)(10-2)(CFDA)(VAA
)(Q)(TDF))/(VSA)(PB)

Where:

DensityCH2O=Density of formaldehyde is 35.36 g/ft \3\ (1.249 
kg/m \3\), at 68  deg.F (20  deg.C) and 760 mmHg (101.3 kPa) pressure.
CH2Oconc=Formaldehyde concentration of the dilute exhaust 
corrected for background, ppm.
CCH2Oe=Formaldehyde concentration in dilute exhaust, ppm.
CCH2Od=Formaldehyde concentration in dilution air, ppm.
    CFDE=Concentration of DNPH derivative of formaldehyde 
from dilute exhaust sample in sampling solution, [mu]g/ml.
    VAE=Volume of sampling solution for dilute exhaust 
formaldehyde sample, ml.
    Q = Ratio of molecular weights of formaldehyde to its DNPH 
derivative = 0.1429.
    TEF=Temperature of formaldehyde sample withdrawn from 
dilute exhaust,  deg.R.
    VSE=Volume of formaldehyde sample withdrawn from dilute 
exhaust, ft3.
    PB=Barometric pressure during test, mm Hg.
    CFDA=Concentration of DNPH derivative of formaldehyde 
from dilution air sample in sampling solution, [mu]g/ml.
    VAA=Volume of sampling solution for dilution air 
formaldehyde sample, ml.

[[Page 473]]

    TDF=Temperature of formaldehyde sample withdrawn from 
dilution air,  deg.R.
    VSA=Volume of formaldehyde sample withdrawn from dilution 
air, ft3.

    (I) MCH3CHO mode=Acetaldehyde emissions corrected for 
background, in grams per hour by mode, are calculated using the 
following equations:

MCH3CHO mode= 
    (Vmix)(DensityCH3CHO)((CH3CHOconc
    /106)/Vf
CH3CHOconc=CCH3CHOe-CCH3CHOd(1--(1/DF))
CCH3CHOe=((2.774)(10-2) 
    (CADE)(VAE)(Q)(TEF))/
    ((VSE)(PB)
CCH3CHOd=((2.774)(10-2) 
    (CADA)(VAA)(Q)(TDF))/
    (VSA)(PB)

Where:

Density CH3CHO=Density of acetaldehyde is 51.88 g/
ft3 (1.833 kg/m3), at 68  deg.F (20  deg.C) and 
760 mmHg (101.3 kPa) pressure.
CH3CHOconc=Acetaldehyde concentration of the dilute exhaust 
corrected for background, ppm.
CCH3CHOe=Acetaldehyde concentration in dilute exhaust, ppm.
CCH3CHOd=Acetaldehyde concentration in dilution air, ppm.
CADE=Concentration of DNPH derivative of acetaldehyde from 
dilute exhaust sample in sampling solution, [mu]g/ml.
VAE=Volume of sampling solution for dilute exhaust 
acetaldehyde sample, ml.
Q=Ratio of molecular weights of acetaldehyde to its DNPH derivative
=0.182
TEF=Temperature of acetaldehyde sample withdrawn from dilute 
exhaust,  deg.R.
VSE=Volume of acetaldehyde sample withdrawn from dilute 
exhaust, ft3.
PB=Barometric pressure during test, mm Hg.
CADAConcentration of DNPH derivative of acetaldehyde from 
dilution air sample in sampling solution, [mu]g/ml.
VAA=Volume of sampling solution for dilution air acetaldehyde 
sample, ml.
TDF=Temperature of acetaldehyde sample withdrawn from 
dilution air,  deg.R.
VSA=Volume of acetaldehyde sample withdrawn from dilution 
air, ft3.

    (J) MNMHC mode=Nonmethane hydrocarbon emissions, in grams 
per hour by mode.

MNMHC mode=(Vmix)(DensityNMHC) 
    ((NMHCEconc/106))/Vf
NMHCconc=NMHCe--(NMHCd)(1-(1/DF))
NMHCe=FID HCe-(rm)(CCH4e)
NMHCd=FID HCd-(rm)(CCH4d)

Where:

DensityNMHC=Density of nonmethane hydrocarbons=16.42 g/
ft3 (0.5800 kg/m3) for  1 petroleum 
diesel fuel, 16.27 g/ft3 (0.5746 kg/m3) for 
2 diesel, and 16.33 for other fuels, assuming an average carbon 
to hydrogen ratio of 1:1.93 for 1 petroleum diesel fuel, 1:1.80 
for 2 petroleum diesel fuel, and 1:1.85 for nonmethane 
hydrocarbons in other fuels at standard conditions.
NMHCconc=Nonmethane hydrocarbon concentration of the dilute 
exhaust sample corrected for background, in ppm carbon equivalent (i.e., 
equivalent propane x 3).
NMHCe=Nonmethane hydrocarbon concentration of the dilute 
exhaust bag sample:
FID HCe=Concentration of hydrocarbons in dilute exhaust as 
measured by the FID, ppm carbon equivalent.
rm=FID response to methane.
CCH4e=Concentration of methane in dilute exhaust as 
determined from the dilute exhaust sample.
NMHCd=Nonmethane hydrocarbon concentration of the dilution 
air:
FID HCd=Concentration of hydrocarbons in dilute exhaust as 
measured by the FID, ppm carbon equivalent.
rm=FID response to methane.
CCH4d=Concentration of methane in dilute exhaust as 
determined from the dilute exhaust sample, ppm.

    (4) Particulate exhaust emissions. The mass of particulate for a 
test mode determined from the following equations when a heat exchanger 
is used (i.e., no flow compensation), and when background filters are 
used to correct for background particulate levels:

MPM mode=Particulate emissions, grams per hour by mode.
MPM mode=(WVol)(PMconc) 
    (1+DF)=(Vmix)(PMconc)/Vf
PMconc=PMe-PMd(1-(1/DF))
PMe=MPMe/Vsampe/10 \3\
PMd=MPMd/Vsampd/10 \3\

Where:

PMconc=Particulate concentration of the diluted exhaust 
sample corrected for background, in gift \3\
MPMe=Measured mass of particulate for the exhaust sample, in 
mg, which is the difference in filter mass before and after the test.
MPMd=Measured mass of particulate for the dilution air 
sample, in mg, which is the difference in filter mass before and after 
the test.
Vsampe=Total wet volume of sample removed from the dilution 
tunnel for the exhaust particulate measurement, cubic feet at standard 
conditions.
Vsampd=Total wet volume of sample removed from the dilution 
tunnel for the dilution air particulate measurement, cubic feet at 
standard conditions.

[[Page 474]]

DF=Dilution factor, which is the volumetric ratio of the dilution air to 
the raw exhaust sample, calculated as:
[GRAPHIC] [TIFF OMITTED] TR16AP98.014

    (c) Humidity calculations. (1) The following abbreviations (and 
units) apply to paragraph (b) of this section:

BARO=barometric pressure (Pa).
H=specific humidity, (g H2O/g of dry air).
KH=conversion factor=0.6220 g H2O/g dry air.
Mair=Molecular weight of air=28.9645.
MH2O=Molecular weight of water=18.01534.
PDB=Saturation vapor pressure of water at the dry bulb 
temperature (Pa).
PDP=Saturation vapor pressure of water at the dewpoint 
temperature (Pa).
Pv=Partial pressure of water vapor (Pa).
PWB=Saturation vapor pressure of water at the wet bulb 
temperature (Pa).
TDB=Dry bulb temperature (Kelvin).
TWB=Wet bulb temperature (Kelvin).
Y=Water-vapor volume concentration.

    (2) The specific humidity on a dry basis of the intake air (H) is 
defined as:

H=((KH) (Pv)/(BARO-Pv))

    (3) The partial pressure of water vapor may be determined using a 
dew point device. In that case:

Pv=PDP

    (4) The percent of relative humidity (RH) is defined as:

RH=(Pv/PDB)100

    (5) The water-vapor volume concentration on a dry basis of the 
engine intake air (Y) is defined as:

Y=((H)(Mair)/(MH2O)=Pv/(BARO-
    Pv)

    (d) NOX correction factor. (1) NOX emission 
rates (MNOx mode) shall be adjusted to account for the 
effects of humidity and temperature by multiplying each emission rate by 
KNOx, which is calculated from the following equations:

KNOx=(K)(1+(0.25(logK)2)1/2)
K=(KH)(KT)
KH=[C1+C2(exp((-0.0143)(10.714))]/
    [C1+C2(exp((-0.0143)(1000H))]
C1=-8.7+164.5exp(-0.0218(A/F)wet)
C2=130.7+3941exp(-0.0248(A/F)wet)

Where:

(A/F)wet=Mass of moist air intake divided by mass of fuel 
intake.
KT=1/[1-0.017(T30-TA)] for tests 
conducted at ambient temperatures below 30  deg.C.
KT=1.00 for tests conducted at ambient temperatures at or 
above 30  deg.C.
T30=The measured intake manifold air temperature in the 
locomotive when operated at 30  deg.C (or 100  deg.C, where intake 
manifold air temperature is not available).
TA=The measured intake manifold air temperature in the 
locomotive as tested (or the ambient temperature (  deg.C), where intake 
manifold air temperature is not available).

    (e) Other calculations. Calculations other than those specified in 
this section may be used with the advance approval of the Administrator.



Sec. 92.133  Required information.

    (a) The required test data shall be grouped into the following two 
general categories:
    (1) Pre-test data. These data are general test data that must be 
recorded for each test. The data are of a more descriptive nature such 
as identification of the test engine, test site number, etc. As such, 
these data can be recorded at any time within 24 hours of the test.
    (2) Test data. These data are physical test data that must be 
recorded at the time of testing.
    (b) When requested, data shall be supplied in the format specified 
by the Administrator.
    (c) Pre-test data. The following shall be recorded, and reported to 
the Administrator for each test conducted for compliance with the 
provisions of this part:
    (1) Engine family identification (including subfamily 
identification, such as for aftertreatment systems).
    (2) Locomotive and engine identification, including model, 
manufacturer and/or remanufacturer, and identification number.

[[Page 475]]

    (3) Locomotive and engine parameters, including fuel type, 
recommended oil type, exhaust configuration and sizes, base injection 
(ignition) timing, operating temperature, advance/retard injection 
(ignition) timing controls, recommended start-up and warm-up procedures, 
alternator generator efficiency curve.
    (4) Locomotive or engine and instrument operator(s).
    (5) Number of hours of operation accumulated on the locomotive or 
engine prior to beginning the testing.
    (6) Dates of most recent calibrations required by Secs. 92.115-
92.122.
    (7) All pertinent instrument information such as tuning (as 
applicable), gain, serial numbers, detector number, calibration curve 
number, etc. As long as this information is traceable, it may be 
summarized by system or analyzer identification numbers.
    (8) A description of the exhaust duct and sample probes, including 
dimensions and locations.
    (d) Test data. The physical parameters necessary to compute the test 
results and ensure accuracy of the results shall be recorded for each 
test conducted for compliance with the provisions of this part. 
Additional test data may be recorded at the discretion of the 
manufacturer or remanufacturer. Extreme details of the test measurements 
such as analyzer chart deflections will generally not be required on a 
routine basis to be reported to the Administrator for each test, unless 
a dispute about the accuracy of the data arises. The following types of 
data shall be required to be reported to the Administrator. The 
applicable Application Format for Certification will specify the exact 
requirements which may change slightly from year to year with the 
addition or deletion of certain items.
    (1) Date and time of day.
    (2) Test number.
    (3) Engine intake air and test cell (or ambient, as applicable) 
temperature.
    (4) For each test point, the temperature of air entering the engine 
after compression and cooling in the charge air cooler(s). If testing is 
not performed on a locomotive, the corresponding temperatures when the 
engine is in operation in a locomotive at ambient conditions represented 
by the test.
    (5) Barometric pressure. (A central laboratory barometer may be 
used: Provided, that individual test cell barometric pressures are shown 
to be within 0.1 percent of the barometric pressure at the 
central barometer location.)
    (6) Engine intake and test cell dilution air humidity.
    (7) Measured horsepower and engine speed for each test mode.
    (8) Identification and specifications of test fuel used.
    (9) Measured fuel consumption rate at maximum power.
    (10) Temperature set point of the heated continuous analysis system 
components (if applicable).
    (11) All measured flow rates, dilution factor, and fraction of 
exhaust diluted for diluted exhaust measurements (as applicable) for 
each test mode.
    (12) Temperature of the dilute exhaust mixture at the inlet to the 
respective gas meter(s) or flow instrumentation used for particulate 
sampling.
    (13) The maximum temperature of the dilute exhaust mixture 
immediately ahead of the particulate filter.
    (14) Sample concentrations (background corrected as applicable) for 
HC, CO, CO2, and NOX (and methane, NMHC, alcohols 
and aldehydes, as applicable) for each test mode. This includes the 
continuous trace and the steady-state value (or integrated value where 
required).
    (15) The stabilized pre-test weight and post-test weight of each 
particulate sample and back-up filter or pair of filters.
    (16) Brake specific emissions (g/BHP-hr) for HC, CO, NOX, 
particulate and, if applicable, CH3, NMHC, THCE, CH3OH, 
CH3CH2OH, CH2O and CH3CHO for each test mode.
    (17) The weighted brake specific emissions for HC, CO, 
NOX and particulate (g/BHP-hr) for the total test for the 
duty-cycle(s) applicable to the locomotive.
    (18) The smoke opacity for each test mode. This includes the 
continuous trace, the peak values and the steady-state value.

[[Page 476]]


    Effective Date Note: At 63 FR 19044, Apr. 16, 1998, Sec. 92.133 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



                   Subpart C--Certification Provisions



Sec. 92.201  Applicability.

    The requirements of this subpart are applicable to manufacturers and 
remanufacturers of any locomotives and locomotive engines subject to the 
provisions of subpart A of this part.



Sec. 92.202  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 92.203  Application for certification.

    (a) For each engine family that complies with all applicable 
standards and requirements, the manufacturer or remanufacturer must 
submit to the Administrator a completed application for a certificate of 
conformity.
    (b) The application must be approved and signed by the authorized 
representative of the manufacturer or remanufacturer.
    (c) The application will be updated and corrected by amendment as 
provided for in Sec. 92.210 to accurately reflect the manufacturer's or 
remanufacturer's production.
    (d) Required content. Each application must include the following 
information:
    (1)(i) A description of the basic engine design including, but not 
limited to, the engine family specifications, the provisions of which 
are contained in Sec. 92.208;
    (ii)(A) For freshly manufactured locomotives, a description of the 
basic locomotive design;
    (B) For freshly manufactured engines for use in remanufactured 
locomotives, a description of the locomotive designs in which the 
engines are to be used;
    (C) For remanufactured locomotives, a description of the basic 
locomotive designs to which the remanufacture system will be applied;
    (iii) A list of distinguishable configurations to be included in the 
engine family;
    (2) An explanation of how the emission control system operates, 
including detailed descriptions of:
    (i) All emission control system components;
    (ii) Injection or ignition timing for each notch (i.e., degrees 
before or after top-dead-center), and any functional dependence of such 
timing on other operational parameters (e.g., engine coolant 
temperature);
    (iii) Each auxiliary emission control device (AECD); and
    (iv) All fuel system components to be installed on any production or 
test locomotive(s) or engine(s);
    (3) A description of the test locomotive or engine;
    (4) Special or alternate test procedures, if applicable;
    (5) A description of the operating cycle and the period of operation 
necessary to accumulate service hours on the test locomotive or engine 
and stabilize emission levels;
    (6) A description of all adjustable operating parameters (including, 
but not limited to, injection timing and fuel rate), including the 
following:
    (i) The nominal or recommended setting and the associated production 
tolerances;
    (ii) The intended adjustable range, and the physically adjustable 
range;
    (iii) The limits or stops used to limit adjustable ranges;
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range; and
    (v) Information relating to why the physical limits or stops used to 
establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are the most effective means 
possible of preventing adjustment of parameters to settings outside the 
manufacturer's or remanufacturer's specified adjustable ranges on in-use 
engines;
    (7) For families participating in the averaging, banking, and 
trading program, the information specified in subpart D of this part;
    (8) Projected U.S. production information for each configuration;
    (9) A description of the test equipment and fuel proposed to be 
used;

[[Page 477]]

    (10) All test data obtained by the manufacturer or remanufacturer on 
each test engine or locomotive;
    (11) The intended useful life period for the engine family, in 
accordance with Sec. 92.9(a);
    (12) The intended deterioration factors for the engine family, in 
accordance with Sec. 92.9(b)(2);
    (13) An unconditional statement certifying that all locomotives and 
engines included the engine family comply with all requirements of this 
part and the Clean Air Act.
    (e) At the Administrator's request, the manufacturer or 
remanufacturer must supply such additional information as may be 
required to evaluate the application.
    (f)(1) If the manufacturer or remanufacturer, submits some or all of 
the information specified in paragraph (d) of this section in advance of 
its full application for certification, the Administrator shall review 
the information and make the determinations required in Sec. 92.208(d) 
within 90 days of the manufacturer's or remanufacturer's submittal.
    (2) The 90-day decision period is exclusive of any elapsed time 
during which EPA is waiting for additional information requested from a 
manufacturer or remanufacturer regarding an adjustable parameter (the 
90-day period resumes upon receipt of the manufacturer's or 
remanufacturer's response). For example, if EPA requests additional 
information 30 days after the manufacturer or remanufacturer submits 
information under paragraph (f)(1) of this section, then the 
Administrator would make a determination within 60 days of the receipt 
of the requested information from the manufacturer or remanufacturer.
    (g)(1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided that all of the 
information specified therein is maintained by the manufacturer or 
remanufacturer as required by Sec. 92.215, and amended, updated, or 
corrected as necessary.
    (2) For the purposes of this paragraph (g), Sec. 92.215 includes all 
information specified in paragraph (d) of this section whether or not 
such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review a manufacturer's or 
remanufacturer's records at any time. At the Administrator's discretion, 
this review may take place either at the manufacturer's or 
remanufacturer's facility or at another facility designated by the 
Administrator.



Sec. 92.204  Designation of engine families.

    This section specifies the procedure and requirements for grouping 
of engines into engine families.
    (a) Manufacturers and remanufacturers shall divide their locomotives 
and locomotive engines into groupings of locomotives and locomotive 
engines which are expected to have similar emission characteristics 
throughout their useful life. Each group shall be defined as a separate 
engine family.
    (b) For Tier 1 and Tier 2 locomotives and locomotive engines, the 
following characteristics distinguish engine families:
    (1) The combustion cycle (e.g., diesel cycle);
    (2) The type of engine cooling employed (air-cooled or water-
cooled), and procedure(s) employed to maintain engine temperature within 
desired limits (thermostat, on-off radiator fan(s), radiator shutters, 
etc.);
    (3) The bore and stroke dimensions;
    (4) The approximate intake and exhaust event timing and duration 
(valve or port);
    (5) The location of the intake and exhaust valves (or ports);
    (6) The size of the intake and exhaust valves (or ports);
    (7) The overall injection, or as appropriate ignition, timing 
characteristics (i.e., the deviation of the timing curves from the 
optimal fuel economy timing curve must be similar in degree);
    (8) The combustion chamber configuration and the surface-to-volume 
ratio of the combustion chamber when the piston is at top dead center 
position, using nominal combustion chamber dimensions;
    (9) The location of the piston rings on the piston;
    (10) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown);

[[Page 478]]

    (11) The turbocharger or supercharger general performance 
characteristics (e.g., approximate boost pressure, approximate response 
time, approximate size relative to engine displacement);
    (12) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled);
    (13) The intake manifold induction port size and configuration;
    (14) The type of fuel and fuel system configuration;
    (15) The configuration of the fuel injectors and approximate 
injection pressure;
    (16) The type of fuel injection system controls (i.e., mechanical or 
electronic);
    (17) The type of smoke control system;
    (18) The exhaust manifold port size and configuration; and
    (19) The type of exhaust aftertreatment system (oxidation catalyst, 
particulate trap), and characteristics of the aftertreatment system 
(catalyst loading, converter size vs engine size).
    (c) For Tier 0 locomotives and locomotive engines, the following 
characteristics distinguish engine families:
    (1) The combustion cycle (e.g., diesel cycle);
    (2) The type of engine cooling employed (air-cooled or water-
cooled), and procedure(s) employed to maintain engine temperature within 
desired limits (thermostat, on-off radiator fan(s), radiator shutters, 
etc.);
    (3) The approximate bore and stroke dimensions;
    (4) The approximate location of the intake and exhaust valves (or 
ports);
    (5) The combustion chamber general configuration and the approximate 
surface-to-volume ratio of the combustion chamber when the piston is at 
top dead center position, using nominal combustion chamber dimensions;
    (6) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown);
    (7) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled);
    (8) The type of fuel and general fuel system configuration;
    (9) The general configuration of the fuel injectors and approximate 
injection pressure; and
    (10) The fuel injection system control type (electronic or 
mechanical).
    (d) Upon request by the manufacturer or remanufacturer, locomotives 
or locomotive engines that are eligible to be included in the same 
engine family based on the criteria in paragraph (b) or (c) of this 
section may be divided into different engine families. This request must 
be accompanied by information the manufacturer or remanufacturer 
believes supports the addition of these different engine families. For 
the purposes of determining whether an engine family is a small engine 
family in Sec. 92.603(a)(2), EPA will consider the number of locomotives 
or locomotive engines that could have been classed together under 
paragraph (b) or (c) of this section, instead of the number of 
locomotives or locomotive engines that are included in a subdivision 
allowed by this paragraph (d).
    (e) Upon request by the manufacturer or remanufacturer, the 
Administrator may allow locomotives or locomotive engines that would be 
required to be grouped into separate engine families based on the 
criteria in paragraph (b) or (c) of this section to be grouped into a 
single engine family if the manufacturer or remanufacturer demonstrates 
that similar emission characteristics will occur. This request must be 
accompanied by emission information supporting the appropriateness of 
such combined engine families.



Sec. 92.205  Prohibited controls, adjustable parameters.

    (a) Any system installed on, or incorporated in, a new locomotive or 
new locomotive engine to enable such locomotive or locomotive engine to 
conform to standards contained in this subpart:
    (1) Shall not in its operation or function cause significant (as 
determined by the Administrator) emission into the ambient air of any 
noxious or toxic substance that would not be emitted in the operation of 
such locomotive, or locomotive engine, without such system, except as 
specifically permitted by regulation;

[[Page 479]]

    (2) Shall not in its operation, function or malfunction result in 
any unsafe condition endangering the locomotive, its operators, riders 
or property on a train, or persons or property in close proximity to the 
locomotive; and
    (3) Shall function during all in-use operation except as otherwise 
allowed by this part.
    (b) In specifying the adjustable range of each adjustable parameter 
on a new locomotive or new locomotive engine, the manufacturer or 
remanufacturer, shall:
    (1) Ensure that safe locomotive operating characteristics are 
available within that range, as required by section 202(a)(4) of the 
Clean Air Act, taking into consideration the production tolerances; and
    (2) To the maximum extent practicable, limit the physical range of 
adjustability to that which is necessary for proper operation of the 
locomotive or locomotive engine.



Sec. 92.206  Required information.

    (a) The manufacturer or remanufacturer shall perform the tests 
required by the applicable test procedures, and submit to the 
Administrator the information required by this section: Provided, 
however, that if requested by the manufacturer or remanufacturer, the 
Administrator may waive any requirement of this section for testing of 
locomotives, or locomotive engines, for which the required emission data 
are otherwise available.
    (b) Exhaust emission deterioration factors, with supporting data. 
The determination of the deterioration factors shall be conducted in 
accordance with good engineering practice to assure that the locomotives 
or locomotive engines covered by a certificate issued under Sec. 92.208 
will meet the emission standards in Sec. 92.8, in actual use for the 
useful life of the locomotive or locomotive engine.
    (c) Emission data, including exhaust methane data in the case of 
locomotives or locomotive engines subject to a non-methane hydrocarbon 
standard, on such locomotives or locomotive engines tested in accordance 
with applicable test procedures of subpart B of this part. These data 
shall include zero hour data, if generated. In lieu of providing the 
emission data required by paragraph (a) of this section, the 
Administrator may, upon request of the manufacturer or remanufacturer, 
allow the manufacturer or remanufacturer to demonstrate (on the basis of 
previous emission tests, development tests, or other testing 
information) that the engine or locomotive will conform with the 
applicable emission standards of Sec. 92.8.
    (d) A statement that the locomotives and locomotive engines, for 
which certification is requested conform to the requirements in 
Sec. 92.7, and that the descriptions of tests performed to ascertain 
compliance with the general standards in Sec. 92.7, and the data derived 
from such tests, are available to the Administrator upon request.
    (e) A statement that the locomotive, or locomotive engine, with 
respect to which data are submitted to demonstrate compliance with the 
applicable standards of this subpart, is in all material respects as 
described in the manufacturer's or remanufacturer's application for 
certification; that it has been tested in accordance with the applicable 
test procedures utilizing the fuels and equipment described in the 
application for certification; and that on the basis of such tests, the 
engine family conforms to the requirements of this part. If, on the 
basis of the data supplied and any additional data as required by the 
Administrator, the Administrator determines that the test locomotive, or 
test engine, was not as described in the application for certification 
or was not tested in accordance with the applicable test procedures 
utilizing the fuels and equipment as described in the application for 
certification, the Administrator may make the determination that the 
locomotive, or engine, does not meet the applicable standards. If the 
Administrator makes such a determination, he/she may withhold, suspend, 
or revoke the certificate of conformity under Sec. 92.208(c)(3)(i).



Sec. 92.207  Special test procedures.

    (a) Establishment of special test procedures by EPA. The 
Administrator may, on the basis of written application by a manufacturer 
or remanufacturer, establish special test procedures other

[[Page 480]]

than those set forth in this part, for any locomotive or locomotive 
engine that the Administrator determines is not susceptible to 
satisfactory testing under the specified test procedures set forth in 
subpart B of this part.
    (b) Use of alternate test procedures by manufacturer or 
remanufacturer. (1) A manufacturer or remanufacturer may elect to use an 
alternate test procedure provided that it is equivalent to the specified 
procedures with respect to the demonstration of compliance, its use is 
approved in advance by the Administrator, and the basis for the 
equivalence with the specified test procedures is fully described in the 
manufacturer's or remanufacturer's application.
    (2) The Administrator may reject data generated under alternate test 
procedures which do not correlate with data generated under the 
specified procedures.



Sec. 92.208  Certification.

    (a) Paragraph (a) of this section applies to manufacturers of new 
locomotives and new locomotive engines. If, after a review of the 
application for certification, test reports and data acquired from a 
freshly manufactured locomotive or locomotive engine or from a 
development data engine, and any other information required or obtained 
by EPA, the Administrator determines that the application is complete 
and that the engine family meets the requirements of the Act and this 
part, he/she will issue a certificate of conformity with respect to such 
engine family except as provided by paragraph (c)(3) of this section. 
The certificate of conformity is valid for each engine family from the 
date of issuance by EPA until 31 December of the model year or calendar 
year in which it is issued and upon such terms and conditions as the 
Administrator deems necessary or appropriate to assure that the 
production locomotives or engines covered by the certificate will meet 
the requirements of the Act and of this part.
    (b) This paragraph (b) applies to remanufacturers of locomotives and 
locomotive engines. If, after a review of the application for 
certification, test reports and data acquired from a remanufactured 
locomotive or locomotive engine or from a development data engine, and 
any other information required or obtained by EPA, the Administrator 
determines that the engine family meets the requirements of the Act and 
of this subpart, he/she will issue a certificate of conformity with 
respect to such engine family except as provided by paragraph (c)(3) of 
this section. The certificate of conformity is valid for each engine 
family from the date of issuance by EPA until 31 December of the model 
year or calendar year in which it is issued and upon such terms and 
conditions as the Administrator deems necessary or appropriate to assure 
that the production locomotives or engines covered by the certificate 
will meet the requirements of the Act and of this part.
    (c) This paragraph (c) applies to manufacturers and remanufacturers 
of locomotives and locomotive engines.
    (1) The manufacturer or remanufacturer shall bear the burden of 
establishing to the satisfaction of the Administrator that the 
conditions upon which the certificates were issued were satisfied or 
excused.
    (2) The Administrator will determine whether the test data included 
in the application represents all locomotives or locomotive engines of 
the engine family.
    (3) Notwithstanding the fact that any locomotive(s) or locomotive 
engine(s) may comply with other provisions of this subpart, the 
Administrator may withhold or deny the issuance of any certificate of 
conformity, or suspend or revoke any such certificate(s) which has 
(have) been issued with respect to any such locomotive(s) or locomotive 
engine(s) if:
    (i) The manufacturer or remanufacturer submits false or incomplete 
information in its application for certification thereof;
    (ii) The manufacturer or remanufacturer renders inaccurate any test 
data which it submits pertaining thereto or otherwise circumvents the 
intent of the Act, or of this part with respect to such locomotive or 
locomotive engine;
    (iii) Any EPA Enforcement Officer is denied access on the terms 
specified in Sec. 92.215 to any facility or portion thereof which 
contains any of the following:

[[Page 481]]

    (A) A locomotive or locomotive engine which is scheduled to undergo 
emissions testing, or which is undergoing emissions testing, or which 
has undergone emissions testing; or
    (B) Any components used or considered for use in the construction, 
modification or buildup of any locomotive or locomotive engine which is 
scheduled to undergo emissions testing, or which is undergoing emissions 
testing, or which has undergone emissions testing for purposes of 
emissions certification; or
    (C) Any production locomotive or production locomotive engine which 
is or will be claimed by the manufacturer or remanufacturer to be 
covered by the certificate; or
    (D) Any step in the construction of a locomotive or locomotive 
engine, where such step may reasonably be expected to have an effect on 
emissions; or
    (E) Any records, documents, reports or histories required by this 
part to be kept concerning any of the items listed in paragraphs 
(c)(3)(iii)(A) through (D).
    (iv) Any EPA Enforcement Officer is denied ``reasonable assistance'' 
(as defined in Sec. 92.215).
    (4) In any case in which a manufacturer or remanufacturer knowingly 
submits false or inaccurate information or knowingly renders inaccurate 
or invalid any test data or commits any other fraudulent acts and such 
acts contribute substantially to the Administrator's decision to issue a 
certificate of conformity, the Administrator may deem such certificate 
void ab initio.
    (5) In any case in which certification of a locomotive or locomotive 
engine is to be withheld, denied, revoked or suspended under paragraph 
(c)(3) of this section, and in which the Administrator has presented to 
the manufacturer or remanufacturer involved reasonable evidence that a 
violation of Sec. 92.215 in fact occurred, the manufacturer or 
remanufacturer, if it wishes to contend that, even though the violation 
occurred, the locomotive or locomotive engine in question was not 
involved in the violation to a degree that would warrant withholding, 
denial, revocation or suspension of certification under paragraph (c)(3) 
of this section, shall have the burden of establishing that contention 
to the satisfaction of the Administrator.
    (6) Any revocation, suspension, or voiding of certification under 
paragraph (c)(3) of this section shall:
    (i) Be made only after the manufacturer or remanufacturer concerned 
has been offered an opportunity for a hearing conducted in accordance 
with Sec. 92.216; and
    (ii) Extend no further than to forbid the introduction into commerce 
of locomotives or locomotive engines previously covered by the 
certification which are still in the hands of the manufacturer or 
remanufacturer, except in cases of such fraud or other misconduct that 
makes the certification invalid ab initio.
    (7) The manufacturer or remanufacturer may request, within 30 days 
of receiving notification, that any determination made by the 
Administrator under paragraph (c)(3) of this section to withhold or deny 
certification be reviewed in a hearing conducted in accordance with 
Sec. 92.216. The request shall be in writing, signed by an authorized 
representative of the manufacturer or remanufacturer as applicable, and 
shall include a statement specifying the manufacturer's or 
remanufacturer's objections to the Administrator's determinations, and 
data in support of such objections. If the Administrator finds, after a 
review of the request and supporting data, that the request raises a 
substantial factual issue, he/she will grant the request with respect to 
such issue.
    (d) In approving an application for certification, the Administrator 
may specify:
    (1) A broader range of adjustability than recommended by the 
manufacturer or remanufacturer for those locomotive or engine parameters 
which are to be subject to adjustment, if the Administrator determines 
that it will not be practical to keep the parameter adjusted within the 
recommended range in use;
    (2) A longer useful life period, if the Administrator determines 
that the useful life of the locomotives and locomotive engines in the 
engine family, as

[[Page 482]]

defined in Sec. 92.2, is longer than the period specified by the 
manufacturer or remanufacturer; and/or
    (3) Larger deterioration factors, if the Administrator determines 
that the deterioration factors specified by the manufacturer or 
remanufacturer do not meet the requirements of Sec. 92.9(b)(2)(iv).
    (e) Within 30 days following receipt of notification of the 
Administrator's determinations made under paragraph (d) of this section, 
the manufacturer or remanufacturer may request a hearing on the 
Administrator's determinations. The request shall be in writing, signed 
by an authorized representative of the manufacturer or remanufacturer as 
applicable, and shall include a statement specifying the manufacturer's 
or remanufacturer's objections to the Administrator's determinations, 
and data in support of such objections. If, after review of the request 
and supporting data, the Administrator finds that the request raises a 
substantial factual issue, the manufacturer or remanufacturer shall be 
provided with a hearing in accordance with Sec. 92.216 with respect to 
such issue.



Sec. 92.209  Certification with multiple manufacturers or remanufacturers.

    (a) Where there are multiple persons meeting the definition of 
manufacturer or remanufacturer, each such person must comply with the 
requirements of this part that apply to manufacturers or 
remanufacturers. However, if one person complies with a requirement, 
then all such persons will be deemed to have complied with that specific 
requirement.
    (b) Where more than one entity meets the definition of manufacturer 
or remanufacturer for a particular locomotive or locomotive engine, and 
any one of the manufacturers or remanufacturers obtains a certificate of 
conformity covering such locomotive or locomotive engine, the 
requirements of subparts C, D, F, and G of this part shall apply to the 
manufacturer or remanufacturer that obtains the certificate of 
conformity. Other manufacturers or remanufacturers are required to 
comply with the requirements of subparts C, D, F, and G of this part 
only when notified by the Administrator. Such notification by the 
Administrator shall specify a reasonable time period in which the 
manufacturer or remanufacturer shall comply with the requirements 
identified in the notice.



Sec. 92.210  Amending the application and certificate of conformity.

    (a) The manufacturer or remanufacturer of locomotives or locomotive 
engines must notify the Administrator when changes to information 
required to be described in the application for certification are to be 
made to a product line covered by a certificate of conformity. This 
notification must include a request to amend the application or the 
existing certificate of conformity. Except as provided in paragraph (e) 
of this section, no manufacturer or remanufacturer shall make said 
changes or produce said locomotives or engines prior to receiving 
approval from EPA.
    (b) A manufacturer's or remanufacturer's request to amend the 
application or the existing certificate of conformity shall include the 
following information:
    (1) A full description of the change to be made in production, or of 
the locomotive or engine to be added;
    (2) Engineering evaluations or data showing that locomotives or 
engines as modified or added will comply with all applicable emission 
standards; and
    (3) A determination whether the manufacturer's or remanufacturer's 
original test fleet selection is still appropriate, and if the original 
test fleet selection is determined not to be appropriate, test fleet 
selection(s) representing the locomotives or engines changed or added 
which would have been required if the locomotives or engines had been 
included in the original application for certification.
    (c) The Administrator may require the manufacturer or remanufacturer 
to perform tests on the locomotive or engine representing the locomotive 
or engine to be added or changed.
    (d) Decision by Administrator. (1) Based on the description of the 
amendment and data derived from such testing as the Administrator may 
require or conduct, the Administrator will determine whether the change 
or addition would still be covered by the certificate of conformity then 
in effect.

[[Page 483]]

    (2) If the Administrator determines that the change or new 
locomotive(s) or engine(s) meets the requirements of this subpart and 
the Act, the appropriate certificate of conformity shall be amended.
    (3) If the Administrator determines that the changed or new 
locomotive(s) or engine(s) does not meet the requirements of this 
subpart and the Act, the certificate of conformity will not be amended. 
The Administrator shall provide a written explanation to the 
manufacturer or remanufacturer of the decision not to amend the 
certificate. The manufacturer or remanufacturer may request a hearing on 
a denial.
    (e) A manufacturer or remanufacturer may make changes in or 
additions to production locomotives or engines concurrently with the 
notification to the Administrator as required by paragraph (a) of this 
section, if the manufacturer or remanufacturer complies with the 
following requirements:
    (1) In addition to the information required in paragraph (b) of this 
section, the manufacturer or remanufacturer must supply supporting 
documentation, test data, and engineering evaluations as appropriate to 
demonstrate that all affected locomotives and engines will still meet 
applicable emission standards.
    (2) If, after a review, the Administrator determines additional 
testing is required, the manufacturer or remanufacturer must provide 
required test data within 30 days or cease production of the affected 
locomotives or engines.
    (3) If the Administrator determines that the affected locomotives or 
engines do not meet applicable requirements, the Administrator will 
notify the manufacturer or remanufacturer to cease production of the 
affected locomotives or engines and to recall and correct at no expense 
to the owner all affected locomotives or engines previously produced.
    (4) Election to produce locomotives or engines under this paragraph 
will be deemed to be a consent to recall all locomotives or engines 
which the Administrator determines do not meet applicable standards and 
to cause such nonconformity to be remedied at no expense to the owner.



Sec. 92.211  Emission-related maintenance instructions for purchasers.

    (a) The manufacturer or remanufacturer shall furnish or cause to be 
furnished to the ultimate purchaser or owner of each new locomotive, or 
new locomotive engine, subject to the standards prescribed in Sec. 92.8, 
written instructions for the proper maintenance and use of the 
locomotive, or locomotive engine, as are reasonable and necessary to 
assure the proper functioning of the emissions control system, 
consistent with the applicable provisions of paragraph (b) of this 
section.
    (1) The maintenance and use instructions required by this section 
shall be clear and easily understandable.
    (2) The maintenance instructions required by this section shall 
contain a general description of the documentation which would 
demonstrate that the ultimate purchaser or any subsequent owner had 
complied with the instructions.
    (b)(1) The manufacturer or remanufacturer must provide in boldface 
type on the first page of the written maintenance instructions notice 
that maintenance, replacement, or repair of the emission control devices 
and systems may be performed by any locomotive or locomotive engine 
repair establishment or individual.
    (2) The instructions under paragraph (b)(1) of this section will not 
include any condition on the ultimate purchaser's or owner's using, in 
connection with such locomotive or locomotive engine, any component or 
service (other than a component or service provided without charge under 
the terms of the purchase agreement) which is identified by brand, 
trade, or corporate name. Such instructions also will not directly or 
indirectly distinguish between service performed by any other service 
establishments with which such manufacturer or remanufacturer has a 
commercial relationship and service performed by independent locomotive 
or locomotive engine repair facilities which such manufacturer or 
remanufacturer has no commercial relationship.
    (3) The prohibition of paragraph (b)(2) of this section may be 
waived by the Administrator if:

[[Page 484]]

    (i) The manufacturer or remanufacturer satisfies the Administrator 
that the locomotive or locomotive engine will function properly only if 
the component or service so identified is used in connection with such 
locomotive or locomotive engine; and
    (ii) The Administrator finds that such a waiver is in the public 
interest.
    (c) The manufacturer or remanufacturer shall provide to the 
Administrator, no later than the time of the submission required by 
Sec. 92.203, a copy of the emission-related maintenance instructions 
which the manufacturer or remanufacturer proposes to supply to the 
ultimate purchaser or owner in accordance with this section. The 
Administrator will review such instructions to determine whether they 
are reasonable and necessary to assure the proper functioning of the 
locomotive's, or locomotive engine's emission control systems. If the 
Administrator determines that such instructions are not reasonable and 
necessary to assure the proper functioning of the emission control 
systems, he/she may disapprove the application for certification, or may 
require that the manufacturer or remanufacturer modify the instructions.
    (d) Any revision to the maintenance instructions which will affect 
emissions shall be supplied to the Administrator at least 30 days before 
being supplied to the ultimate purchaser or owner unless the 
Administrator consents to a lesser period of time, and is subject to the 
provisions of Sec. 92.210.



Sec. 92.212  Labeling.

    (a) General requirements. Each new locomotive and new locomotive 
engine, subject to the emission standards of this part and covered by a 
certificate of conformity under Sec. 92.208, shall be labeled by the 
manufacturer or remanufacturer in the manner described in this section 
at the time of manufacture or remanufacture.
    (b) Locomotive labels. (1) Locomotive labels meeting the 
specifications of paragraph (b)(2) of this section shall be applied by:
    (i) The manufacturer at the point of original manufacture; and
    (ii) The remanufacturer at the point of original remanufacture; and
    (iii) Any remanufacturer certifying a locomotive or locomotive 
engine to an FEL different from the last FEL or standard to which the 
locomotive was previously certified.
    (2)(i) Locomotive labels shall be permanent and legible and shall be 
affixed to the locomotive in a position in which it will remain readily 
visible.
    (ii) The label shall be attached to a locomotive part necessary for 
normal operation and not normally requiring replacement during the 
service life of the locomotive.
    (iii) The label shall be affixed by the manufacturer or 
remanufacturer, in such manner that it cannot be removed without 
destroying or defacing the label. The label shall not be affixed to any 
equipment which is easily detached from such locomotive.
    (iv) The label may be made up of more than one piece, provided that 
all pieces are permanently attached to the same locomotive part.
    (v) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Original Locomotive Emission Control 
Information.
    (B) Full corporate name and trademark of the manufacturer or 
remanufacturer.
    (C) Engine family and configuration identification.
    (D) A prominent unconditional statement of compliance with U.S. 
Environmental Protection Agency regulations which apply to locomotives 
and locomotive engines, as applicable:
    (1) This locomotive conforms to U.S. EPA regulations applicable to 
locomotives originally manufactured prior to January 1, 2002; or
    (2) This locomotive conforms to U.S. EPA regulations applicable to 
locomotives originally manufactured on or after January 1, 2002, but 
before January 1, 2005; or
    (3) This locomotive conforms to U.S. EPA regulations applicable to 
locomotives originally manufactured on or after January 1, 2005.
    (E) Date of locomotive original manufacture.
    (F) The useful life of the locomotive.

[[Page 485]]

    (G) The standards and/or FELS to which the locomotive was certified.
    (c) Engine labels. (1) Engine labels meeting the specifications of 
paragraph (c)(2) of this section shall be applied by:
    (i) Every manufacturer at the point of original manufacture; and
    (ii) Every remanufacturer at the point of remanufacture.
    (2)(i) Engine labels shall be permanent and legible and shall be 
affixed to the engine in a position in which it will be readily visible 
after installation of the engine in the locomotive.
    (ii) The label shall be attached to an engine part necessary for 
normal operation and not normally requiring replacement during the 
useful life of the locomotive.
    (iii) The label shall be affixed by the manufacturer or 
remanufacturer, in such manner that it cannot be removed without 
destroying or defacing the label. The label shall not be affixed to any 
equipment which is easily detached from such engine.
    (iv) The label may be made up of more than one piece, provided that 
all pieces are permanently attached to the same engine part.
    (v) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Locomotive Emission Control Information.
    (B) Full corporate name and trademark of the manufacturer or 
remanufacturer.
    (C) Engine family and configuration identification.
    (D) A prominent unconditional statement of compliance with U.S. 
Environmental Protection Agency regulations which apply to locomotives 
and locomotive engines, as applicable:
    (1) This locomotive and locomotive engine conform to U.S. EPA 
regulations applicable to locomotives and locomotive engines originally 
manufactured prior to January 1, 2002; or
    (2) This locomotive and locomotive engine conform to U.S. EPA 
regulations applicable to locomotives and locomotive engines originally 
manufactured on or after January 1, 2002, and remanufactured after 
January 1, 2005; or
    (3) This locomotive and locomotive engine conform to U.S. EPA 
regulations applicable to locomotives and locomotive engines originally 
manufactured on or after January 1, 2005.
    (E) The useful life of the locomotive or locomotive engine.
    (F) The standards and/or FELS to which the locomotive or locomotive 
engine was certified.
    (G) Engine tune-up specifications and adjustments, as recommended by 
the manufacturer or remanufacturer, in accordance with the applicable 
emission standards, including but not limited to idle speed(s), 
injection timing or ignition timing (as applicable), valve lash (as 
applicable), as well as other parameters deemed necessary by the 
manufacturer or remanufacturer.
    (d) The provisions of this section shall not prevent a manufacturer 
or remanufacturer from also providing on the label any other information 
that such manufacturer or remanufacturer deems necessary for, or useful 
to, the proper operation and satisfactory maintenance of the locomotive 
or engine.



Sec. 92.213  Submission of locomotive and engine identification numbers.

    (a) Upon request of the Administrator, the manufacturer or 
remanufacturer of any locomotive or locomotive engine covered by a 
certificate of conformity shall, within 30 days of receipt of such 
request, identify by locomotive and/or engine identification number, the 
locomotives or engines covered by the certificate of conformity.
    (b) The manufacturer or remanufacturer of any locomotives or 
locomotive engines covered by a certificate of conformity shall provide 
to the Administrator, within 60 days of the issuance of a certificate of 
conformity, an explanation of the elements in any locomotive or engine 
identification coding system in sufficient detail to enable the 
Administrator to identify those locomotives or engines which are covered 
by a certificate of conformity.

    Effective Date Note: At 63 FR 19051, Apr. 16, 1998, Sec. 92.213 was 
added. This section contains information collection and recordkeeping 
requirements and will not become

[[Page 486]]

effective until approval has been given by the Office of Management and 
Budget.



Sec. 92.214  Production locomotives and engines.

    Any manufacturer or remanufacturer obtaining certification under 
this part shall supply to the Administrator, upon his/her request, a 
reasonable number of production locomotives or locomotive engines, as 
specified by the Administrator. The maximum number of locomotives or 
locomotive engines that may be supplied to the Administrator is five per 
model year. The locomotives or locomotive engines shall be 
representative of the engines, emission control systems, and fuel 
systems offered and typical of production locomotives or engines 
available for sale, or use by railroads, under the certificate. These 
locomotives or engines shall be supplied for testing at such time and 
place and for such reasonable periods as the Administrator may require.



Sec. 92.215  Maintenance of records; submittal of information; right of entry.

    (a) Any manufacturer or remanufacturer subject to any of the 
standards or procedures prescribed in this subpart shall establish, 
maintain and retain the following adequately organized and indexed 
records:
    (1) General records. The records required to be maintained by this 
paragraph (a) shall consist of:
    (i) Identification and description of all certification locomotives 
or certification locomotive engines for which testing is required under 
this subpart.
    (ii) A description of all emission control systems which are 
installed on or incorporated in each certification locomotive or 
certification locomotive engine.
    (iii) A description of all procedures used to test each such 
certification locomotive or certification locomotive engine.
    (iv) A copy of all applications for certification, filed with the 
Administrator.
    (2) Individual records. (i) A brief history of each locomotive or 
locomotive engine used for certification under this subpart including:
    (A) In the case where a current production engine is modified for 
use as a certification engine or in a certification locomotive, a 
description of the process by which the engine was selected and of the 
modifications made. In the case where the certification locomotive or 
the engine for a certification locomotive is not derived from a current 
production engine, a general description of the buildup of the engine 
(e.g., whether experimental heads were cast and machined according to 
supplied drawings). In the cases in the previous two sentences, a 
description of the origin and selection process for fuel system 
components (carburetor, fuel injection components), ignition system 
components, intake air pressurization and cooling system components, 
cylinders, pistons and piston rings, exhaust smoke control system 
components, and exhaust aftertreatment devices as applicable, shall be 
included. The required descriptions shall specify the steps taken to 
assure that the certification locomotive or certification locomotive 
engine, with respect to its engine, drivetrain, fuel system, emission 
control system components, exhaust aftertreatment devices, exhaust smoke 
control system components or any other devices or components as 
applicable, that can reasonably be expected to influence exhaust 
emissions will be representative of production locomotives or locomotive 
engines and that either: All components and/or locomotive or engine, 
construction processes, component inspection and selection techniques, 
and assembly techniques employed in constructing such locomotives or 
engines are reasonably likely to be implemented for production 
locomotives or engines; or that they are as close as practicable to 
planned construction and assembly processed.
    (B) A complete record of all emission tests performed (except tests 
performed by EPA directly), including test results, the date and purpose 
of each test, and the number of miles or megawatt-hours accumulated on 
the locomotive or the number of megawatt-hours accumulated on the 
engine.

[[Page 487]]

    (C) A record and description of all maintenance and other servicing 
performed, giving the date of the maintenance or service and the reason 
for it.
    (D) A record and description of each test performed to diagnose 
engine or emission control system performance, giving the date and time 
of the test and the reason for it.
    (E) A brief description of any significant events affecting the 
locomotive or engine during the period covered by the history and not 
described by an entry under one of the previous headings, including such 
extraordinary events as locomotive accidents or accidents involving the 
engine or dynamometer runaway.
    (ii) Each such history shall be started on the date that the first 
of any of the selection or buildup activities in paragraph (a)(2)(i)(A) 
of this section occurred with respect to the certification locomotive or 
engine and shall be kept in a designated location.
    (3) All records, other than routine emission test records, required 
to be maintained under this subpart shall be retained by the 
manufacturer or remanufacturer for a period of 8 years after issuance of 
all certificates of conformity to which they relate. Routine emission 
test records shall be retained by the manufacturer or remanufacturer for 
a period of one (1) year after issuance of all certificates of 
conformity to which they relate. Records may be retained as hard copy or 
reduced to computer disks, etc., depending on the record retention 
procedures of the manufacturer or remanufacturer: Provided, that in 
every case all the information contained in the hard copy shall be 
retained.
    (4) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer or remanufacturer to retain additional 
records or submit information not specifically required by this section.
    (5) Pursuant to a request made by the Administrator, the 
manufacturer or remanufacturer shall submit to him/her the information 
that is required to be retained.
    (6) EPA may void a certificate of conformity ab initio for a 
locomotive or engine family for which the manufacturer or remanufacturer 
fails to retain the records required in this section or to provide such 
information to the Administrator upon request.
    (b) The manufacturer or remanufacturer of any locomotive or 
locomotive engine subject to any of the standards prescribed in this 
subpart shall submit to the Administrator, at the time of issuance by 
the manufacturer or remanufacturer, copies of all instructions or 
explanations regarding the use, repair, adjustment, maintenance, or 
testing of such locomotive or engine, relevant to the control of 
crankcase, or exhaust emissions issued by the manufacturer or 
remanufacturer, for use by other manufacturers or remanufacturers, 
assembly plants, distributors, dealers, owners and operators. Any 
material not translated into the English language need not be submitted 
unless specifically requested by the Administrator.
    (c) Any manufacturer or remanufacturer participating in averaging, 
banking and trading program of subpart D of this part must comply with 
the maintenance of records requirements of Sec. 92.308.
    (d)(1) Any manufacturer or remanufacturer who has applied for 
certification of a new locomotive or new locomotive engine subject to 
certification test under this subpart shall admit or cause to be 
admitted any EPA Enforcement Officer during operating hours on 
presentation of credentials to any of the following:
    (i) Any facility where any such tests or any procedures or 
activities connected with such test are or were performed;
    (ii) Any facility where any locomotive or locomotive engine which is 
being tested (or was tested, or is to be tested) is present;
    (iii) Any facility where any construction process or assembly 
process used in the modification or buildup of such a locomotive or 
engine into a certification locomotive or certification engine is taking 
place or has taken place; or
    (iv) Any facility where any record or other document relating to any 
of the above is located.

[[Page 488]]

    (2) Upon admission to any facility referred to in paragraph (d)(1) 
of this section, any EPA Enforcement Officer shall be allowed:
    (i) To inspect and monitor any part or aspect of such procedures, 
activities and testing facilities including, but not limited to, 
monitoring locomotive or engine preconditioning, emissions tests, 
mileage (or service) accumulation, maintenance, and locomotive or engine 
storage procedures, and to verify correlation or calibration of test 
equipment;
    (ii) To inspect and make copies of any such records, designs, or 
other documents, including those records specified in Subpart D of this 
part; and
    (iii) To inspect and/or photograph any part or aspect of any such 
certification locomotive, or certification locomotive engine and any 
components to be used in the construction thereof.
    (3) In order to allow the Administrator to determine whether or not 
production locomotives, or production locomotive engines, conform to the 
conditions upon which a certificate of conformity has been issued, or 
conform in all material respects to the design specifications applicable 
to those locomotives, or engines, as described in the application for 
certification for which a certificate of conformity has been issued, any 
manufacturer or remanufacturer shall admit any EPA Enforcement Officer 
on presentation of credentials to:
    (i) Any facility where any document, design or procedure relating to 
the translation of the design and construction of engines and emission 
related components described in the application for certification or 
used for certification testing into production locomotives or production 
engines is located or carried on;
    (ii) Any facility where any locomotives or locomotive engines, to be 
introduced into commerce are manufactured or remanufactured; and
    (iii) Any facility where records specified this section are located.
    (4) On admission to any such facility referred to in paragraph 
(d)(3) of this section, any EPA Enforcement Officer shall be allowed:
    (i) To inspect and monitor any aspects of such manufacture or 
remanufacture and other procedures;
    (ii) To inspect and make copies of any such records, documents or 
designs;
    (iii) To inspect and photograph any part or aspect of any such 
locomotive(s) or locomotive engine(s) and any component used in the 
assembly thereof that are reasonably related to the purpose of his/her 
entry; and
    (iv) To inspect and make copies of any records and documents 
specified this section.
    (5) Any EPA Enforcement Officer shall be furnished by those in 
charge of a facility being inspected with such reasonable assistance as 
he/she may request to help him/her discharge any function listed in this 
part. Each applicant for or recipient of certification is required to 
cause those in charge of a facility operated for its benefit to furnish 
such reasonable assistance without charge to EPA whether or not the 
applicant controls the facility.
    (6) The duty to admit or cause to be admitted any EPA Enforcement 
Officer applies to any facility involved in the manufacturing or 
assembling of locomotives, remanufacturing systems, or locomotive 
engines, or the installation of locomotive engines or remanufacturing 
systems, whether or not the manufacturer or remanufactuer owns or 
controls the facility in question and applies both to domestic and to 
foreign manufacturers or remanufacturers and facilities. EPA will not 
attempt to make any inspections which it has been informed that local 
law forbids. However, if local law makes it impossible to do what is 
necessary to insure the accuracy of data generated at a facility, no 
informed judgment that a locomotive or locomotive engine is certifiable 
or is covered by a certificate can properly be based on those data. It 
is the responsibility of the manufacturer or remanufacturer to locate 
its testing and manufacturing and/or remanufacturing facilities in 
jurisdictions where this situation will not arise.
    (7) For purposes of this section:
    (i) ``Presentation of credentials'' shall mean display of the 
document

[[Page 489]]

designating a person as an EPA Enforcement Officer.
    (ii) Where locomotive, component or engine storage areas or 
facilities are concerned, ``operating hours'' shall mean all times 
during which personnel other than custodial personnel are at work in the 
vicinity of the area or facility and have access to it.
    (iii) Where facilities or areas other than those covered by 
paragraph (d)(7)(ii) of this section are concerned, ``operating hours'' 
shall mean all times during which an assembly line is in operation or 
all times during which testing, maintenance, mileage (or service) 
accumulation, production or compilation of records, or any other 
procedure or activity related to certification testing, to translation 
of designs from the test stage to the production stage, or to locomotive 
(or engine) manufacture, remanufacture, or assembly is being carried out 
in a facility.
    (iv) ``Reasonable assistance'' includes, but is not limited to, 
clerical, copying, interpretation and translation services, the making 
available on request of personnel of the facility being inspected during 
their working hours to inform the EPA Enforcement Officer of how the 
facility operates and to answer his questions, and the performance on 
request of emissions tests on any locomotive (or engine) which is being, 
has been, or will be used for certification testing. Such tests shall be 
nondestructive, but may require appropriate mileage (or service) 
accumulation. A manufacturer or remanufacturer may be compelled to cause 
the personal appearance of any employee at such a facility before an EPA 
Enforcement Officer by written request for his appearance, signed by the 
Assistant Administrator for Air and Radiation or the Assistant 
Administrator for Enforcement and Compliance Assurance, served on the 
manufacturer or remanufacturer. Any such employee who has been 
instructed by the manufacturer or remanufacturer to appear will be 
entitled to be accompanied, represented and advised by counsel.
    (v) Any entry without 24 hour prior written or oral notification to 
the affected manufacturer or remanufacturer shall be authorized in 
writing by the Assistant Administrator for Air and Radiation or the 
Assistant Administrator for Enforcement and Compliance Assurance.
    (8) EPA may void a certificate of conformity ab initio for 
locomotives or locomotive engines introduced into commerce if the 
manufacturer or remanufacturer (or contractor for the manufacturer or 
remanufacturer, if applicable) fails to comply with any provision of 
this section.



Sec. 92.216  Hearing procedures.

    (a)(1) After granting a request for a hearing under Sec. 92.210 or 
Sec. 92.208, the Administrator shall designate a Presiding Officer for 
the hearing.
    (2) The General Counsel will represent the Environmental Protection 
Agency in any hearing under this section.
    (3) The hearing shall be held as soon as practicable at a time and 
place fixed by the Administrator or by the Presiding Officer.
    (4) In the case of any hearing requested pursuant to Sec. 92.208, 
the Administrator may in his/her discretion direct that all argument and 
presentation of evidence be concluded within such fixed period not less 
than 30 days as he/she may establish from the date that the first 
written offer of a hearing is made to the manufacturer. To expedite 
proceedings, the Administrator may direct that the decision of the 
Presiding Officer (who may, but need not be, the Administrator) shall be 
the final EPA decision.
    (b)(1) Upon his/her appointment pursuant to paragraph (a) of this 
section, the Presiding Officer will establish a hearing file. The file 
shall consist of the notice issued by the Administrator under 
Sec. 92.210 or Sec. 92.208 together with any accompanying material, the 
request for a hearing and the supporting data submitted therewith, and 
all documents relating to the request for certification and all 
documents submitted therewith, and correspondence and other data 
material to the hearing.
    (2) The hearing file will be available for inspection by the 
applicant at the office of the Presiding Officer.
    (c) An applicant may appear in person, or may be represented by 
counsel or by any other duly authorized representative.

[[Page 490]]

    (d)(1) The Presiding Officer, upon the request of any party, or in 
his/her discretion, may arrange for a prehearing conference at a time 
and place specified by him/her to consider the following:
    (i) Simplification of the issues;
    (ii) Stipulations, admissions of fact, and the introduction of 
documents;
    (iii) Limitation of the number of expert witnesses;
    (iv) Possibility of agreement disposing of all or any of the issues 
in dispute;
    (v) Such other matters as may aid in the disposition of the hearing, 
including such additional tests as may be agreed upon by the parties.
    (2) The results of the conference shall be reduced to writing by the 
Presiding Officer and made part of the record.
    (e)(1) Hearings shall be conducted by the Presiding Officer in an 
informal but orderly and expeditious manner. The parties may offer oral 
or written evidence, subject to the exclusion by the Presiding Officer 
of irrelevant, immaterial and repetitious evidence.
    (2) Witnesses will not be required to testify under oath. However, 
the Presiding Officer shall call to the attention of witnesses that 
their statements may be subject to the provisions of 18 U.S.C. 1001 
which imposes penalties for knowingly making false statements or 
representations, or using false documents in any matter within the 
jurisdiction of any department or agency of the United States.
    (3) Any witness may be examined or cross-examined by the Presiding 
Officer, the parties, or their representatives.
    (4) Hearings shall be reported verbatim. Copies of transcripts of 
proceedings may be purchased by the applicant from the reporter.
    (5) All written statements, charts, tabulations, and similar data 
offered in evidence at the hearings shall, upon a showing satisfactory 
to the Presiding Officer of their authenticity, relevancy, and 
materiality, be received in evidence and shall constitute a part of the 
record.
    (6) Oral argument may be permitted in the discretion of the 
Presiding Officer and shall be reported as part of the record unless 
otherwise ordered by him/her.
    (f)(1) The Presiding Officer shall make an initial decision which 
shall include written findings and conclusions and the reasons or basis 
therefor on all the material issues of fact, law, or discretion 
presented on the record. The findings, conclusions, and written decision 
shall be provided to the parties and made a part of the record. The 
initial decision shall become the decision of the Administrator without 
further proceedings unless there is an appeal to the Administrator or 
motion for review by the Administrator within 30 days of the date the 
initial decision was filed.
    (2) On appeal from or review of the initial decision the 
Administrator shall have all the powers which he/she would have in 
making the initial decision including the discretion to require or allow 
briefs, oral argument, the taking of additional evidence or the 
remanding to the Presiding Officer for additional proceedings. The 
decision by the Administrator shall include written findings and 
conclusions and the reasons or basis therefor on all the material issues 
of fact, law, or discretion presented on the appeal or considered in the 
review.

    Effective Date Note: At 63 FR 19053, Apr. 16, 1998, Sec. 92.216 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



   Subpart D--Certification Averaging, Banking, and Trading Provisions



Sec. 92.301  Applicability.

    Locomotive engine families subject to the provisions of subpart A of 
this part are eligible to participate in the certification averaging, 
banking, and trading program described in this subpart. The provisions 
of this subpart apply to manufacturers and remanufacturers of new 
locomotives and new locomotive engines manufactured or remanufactured in 
the 1999 model year or later.

[[Page 491]]



Sec. 92.302  Definitions.

    The definitions of subpart A of this part apply to this subpart. The 
following definitions also apply.
    Applicable standard means a standard that would have otherwise been 
applicable had the locomotive or locomotive engine not been certified 
under this subpart to an FEL different than that standard.
    Broker means any entity that facilitates a trade between a buyer and 
seller.
    Buyer means the entity that receives credits as a result of trade or 
transfer.
    Reserved credits means credits that have been generated but have not 
yet been reviewed by EPA or used to demonstrate compliance under the 
averaging provisions of this subpart.
    Seller means the entity that provides credits during a trade or 
transfer.
    Transfer means to convey control of credits generated from an 
individual locomotive to the purchaser, owner or operator of the 
locomotive at the time of manufacture or remanufacture; or to convey 
control of previously generated credits from the purchaser, owner or 
operator of an individual locomotive to the manufacturer or 
remanufacturer at the time of manufacture or remanufacture.



Sec. 92.303  General provisions.

    (a) Participation in the averaging, banking and trading program is 
voluntary. A manufacturer or remanufacturer may choose to involve some 
or all of its families in any or all aspects of the program.
    (b) An engine family is eligible to participate in the certification 
averaging, banking, and trading program for NOX and PM 
emissions if it is subject to regulation under this part with certain 
exceptions specified in paragraph (c) of this section. No averaging, 
banking and trading program is available for meeting the HC, CO, or 
smoke emission standards of this part.
    (c) Locomotives and locomotive engines may not participate in the 
certification averaging, banking, and trading program if they are 
exported. Only locomotive and locomotive engines certified under this 
part are eligible for inclusion in this certification averaging, 
banking, and trading program.
    (d) Averaging involves the generation of credits by a manufacturer 
or remanufacturer for use by that same manufacturer or remanufacturer in 
the same calendar year. A manufacturer or remanufacturer may use 
averaging during certification to offset an emission exceedance of an 
engine family caused by an FEL above the applicable emission standard, 
subject to the provisions of this subpart.
    (e) Banking involves the generation of credits by a manufacturer or 
remanufacturer in a given calendar year for use in a subsequent model 
year. A manufacturer or remanufacturer may bank actual credits only 
after the end of the calendar year and after EPA has reviewed the 
manufacturer's or remanufacturer's end-of-year reports. During the 
calendar year and before submittal of the end-of-year report, credits 
originally designated in the certification process for banking will be 
considered reserved and may be redesignated for trading or averaging in 
the end-of-year report. Credits declared for banking from the previous 
calendar year that have not been reviewed by EPA may be used in 
averaging or trading transactions. However, such credits may be revoked 
at a later time following EPA review of the end-of-year report or any 
subsequent audit actions.
    (f) Trading involves the sale of banked credits for use in 
certification of new locomotives and new locomotive engines under this 
part. Only banked credits may be traded; reserved credits may not be 
traded.
    (g) Credit transfer involves the conveying of control over credits, 
as defined in Sec. 92.302. Transferred credits can be used in averaging 
or in subsequent transfers. Transferred credits may also be reserved for 
later banking. Transferred credits may not be traded unless they have 
been previously banked.



Sec. 92.304  Compliance requirements.

    (a) Manufacturers or remanufacturers wishing to participate in 
certification averaging, banking and trading programs shall select a FEL 
for each engine family they wish to include. The level of the FEL shall 
be selected

[[Page 492]]

by the manufacturer or remanufacturer, subject to the upper limits 
described in paragraph (k) of this section. An engine family certified 
to an FEL is subject to all provisions specified in this part, except 
that the applicable FEL replaces the applicable NOX and PM 
emission standard for the family participating in the averaging, 
banking, and trading program.
    (b) A manufacturer or remanufacturer may certify one or more engine 
families at FELs above or below the applicable emission standard, 
provided the summation of the manufacturer's or remanufacturer's 
projected balance of all credit transactions in a given calendar year is 
greater than or equal to zero, as calculated for each family under 
Sec. 92.305 and reported under Sec. 92.309.
    (c) Manufacturers and remanufacturers certifying engine families 
with FELs exceeding the applicable emission standard shall obtain 
emission credits in amounts sufficient to address the shortfall. Credits 
may be obtained from averaging, banking, trading or transfer, subject to 
the restrictions described in this subpart.
    (d) Manufacturers and remanufacturers certifying engine families 
with FELs below the applicable emission standard may generate emission 
credits to average, bank, trade, or transfer, or a combination thereof.
    (e) Credits may only be used for certification; they may not be used 
to remedy a violation of the FEL determined by production line or in-use 
testing. Credits may be used to allow subsequent production of engines 
for an engine family failing production line testing if the manufacturer 
elects to recertify to a higher FEL
    (f) If an FEL is changed after initial certification in any given 
model year, the manufacturer/remanufacturer must conduct production line 
testing to verify that the emission levels are achieved.
    (g) Manufacturers and remanufacturers participating in the 
averaging, banking and trading program must demonstrate compliance with 
the applicable emission standards at the end of the model year. 
Manufacturers and remanufacturers that have certified engine families to 
FELs above the applicable emission standards and do not have sufficient 
emission credits to offset the difference between the emission standard 
and the FEL for such engine family(ies) will be in violation of the 
conditions of the certificate of conformity for such engine family(ies). 
The certificates of conformity may be voided ab initio for those engine 
families.
    (h) In the event of a negative credit balance resulting from a 
credit trade or transfer, both the buyer(s) and the seller(s) are 
liable, except in cases involving fraud. Certificates of all engine 
families participating in a negative trade may be voided ab initio.
    (1) Where a buyer of credits is not responsible for causing the 
negative credit balance, it is only liable to supply additional credits 
equivalent to any amount of invalid credits that it used.
    (2) Credit holders responsible for the credit shortfall may be 
subject to the requirements of Sec. 92.309(g)(3).
    (i) Averaging sets. This subpart includes separate programs for 
compliance with each type of cycle-weighted standards in Sec. 92.8 
(i.e., line-haul and switch). Credits generated over the line-haul duty-
cycle may not be used for compliance with the switch duty-cycle, and 
credits generated over the switch duty-cycle may not be used for 
compliance with the line-haul duty-cycle.
    (j) Cross tier credit exchanges. Cross tier credit exchanges for 
NOX and PM emission credits may be exchanged between and 
among Tier 0, Tier 1, and Tier 2 engine families with the following 
exceptions:
    (1) For 2005 and 2006 model year freshly manufactured locomotives, 
manufacturers may use PM credits for all of their freshly manufactured 
engine families. Manufacturers may use NOX credits only for 
engine families that are projected to represent 75 percent or less of 
their total projected annual production of freshly manufactured 
locomotives. The remainder must comply with the Tier 2 NOX 
emission standards without the use of credits.
    (2) For 2007 and later model year freshly manufactured locomotives, 
manufacturers may use PM credits for all of their freshly manufactured 
engine families. Manufacturers may use

[[Page 493]]

NOX credits only for engine families that are projected to 
represent 50 percent or less of their total projected annual production 
of freshly manufactured locomotives. The remainder must comply with the 
Tier 2 NOX emission standards without the use of credits.
    (3) Credits generated from remanufactured locomotives prior to 
January 1, 2002 and which are banked may only be used for compliance 
with the Tier 1 or later emission standards.
    (k) Upper limits. The FELs for NOX and PM for new 
locomotives and new locomotive engines certified to the Tier 1 and Tier 
2 standards may not exceed the following values:
    (1) Tier 1: the Tier 0 standards.
    (2) Tier 2: the Tier 1 standards, except as noted in paragraph (j) 
of this section.
    (l) Credit life shall be unlimited.
    (m) Credits may be generated by any certifying manufacturer or 
remanufacturer and may be held by any of the following entities:
    (1) Locomotive or locomotive engine manufacturers;
    (2) Locomotive or locomotive engine remanufacturers;
    (3) Locomotive or locomotive engine owners;
    (4) Locomotive or locomotive engine operators; or
    (5) Other entities after notification to EPA.
    (n)(1) All locomotives that are certified to an FEL that is 
different from the emission standard that would otherwise apply to the 
locomotive or locomotive engine are required to comply with that FEL for 
the remainder of their service lives, except as allowed by 
Sec. 92.9(a)(4)(iii) and this subpart.
    (2) Manufacturers shall notify the purchaser of any locomotive 
engine that is certified to an FEL that is different from the emission 
standard that would otherwise apply that the locomotive or locomotive 
engine is required to comply with that FEL for the remainder of its 
service life.
    (3) Remanufacturers shall notify the owner of any locomotive or 
locomotive engine that is certified to an FEL that is different from the 
emission standard that would otherwise apply that the locomotive (or the 
locomotive in which the engine is used) is required to comply with that 
FEL for the remainder of its service life.



Sec. 92.305  Credit generation and use calculation.

    (a) For each participating engine family, NOX and PM 
emission credits (positive or negative) are to be calculated according 
to the following equation and rounded in accordance with ASTM E29-93a, 
to the nearest Megagram (Mg). Consistent units are to be used throughout 
the calculation.
    (1) When useful life is expressed in terms of megawatt-hrs:
    Credits for each engine family are calculated as: Emission 
credits=(Std - FEL) x (UL) x (Production) x (Fp) x (10-3 kW-
Mg/MW-g).
    (2) Where:
    (i) Std=the applicable locomotive and locomotive engine 
NOX and/or PM emission standard in grams per kilowatt-hour 
(exceptions: Std=0.43 g/kW-hr, for Tier 0 and Tier 1 PM line-haul 
credits; Std=0.59 g/kW-hr, for Tier 0 and Tier 1 PM switch credits; and 
Std=previous FEL in g/kW-hr, for locomotives that were certified to an 
FEL other than the standard during the previous useful life).
    (ii) FEL=the family emission limit for the engine family in grams 
per kilowatt-hour. For Tier 1 and Tier 2 engine families, the FEL may 
not exceed the limit established in Sec. 92.304(k) for each pollutant.
    (iii) UL=the sales weighted average useful life in megawatt-hours, 
based on the sales weighted average horsepower of the engine family (or 
the subset of the engine family for which credits are being calculated), 
as specified in the application for certification.
    (iv) Production=the number of locomotives or locomotive engines 
participating in the averaging, banking, and trading program within the 
given engine family during the calendar year (or the number of 
locomotives or locomotive engines in the subset of the engine family for 
which credits are being calculated). Quarterly production projections 
are used for initial certification. Actual applicable production/sales 
volumes are used for end-of-year compliance determination.
    (v) Fp=the proration factor as determined in paragraph 
(c) of this section.

[[Page 494]]

    (b) When useful life is expressed in terms of miles or years, the 
useful life in terms of megawatt hours (UL) shall be calculated by 
dividing the useful life in miles by 100,000, and multiplying by the 
sales weighted average horsepower of the engine family. Credits are 
calculated using this UL value in the equations of paragraph (a) of this 
section.
    (c) The proration factor is an estimate of the fraction of a 
locomotive's service life that remains as a function of age.
    (1) The locomotive's age is the length of time in years from the 
date of original manufacture to the date at which the remanufacture (for 
which credits are being calculated) is completed, rounded to the next 
higher year.
    (2) The proration factors for ages 1 through 32 are specified in 
Table D305-1 of this section. For locomotives or locomotive engines more 
than 32 years old, the proration factor for 32 year old locomotives 
shall be used.
    (3) For replacement or repower engines, the proration factor is 
based on the age of the locomotive chassis, not the age of the engine.

                          Table to Sec. 92.305

                     Table D305-1--Proration Factor
------------------------------------------------------------------------
                     Age                          Fp      Age       Fp
------------------------------------------------------------------------
1............................................    0.964       17    0.452
2............................................    0.929       18    0.429
3............................................    0.893       19    0.405
4............................................    0.857       20    0.381
5............................................    0.821       21    0.357
6............................................    0.786       22    0.333
7............................................    0.750       23    0.310
8............................................    0.714       24    0.286
9............................................    0.679       25    0.268
10...........................................    0.643       26    0.250
11...........................................    0.607       27    0.232
12...........................................    0.571       28    0.214
13...........................................    0.548       29    0.196
14...........................................    0.524       30    0.179
15...........................................    0.500       31    0.161
16...........................................    0.476       32    0.143
------------------------------------------------------------------------



Sec. 92.306  Certification.

    (a) In the application for certification a manufacturer or 
remanufacturer must:
    (1) Declare its intent to include specific engine families in the 
averaging, banking, and/or trading programs. Separate declarations are 
required for each program (line-haul and switch) and for each pollutant 
(NOX and PM).
    (2) Declare duty-cycle FELs for each engine family participating in 
certification averaging, banking, and/or trading.
    (i) The FELs must be to the same number of significant digits as the 
emission standard.
    (ii) In no case may the FEL exceed the upper limit prescribed in 
Sec. 92.304(k).
    (3) Conduct and submit detailed calculations of projected emission 
credits (positive or negative) based on quarterly production projections 
for each participating family and for each pollutant, using the 
applicable equation in Sec. 92.305 and the applicable values of the 
terms in the equation for the specific family.
    (i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family, 
remanufacturer/engine family, or transfer) of the credits necessary to 
offset the credit deficit according to quarterly projected production.
    (ii) If the engine family is projected to generate credits, state 
specifically where the quarterly projected credits will be applied 
(manufacturer/engine family or remanufacturer/engine family, reserved or 
transfer).
    (4) Submit a statement that the locomotives or locomotive engines 
for which certification is requested will not, to the best of the 
manufacturer's or remanufacturer's belief, cause the manufacturer or 
remanufacturer to have a negative credit balance when all credits are 
calculated for all the manufacturer's or remanufacturer's engine 
families participating in the averaging, banking, and trading program.
    (b) Based on this information, each manufacturer's certification 
application must demonstrate:
    (1) That at the end of model year production, each engine family has 
a net emissions balance equal to or greater than zero for any pollutant 
and program for which participation in certification under averaging, 
banking, and/or trading is being sought. The equation in section 
Sec. 92.305 shall be used in this calculation for each engine family.
    (2) That the manufacturer or remanufacturer will obtain sufficient 
credits to be used to comply with the

[[Page 495]]

emission standard for any engine family with an FEL that exceeds the 
applicable emission standard, or where credits will be applied if the 
FEL is less than the emission standard. In cases where credits are being 
obtained, for each engine family involved the manufacturer or 
remanufacturer must identify specifically the source of the credits 
being used (manufacturer/engine family, or remanufacturer/engine family, 
or transfer). All such reports shall include all credits involved in 
certification averaging, banking, or trading.
    (3) In cases where credits are being generated/supplied, each engine 
family must indicate specifically the designated use of the credits 
involved (manufacturer/remanufacturer and engine family, reserved or 
transfer). All such reports shall include all credits involved in 
certification averaging, banking, or trading.
    (c) Manufacturers and remanufacturers must monitor projected versus 
actual production throughout the model year to ensure that compliance 
with emission standards is achieved at the end of the model year.
    (d) At the end of the model year, the manufacturer or remanufacturer 
must provide the end-of-year reports required under Sec. 92.309.
    (1) Projected credits based on the information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such projected credits must be validated based 
on review of the end of model year reports and may be revoked at a later 
time based on follow-up audits or any other verification measure deemed 
appropriate by the Administrator.
    (2) Compliance for engine families using averaging, banking, or 
trading will be determined at the end of the model year. Manufacturers 
and remanufacturers that have certified engine families with credit 
balances for NOX and/or PM that do not equal or exceed zero 
shall be in violation of the conditions of the certificate of conformity 
for such engine families. The certificate of conformity may be voided ab 
initio for those engine families.
    (e) Other conditions of certification.
    (1) All certificates issued are conditional upon compliance by the 
manufacturer or remanufacturer with the provisions of this subpart both 
during and after the calendar year of production.
    (2) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be deemed void ab 
initio.
    (3) The manufacturer or remanufacturer (as applicable) bears the 
burden of establishing to the satisfaction of the Administrator that the 
conditions upon which the certificate was issued were satisfied or 
waived.



Sec. 92.307  Labeling.

    For all locomotives and locomotive engines included in the 
certification averaging, banking, and trading program, the FEL to which 
the locomotive or locomotive engine is certified must be included on the 
label required in Sec. 92.212. This label must include the notification 
specified in Sec. 92.304(n).



Sec. 92.308  Maintenance of records.

    (a) The manufacturer or remanufacturer of any locomotive or 
locomotive engine that is certified under the averaging, banking, and 
trading program must establish, maintain, and retain the following 
adequately organized and indexed records for each such locomotive or 
locomotive engine produced:
    (1) EPA engine family and configuration;
    (2) Engine identification number;
    (3) Engine calendar year and build date;
    (4) Rated horsepower;
    (5) Purchaser and destination or owner; and
    (6) Assembly plant.
    (b) The manufacturer or remanufacturer of any engine family that is 
certified under the averaging, banking, and trading program must 
establish, maintain, and retain the following adequately organized and 
indexed records for each such family:
    (1) Model year and EPA engine family;
    (2) Family Emission Limit (FEL);
    (3) Rated horsepower for each configuration;
    (4) Projected applicable production/sales volume for the calendar 
year;

[[Page 496]]

    (5) Actual applicable production/sales volume for the calendar year; 
and
    (6) Useful life.
    (c) Any manufacturer or remanufacturer producing an engine family 
participating in trading or transfer of credits must maintain the 
following records on a quarterly basis for each engine family in the 
trading program:
    (1) The model year and engine family;
    (2) The actual quarterly and cumulative applicable production/sales 
volume;
    (3) The values required to calculate credits as given in 
Sec. 92.305;
    (4) The resulting type and number of credits generated/required;
    (5) How and where credit surpluses are dispersed; and
    (6) How and through what means credit deficits are met.
    (d) The manufacturer or remanufacturer must retain all records 
required to be maintained under this section for a period of 8 years 
from the due date for the end-of-calendar year report. Records may be 
retained as hard copy or reduced to microfilm, ADP diskettes, and so 
forth, depending on the manufacturer's or remanufacturer's record 
retention procedure; provided, that in every case all information 
contained in the hard copy is retained.
    (e) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer or remanufacturer to retain additional 
records or submit information not specifically required by this section.
    (f) Pursuant to a request made by the Administrator, the 
manufacturer or remanufacturer must submit to the Administrator the 
information that the manufacturer or remanufacturer is required to 
retain.
    (g) EPA may void ab initio a certificate of conformity for an engine 
family for which the manufacturer or remanufacturer fails to retain the 
records required in this section or to provide such information to the 
Administrator upon request.

    Effective Date Note: At 63 FR 19056, Apr. 16, 1998, Sec. 92.308 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 92.309  Reports.

    (a) Manufacturer or remanufacturers must submit the certification 
information as required under Sec. 92.306, and end-of-year reports each 
year as part of their participation in certification averaging, banking, 
and trading programs. All entities involved in credit trades or 
transfers must submit quarterly reports as specified in paragraph (b) of 
this section.
    (b) Quarterly reports. (1) Those holding or receiving transferred 
credits as allowed in Sec. 92.303(m) must submit quarterly reports of 
their holdings or receipts when credits are gained or lost.
    (2) The reports shall include the source or recipient of the credits 
the amount of credits involved plus remaining balances, details 
regarding the pollutant, duty-cycle, and model year/Tier as well as the 
information prescribed in Sec. 92.308(c). Copies of contracts related to 
credit trading or transfer must be included or supplied by the buyer, 
seller, and broker, as applicable.
    (c) End-of-year reports must include the information prescribed in 
Sec. 92.308(b). The report shall include a calculation of credit 
balances for each family to show that the summation of the 
manufacturer's or remanufacturer's use of credits results in a credit 
balance equal to or greater than zero. The report shall be consistent in 
detail with the information submitted under Sec. 92.306 and show how 
credit surpluses were dispersed and how credit shortfalls were met on a 
family specific basis. The end-of-year report shall incorporate any 
information reflected in previous quarterly reports.
    (d) The applicable production/sales volume for quarterly and end-of-
year reports must be based on the location of either the point of first 
retail sale by the manufacturer or remanufacturer or the point at which 
the locomotive is placed into service, whichever occurs first. This is 
called the final product purchase location.
    (e) Each quarterly and end-of-year report submitted shall include a 
statement certifying to the accuracy and authenticity of the material 
reported therein.

[[Page 497]]

    (f) Requirements for submission. (1) Quarterly reports must be 
submitted within 90 days of the end of the calendar quarter to: Group 
Manager, Engine Compliance Programs Group, Engine Programs and 
Compliance Division U.S. Environmental Protection Agency, 6403-J, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    (2) End-of-year reports must be submitted within 120 days of the end 
of the calendar year to: Group Manager, Engine Compliance Programs 
Group, Engine Programs and Compliance Division, U.S. Environmental 
Protection Agency, 6403-J, 1200 Pennsylvania Ave., NW., Washington, DC 
20460.
    (3) Failure by a manufacturer or a remanufacturer participating in 
the averaging, banking, or trading program to submit any quarterly or 
end-of-year reports in the specified time for all engines is a violation 
of sections 203(a)(1) and 213 of the Clean Air Act for each locomotive 
or locomotive engine.
    (4) A manufacturer or remanufacturer generating credits for banking 
only who fails to submit end-of-year reports in the applicable specified 
time period (120 days after the end of the calendar year) may not use or 
trade the credits until such reports are received and reviewed by EPA. 
Use of projected credits pending EPA review is not permitted in these 
circumstances.
    (g) Reporting errors. (1) Errors discovered by EPA or the 
manufacturer or the remanufacturer as applicable in the end-of-year 
report, including errors in credit calculation, may be corrected 180-
days subsequent to submission of the end-of-year report. Errors 
discovered by EPA after 180-days shall be correctable if, as a result of 
the correction, the manufacturer's or remanufacturer's credits are 
reduced. Errors in the manufacturer's or remanufacturer's favor are not 
corrected if discovered after the 180-day correction period allowed.
    (2) If EPA or the manufacturer or remanufacturer determines that a 
reporting error occurred on an end of year report previously submitted 
to EPA under this section, the manufacturer's or remanufacturer's 
credits and credit calculations will be recalculated. Erroneous positive 
credits will be void. Erroneous negative credit balances may be 
corrected by EPA.
    (3) If EPA review of a manufacturer's or remanufacturers end-of-year 
report indicates a credit shortfall, the manufacturer or remanufacturer 
will be permitted to purchase the necessary credits to bring the credit 
balance to zero. These credits must be supplied at the ratio of 1.1 
credits for each 1.0 credit needed. If sufficient credits are not 
available to bring the credit balance to zero for the family(ies) 
involved, EPA may void the certificate(s) for that family(ies) ab 
initio. In addition, all locomotives and locomotive engines within an 
engine family for which there are insufficient credits will be 
considered to have violated the conditions of the certificate of 
conformity and therefore not covered by that certificate.
    (4) If within 180 days of receipt of the manufacturer's or 
remanufacturer's end-of-year report, EPA review determines a reporting 
error in the manufacturer's or remanufacturer's favor (that is, 
resulting in an increased credit balance) or if the manufacturer or 
remanufacturer discovers such an error within 180 days of EPA receipt of 
the end-of-year report, the credits are restored for use by the 
manufacturer or remanufacturer.

    Effective Date Note: At 63 FR 19057, Apr. 16, 1998, Sec. 92.309 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 92.310  Notice of opportunity for hearing.

    Any voiding of the certificate under this subpart will be made only 
after the manufacturer or remanufacturer concerned has been offered an 
opportunity for a hearing conducted in accordance with Sec. 92.216 and, 
if a manufacturer or remanufacturer requests such a hearing, will be 
made only after an initial decision by the Presiding Officer.

[[Page 498]]



  Subpart E--Emission-Related Defect Reporting Requirements, Voluntary 
                         Emission Recall Program



Sec. 92.401  Applicability.

    The requirements of this subpart are applicable to manufacturers and 
remanufacturers of locomotives and locomotive engines subject to the 
provisions of subpart A of this part. The requirement to report 
emission-related defects affecting a given class or category of 
locomotives or locomotive engines applies for eight years from the end 
of the year in which such locomotives or locomotive engines were 
manufactured, or remanufactured, as applicable.



Sec. 92.402  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 92.403  Emission defect information report.

    (a) A manufacturer or remanufacturer must file a defect information 
report whenever it determines, in accordance with procedures it 
established to identify either safety-related or performance defects, 
(or based on other information) that a specific emission-related defect 
exists in ten or more locomotives or locomotive engines. No report must 
be filed under this paragraph for any emission-related defect corrected 
prior to the sale, or reintroduction into service of a remanufactured 
locomotive or locomotive engine, of the affected locomotives or 
locomotive engines to an ultimate purchaser.
    (b) Defect information reports required under paragraph (a) of this 
section must be submitted not more than 15 working days after the same 
emission-related defect is found to effect 10 or more locomotives or 
locomotive engines. Information required by paragraph (c) of this 
section that is either not available within 15 working days or is 
significantly revised must be submitted as it becomes available.
    (c) Except as provided in paragraph (b) of this section, each defect 
report must contain the following information in substantially the 
format outlined as follows:
    (1) The manufacturer's or remanufacturer's corporate name.
    (2) A description of the defect.
    (3) A description of each class or category of locomotives or 
locomotive engines potentially affected by the defect including make, 
model, calendar year produced, purchaser (or owner) and any other 
information as may be required to identify the locomotives or locomotive 
engines affected.
    (4) For each class or category of locomotives and locomotive engines 
described in response to paragraph (c)(3) of this section, the following 
shall also be provided:
    (i) The number of locomotives and/or locomotive engines known or 
estimated to have the defect and an explanation of the means by which 
this number was determined.
    (ii) The address of the plant(s) at which the potentially defective 
locomotives or locomotive engines were produced.
    (5) An evaluation of the emissions impact of the defect and a 
description of any operational or performance problems which a defective 
locomotive or locomotive engine might exhibit.
    (6) Available emissions data which relate to the defect.
    (7) An indication of any anticipated follow-up by the manufacturer 
or remanufacturer.



Sec. 92.404  Voluntary emissions recall reporting.

    (a) When any manufacturer or remanufacturer initiates a voluntary 
emissions recall campaign involving a locomotive or locomotive engine, 
the manufacturer or remanufacturer shall submit to EPA a report 
describing the manufacturer's or remanufacturer's voluntary emissions 
recall plan as prescribed by this section within 15 working days of the 
date owner notification was begun. The report shall contain the 
following:
    (1) A description of each class or category of locomotives or 
locomotive engines recalled including the number of locomotives or 
locomotive engines to be recalled, the calendar year if applicable, the 
make, the model, and such other information as may be required to 
identify the locomotives or locomotive engines recalled.

[[Page 499]]

    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments, or other changes to be made to 
correct the locomotives or locomotive engines affected by the emission-
related defect.
    (3) A description of the method by which the manufacturer or 
remanufacturer will notify locomotive or locomotive engine owners.
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer or remanufacturer conditions eligibility for 
repair under the remedial plan, an explanation of the manufacturer's or 
remanufacturer's reasons for imposing any such condition, and a 
description of the proof to be required of a locomotive or locomotive-
engine owner to demonstrate compliance with any such condition.
    (5) A description of the procedure to be followed by locomotive or 
locomotive-engine owners to obtain correction of the nonconformity. This 
shall include designation of the date on or after which the owner can 
have the nonconformity remedied, the time reasonably necessary to 
perform the labor to remedy the defect, and the designation of 
facilities at which the defect can be remedied.
    (6) If some or all the nonconforming locomotives or locomotive 
engines are to be remedied by persons other than authorized warranty 
agents of the manufacturer or remanufacturer, a description of the class 
of persons other than authorized warranty agents of the manufacturer or 
remanufacturer who will remedy the defect.
    (7) A copy of any written notification sent to locomotive or 
locomotive-engine owners.
    (8) A description of the system by which the manufacturer or 
remanufacturer will assure that an adequate supply of parts will be 
available to perform the repair under the remedial plan including the 
date by which an adequate supply of parts will be available to initiate 
the repair campaign, the percentage of the total parts requirement of 
each person who is to perform the repair under the remedial plan to be 
shipped to initiate the campaign, and the method to be used to assure 
the supply remains both adequate and responsive to owner demand.
    (9) Three copies of all necessary instructions to be sent to those 
persons who are to perform the repair under the remedial plan.
    (10) A description of the impact of the changes on fuel consumption, 
operation or performance, and safety of each class or category of 
locomotives or locomotive engines to be recalled.
    (11) A sample of any label to be applied to locomotives or 
locomotive engines which participate in the voluntary recall campaign.
    (b) Unless otherwise specified by the Administrator, the 
manufacturer or remanufacturer shall report on the progress of the 
recall campaign by submitting subsequent reports for six consecutive 
quarters, or until proven that remedial action has been adequately taken 
on all affected locomotives or locomotive engines, whichever occurs 
first, commencing with the quarter after the voluntary emissions recall 
campaign actually begins. Such reports shall be submitted no later than 
25 working days after the close of each calendar quarter. For each class 
or category of locomotive or locomotive engine subject to the voluntary 
emissions recall campaign, the quarterly report shall contain the:
    (1) Emission recall campaign number, if any, designated by the 
manufacturer or remanufacturer.
    (2) Date owner notification was begun, and date completed.
    (3) Number of locomotives or locomotive engines involved in the 
voluntary emissions recall campaign.
    (4) Number of locomotives or locomotive engines known or estimated 
to be affected by the emission-related defect and an explanation of the 
means by which this number was determined.
    (5) Number of locomotives or locomotive engines inspected pursuant 
to voluntary emission recall plan.
    (6) Number of inspected locomotives or locomotive engines found to 
be affected by the emissions-related defect.
    (7) Number of locomotives or locomotive engines actually receiving 
repair under the remedial plan.
    (8) Number of locomotives or locomotive engines determined to be 
unavailable for inspection or repair under the remedial plan due to 
exportation,

[[Page 500]]

scrappage, or for other reasons (specify).
    (9) Number of locomotives or locomotive engines determined to be 
ineligible for remedial action due to a failure to properly maintain or 
use such locomotives or locomotive engines.
    (10) Three copies of any service bulletins which relate to the 
defect to be corrected and which have not previously been reported.
    (11) Three copies of all communications transmitted to locomotive or 
locomotive-engine owners which relate to the defect to be corrected and 
which have not previously been submitted.
    (c) If the manufacturer or remanufacturer determines that any of the 
information requested in paragraph (b) of this section has changed or 
was incorrect, revised information and an explanatory note shall be 
submitted. Answers to paragraphs (b) (5), (6), (7), (8), and (9) of this 
section shall be cumulative totals.
    (d) The manufacturer or remanufacturer shall maintain in a form 
suitable for inspection, such as computer information storage devices or 
card files, the names and addresses of locomotive and locomotive-engine 
owners:
    (1) To whom notification was given;
    (2) Who received remedial repair or inspection under the remedial 
plan; and
    (3) Who were determined not to qualify for such remedial action when 
eligibility is conditioned on proper maintenance or use.
    (e) The records described in paragraph (d) of this section shall be 
made available to the Administrator upon request.



Sec. 92.405  Alternative report formats.

    (a) Any manufacturer or remanufacturer may submit a plan for making 
either of the reports required by Secs. 92.403 and 92.404 on computer 
diskettes, magnetic tape or other machine readable format. The plan 
shall be accompanied by sufficient technical detail to allow a 
determination that data requirements of these sections will be met and 
that the data in such format will be usable by EPA.
    (b) Upon approval by the Administrator of the reporting system, the 
manufacturer or remanufacturer may use such system until otherwise 
notified by the Administrator.



Sec. 92.406  Reports filing: record retention.

    (a) The reports required by Secs. 92.403 and 92.404 shall be sent 
to: Group Manager, Engine Compliance Programs Group, Engine Programs and 
Compliance Division, U.S. Environmental Protection Agency, 6403-J, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    (b) The information gathered by the manufacturer or remanufacturer 
to compile the reports required by Secs. 92.403 and 92.404 shall be 
retained for not less than 8 years from the date of the manufacture of 
the locomotives or locomotive engines and shall be made available to 
duly authorized officials of the EPA upon request.

    Effective Date Note: At 63 FR 19059, Apr. 16, 1998, Sec. 92.406 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 92.407  Responsibility under other legal provisions preserved.

    The filing of any report under the provisions of this subpart shall 
not affect a manufacturer's or a remanufacturer's responsibility to file 
reports or applications, obtain approval, or give notice under any 
provision of law.



Sec. 92.408  Disclaimer of production warranty applicability.

    (a) The act of filing an Emission Defect Information Report pursuant 
to Sec. 92.403 is inconclusive as to the existence of a defect subject 
to the warranty provided by section 207(a) of the Act.
    (b) A manufacturer or remanufacturer may include on each page of its 
Emission Defect Information Report a disclaimer stating that the filing 
of a Defect Information Report pursuant to these regulations is not 
conclusive as to the applicability of the Production Warranty provided 
by section 207(a) of the Act.

[[Page 501]]



 Subpart F--Manufacturer and Remanufacturer Production Line Testing and 
                             Audit Programs



Sec. 92.501  Applicability.

    The requirements of this subpart are applicable to manufacturers and 
remanufacturers of locomotives and locomotive engines subject to the 
provisions of subpart A of this part, except as follows:
    (a) The requirements of Secs. 92.503, 92.505, 92.506, 92.507, 
92.508, and 92.510 only apply to manufacturers of freshly manufactured 
locomotives or locomotive engines (including those used for repowering). 
The Administrator may also apply these requirements to remanufacturers 
of any locomotives or locomotive engines for which there is reason to 
believe production problems exist that could affect emissions 
performance. EPA will notify such remanufacturers when it makes a 
determination that production problems may exist that could affect 
emissions performance, and the requirements of these sections shall 
apply as specified in the notice.
    (b) The requirements of Sec. 92.511 only apply to remanufacturers of 
locomotives and locomotive engines.



Sec. 92.502  Definitions.

    The definitions in subpart A of this part apply to this subpart.



Sec. 92.503  General Requirements.

    (a) Manufacturers (and remanufacturers, where applicable) shall test 
production line locomotives or locomotive engines using the test 
procedures specified in Sec. 92.506. The Administrator may require 
manufacturers and remanufacturers to conduct production line testing on 
locomotives. If the Administrator determines that locomotive testing is 
required, he/she shall notify the manufacturer or remanufacturer, and 
shall specify in such notice the time period in which the manufacturer 
or remanufacturer shall complete such testing.
    (b) Remanufacturers of locomotives and locomotive engines shall 
conduct audits pursuant to the requirements of Sec. 92.511 to ensure 
that remanufactured locomotives and locomotive engines comply with the 
requirements of this part.
    (c) Upon request, the Administrator may also allow manufacturers 
(and remanufacturers, where applicable) to conduct alternate production 
line testing programs, provided the Administrator determines that the 
alternate production line testing program provides equivalent assurance 
that the locomotives and locomotive engines that are being produced 
conform to the provisions of this part. As part of this allowance or for 
other reasons, the Administrator may waive some or all of the 
requirements of this subpart.

[63 FR 18998, Apr. 16, 1998, as amended at 65 FR 73331, Dec. 29, 1999]



Sec. 92.504  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
or remanufacturer is complying with the provisions of this part, one or 
more EPA enforcement officers may enter during operating hours and upon 
presentation of credentials any of the following places:
    (1) Any facility, including ports of entry, where any locomotive or 
locomotive engine is to be introduced into commerce or any emission-
related component is manufactured, remanufactured, assembled, or stored;
    (2) Any facility where any test or audit conducted pursuant to a 
manufacturer's or remanufacturer's production line testing or auditing 
program or any procedure or activity connected with such test or audit 
is or was performed;
    (3) Any facility where any test locomotive or locomotive engine is 
present; and
    (4) Any facility where any record required under Sec. 92.509 or 
other document relating to this subpart is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers are authorized to perform the 
following inspection-related activities:
    (1) To inspect and monitor any aspect of locomotive or locomotive 
engine manufacture, remanufacture, assembly, storage, testing and other 
procedures, and to inspect and monitor the facilities in which these 
procedures are conducted;

[[Page 502]]

    (2) To inspect and monitor any aspect of locomotive or locomotive 
engine test procedures or activities, including test locomotive or 
engine selection, preparation and service accumulation, emission test 
cycles, and maintenance and verification of test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection, and testing of a locomotive or 
locomotive engine; and
    (4) To inspect and photograph any part or aspect of any locomotive 
or locomotive engine and any component used in the assembly thereof that 
is reasonably related to the purpose of the entry.
    (c) EPA enforcement officers are authorized to obtain reasonable 
assistance without cost from those in charge of a facility to help the 
officers perform any function listed in this subpart and they are 
authorized to request the manufacturer or remanufacturer to make 
arrangements with those in charge of a facility operated for the 
manufacturer or remanufacturer's benefit to furnish reasonable 
assistance without cost to EPA.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services; the making available 
on an EPA enforcement officer's request of personnel of the facility 
being inspected during their working hours to inform the EPA enforcement 
officer of how the facility operates and to answer the officer's 
questions; and the performance on request of emission tests on any 
locomotive or engine which is being, has been, or will be used for 
production line testing or auditing.
    (2) By written request, signed by the Assistant Administrator for 
Air and Radiation or the Assistant Administrator for Enforcement and 
Compliance Assurance, and served on the manufacturer or remanufacturer, 
a manufacturer or remanufacturer may be compelled to cause the personal 
appearance of any employee at such a facility before an EPA enforcement 
officer. Any such employee who has been instructed by the manufacturer 
or remanufacturer to appear will be entitled to be accompanied, 
represented, and advised by counsel.
    (d) EPA enforcement officers are authorized to seek a warrant or 
court order authorizing the EPA enforcement officers to conduct the 
activities authorized in this section, as appropriate, to execute the 
functions specified in this section. EPA enforcement officers may 
proceed ex parte to obtain a warrant or court order whether or not the 
EPA enforcement officers first attempted to seek permission from the 
manufacturer or remanufacturer or the party in charge of the 
facility(ies) in question to conduct the activities authorized in this 
section.
    (e) A manufacturer or remanufacturer is responsible for locating its 
foreign testing, manufacturing, and remanufacturing facilities in 
jurisdictions where local law does not prohibit an EPA enforcement 
officer(s) from conducting the activities specified in this section. EPA 
will not attempt to make any inspections which it has been informed 
local foreign law prohibits.

    Effective Date Note: At 63 FR 19060, Apr. 16, 1998, Sec. 92.504 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 92.505  Sample selection for testing.

    (a) At the start of each model year, the manufacturer or 
remanufacturer will begin to randomly select locomotives or locomotive 
engines from each engine family for production line testing at a rate of 
one percent. Each locomotive or locomotive engine will be selected from 
the end of the production line. Testing shall be performed throughout 
the entire model year to the extent possible.
    (1) The required sample size for an engine family is the lesser of 
five tests per model year or one percent of projected annual production, 
with a minimum sample size for an engine family of one test per model 
year provided that no engine tested fails to meet applicable emission 
standards.

[[Page 503]]

    (2) Manufacturers and remanufacturers may elect to test additional 
locomotives or locomotive engines. All additional locomotives or 
locomotive engines must be tested in accordance with the applicable test 
procedures of this part.
    (b) The manufacturer or remanufacturer must assemble the test 
locomotives or locomotive engines using the same mass production process 
that will be used for locomotives or locomotive engines to be introduced 
into commerce.
    (c) No quality control, testing, or assembly procedures will be used 
on any test locomotive or locomotive engine or any portion thereof, 
including parts and subassemblies, that have not been or will not be 
used during the production and assembly of all other locomotives or 
locomotive engines of that family, except with the approval of the 
Administrator.



Sec. 92.506  Test procedures.

    (a)(1) For locomotives and locomotive engines subject to the 
provisions of this subpart, the prescribed test procedures are those 
procedures described in subpart B of this part, except as provided in 
this section.
    (2) The Administrator may, on the basis of a written application by 
a manufacturer or remanufacturer, prescribe test procedures other than 
those specified in paragraph (a)(1) of this section for any locomotive 
or locomotive engine he/she determines is not susceptible to 
satisfactory testing using procedures specified in paragraph (a)(1) of 
this section.
    (3) If test procedures other than those in subpart B were used in 
certification of the engine family being tested under this subpart 
(other than alternate test procedures necessary for testing of a 
development engine instead of a low mileage locomotive or a low hour 
engine under Sec. 92.9), the manufacturer or remanufacturer shall use 
the test procedures used in certification for production line testing.
    (b)(1) The manufacturer or remanufacturer may not adjust, repair, 
prepare, modify, or perform any emission test on, any test locomotive or 
locomotive engine unless this adjustment, repair, preparation, 
modification and/or test is documented in the manufacturer's or 
remanufacturer's locomotive or engine assembly and inspection procedures 
and is actually performed by the manufacturer or remanufacturer or 
unless this adjustment, repair, preparation, modification and/or test is 
required or permitted under this subpart or is approved in advance by 
the Administrator.
    (2) Any adjustable locomotive or locomotive engine parameter must be 
set to values or positions that are within the range recommended to the 
ultimate purchaser.
    (3) The Administrator may adjust or require to be adjusted any 
engine parameter which the Administrator has determined to be subject to 
adjustment for certification and production line testing, to any setting 
within the specified adjustable range of that parameter, as determined 
by the Administrator, prior to the performance of any test.
    (c) Service Accumulation/Green Engine factor. The manufacturer or 
remanufacturer shall accumulate service on the locomotives and 
locomotive engines to be tested up to 300 hours of operation. In lieu of 
conducting such service accumulation, the manufacturer or remanufacturer 
may establish a Green Engine factor for each regulated pollutant for 
each engine family to be used in calculating emissions test results. The 
manufacturer or remanufacturer shall obtain the approval of the 
Administrator prior to using a Green Engine factor.
    (d) The manufacturer or remanufacturer may not perform any 
maintenance on test locomotives or locomotive engines after selection 
for testing.
    (e) If a locomotive or locomotive engine is shipped to a facility 
other than the production facility for production line testing, and an 
adjustment or repair is necessary because of such shipment, the 
locomotive or locomotive engine manufacturer or remanufacturer must 
perform the necessary adjustment or repair only after the initial test 
of the locomotive or locomotive engine, except where the Administrator 
has determined that the test would be impossible to perform or

[[Page 504]]

would permanently damage the locomotive engine.
    (f) If a locomotive or locomotive engine cannot complete the service 
accumulation, if applicable, or an emission test, because of a 
malfunction, the manufacturer or remanufacturer may request that the 
Administrator authorize either the repair of that locomotive or 
locomotive engine or its deletion from the test sequence.
    (g) Retesting. (1) If a locomotive or locomotive engine manufacturer 
or remanufacturer determines that any production line emission test of a 
locomotive or locomotive engine is invalid, the locomotive or locomotive 
engine must be retested in accordance with the requirements of this 
subpart. Emission results from all tests must be reported to EPA, 
including test results the manufacturer or remanufacturer determines are 
invalid. The locomotive or locomotive engine manufacturer or 
remanufacturer must also include a detailed explanation of the reasons 
for invalidating any test in the quarterly report required in 
Sec. 92.508(e). In the event a retest is performed, a request may be 
made to the Administrator, within ten days of the end of the production 
quarter, for permission to substitute the after-repair test results for 
the original test results. The Administrator will either affirm or deny 
the request by the locomotive or locomotive engine manufacturer or 
remanufacturer within ten working days from receipt of the request.

[63 FR 18998, Apr. 16, 1998, as amended at 65 FR 73331, Dec. 29, 1999]



Sec. 92.507  Sequence of testing.

    If one or more locomotives or locomotive engines fail a production 
line test, then the manufacturer or remanufacturer must test two 
additional locomotives or locomotive engines from the next fifteen 
produced in that engine family, for each locomotive or locomotive engine 
that fails.



Sec. 92.508  Calculation and reporting of test results.

    (a) Manufacturers and remanufacturers shall calculate initial test 
results using the applicable test procedure specified in Sec. 92.506(a). 
These results must also include the green engine factor, if applicable. 
The manufacturer or remanufacturer shall round these results, in 
accordance with ASTM E29-93a (incorporated by reference at Sec. 92.5), 
to the number of decimal places contained in the applicable emission 
standard expressed to one additional significant figure.
    (b) Final test results shall be calculated by summing the initial 
test results derived in paragraph (a) of this section for each test 
locomotive or locomotive engine, dividing by the number of tests 
conducted on the locomotive or locomotive engine, and rounding in 
accordance with ASTM E29-93a (incorporated by reference at Sec. 92.5) to 
the same number of decimal places contained in the applicable standard 
expressed to one additional significant figure.
    (c) Manufacturers and remanufacturers shall calculate the final test 
results for each test locomotive or locomotive engine by applying the 
appropriate deterioration factors, derived in the certification process 
for the engine family, to the final test results, and rounding in 
accordance with ASTM E 29-93a (incorporated by reference at Sec. 92.5) 
to the same number of decimal places contained in the applicable 
standard expressed to one additional significant figure.
    (d) If, subsequent to an initial failure of a production line test, 
the average of the test results for the failed locomotive or locomotive 
engine and the two additional locomotives or locomotive engines tested, 
is greater than any applicable emission standard or FEL, the engine 
family is deemed to be in non-compliance with applicable emission 
standards, and the manufacturer or remanufacturer must notify EPA within 
2 working days of such noncompliance.
    (e) Within 30 calendar days of the end of each quarter, each 
manufacturer or remanufacturer must submit to the Administrator a report 
which includes the following information:
    (1) The location and description of the manufacturer's or 
remanufacturer's emission test facilities which were utilized to conduct 
testing reported pursuant to this section;
    (2) Total production and sample size for each engine family;

[[Page 505]]

    (3) The applicable standards and/or FELs against which each engine 
family was tested;
    (4) A description of the test locomotives or locomotive engines;
    (5) For each test conducted:
    (i) A description of the test locomotive or locomotive engine, 
including:
    (A) Configuration and engine family identification;
    (B) Year, make, and build date;
    (C) Engine identification number;
    (D) Number of megawatt-hours (or miles if applicable) of service 
accumulated on locomotive or locomotive engine prior to testing; and
    (E) Description of green engine factor; how it is determined and how 
it is applied;
    (ii) Location(s) where service accumulation was conducted and 
description of accumulation procedure and schedule, if applicable;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all production 
line emission tests conducted, whether valid or invalid, and the reason 
for invalidation of any test results, if applicable;
    (iv) A complete description of any adjustment, modification, repair, 
preparation, maintenance, and testing which was performed on the test 
locomotive or locomotive engine, has not been reported pursuant to any 
other paragraph of this subpart, and will not be performed on other 
production locomotive or locomotive engines;
    (v) Any other information the Administrator may request relevant to 
the determination whether the new locomotives or locomotive engines 
being manufactured or remanufactured by the manufacturer or 
remanufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued;
    (6) For each failed locomotive or locomotive engine as defined in 
Sec. 92.510(a), a description of the remedy and test results for all 
retests as required by Sec. 92.512(g);
    (7) The date of the end of the locomotive or locomotive engine 
manufacturer's model year production for each engine family tested; and
    (8) The following signed statement and endorsement by an authorized 
representative of the manufacturer or remanufacturer:

    This report is submitted pursuant to Sections 213 and 208 of the 
Clean Air Act. This production line testing program was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
92. No emission-related changes to production processes or quality 
control procedures for the engine family tested have been made during 
this production line testing program that affect locomotives or 
locomotive engines from the production line. All data and information 
reported herein is, to the best of (Company Name) knowledge, true and 
accurate. I am aware of the penalties associated with violations of the 
Clean Air Act and the regulations thereunder. (Authorized Company 
Representative.)



Sec. 92.509  Maintenance of records; submittal of information.

    (a) The manufacturer or remanufacturer for any new locomotive or 
locomotive engine subject to any of the provisions of this subpart must 
establish, maintain, and retain the following adequately organized and 
indexed records:
    (1) General records. A description of all equipment used to test 
engines in accordance with Sec. 92.503. The equipment requirements in 
subpart B of this part apply to tests performed under this subpart.
    (2) Individual records. These records pertain to each production 
line test or audit conducted pursuant to this subpart and include:
    (i) The date, time, and location of each test or audit;
    (ii) The method by which the green engine factor was calculated or 
the number of hours of service accumulated on the test locomotive or 
locomotive engine when the test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the production line test or audit;
    (iv) A record and description of any adjustment, repair, preparation 
or modification performed on test locomotives or locomotive engines, 
giving the date, associated time, justification, name(s) of the 
authorizing personnel, and names of all supervisory personnel 
responsible for the conduct of the action;

[[Page 506]]

    (v) If applicable, the date the locomotive or locomotive engine was 
shipped from the assembly plant, associated storage facility or port 
facility, and the date the locomotive or locomotive engine was received 
at the testing facility;
    (vi) A complete record of all emission tests or audits performed 
pursuant to this subpart (except tests performed directly by EPA), 
including all individual worksheets and/or other documentation relating 
to each test, or exact copies thereof, in accordance with the record 
requirements specified in subpart B of this part;
    (vii) A brief description of any significant events during testing 
not otherwise described under this paragraph (a)(2) of this section , 
commencing with the test locomotive or locomotive engine selection 
process and including such extraordinary events as engine damage during 
shipment.
    (3) The manufacturer or remanufacturer must establish, maintain and 
retain general records, pursuant to paragraph (a)(1) of this section, 
for each test cell that can be used to perform emission testing under 
this subpart.
    (b) The manufacturer or remanufacturer must retain all records 
required to be maintained under this subpart for a period of eight (8) 
years after completion of all testing. Records may be retained as hard 
copy (i.e., on paper) or reduced to microfilm, floppy disk, or some 
other method of data storage, depending upon the manufacturer's or 
remanufacturer's record retention procedure; provided, that in every 
case, all the information contained in the hard copy is retained.
    (c) The manufacturer or remanufacturer must, upon request by the 
Administrator, submit the following information with regard to 
locomotive or locomotive engine production:
    (1) Projected production for each configuration within each engine 
family for which certification has been requested and/or approved.
    (2) Number of locomotives or engines, by configuration and assembly 
plant, scheduled for production.
    (d) Nothing in this section limits the Administrator's discretion to 
require a manufacturer or remanufacturer to establish, maintain, retain 
or submit to EPA information not specified by this section.
    (e) All reports, submissions, notifications, and requests for 
approval made under this subpart must be addressed to: Group Manager, 
Engine Compliance Programs Group, Engine Programs and Compliance 
Division 6403-J, U.S. Environmental Protection Agency, 1200 Pennsylvania 
Ave, NW., Washington, DC 20460.
    (f) The manufacturer or remanufacturer must electronically submit 
the results of its production line testing or auditing using an EPA 
information format.



Sec. 92.510  Compliance with criteria for production line testing.

    (a) A failed locomotive or locomotive engine is one whose final test 
results pursuant to Sec. 92.508(c), for one or more of the applicable 
pollutants, exceed the applicable emission standard or FEL.
    (b) An engine family is deemed to be in noncompliance, for purposes 
of this subpart, if at any time throughout the model year, the average 
of an initial failed locomotive or locomotive engine and the two 
additional locomotives or locomotive engines tested, is greater than any 
applicable emission standard or FEL.



Sec. 92.511  Remanufactured locomotives: installation audit requirements.

    (a) Remanufacturers of locomotives or locomotive engines shall audit 
the remanufacture of locomotives covered by its certificate(s) of 
conformity for proper components, component settings and component 
installations on randomly chosen locomotives in an engine family. Such 
audits shall be conducted in compliance with the requirements of this 
section.
    (1) The remanufacturer must ensure that all emission related 
components are properly installed on the locomotive or locomotive 
engine.
    (2) The remanufacturer must ensure that all emission related 
components are set to the proper specification as indicated in the 
remanufacture instructions.
    (3) Remanufacturers are allowed to submit audits performed by the 
owners

[[Page 507]]

or operators of the locomotives, provided the audits are performed in 
accordance with the provisions of this section.
    (b)(1) The required initial sample size (i.e., the sample size if no 
failures occur) for each remanufacturer is five percent of the 
remanufacturer's annual sales per model year per installer, with a 
maximum number of ten per engine family per installer.
    (2) The locomotives audited shall be randomly selected after the 
remanufacture is complete. The Administrator may allow the locomotives 
to be selected prior to the completion of the remanufacture, where such 
preselection would not have the potential to affect the manner in which 
the locomotive was remanufactured (e.g., where the installer is not 
aware of the selection prior to the completion of the remanufacture).
    (c) The remanufactured locomotive or locomotive engine may 
accumulate no more than 10,000 miles prior to an audit.
    (d) A failed remanufactured locomotive or locomotive engine is one 
on which any remanufacture components are found to be improperly 
installed, improperly adjusted or incorrectly used.
    (e) If a remanufactured locomotive or locomotive engine fails an 
audit, then the remanufacturer must audit two additional locomotives or 
locomotive engines from the next ten remanufactured in that engine 
family by that installer.
    (f) An engine family is determined to have failed an audit, if at 
any time during the model year, the remanufacturer determines that the 
three locomotives audited are found to have had any improperly 
installed, improperly adjusted or incorrectly used components. The 
remanufacturer must notify EPA within 2 working days of a determination 
of an engine family audit failure.
    (g) Within 30 calendar days of the end of each quarter, each 
remanufacturer must submit to the Administrator a report which includes 
the following information:
    (1) The location and description of the remanufacturer's audit 
facilities which were utilized to conduct auditing reported pursuant to 
this section;
    (2) Total production and sample size for each engine family;
    (3) The applicable standards and/or FELs against which each engine 
family was audited;
    (4) For each audit conducted:
    (i) A description of the audit locomotive or locomotive engine, 
including:
    (A) Configuration and engine family identification;
    (B) Year, make, build date, and remanufacturer date; and
    (C) Engine identification number;
    (ii) Any other information the Administrator may request relevant to 
the determination whether the new locomotives or locomotive engines 
being manufactured or remanufactured by the remanufacturer do in fact 
conform with the regulations in this part with respect to which the 
certificate of conformity was issued;
    (5) For each failed locomotive or locomotive engine as defined in 
paragraph (d) of this section, a description of the remedy as required 
by Sec. 92.512(g);
    (6) The following signed statement and endorsement by an authorized 
representative of the remanufacturer:

    This report is submitted pursuant to Sections 213 and 208 of the 
Clean Air Act. This production line auditing program was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
92. No emission-related changes to production processes or quality 
control procedures for the engine family audited have been made during 
this production line auditing program that affect locomotives or 
locomotive engines from the production line. All data and information 
reported herein is, to the best of (Company Name) knowledge, true and 
accurate. I am aware of the penalties associated with violations of the 
Clean Air Act and the regulations thereunder. (Authorized Company 
Representative.)



Sec. 92.512  Suspension and revocation of certificates of conformity.

    (a)(1) The certificate of conformity is suspended with respect to 
any locomotive or locomotive engine that fails a production line test 
pursuant to Sec. 92.510(a), effective from the time the testing of that 
locomotive or locomotive engine is completed.
    (2) The certificate of conformity is suspended with respect to any 
locomotive or locomotive engine that fails

[[Page 508]]

an audit pursuant to Sec. 92.511(d), effective from the time that 
auditing of that locomotive or locomotive engine is completed.
    (b)(1) The Administrator may suspend the certificate of conformity 
for an engine family which is in noncompliance pursuant to 
Sec. 92.510(b), thirty days after the engine family is deemed to be in 
noncompliance.
    (2) The Administrator may suspend the certificate of conformity for 
an engine family which is determined to have failed an audit pursuant to 
Sec. 92.511(f). This suspension will not occur before thirty days after 
the engine family is deemed to be in noncompliance.
    (c) If the results of testing or auditing pursuant to these 
regulations indicate that locomotives or engines of a particular family 
produced at one plant of a manufacturer or remanufacturer do not conform 
to the regulations with respect to which the certificate of conformity 
was issued, the Administrator may suspend the certificate of conformity 
with respect to that family for locomotives or locomotive engines 
manufactured or remanufactured by the manufacturer or remanufacturer at 
all other plants.
    (d) The Administrator may suspend a certificate of conformity for 
any locomotive or locomotive engine family in whole or in part if:
    (1) The manufacturer or remanufacturer fails to comply with any of 
the requirements of this subpart.
    (2) The manufacturer or remanufacturer submits false or incomplete 
information in any report or information provided to the Administrator 
under this subpart.
    (3) The manufacturer or remanufacturer renders inaccurate any test 
data submitted under this subpart.
    (4) An EPA enforcement officer is denied the opportunity to conduct 
activities authorized in this subpart.
    (5) An EPA enforcement officer is unable to conduct activities 
authorized in Sec. 92.504 for any reason.
    (e) The Administrator shall notify the manufacturer or 
remanufacturer in writing of any suspension or revocation of a 
certificate of conformity in whole or in part; a suspension or 
revocation is effective upon receipt of such notification or thirty days 
from the time an engine family is deemed to be in noncompliance under 
Secs. 92.508(d), 92.510(a), 92.510(b) or 92.511(f) is made, whichever is 
earlier, except that the certificate is immediately suspended with 
respect to any failed locomotives or locomotive engines as provided for 
in paragraph (a) of this section.
    (f) The Administrator may revoke a certificate of conformity for an 
engine family when the certificate has been suspended pursuant to 
paragraph (b) or (c) of this section if the remedy is one requiring a 
design change or changes to the locomotive, engine and/or emission 
control system as described in the application for certification of the 
affected engine family.
    (g) Once a certificate has been suspended for a failed locomotive or 
locomotive engine, as provided for in paragraph (a) of this section, the 
manufacturer or remanufacturer must take the following actions before 
the certificate is reinstated for that failed locomotive or locomotive 
engine:
    (1) Remedy the nonconformity;
    (2) Demonstrate that the locomotive or locomotive engine conforms to 
applicable standards or family emission limits by retesting, or 
reauditing if applicable, the locomotive or locomotive engine in 
accordance with this part; and
    (3) Submit a written report to the Administrator, after successful 
completion of testing, or auditing if applicable, on the failed 
locomotive or locomotive engine, which contains a description of the 
remedy and test (or audit) results for each locomotive or engine in 
addition to other information that may be required by this part.
    (h) Once a certificate for a failed engine family has been suspended 
pursuant to paragraph (b) or (c) of this section, the manufacturer or 
remanufacturer must take the following actions before the Administrator 
will consider reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the locomotives or locomotive 
engines, describes the remedy, including a description of any quality 
control and/or quality assurance measures to be taken

[[Page 509]]

by the manufacturer or remanufacturer to prevent future occurrences of 
the problem, and states the date on which the remedies will be 
implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with the regulations 
of this part by testing, or auditing if applicable, locomotives or 
engines selected from normal production runs of that engine family. Such 
testing (or auditing) must comply with the provisions of this subpart. 
If the manufacturer or remanufacturer elects to continue testing, or 
auditing if applicable, individual locomotives or engines after 
suspension of a certificate, the certificate is reinstated for any 
locomotive or engine actually determined to be in conformance with the 
applicable standards or family emission limits through testing, or 
auditing if applicable, in accordance with the applicable test 
procedures, provided that the Administrator has not revoked the 
certificate pursuant to paragraph (f) of this section.
    (i) Once the certificate has been revoked for an engine family, if 
the manufacturer or remanufacturer desires to continue introduction into 
commerce of a modified version of that family, the following actions 
must be taken before the Administrator may issue a certificate for that 
modified family:
    (1) If the Administrator determines that the change(s) in locomotive 
or engine design may have an effect on emission performance 
deterioration, the Administrator shall notify the manufacturer or 
remanufacturer, within five working days after receipt of the report in 
paragraph (g) of this section, whether subsequent testing or auditing if 
applicable, under this subpart will be sufficient to evaluate the change 
or changes or whether additional testing or auditing will be required; 
and
    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer or remanufacturer must demonstrate that 
the modified engine family does in fact conform with the regulations of 
this part by testing, or auditing if applicable, locomotives or engines 
selected from normal production runs of that engine family. When both of 
these requirements are met, the Administrator shall reissue the 
certificate or issue a new certificate, as the case may be, to include 
that family. If this subsequent testing, or auditing if applicable, 
reveals failing data the revocation remains in effect.
    (j) At any time subsequent to an initial suspension of a certificate 
of conformity for a test or audit locomotive or engine pursuant to 
paragraph (a) of this section, but not later than 30 days (or such other 
period as may be allowed by the Administrator) after notification of the 
Administrator's decision to suspend or revoke a certificate of 
conformity in whole or in part pursuant to paragraphs (b), (c), or (f) 
of this section, a manufacturer or remanufacturer may request a hearing 
as to whether the tests or audits have been properly conducted or any 
sampling methods have been properly applied.
    (k) Any suspension of a certificate of conformity under paragraphs 
(a), (b), (c) and (d) of this section:
    (1) Shall be made only after the manufacturer or remanufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Secs. 92.513, 92.514, and 92.515 and
    (2) Need not apply to locomotives or engines no longer in the 
possession of the manufacturer or remanufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section or voids a certificate of conformity 
under Sec. 92.215, and prior to the commencement of a hearing under 
Sec. 92.513, if the manufacturer or remanufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend, revoke, or 
void the certificate was based on erroneous information, the 
Administrator shall reinstate the certificate.
    (m) To permit a manufacturer or remanufacturer to avoid storing non-
test locomotives or locomotive engines while conducting subsequent 
testing or auditing of the noncomplying family, a manufacturer or 
remanufacturer may request that the Administrator conditionally 
reinstate the certificate for that family. The Administrator may 
reinstate the certificate subject to the following condition: the 
manufacturer

[[Page 510]]

or remanufacturer must commit to recall all locomotives or locomotive 
engines of that family produced from the time the certificate is 
conditionally reinstated if the family fails subsequent testing, or 
auditing if applicable, and must commit to remedy any nonconformity at 
no expense to the owner.



Sec. 92.513  Request for public hearing.

    (a) If the manufacturer or remanufacturer disagrees with the 
Administrator's decision to suspend or revoke a certificate or disputes 
the basis for an automatic suspension pursuant to Sec. 92.512(a), the 
manufacturer or remanufacturer may request a public hearing.
    (b) The manufacturer's or remanufacturer's request shall be filed 
with the Administrator not later than 30 days after the Administrator's 
notification of his or her decision to suspend or revoke, unless 
otherwise specified by the Administrator. The manufacturer or 
remanufacturer shall simultaneously serve two copies of this request 
upon the Director of the Engine Programs and Compliance Division, Office 
of Mobile Sources and file two copies with the Hearing Clerk of the 
Agency. Failure of the manufacturer or remanufacturer to request a 
hearing within the time provided constitutes a waiver of the right to a 
hearing. Subsequent to the expiration of the period for requesting a 
hearing as of right, the Administrator may, in his or her discretion and 
for good cause shown, grant the manufacturer or remanufacturer a hearing 
to contest the suspension or revocation.
    (c) A manufacturer or remanufacturer shall include in the request 
for a public hearing:
    (1) A statement as to which configuration(s) within a family is to 
be the subject of the hearing;
    (2) A concise statement of the issues to be raised by the 
manufacturer or remanufacturer at the hearing, except that in the case 
of the hearing requested under Sec. 92.512(j), the hearing is restricted 
to the following issues:
    (i) Whether tests or audits have been properly conducted 
(specifically, whether the tests were conducted in accordance with 
applicable regulations under this part and whether test equipment was 
properly calibrated and functioning);
    (ii) Whether there exists a basis for distinguishing locomotives or 
locomotive engines produced at plants other than the one from which 
locomotives or locomotive engines were selected for testing or auditing 
which would invalidate the Administrator's decision under 
Sec. 92.512(c));
    (3) A statement specifying reasons why the manufacturer or 
remanufacturer believes it will prevail on the merits of each of the 
issues raised; and
    (4) A summary of the evidence which supports the manufacturer's or 
remanufacturer's position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.



Sec. 92.514  Administrative procedures for public hearing.

    (a) The Presiding Officer shall be an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930).
    (b) The Judicial Officer shall be an officer or employee of the 
Agency appointed as a Judicial Officer by the Administrator, pursuant to 
this section, who shall meet the qualifications and perform functions as 
follows:
    (1) Qualifications. A Judicial Officer may be a permanent or 
temporary employee of the Agency who performs other duties for the 
Agency. The Judicial Officer shall not be employed by the Office of 
Enforcement or have any connection with the preparation or presentation 
of evidence for a hearing held pursuant to this subpart. The Judicial 
Officer shall be a graduate of an accredited law school and a member in 
good standing of a recognized Bar Association of any state or the 
District of Columbia.
    (2) Functions. The Administrator may consult with the Judicial 
Officer or delegate all or part of the Administrator's authority to act 
in a given case under this section to a Judicial Officer, provided that 
this delegation does not preclude the Judicial Officer from referring 
any motion or case to the Administrator when the Judicial Officer

[[Page 511]]

determines such referral to be appropriate.
    (c) For the purposes of this section, one or more Judicial Officers 
may be designated by the Administrator. As work requires, a Judicial 
Officer may be designated to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requested under 
Sec. 92.512(j), when it clearly appears from the data and other 
information contained in the request for a hearing that no genuine and 
substantial question of fact or law exists with respect to the issues 
specified in Sec. 92.513(c)(2), the Administrator may enter an order 
denying the request for a hearing and reaffirming the original decision 
to suspend or revoke a certificate of conformity.
    (2) In the case of a hearing requested under Sec. 92.513 to 
challenge a suspension of a certificate of conformity for the reason(s) 
specified in Sec. 92.512(d), when it clearly appears from the data and 
other information contained in the request for the hearing that no 
genuine and substantial question of fact or law exists with respect to 
the issue of whether the refusal to comply with this subpart was caused 
by conditions and circumstances outside the control of the manufacturer 
or remanufacturer, the Administrator may enter an order denying the 
request for a hearing and suspending the certificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of this 
section has the force and effect of a final decision of the 
Administrator, as issued pursuant to Sec. 92.516.
    (4) If the Administrator determines that a genuine and substantial 
question of fact or law does exist with respect to any of the issues 
referred to in paragraphs (d)(1) and (d)(2) of this section, the 
Administrator shall grant the request for a hearing and publish a notice 
of public hearing in the Federal Register or by such other means as the 
Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section and Sec. 92.513(c) must be filed with the Hearing Clerk of the 
Agency. Filing is considered timely if mailed, as determined by the 
postmark, to the Hearing Clerk within the time allowed by this section 
and Sec. 92.513(b). If filing is to be accomplished by mailing, the 
documents must be sent to the address set forth in the notice of public 
hearing referred to in paragraph (d)(4) of this section.
    (2) To the maximum extent possible, testimony will be presented in 
written form. Copies of written testimony will be served upon all 
parties as soon as practicable prior to the start of the hearing. A 
certificate of service will be provided on or accompany each document or 
paper filed with the Hearing Clerk. Documents to be served upon the 
Director of the Engine Programs and Compliance Division must be sent by 
registered mail to: Director, Engine Programs and Compliance Division 
6403-J, U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460. Service by registered mail is complete upon 
mailing.
    (f) Computation of time. (1) In computing any period of time 
prescribed or allowed by this section, except as otherwise provided, the 
day of the act or event from which the designated period of time begins 
to run is not included. Saturdays, Sundays, and federal legal holidays 
are included in computing the period allowed for the filing of any 
document or paper, except that when the period expires on a Saturday, 
Sunday, or federal legal holiday, the period is extended to include the 
next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act is computed from the time of service, except that 
when service is accomplished by mail, three days will be added to the 
prescribed period.
    (g) Consolidation. The Administrator or the Presiding Officer in his 
or her discretion may consolidate two or more proceedings to be held 
under this section for the purpose of resolving one or more issues 
whenever it appears that consolidation will expedite or simplify 
consideration of these issues. Consolidation does not affect the right 
of any party to raise issues that could have been raised if 
consolidation had not occurred.
    (h) Hearing date. To the extent possible hearings under Sec. 92.513 
will be

[[Page 512]]

scheduled to commence within 14 days of receipt of the request for a 
hearing.



Sec. 92.515  Hearing procedures.

    The procedures provided in Sec. 86.1014-84(i) through (s) of this 
chapter apply for hearings requested pursuant to Sec. 92.513 regarding 
suspension, revocation, or voiding of a certificate of conformity.



Sec. 92.516  Appeal of hearing decision.

    The procedures provided in Sec. 86.1014-84(t) through (aa) of this 
chapter apply for appeals filed with respect to hearings held pursuant 
to Sec. 92.515.



Sec. 92.517  Treatment of confidential information.

    Except for information required by Sec. 92.508(e)(2) and quarterly 
emission test results described in Sec. 92.508(e), information submitted 
pursuant to this subpart shall be made available to the public by EPA 
notwithstanding any claim of confidentiality made by the submitter. The 
provisions for treatment of confidential information described in 
Sec. 92.4 apply to the information required by Sec. 92.508(e)(2) and all 
other information submitted pursuant to this subpart.



                    Subpart G--In-Use Testing Program



Sec. 92.601  Applicability.

    The requirements of this subpart are applicable to all manufacturers 
and remanufacturers of locomotives subject to the provisions of subpart 
A of this part, including all locomotives powered by any locomotive 
engines subject to the provisions of subpart A of this part.



Sec. 92.602  Definitions.

    Except as otherwise provided, the definitions in subpart A of this 
part apply to this subpart.



Sec. 92.603  General provisions.

    (a) EPA shall annually identify engine families and configurations 
within families on which the manufacturer or remanufacturer must conduct 
in-use emissions testing pursuant to the requirements of this section.
    (1) Manufacturers and remanufacturers shall test one locomotive 
engine family each year for which it has received a certificate of 
conformity from EPA. Where a manufacturer holds certificates of 
conformity for both freshly manufactured and remanufactured locomotive 
engine families, the Administrator may require the manufacturer to test 
one freshly manufactured engine family and one remanufactured engine 
family. The Administrator may require a manufacturer or remanufacturer 
to test additional engine families if he/she has reason to believe that 
locomotives in an engine family do not comply with emission standards in 
use.
    (2) For engine families of less than 10 locomotives per year, no in-
use testing will be required, unless the Administrator has reason to 
believe that those engine families are not complying with the applicable 
emission standards in use.
    (b) Locomotive manufacturers or remanufacturers shall perform 
emission testing of a sample of in-use locomotives from an engine 
family, as specified in Sec. 92.605. Manufacturers or remanufacturers 
shall submit data from this in-use testing to EPA. EPA will use these 
data, and any other data available to EPA, to determine the compliance 
status of classes of locomotives, including for purposes of subpart H of 
this part, and whether remedial action is appropriate.



Sec. 92.604  In-use test procedure.

    (a) Testing conducted under this subpart shall be conducted on 
locomotives; testing under this subpart shall not be conducted using an 
engine that is not installed in a locomotive at the time of testing.
    (b) Locomotives tested under this subpart shall be tested using the 
locomotive test procedures outlined in subpart B of this part, except as 
provided in this section.
    (c) The test procedures used for in-use testing shall be consistent 
with the test procedures used for certification, except for cases in 
which certification testing was not conducted with locomotive, but with 
a development engine, or other engine. In such cases, the Administrator 
shall require deviations from the certification test procedures

[[Page 513]]

as appropriate, including requiring that the test be conducted on a 
locomotive. The Administrator may allow or require other alternate 
procedures, with advance approval. For all testing conducted under this 
subpart, emission rates shall be calculated in accordance with the 
provisions of subpart B of this part that apply to locomotive testing.
    (d) Any adjustable locomotive or locomotive engine parameter must be 
set to values or positions that are within the range specified in the 
certificate of conformity. If so directed by the Administrator, the 
manufacturer or remanufacturer will set these parameters to values 
specified by the Administrator.
    (e) The Administrator may waive portions or requirements of the 
applicable test procedure, if any, that are not necessary to determine 
in-use compliance.



Sec. 92.605  General testing requirements.

    (a) Number of locomotives to be tested. The manufacturer or 
remanufacturer shall test in-use locomotives, from an engine family 
selected by EPA, which have accumulated between one-half and three-
quarters of the engine family's useful life. The number of locomotives 
to be tested by a manufacturer or remanufacturer will be determined by 
the following method:
    (1) A minimum of 2 locomotives per engine family per year for each 
engine family that reaches the minimum age specified above provided that 
no locomotive tested fails to meet any applicable standard. For each 
failing locomotive, two more locomotives shall be tested until the total 
number of locomotives tested equals 10, except as provided in paragraph 
(a)(2) of this section.
    (2) If an engine family has not changed from one year to the next 
and has certified using carry over emission data and has been previously 
tested under paragraph (a)(1) of this section (and EPA has not ordered 
or begun to negotiate remedial action of that family), then only one 
locomotive per engine family per year must be tested. If such locomotive 
fails to meet applicable standards for any pollutant, testing for that 
engine family must be conducted as outlined under paragraph (a)(1) of 
this section.
    (b) At the discretion of the Administrator, a locomotive or 
locomotive engine manufacturer or remanufacturer may test more 
locomotives than the minima described above or may concede failure 
before locomotive number 10.
    (c) The Administrator will consider failure rates, average emission 
levels and the existence of any defects among other factors in 
determining whether to pursue remedial action. The Administrator may 
order a recall pursuant to subpart H of this part before testing reaches 
the tenth locomotive.
    (d) Collection of in-use locomotives. The locomotive manufacturer or 
remanufacturer shall procure in-use locomotives which have been operated 
for between one-half and three-quarters of the locomotive's useful life 
for testing under this subpart. The manufacturer or remanufacturer shall 
complete testing required by this section for any engine family before 
useful life of the locomotives in the engine family passes.



Sec. 92.606  Maintenance, procurement and testing of in-use locomotives.

    (a) A test locomotive must have a maintenance history that is 
representative of actual in-use conditions, and identical or equivalent 
to the manufacturer's or remanufacturer's recommended emission-related 
maintenance requirements.
    (1) In procuring in-use locomotives for in-use testing, a 
manufacturer or remanufacturer shall question the end users regarding 
the accumulated usage, maintenance, operating conditions, and storage of 
the test locomotives.
    (2) The selection of test locomotives is made by the manufacturer or 
remanufacturer, and is subject to EPA approval. Information used by the 
manufacturer or remanufacturer to procure locomotives for in-use testing 
shall be maintained as required in Sec. 92.215.
    (b) The manufacturer or remanufacturer may perform minimal set-to-
spec maintenance on a test locomotive prior to conducting in-use 
testing. Maintenance may include only that which is listed in the 
owner's instructions for locomotives with the amount of service

[[Page 514]]

and age of the acquired test locomotive. Documentation of all 
maintenance and adjustments shall be maintained and retained.
    (c) Results of one valid emission test using the test procedure 
outlined in subpart B of this part is required for each in-use 
locomotive.
    (d) If in-use testing results show that an in-use locomotive fails 
to comply with any applicable emission standards, the manufacturer or 
remanufacturer shall determine the reason for noncompliance. The 
manufacturer or remanufacturer must report all determinations for 
noncompliance in its quarterly in-use test result report pursuant to 
Sec. 92.607(a)(11).

    Effective Date Note: At 63 FR 19066, Apr. 16, 1998, Sec. 92.606 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 92.607  In-use test program reporting requirements.

    (a) The manufacturer or remanufacturer shall submit to the 
Administrator within three (3) months of completion of testing all 
emission testing results generated from the in-use testing program. The 
following information must be reported for each locomotive tested:
    (1) Engine family, and configuration;
    (2) Locomotive and engine models;
    (3) Locomotive and engine serial numbers;
    (4) Date of manufacture and/or remanufacture(s), as applicable;
    (5) Megawatt-hours of use (or miles, as applicable);
    (6) Date and time of each test attempt;
    (7) Results (if any) of each test attempt;
    (8) Results of all emission testing;
    (9) Summary of all maintenance and/or adjustments performed;
    (10) Summary of all modifications and/or repairs;
    (11) Determinations of noncompliance; and
    (12) The following signed statement and endorsement by an authorized 
representative of the manufacturer or remanufacturer:

    This report is submitted pursuant to Sections 213 and 208 of the 
Clean Air Act. This in-use testing program was conducted in complete 
conformance with all applicable regulations under 40 CFR part 92. All 
data and information reported herein is, to the best of (Company Name) 
knowledge, true and accurate. I am aware of the penalties associated 
with violations of the Clean Air Act and the regulations thereunder. 
(Authorized Company Representative.)

    (b) The manufacturer or remanufacturer shall report to the 
Administrator within three (3) months of completion of testing the 
following information for each engine family tested:
    (1) The serial numbers of all locomotive that were excluded from the 
test sample because they did not meet the maintenance requirements of 
Sec. 92.606;
    (2) The owner of each locomotive identified in paragraph (b)(1) of 
this section (or other entity responsible for the maintenance of the 
locomotive); and
    (3) The specific reasons why the locomotives were excluded from the 
test sample.
    (c) The manufacturer or remanufacturer must submit, via floppy disk, 
the information outlined in paragraphs (a) and (b) of this section using 
a pre-approved information heading. The Administrator may exempt 
manufacturers or remanufacturers from this requirement upon written 
request with supporting justification.
    (d) All testing reports and requests for approvals made under this 
subpart shall be addressed to: Group Manager, Engine Compliance Programs 
Group, Engine Programs and Compliance Division, U.S. Environmental 
Protection Agency, 6403-J, 1200 Pennsylvania Ave., NW., Washington, DC 
20460.



                      Subpart H--Recall Regulations



Sec. 92.701  Applicability.

    The requirements of subpart H of this part are applicable to all 
manufacturers and remanufacturers of locomotives and locomotive engines 
subject to the provisions of subpart A of this part.



Sec. 92.702  Definitions.

    The definitions of subpart A of this part apply to this subpart.

[[Page 515]]



Sec. 92.703  Voluntary emissions recall.

    (a) Prior to an EPA ordered recall, a manufacturer or remanufacturer 
may perform (without petition) a voluntary emissions recall pursuant to 
regulations in subpart E of this part. Such manufacturer or 
remanufacturer is subject to the reporting requirements in subpart E of 
this part.
    (b) If a determination of nonconformity with the requirements of 
section 213 of the Act is made (i.e. if EPA orders a recall under the 
provisions of section 207(c)), the manufacturer(s) or remanufacturer(s) 
will not have the option of an alternate remedial action and an actual 
recall would be required.



Sec. 92.704  Notice to manufacturer or remanufacturer of nonconformity; 
submission of remedial plan.

    (a) The manufacturer or remanufacturer will be notified whenever the 
Administrator has determined that a substantial number of a class or 
category of locomotives or locomotive engines produced by that 
manufacturer or remanufacturer, although properly maintained and used, 
do not conform to the regulations prescribed under the Act in effect 
during, and applicable to the model year of such locomotives or 
locomotive engines. The notification will include a description of each 
class or category of locomotives or locomotive engines encompassed by 
the determination of nonconformity, will give the factual basis for the 
determination of nonconformity (except information previously provided 
the manufacturer or remanufacturer by the Agency), and will designate a 
date, no sooner than 45 days from the date of receipt of such 
notification, by which the manufacturer or remanufacturer shall have 
submitted a plan to remedy the nonconformity.
    (b) Unless a hearing is requested pursuant to Sec. 92.709, the 
remedial plan shall be submitted to the Administrator within the time 
limit specified in the Administrator's notification, provided that the 
Administrator may grant a manufacturer or remanufacturer an extension 
upon good cause shown.
    (c) If a manufacturer or remanufacturer requests a public hearing 
pursuant to Sec. 92.709, unless as a result of such hearing the 
Administrator withdraws his determination of nonconformity, the 
manufacturer or remanufacturer shall submit the remedial plan within 30 
days of the end of such hearing.



Sec. 92.705  Remedial plan.

    (a) When any manufacturer or remanufacturer is notified by the 
Administrator that a substantial number of any class or category of 
locomotives or locomotive engines, although properly maintained and 
used, do not conform to the applicable regulations of this part 
(including emission standards or family emission limits), the 
manufacturer or remanufacturer shall submit a plan to the Administrator 
to remedy such nonconformity. The plan shall contain the following:
    (1) A description of each class or category of locomotive or 
locomotive engine to be recalled including the year(s) of manufacture or 
remanufacture, the make, the model, the calendar year and such other 
information as may be required to identify the locomotives or locomotive 
engines to be recalled.
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments or other changes to be made to bring 
the locomotives or locomotive engines into conformity, including a brief 
summary of the data and technical studies which support the 
manufacturer's or remanufacturer's decision as to the particular 
remedial changes to be used in correcting the nonconformity.
    (3) A description of the method by which the manufacturer or 
remanufacturer will determine the names and addresses of locomotive or 
locomotive engine owners.
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer or remanufacturer conditions eligibility for 
repair under the remedial plan, an explanation of the manufacturer's or 
remanufacturer's reasons for imposing any such condition, and a 
description of the proof to be required of a locomotive or locomotive 
engine owner to demonstrate compliance with any such condition. 
Eligibility may not be denied solely on the basis that the locomotive or 
locomotive engine owner used parts not

[[Page 516]]

manufactured or remanufactured by the original locomotive or locomotive 
engine manufacturer or remanufacturer, or had repairs not performed by 
such manufacturer or remanufacturer. No maintenance or use condition may 
be imposed unless it is, in the judgement of the Administrator, 
demonstrably related to preventing the nonconformity.
    (5) A description of the procedure to be followed by locomotive or 
locomotive engine owners to obtain correction of the nonconformity. This 
shall include designation of the date on or after which the owner can 
have the nonconformity remedied, the time reasonably necessary to 
perform the labor required to correct the nonconformity, and the 
designation of facilities at which the nonconformity can be remedied: 
Provided, That repair shall be completed within a reasonable time 
designated by the Administrator from the date the owner first tenders 
his locomotive or locomotive engine after the date designated by the 
manufacturer or remanufacturer as the date on or after which the owner 
can have the nonconformity remedied.
    (6) If some or all of the nonconforming locomotives or locomotive 
engines are to be remedied by persons other than authorized warranty 
agents of the manufacturer or remanufacturer, a description of the class 
of persons other than authorized warranty agents of the manufacturer or 
remanufacturer who will remedy the nonconformity, and a statement 
indicating that the participating members of the class will be properly 
equipped to perform such remedial action.
    (7) Three copies of the letters of notification to be sent to 
locomotive or locomotive engine owners.
    (8) A description of the system by which the manufacturer or 
remanufacturer will assure that an adequate supply of parts will be 
available to perform the repair under the remedial plan including the 
date by which an adequate supply of parts will be available to initiate 
the repair campaign, the percentage of the total parts requirement of 
each person who is to perform the repair under the remedial plan to be 
shipped to initiate the campaign, and the method to be used to assure 
the supply remains both adequate and responsive to owner demand.
    (9) Three copies of all necessary instructions to be sent to those 
persons who are to perform the repair under the remedial plan.
    (10) A description of the impact of the changes on fuel consumption, 
operability, and safety of each class or category of locomotives or 
locomotive engines to be recalled and a brief summary of the data, 
technical studies, or engineering evaluations which support these 
conclusions.
    (11) Any other information, reports or data which the Administrator 
may reasonably determine is necessary to evaluate the remedial plan.
    (b)(1) Notification to locomotive or locomotive engine owners shall 
be made by first class mail or by such means as approved by the 
Administrator.
    (2) The manufacturer or remanufacturer shall use all reasonable 
means necessary to locate locomotive or locomotive engine owners.
    (3) The Administrator reserves the right to require the manufacturer 
or remanufacturer to send by certified mail or other reasonable means 
subsequent notification to locomotive or locomotive engine owners.
    (c)(1) The manufacturer or remanufacturer shall require those who 
perform the repair under the remedial plan to affix a label to each 
locomotive or locomotive engine repaired or, when required, inspected 
under the remedial plan.
    (2) The label shall be placed in such location as approved by the 
Administrator consistent with Federal Railroad Administration 
regulations and shall be fabricated of a material suitable for the 
location in which it is installed and which is not readily removable 
intact.
    (3) The label shall contain:
    (i) The recall campaign number; and
    (ii) A code designating the campaign facility at which the repair, 
or inspection for repair was performed.
    (4) The Administrator reserves the right to waive any or all of the 
requirements of this paragraph (c) if he/she determines that they 
constitute an unwarranted burden to the manufacturer or remanufacturer.

[[Page 517]]

    (d) The Administrator may require the manufacturer or remanufacturer 
to conduct tests on components and locomotives or locomotive engines 
incorporating a change, repair, or modification reasonably designed and 
necessary to demonstrate the effectiveness of the change, repair, or 
modification.

    Note to Sec. 92.705: An interpretive ruling regarding Sec. 92.705 is 
published in Appendix II to this part.



Sec. 92.706  Approval of plan: Implementation.

    (a) If the Administrator finds that the remedial plan is designed 
and effective to correct the nonconformity, he/she will so notify the 
manufacturer or remanufacturer in writing. If the remedial plan is not 
approved, the Administrator will provide the manufacturer or 
remanufacturer notice of the disapproval and the reasons for the 
disapproval in writing.
    (b) Upon receipt of notice from the Administrator that the remedial 
plan has been approved, the manufacturer or remanufacturer shall 
commence implementation of the approved plan. Notification of locomotive 
or locomotive engine owners shall be in accordance with requirements of 
this subpart and shall proceed as follows:
    (1) When no public hearing as described in Sec. 92.709 is requested 
by the manufacturer or remanufacturer, notification of locomotive or 
locomotive engine owners shall commence within 15 working days of the 
receipt by the manufacturer or remanufacturer of the Administrator's 
approval unless otherwise specified by the Administrator.
    (2) When a public hearing as described in Sec. 92.709 is held, 
unless as a result of such hearing the Administrator withdraws the 
determination of nonconformity, the Administrator shall, within 60 days 
after the completion of such hearing, order the manufacturer or 
remanufacturer to provide prompt notification of such nonconformity.



Sec. 92.707  Notification to locomotive or locomotive engine owners.

    (a) The notification of locomotive or locomotive engine owners shall 
contain the following:
    (1) The statement: ``The Administrator of the U.S. Environmental 
Protection Agency has determined that your locomotive or locomotive 
engine may be emitting pollutants in excess of the federal emission 
standards or family emission limits, as defined in 40 CFR part 92. These 
standards or family emission limits, as defined in 40 CFR part 92 were 
established to protect the public health or welfare from the dangers of 
air pollution.''
    (2) A statement that the nonconformity of any such locomotives or 
locomotive engines which have been, if required by the remedial plan, 
properly maintained and used, will be remedied at the expense of the 
manufacturer or remanufacturer.
    (3) A description of the proper maintenance or use, if any, upon 
which the manufacturer or remanufacturer conditions eligibility for 
repair under the remedial plan and a description of the proof to be 
required of a locomotive or locomotive engine owner to demonstrate 
compliance with such condition. Eligibility may not be denied solely on 
the basis that the locomotive or locomotive engine owner used parts not 
manufactured or remanufactured by the manufacturer or remanufacturer, or 
had repairs not performed by the manufacturer or remanufacturer.
    (4) A clear description of the components which will be affected by 
the remedy and a general statement of the measures to be taken to 
correct the nonconformity.
    (5) A description of the adverse effects, if any, that an 
uncorrected nonconformity would have on the performance or operability 
of the locomotive or locomotive engine.
    (6) A description of the adverse effects, if any, that such 
nonconformity would have on the performance or operability of the 
locomotive or locomotive engine.
    (7) A description of the average effects, if any, that such 
nonconformity would have on the functions of other locomotive or 
locomotive engine components.
    (8) A description of the procedure which the locomotive or 
locomotive engine owner should follow to obtain correction of the 
nonconformity. This shall include designation of the date on or after 
which the owner can have the

[[Page 518]]

nonconformity remedied, the time reasonably necessary to perform the 
labor required to correct the nonconformity, and the designation of 
facilities at which the nonconformity can be remedied.
    (9) A telephone number provided by the manufacturer or 
remanufacturer, which may be used to report difficulty in obtaining 
recall repairs.
    (10) The statement: ``In order to ensure your full protection under 
the emission warranty made applicable to your (locomotive or locomotive 
engine) by federal law, and your right to participate in future recalls, 
it is recommended that you have (locomotive or locomotive engine) 
serviced as soon as possible. Failure to do so could legally be 
determined to be a lack of proper maintenance of your (locomotive or 
locomotive engine).''
    (b) No notice sent pursuant to paragraph (a) of this section nor any 
other contemporaneous communication sent to locomotive or locomotive 
engine owners or dealers shall contain any statement or implication that 
the nonconformity does not exist or that the nonconformity will not 
degrade air quality.
    (c) The manufacturer or remanufacturer shall be informed of any 
other requirements pertaining to the notification under this section 
which the Administrator has determined are reasonable and necessary to 
ensure the effectiveness of the recall campaign.



Sec. 92.708  Records and reports.

    (a) The manufacturer or remanufacturer shall provide to the 
Administrator a copy of all communications which relate to the remedial 
plan directed to persons who are to perform the repair under the 
remedial plan. Such copies shall be mailed to the Administrator 
contemporaneously with their transmission to persons who are to perform 
the repair under the remedial plan.
    (b) The manufacturer or remanufacturer shall provide for the 
establishment and maintenance of records to enable the Administrator to 
conduct a continuing analysis of the adequacy of the recall campaign. 
The records shall include, for each class or category of locomotive or 
locomotive engine, but need not be limited to, the following:
    (1) Recall campaign number as designated by the manufacturer or 
remanufacturer.
    (2) Date owner notification was begun, and date completed.
    (3) Number of locomotives or locomotive engines involved in the 
recall campaign.
    (4) Number of locomotives or locomotive engines known or estimated 
to be affected by the nonconformity.
    (5) Number of locomotives or locomotive engines inspected pursuant 
to the remedial plan.
    (6) Number of inspected locomotives or locomotive engines found to 
be affected by the nonconformity.
    (7) Number of locomotives or locomotive engines actually receiving 
repair under the remedial plan.
    (8) Number of locomotives or locomotive engines determined to be 
unavailable for inspection or repair under the remedial plan due to 
exportation, scrapping or for other reasons (specify).
    (9) Number of locomotives or locomotive engines determined to be 
ineligible for remedial action due to a failure to properly maintain or 
use such locomotives or locomotive engines.
    (c) If the manufacturer or remanufacturer determines that the 
original answers for paragraphs (b)(3) and (b)(4) of this section are 
incorrect, revised figures and an explanatory note shall be submitted. 
Answers to paragraphs (b)(5), (b)(6), (b)(7), (b)(8), and (b)(9) of this 
section shall be cumulative totals.
    (d) Unless otherwise directed by the Administrator, the information 
specified in paragraph (b) of this section shall be included in 
quarterly reports, with respect to each recall campaign, for six 
consecutive quarters beginning with the quarter in which the 
notification of owners was initiated, or until all nonconforming 
locomotives or locomotive engines involved in the campaign have been 
remedied, whichever occurs sooner. Such reports shall be submitted no 
later than 25 working days after the close of each calendar quarter.
    (e) The manufacturer or remanufacturer shall maintain in a form 
suitable for inspection, such as computer information storage devices or 
card files,

[[Page 519]]

lists of the names and addresses of locomotive or locomotive engine 
owners:
    (1) To whom notification was given;
    (2) Who received remedial repair or inspection under the remedial 
plan; and
    (3) When eligibility for repair is conditioned on proper maintenance 
or use, that were determined not to qualify for such remedial action.
    (f) The records described in paragraph (e) of this section shall be 
made available to the Administrator upon request.
    (g) The records and reports required by this section shall be 
retained for not less than eight (8) years.

    Effective Date Note: At 63 FR 19069, Apr. 16, 1998, Sec. 92.708 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 92.709  Public hearings.

    (a) Definitions. The following definitions shall be applicable to 
this section:
    (1) Hearing Clerk shall mean the Hearing Clerk of the Environmental 
Protection Agency.
    (2) Intervenor shall mean a person who files a petition to be made 
an intervenor pursuant to paragraph (g) of this section and whose 
petition is approved.
    (3) Manufacturer or remanufacturer refers to a manufacturer or 
remanufacturer contesting a recall order directed at that manufacturer 
or remanufacturer.
    (4) Party shall include the Environmental Protection Agency, the 
manufacturer or remanufacturer, and any intervenors.
    (5) Presiding Officer shall mean an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930).
    (6) Environmental Appeals Board shall mean the Board within the 
Agency described in Sec. 1.25 of this chapter. The Administrator 
delegates authority to the Environmental Appeals Board to issue final 
decisions in appeals filed under this subpart. Appeals directed to the 
Administrator, rather than to the Environmental Appeals Board, will not 
be considered. This delegation of authority to the Environmental Appeals 
Board does not preclude the Environmental Appeals Board from referring 
an appeal or a motion filed under this subpart to the Administrator for 
decision when the Environmental Appeals Board, in its discretion, deems 
it appropriate to do so. When an appeal or motion is referred to the 
Administrator, all parties shall be so notified and the rules in this 
part referring to the Environmental Appeals Board shall be interpreted 
as referring to the Administrator.
    (b) Request for public hearing. (1)(i) If the manufacturer or 
remanufacturer disagrees with the Administrator's finding of 
nonconformity he may request a public hearing as described in this 
section. Requests for such a hearing shall be filed with the 
Administrator not later than 45 days after the receipt of the 
Administrator's notification of nonconformity unless otherwise specified 
by the Administrator. Two copies of such request shall simultaneously be 
served upon the Director of the Engine Programs and Compliance Division 
and two copies filed with the Hearing Clerk. Failure of the manufacturer 
or remanufacturer to request a hearing within the time provided shall 
constitute a waiver of his right to such a hearing. In such a case, the 
manufacturer or remanufacturer shall carry out the recall order as 
required by Sec. 92.705.
    (ii) Subsequent to the expiration of the period for requesting a 
hearing as of right, the Administrator may, in his discretion and for 
good cause shown, grant the manufacturer or remanufacturer a hearing to 
contest the nonconformity.
    (2) The request for a public hearing shall contain:
    (i) A statement as to which classes or categories of locomotives or 
locomotive engines are to be the subject of the hearing;
    (ii) A concise statement of the issues to be raised by the 
manufacturer or remanufacturer at the hearing for each class or category 
of locomotive or locomotive engine for which the manufacturer or 
remanufacturer has requested the hearing; and

[[Page 520]]

    (iii) A statement as to reasons the manufacturer or remanufacturer 
believes it will prevail on the merits on each of the issues so raised.
    (3) A copy of all requests for public hearings shall be kept on file 
in the Office of the Hearing Clerk and shall be made available to the 
public during Agency business hours.
    (c) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section shall be filed with the Hearing Clerk. Filing shall be deemed 
timely if mailed, as determined by the postmark, to the Hearing Clerk 
within the time allowed by this section. If filing is to be accomplished 
by mailing, the documents shall be sent to the address set forth in the 
notice of public hearing as described in paragraph (f) of this section.
    (2) Except for requests to commence a hearing, at the same time a 
party files with the Hearing Clerk any additional issues for 
consideration at the hearing or any written testimony, documents, 
papers, exhibits, or materials, to be introduced into evidence or papers 
filed in connection with any appeal, it shall serve upon all other 
parties copies thereof. A certificate of service shall be provided on or 
accompany each document or paper filed with the Hearing Clerk. Documents 
to be served upon the Director of the Engine Programs and Compliance 
Division shall be mailed to: Director, Engine Programs and Compliance 
Division 6403-J, U.S. Environmental Protection Agency, 1200 Pennsylvania 
Ave., NW., Washington, DC 20460. Service by mail is complete upon 
mailing.
    (d) Time. (1) In computing any period of time prescribed or allowed 
by this section, except as otherwise provided, the day of the act or 
event from which the designated period of time begins to run shall not 
be included. Saturdays, Sundays, and Federal legal holidays shall be 
included in computing any such period allowed for the filing of any 
document or paper, except that when such period expires on a Saturday, 
Sunday, or Federal legal holiday, such period shall be extended to 
include the next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act shall be computed from the time of service, 
except that when service is accomplished by mail, three days shall be 
added to the prescribed period.
    (e) Consolidation. The Administrator or the Presiding Officer in his 
discretion may consolidate two or more proceedings to be held under this 
section for the purpose of resolving one or more issues whenever it 
appears that such consolidation will expedite or simplify consideration 
of such issues. Consolidation shall not affect the right of any party to 
raise issues that could have been raised if consolidation had not 
occurred.
    (f) Notice of public hearings. (1) Notice of a public hearing under 
this section shall be given by publication in the Federal Register. 
Notice will be given at least 30 days prior to the commencement of such 
hearings.
    (2) The notice of a public hearing shall include the following 
information:
    (i) The purpose of the hearing and the legal authority under which 
the hearing is to be held;
    (ii) A brief summary of the Administrator's determination of 
nonconformity;
    (iii) A brief summary of the manufacturer's or remanufacturer's 
basis for contesting the Administrator's determination of nonconformity;
    (iv) Information regarding the time and location of the hearing and 
the address to which all documents required or permitted to be filed 
should be sent;
    (v) The address of the Hearing Clerk to whom all inquiries should be 
directed and with whom documents are required to be filed;
    (vi) A statement that all petitions to be made an intervenor must be 
filed with the Hearing Clerk within 25 days from the date of the notice 
of public hearing and must conform to the requirements of paragraph (g) 
of this section.
    (3) The notice of public hearing shall be issued by the General 
Counsel.
    (g) Intervenors. (1) Any person desiring to intervene in a hearing 
to be held under section 207(c)(1) of the Act shall file a petition 
setting forth the facts and reasons why he/she thinks he/she should be 
permitted to intervene.

[[Page 521]]

    (2) In passing upon a petition to intervene, the following factors, 
among other things, shall be considered by the Presiding Officer:
    (i) The nature of the petitioner's interest including the nature and 
the extent of the property, financial, environmental protection, or 
other interest of the petitioner;
    (ii) The effect of the order which may be entered in the proceeding 
on petitioner's interest;
    (iii) The extent to which the petitioner's interest will be 
represented by existing parties or may be protected by other means;
    (iv) The extent to which petitioner's participation may reasonably 
be expected to assist materially in the development of a complete 
record;
    (v) The effect of the intervention on the Agency's statutory 
mandate.
    (3) A petition to intervene must be filed within 25 days following 
the notice of public hearing under section 207(c)(1) of the Act and 
shall be served on all parties. Any opposition to such petition must be 
filed within five days of such service.
    (4) All petitions to be made an intervenor shall be reviewed by the 
Presiding Officer using the criteria set forth in paragraph (g)(2) of 
this section and considering any oppositions to such petition. Where the 
petition demonstrates that the petitioner's interest is limited to 
particular issues, the Presiding Officer may, in granting such petition, 
limit petitioner's participation to those particular issues only.
    (5) If the Presiding Officer grants the petition with respect to any 
or all issues, he/she shall so notify, or direct the Hearing Clerk to 
notify, the petitioner and all parties. If the Presiding Officer denies 
the petition he/she shall so notify, or direct the Hearing Clerk to 
notify, the petitioner and all parties and shall briefly state the 
reasons why the petition was denied.
    (6) All petitions to be made an intervenor shall include an 
agreement by the petitioner, and any person represented by the 
petitioner, to be subject to examination and cross-examination and to 
make any supporting and relevant records available at its own expense 
upon the request of the Presiding Officer, on his/her own motion or the 
motion of any party or other intervenor. If the intervenor fails to 
comply with any such request, the Presiding Officer may in his/her 
discretion, terminate his/her status as an intervenor.
    (h) Intervention by motion. Following the expiration of the time 
prescribed in paragraph (g) of this section for the submission of 
petitions to intervene in a hearing, any person may file a motion with 
the Presiding Officer to intervene in a hearing. Such a motion must 
contain the information and commitments required by paragraphs (g)(2) 
and (g)(6) of this section, and, in addition, must show that there is 
good cause for granting the motion and must contain a statement that the 
intervenor shall be bound by agreements, arrangements, and other 
determinations which may have been made in the proceeding.
    (i) Amicus Curiae. Persons not parties to the proceedings wishing to 
file briefs may do so by leave of the Presiding Officer granted on 
motion. A motion for leave shall identify the interest of the applicant 
and shall state the reasons why the amicus brief is desirable.
    (j) Presiding Officer. The Presiding Officer shall have the duty to 
conduct a fair and impartial hearing in accordance with 5 U.S.C. 554, 
556 and 557, to take all necessary action to avoid delay in the 
disposition of the proceedings and to maintain order. He/she shall have 
all power consistent with Agency rule and with the Administrative 
Procedure Act (5 U.S.C. 551 et seq.) necessary to this end, including 
the following:
    (1) To administer oaths and affirmations;
    (2) To rule upon offers of proof and receive relevant evidence;
    (3) To regulate the course of the hearings and the conduct of the 
parties and their counsel therein;
    (4) To hold conferences for simplification of the issues or any 
other proper purpose;
    (5) To consider and rule upon all procedural and other motions 
appropriate in such proceedings;
    (6) To require the submission of direct testimony in written form 
with or without affidavit whenever, in the opinion of the Presiding 
Officer, oral testimony is not necessary for full and

[[Page 522]]

true disclosure of the facts. Testimony concerning the conduct and 
results of tests and inspections may be submitted in written form;
    (7) To enforce agreements and orders requiring access as authorized 
by law;
    (8) To require the filing of briefs on any matter on which he/she is 
required to rule;
    (9) To require any party or any witness, during the course of the 
hearing, to state his/her position on any issue;
    (10) To take or cause depositions to be taken whenever the ends of 
justice would be served thereby;
    (11) To make decisions or recommend decisions to resolve the 
disputed issues of the record of the hearing;
    (12) To issue, upon good cause shown, protective orders as described 
in paragraph (n) of this section.
    (k) Conferences. (1) At the discretion of the Presiding Officer, 
conferences may be held prior to or during any hearing. The Presiding 
Officer shall direct the Hearing Clerk to notify all parties and 
intervenors of the time and location of any such conference. At the 
discretion of the Presiding Officer, persons other than parties may 
attend. At a conference the Presiding Officer may:
    (i) Obtain stipulations and admissions, receive requests and order 
depositions to be taken, identify disputed issues of fact and law, and 
require or allow the submission of written testimony from any witness or 
party;
    (ii) Set a hearing schedule for as many of the following as are 
deemed necessary by the Presiding Officer:
    (A) Oral and written statements;
    (B) Submission of written direct testimony as required or authorized 
by the Presiding Officer;
    (C) Oral direct and cross-examination of a witness where necessary 
as prescribed in paragraph (p) of this section;
    (D) Oral argument, if appropriate;
    (iii) Identify matters of which official notice may be taken;
    (iv) Consider limitation of the number of expert and other 
witnesses;
    (v) Consider the procedure to be followed at the hearing; and
    (vi) Consider any other matter that may expedite the hearing or aid 
in the disposition of the issue.
    (2) The results of any conference including all stipulations shall, 
if not transcribed, be summarized in writing by the Presiding Officer 
and made part of the record.
    (l) Primary discovery (exchange of witness lists and documents). (1) 
At a prehearing conference or within some reasonable time set by the 
Presiding Officer prior to the hearing, each party shall make available 
to the other parties the names of the expert and other witnesses the 
party expects to call, together with a brief summary of their expected 
testimony and a list of all documents and exhibits which the party 
expects to introduce into evidence. Thereafter, witnesses, documents, or 
exhibits may be added and summaries of expected testimony amended upon 
motion by a party.
    (2)(i) The Presiding Officer, may, upon motion by a party or other 
person, and for good cause shown, by order:
    (A) Restrict or defer disclosure by a party of the name of a witness 
or a narrative summary of the expected testimony of a witness; and
    (B) Prescribe other appropriate measures to protect a witness.
    (ii) Any party affected by any such action shall have an adequate 
opportunity, once he learns the name of a witness and obtains the 
narrative summary of his expected testimony, to prepare for the 
presentation of his case.
    (m) Other discovery. (1) Except as so provided by paragraph (l) of 
this section, further discovery, under this paragraph (m), shall be 
permitted only upon determination by the Presiding Officer:
    (i) That such discovery will not in any way unreasonably delay the 
proceeding;
    (ii) That the information to be obtained is not obtainable 
voluntarily; and
    (iii) That such information has significant probative value. The 
Presiding Officer shall be guided by the procedures set forth in the 
Federal Rules of Civil Procedure (28 U.S.C.), where practicable, and the 
precedents thereunder, except that no discovery shall be undertaken 
except upon order of the Presiding Officer or upon agreement of the 
parties.
    (2) The Presiding Officer shall order depositions upon oral 
questions only

[[Page 523]]

upon a showing of good cause and upon a finding that:
    (i) The information sought cannot be obtained by alternative 
methods; or
    (ii) There is a substantial reason to believe that relevant and 
probative evidence may otherwise not be preserved for presentation by a 
witness at the hearing.
    (3) Any party to the proceeding desiring an order of discovery shall 
make a motion or motions therefor. Such a motion shall set forth:
    (i) The circumstances warranting the taking of the discovery;
    (ii) The nature of the information expected to be discovered; and
    (iii) The time and place where it will be taken. If the Presiding 
Officer determines the motion should be granted, he shall issue an order 
for the taking of such discovery together with the conditions and terms 
thereof.
    (4) Failure to comply with an order issued pursuant to this 
paragraph (m) may lead to the inference that the information to be 
discovered would be adverse to the person or party from whom the 
information was sought.
    (n) Protective orders: in camera proceedings. (1) Upon motion by a 
party or by the person from whom discovery is sought, and upon a showing 
by the movant that the disclosure of the information to be discovered, 
or a particular part thereof, (other than emission data) would result in 
methods or processes entitled to protection as trade secrets of such 
person being divulged, the Presiding Officer may enter a protective 
order with respect to such material. Any protective order shall contain 
such terms governing the treatment of the information as may be 
appropriate under the circumstances to prevent disclosure outside the 
hearing: Provided, That the order shall state that the material shall be 
filed separately from other evidence and exhibits in the hearing. 
Disclosure shall be limited to parties to the hearing, their counsel and 
relevant technical consultants, and authorized representatives of the 
United States concerned with carrying out the Act. Except in the case of 
the government, disclosure may be limited to counsel to parties who 
shall not disclose such information to the parties themselves. Except in 
the case of the government, disclosure to a party or his counsel shall 
be conditioned on execution of a sworn statement that no disclosure of 
the information will be made to persons not entitled to receive it under 
the terms of the protective order. (No such provision is necessary where 
government employees are concerned because disclosure by them is subject 
to the terms of 18 U.S.C. 1905.)
    (2)(i) A party or person seeking a protective order may be permitted 
to make all or part of the required showing in camera. A record shall be 
made of such in camera proceedings. If the Presiding Officer enters a 
protective order following a showing in camera, the record of such 
showing shall be sealed and preserved and made available to the Agency 
or court in the event of appeal.
    (ii) Attendance at any in camera proceeding may be limited to the 
Presiding Officer, the Agency, and the person or party seeking the 
protective order.
    (3) Any party, subject to the terms and conditions of any protective 
order issued pursuant to paragraph (n)(1) of this section, desiring for 
the presentation of his/her case to make use of any in camera documents 
or testimony shall make application to the Presiding Officer by motion 
setting forth the justification therefor. The Presiding Officer, in 
granting any such motion, shall enter an order protecting the rights of 
the affected persons and parties and preventing unnecessary disclosure 
of such information, including the presentation of such information and 
oral testimony and cross-examination concerning it in executive session, 
as in his/her discretion is necessary and practicable.
    (4) In the submittal of findings, briefs, or other papers, counsel 
for all parties shall make a good faith attempt to refrain from 
disclosing the specific details of in camera documents and testimony. 
This shall not preclude references in such findings, briefs, or other 
papers to such documents or testimony including generalized statements 
based on their contents. To the extent that counsel consider it 
necessary to include specific details in their presentations, such data 
shall be

[[Page 524]]

incorporated in separate findings, briefs, or other papers marked 
``confidential'', which shall become part of the in camera record.
    (o) Motions. (1) All motions, except those made orally during the 
course of the hearing, shall be in writing and shall state with 
particularity the grounds therefor, shall set forth the relief or order 
sought, and shall be filed with the Hearing Clerk and served upon all 
parties.
    (2) Within ten days after service of any motion filed pursuant to 
this section, or within such other time as may be fixed by the 
Environmental Appeals Board or the Presiding Officer, as appropriate, 
any party may serve and file an answer to the motion. The movant shall, 
if requested by the Environmental Appeals Board or the Presiding 
Officer, as appropriate, serve and file reply papers within the time set 
by the request.
    (3) The Presiding Officer shall rule upon all motions filed or made 
prior to the filing of his decision or accelerated decision, as 
appropriate. The Environmental Appeals Board shall rule upon all motions 
filed prior to the appointment of a Presiding Officer and all motions 
filed after the filing of the decision of the Presiding Officer or 
accelerated decision. Oral argument of motions will be permitted only if 
the Presiding Officer or the Environmental Appeals Board, as 
appropriate, deems it necessary.
    (p) Evidence. (1) The official transcripts and exhibits, together 
with all papers and requests filed in the proceeding, shall constitute 
the record. Immaterial or irrelevant parts of an admissible document 
shall be segregated and excluded so far as practicable. Documents or 
parts thereof subject to a protective order under paragraph (n) of this 
section shall be segregated. Evidence may be received at the hearing 
even though inadmissible under the rules of evidence applicable to 
judicial proceedings. The weight to be given evidence shall be 
determined by its reliability and probative value.
    (2) The Presiding Officer shall allow the parties to examine and to 
cross-examine a witness to the extent that such examination and cross-
examination is necessary for a full and true disclosure of the facts.
    (3) Rulings of the Presiding Officer on the admissibility of 
evidence, the propriety of examination and cross-examination and other 
procedural matters shall appear in the record.
    (4) Parties shall automatically be presumed to have taken exception 
to an adverse ruling.
    (q) Interlocutory appeal. (1) An interlocutory appeal may be taken 
to the Environmental Appeals Board either:
    (i) With the consent of the Presiding Officer and where he certifies 
on the record or in writing that the allowance of an interlocutory 
appeal is clearly necessary to prevent exceptional delay, expense or 
prejudice to any party or substantial detriment to the public interest; 
or
    (ii) Absent the consent of the Presiding Officer, by permission of 
the Environmental Appeals Board.
    (2) Applications for interlocutory appeal of any ruling or order of 
the Presiding Officer may be filed with the Presiding Officer within 5 
days of the issuance of the ruling or order being appealed. Answers 
thereto by other parties may be filed within 5 days of the service of 
such applications.
    (3) The Presiding Officer shall rule on such applications within 5 
days of the filing of such application or answers thereto.
    (4) Applications to file such appeals absent consent of the 
Presiding Officer shall be filed with the Environmental Appeals Board 
within 5 days of the denial of any appeal by the Presiding Officer.
    (5) The Environmental Appeals Board will consider the merits of the 
appeal on the application and any answers thereto. No oral argument will 
be heard nor other briefs filed unless the Environmental Appeals Board 
directs otherwise.
    (6) Except under extraordinary circumstances as determined by the 
Presiding Officer, the taking of an interlocutory appeal will not stay 
the hearing.
    (r) Record. (1) Hearings shall be stenographically reported and 
transcribed, and the original transcript shall be part of the record and 
the sole official transcript. Copies of the record shall be

[[Page 525]]

filed with the Hearing Clerk and made available during Agency business 
hours for public inspection. Any person desiring a copy of the record of 
the hearing or any part thereof shall be entitled to the same upon 
payment of the cost thereof.
    (2) The official transcripts and exhibits, together with all papers 
and requests filed in the proceeding, shall constitute the record.
    (s) Findings, conclusions. (1) Within 20 days of the close of the 
reception of evidence, or within such longer time as may be fixed by the 
Presiding Officer, any party may submit for the consideration of the 
Presiding Officer findings of fact, conclusions of law, and a rule or 
order, together with reasons therefor and briefs in support thereof. 
Such proposals shall be in writing, shall be served upon all parties, 
and shall contain adequate references to the record and authorities 
relied on.
    (2) The record shall show the Presiding Officer's ruling on the 
findings and conclusions except when his/her order disposing of the 
proceeding otherwise informs the parties of the action taken by him/her 
thereon.
    (t) Decision of the Presiding Officer. (1) Unless extended by the 
Environmental Appeals Board, the Presiding Officer shall issue and file 
with the Hearing Clerk his decision within 30 days after the period for 
filing findings as provided for in paragraph (s) of this section has 
expired.
    (2) The Presiding Officer's decision shall become the opinion of the 
Environmental Appeals Board:
    (i) When no notice of intention to appeal as described in paragraph 
(u) of this section is filed, 30 days after the issuance thereof, unless 
in the interim the Environmental Appeals Board shall have taken action 
to review or stay the effective date of the decision; or
    (ii) When a notice of intention to appeal is filed but the appeal is 
not perfected as required by paragraph (u) of this section, 5 days after 
the period allowed for perfection of an appeal has expired unless within 
that 5 day period, the Environmental Appeals Board shall have taken 
action to review or stay the effective date of the decision.
    (3) The Presiding Officer's decision shall include a statement of 
findings and conclusions, as well as the reasons or basis therefor, upon 
all the material issues of fact or law presented on the record and an 
appropriate rule or order. Such decision shall be supported by 
substantial evidence and based upon a consideration of the whole record.
    (4) At any time prior to the issuance of his decision, the Presiding 
Officer may reopen the proceeding for the reception of further evidence. 
Except for the correction of clerical errors, the jurisdiction of the 
Presiding Officer is terminated upon the issuance of his/her decision.
    (u) Appeal from the decision of the Presiding Officer. (1) Any party 
to a proceeding may appeal the Presiding Officer's decision to the 
Environmental Appeals Board, Provided, That within 10 days after 
issuance of the Presiding Officer's decision such party files a notice 
of intention to appeal and an appeal brief within 30 days of such 
decision.
    (2) When an appeal is taken from the decision of the Presiding 
Officer, any party may file a brief with respect to such appeal. The 
brief shall be filed within 20 days of the date of the filing of the 
appellant's brief.
    (3) Any brief filed pursuant to this paragraph (u) shall contain in 
the order indicated, the following:
    (i) A subject index of the matter in the brief, with page 
references, and a table of cases (alphabetically arranged), textbooks, 
statutes, and other material cited, with page references thereto;
    (ii) A specification of the issues intended to be urged;
    (iii) The argument presenting clearly the points of fact and law 
relied upon in support of the position taken on each issue, with 
specific page references to the record and the legal or other material 
relied upon; and
    (iv) A form of rule or order for the Environmental Appeals Board's 
consideration if different from the rule or order contained in the 
Presiding Officer's decision.
    (4) No brief in excess of 40 pages shall be filed without leave of 
the Environmental Appeals Board.
    (5) Oral argument will be allowed in the discretion of the 
Environmental Appeals Board.

[[Page 526]]

    (v) Review of the Presiding Officer's decision in absence of appeal. 
(1) If, after the expiration of the period for taking an appeal as 
provided for by paragraph (u) of this section, no notice of intention to 
appeal the decision of the Presiding Officer has been filed, or if 
filed, not perfected, the Hearing Clerk shall so notify the 
Environmental Appeals Board.
    (2) The Environmental Appeals Board, upon receipt of notice from the 
Hearing Clerk that no notice of intention to appeal has been filed, or 
if filed, not perfected pursuant to paragraph (u) of this section, may, 
on its own motion, within the time limits specified in paragraph (t)(2) 
of this section, review the decision of the Presiding Officer. Notice of 
the intention of the Environmental Appeals Board to review the decision 
of the Presiding Officer shall be given to all parties and shall set 
forth the scope of such review and the issue which shall be considered 
and shall make provision for filing of briefs.
    (w) Decision on appeal or review. (1) Upon appeal from or review of 
the Presiding Officer's decision, the Environmental Appeals Board shall 
consider such parts of the record as are cited or as may be necessary to 
resolve the issues presented and, in addition shall to the extent 
necessary or desirable exercise all the powers which it could have 
exercised if it had presided at the hearing.
    (2) In rendering its decision, the Environmental Appeals Board shall 
adopt, modify, or set aside the findings, conclusions, and rule or order 
contained in the decision of the Presiding Officer and shall set forth 
in its decision a statement of the reasons or bases for its action.
    (3) In those cases where the Environmental Appeals Board determines 
that it should have further information or additional views of the 
parties as to the form and content of the rule or order to be issued, 
the Environmental Appeals Board, in its discretion, may withhold final 
action pending the receipt of such additional information or views, or 
may remand the case to the Presiding Officer.
    (x) Reconsideration. Within twenty (20) days after issuance of the 
Environmental Appeals Board's decision, any party may file with the 
Environmental Appeals Board a petition for reconsideration of such 
decision, setting forth the relief desired and the grounds in support 
thereof. Any petition filed under this paragraph (x) must be confined to 
new questions raised by the decision or the final order and upon which 
the petitioner had no opportunity to argue before the Presiding Officer 
or the Environmental Appeals Board. Any party desiring to oppose such a 
petition shall file and answer thereto within ten (10) days after the 
filing of the petition. The filing of a petition for reconsideration 
shall not operate to stay the effective date of the decision or order or 
to toll the running of any statutory time period affecting such decision 
or order unless specifically so ordered by the Environmental Appeals 
Board.
    (y) Accelerated decision: Dismissal. (1) The Presiding Officer, upon 
motion of any party or sua sponte, may at any time render an accelerated 
decision in favor of the Agency or the manufacturer or remanufacturer as 
to all or any part of the proceeding, without further hearing or upon 
such limited additional evidence such as affidavits as he/she may 
require, or dismiss any party with prejudice, under any of the following 
conditions:
    (i) Failure to state a claim upon which relief can be granted, or 
direct or collateral estoppel;
    (ii) There is no genuine issue of material fact and a party is 
entitled to judgment as a matter of law; or
    (iii) Such other and further reasons as are just, including 
specifically failure to obey a procedural order of the Presiding 
Officer.
    (2) If under this paragraph (y) an accelerated decision is issued as 
to all the issues and claims joined in the proceeding, the decision 
shall be treated for the purposes of these procedures as the decision of 
the Presiding Officer as provided in paragraph (p) of this section.
    (3) If under this paragraph (y), judgment is rendered on less than 
all issues or claims in the proceeding, the Presiding Officer shall 
determine what material facts exist without substantial controversy and 
what material

[[Page 527]]

facts are actually and in good faith controverted. He/she shall 
thereupon issue an order specifying the facts which appear without 
substantial controversy, and the issues and claims upon which the 
hearing will proceed.
    (z) Conclusion of hearing. (1) If, after the expiration of the 
period for taking an appeal as provided for by paragraph (u) of this 
section, no appeal has been taken from the Presiding Officer's decision, 
and, after the expiration of the period for review by the Environmental 
Appeals Board on its own motion as provided for by paragraph (v) of this 
section, the Environmental Appeals Board does not move to review such 
decision, the hearing will be deemed to have ended at the expiration of 
all periods allowed for such appeal and review.
    (2) If an appeal of the Presiding Officer's decision is taken 
pursuant to paragraph (u) of this section, or if, in the absence of such 
appeal, the Environmental Appeals Board moves to review the decision of 
the Presiding Officer pursuant to paragraph (v) of this section, the 
hearing will be deemed to have ended upon the rendering of a final 
decision by the Environmental Appeals Board.
    (aa) Judicial review. (1) The Administrator hereby designates the 
Deputy General Counsel, Environmental Protection Agency as the officer 
upon whom copy of any petition for judicial review shall be served. Such 
officer shall be responsible for filing in the court the record on which 
the order of the Environmental Appeals Board is based.
    (2) Before forwarding the record to the court, the Agency shall 
advise the petitioner of costs of preparing it and as soon as payment to 
cover fees is made shall forward the record to the court.



   Subpart I--Importation of Nonconforming Locomotives and Locomotive 
                                 Engines



Sec. 92.801  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
importers of locomotives or locomotive engines for which the 
Administrator has promulgated regulations under this part prescribing 
emission standards, that are offered for importation or imported into 
the United States, but which locomotives or locomotive engines, at the 
time of importation or being offered for importation, are not covered by 
certificates of conformity issued under section 213 and section 206(a) 
of the Clean Air Act (that is, which are nonconforming locomotives or 
locomotive engines as defined in Sec. 92.2), and this part. Compliance 
with regulations under this subpart does not relieve any person or 
entity from compliance with other applicable provisions of the Clean Air 
Act.
    (b) Regulations prescribing further procedures for the importation 
of locomotives and locomotive engines into the Customs territory of the 
United States, as defined in 19 U.S.C. 1202, are set forth in U.S. 
Customs Service regulations (19 CFR chapter I).



Sec. 92.802  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 92.803  Admission.

    A nonconforming locomotive or locomotive engine offered for 
importation may be admitted into the United States pursuant to the 
provisions of this subpart. In order to obtain admission the importer 
must submit to the Administrator a written request for approval 
containing the following:
    (a) Identification of the importer of the locomotive or locomotive 
engine and the importer's address, telephone number, and taxpayer 
identification number;
    (b) Identification of the locomotive's or locomotive engine's owner, 
the owner's address, telephone number, and taxpayer identification 
number;
    (c) Identification of the locomotive and/or locomotive engine 
including make, model, identification number, and original production 
year;
    (d) Information indicating the provision in this subpart under which 
the locomotive or locomotive engine is to be imported;
    (e) Identification of the place(s) where the locomotive or 
locomotive engine is to be stored until EPA approval of the importer's 
application to the Administrator for final admission;

[[Page 528]]

    (f) Authorization for EPA enforcement officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder; and
    (g) Such other information as is deemed necessary by the 
Administrator.



Sec. 92.804  Exemptions.

    (a) Unless otherwise specified, any person may apply for the 
exemptions allowed by this section.
    (b) Notwithstanding other requirements of this subpart, a 
nonconforming locomotive or locomotive engine that qualifies for a 
temporary exemption under this paragraph may be conditionally admitted 
into the United States if prior written approval for the conditional 
admission is obtained from the Administrator. Conditional admission is 
to be under bond. The Administrator may request that the U.S. Customs 
Service require a specific bond amount to ensure compliance with the 
requirements of the Act and this subpart. A written request for a 
temporary exemption from the Administrator shall contain the 
identification required in Sec. 92.803 and information that demonstrates 
that the locomotives and or locomotive engines qualify for an exemption. 
Noncompliance with provisions of this section may result in the 
forfeiture of the total amount of the bond and/or exportation of the 
locomotive or locomotive engine. The following temporary exemptions are 
permitted by this paragraph (b):
    (1) Exemption for repairs or alterations. Upon written approval by 
EPA, a person may conditionally import under bond a nonconforming 
locomotive or locomotive engine solely for purpose of repair(s) or 
alteration(s). The locomotive or locomotive engine may not be operated 
in the United States other than for the sole purpose of repair or 
alteration or shipment to the point of repair or alteration and to the 
port of export. It may not be sold or leased in the United States and is 
to be exported upon completion of the repair(s) or alteration(s).
    (2) Testing exemption. A nonconforming test locomotive or locomotive 
engine may be conditionally imported by a person subject to the 
requirements of Sec. 92.905. A test locomotive or locomotive engine may 
be operated in the United States provided that the operation is an 
integral part of the test. This exemption is limited to a period not 
exceeding one year from the date of importation unless a request is made 
by the appropriate importer, and subsequently granted by EPA, concerning 
the locomotive or locomotive engine in accordance with Sec. 92.905 for a 
subsequent one-year period.
    (3) Display exemptions. (i) A nonconforming locomotive or locomotive 
engine intended solely for display may be conditionally imported under 
bond subject to the requirements of Sec. 92.906(b).
    (ii) A display locomotive or locomotive engine may be imported by 
any person for purposes related to a business or the public interest. 
Such purposes do not include collections normally inaccessible or 
unavailable to the public on a daily basis, display of a locomotive or 
locomotive engine at a dealership, private use, or other purpose that 
the Administrator determines is not appropriate for display exemptions. 
A display locomotive or locomotive engine may not be sold or leased in 
the United States and may not be operated in the United States except 
for the operation incident and necessary to the display purpose.
    (iii) A display exemption is granted for 12 months or for the 
duration of the display purpose, whichever is shorter. Extensions of up 
to 12 months each are available upon approval by the Administrator. In 
no circumstances, however, may the total period of exemption exceed 36 
months.
    (c) National security exemption. Notwithstanding any other 
requirement of this subpart, a locomotive or locomotive engine may be 
permanently imported into the United States under the national security 
exemption found at Sec. 92.908, if prior written approval for such 
permanent importation is obtained from the Administrator. A request for 
approval is to contain the identification information required in 
Sec. 92.803 and information that demonstrates that the importer is 
entitled to the exemption.
    (d) An application for exemption provided for in paragraphs (b) and 
(c) of this section shall be mailed to: Group Manager, Engine Compliance 
Programs

[[Page 529]]

Group, Engine Programs and Compliance Division U.S. Environmental 
Protection Agency, 6403-J, 1200 Pennsylvania Ave., NW., Washington, DC 
20460, Attention: Imports.
    (e) Incidental use exemption. Locomotives that are operated 
primarily outside of the United States, and that enter the United States 
temporarily from Canada or Mexico are exempt from the requirements and 
prohibitions of this part without application, provided that the 
operation within the United States is not extensive and is incidental to 
their primary operation.



Sec. 92.805  Prohibited acts; penalties.

    (a) The importation of a locomotive or locomotive engine which is 
not covered by a certificate of conformity other than in accordance with 
this subpart and the entry regulations of the U.S. Customs Service is 
prohibited. Failure to comply with this section is a violation of 
section 213(d) and section 203 of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of a locomotive or locomotive engine 
may not:
    (1) Operate the locomotive or locomotive engine in the United 
States;
    (2) Sell or lease or offer the locomotive or locomotive engine for 
sale or lease.
    (c) A locomotive or locomotive engine conditionally admitted 
pursuant to Sec. 92.804 and not otherwise permanently exempted or 
excluded by the end of the period of conditional admission, or within 
such additional time as the Administrator and the U.S. Customs Service 
may allow, is deemed to be unlawfully imported into the United States in 
violation of section 213(d) and section 203 of the Act, unless the 
locomotive or locomotive engine has been delivered to the U.S. Customs 
Service for export or other disposition under applicable Customs laws 
and regulations by the end of the period of conditional admission. A 
locomotive or locomotive engine not so delivered is subject to seizure 
by the U.S. Customs Service.
    (d) An importer who violates section 213(d) and section 203 of the 
Act is subject to a civil penalty under section 205 of the Act and 
Sec. 92.1106. In addition to the penalty provided in the Act and 
Sec. 92.1106, where applicable, a person or entity who imports an engine 
under the exemption provisions of Sec. 92.804 and, who fails to deliver 
the locomotive or locomotive engine to the U.S. Customs Service by the 
end of the period of conditional admission is liable for liquidated 
damages in the amount of the bond required by applicable Customs laws 
and regulations.



              Subpart J--Exclusion and Exemption Provisions



Sec. 92.901  Purpose and applicability.

    The provisions of this subpart identify excluded locomotives (i.e., 
locomotives not covered by the Act) and allow for the exemption of 
locomotives and locomotive engines from certain provisions of this part. 
The applicability of the exclusions is described in Sec. 92.903, and the 
applicability of the exemption allowances is described in Secs. 92.904 
through 92.909.



Sec. 92.902  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 92.903  Exclusions.

    (a) Upon written request with supporting documentation, EPA will 
make written determinations as to whether certain locomotives are 
excluded from applicability of this part. Any locomotives that are 
determined to be excluded are not subject to the regulations under this 
part. Requests to determine whether certain locomotives are excluded 
should be sent to: Group Manager, Engine Compliance Programs Group, 
Engine Programs and Compliance Division U.S. Environmental Protection 
Agency, 6403-J, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
    (b) EPA will maintain a list of models of locomotives that have been 
determined to be excluded from coverage under this part. This list will 
be available to the public and may be obtained by writing to the address 
in paragraph (a) of this section.
    (c) In addition to the locomotives excluded in paragraph (a) of this 
section, certain vehicles are not subject to the requirements and 
prohibitions of this

[[Page 530]]

part because they are excluded from the definitions of ``locomotive'' 
and/or ``new locomotive'' in Sec. 92.2.



Sec. 92.904  Exemptions.

    (a) Except as specified otherwise in this subpart, the provisions of 
Secs. 92.904 through 92.911 exempt certain new locomotives and new 
locomotive engines from the standards, other requirements, and 
prohibitions of this part, except for the requirements of this subpart 
and the requirements of Sec. 92.1104.
    (b)(1) Any person may request a testing exemption subject to the 
provisions of Sec. 92.905.
    (2) Any locomotive or locomotive engine manufacturer or 
remanufacturer may request a national security exemption subject to the 
provisions of Sec. 92.908.
    (3) Locomotive or locomotive engines manufactured or remanufactured 
for export purposes are exempt without application, subject to the 
provisions of Sec. 92.909, except as otherwise specified by Sec. 92.909.
    (4) Manufacturer-owned and remanufacturer-owned locomotive or 
locomotive engines are exempt without application, subject to the 
provisions of Sec. 92.906(a).
    (5) Display locomotive or locomotive engines are exempt without 
application, subject to the provisions of Sec. 92.906(b).
    (6) Locomotive propulsion engines that are identical to engines that 
are covered by a certificate of conformity issued under 40 CFR part 89, 
and the locomotives in which they are used, are exempt, subject to the 
provisions of Sec. 92.907.



Sec. 92.905  Testing exemption.

    (a)(1) The Administrator may exempt from the standards and/or other 
requirements and prohibitions of this part new locomotives or new 
locomotive engines that are being used solely for the purpose of 
conducting a test program. Any person requesting an exemption for the 
purpose of conducting a test program must demonstrate the following:
    (i) That the test program has a purpose which constitutes an 
appropriate basis for an exemption in accordance this section;
    (ii) That the proposed test program necessitates the granting of an 
exemption;
    (iii) That the proposed test program exhibits reasonableness in 
scope; and
    (iv) That the proposed test program exhibits a degree of oversight 
and control consonant with the purpose of the test program and EPA's 
monitoring requirements.
    (2) Paragraphs (b), (c), (d), and (e) of this section describe what 
constitutes a sufficient demonstration for each of the four elements 
identified in paragraphs (a)(1)(i) through (iv) of this section.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose would be research, investigations, studies, 
demonstrations, technology development, or training, but not national 
security. A concise statement of purpose is a required item of 
information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under Sec. 92.1103. In appropriate 
circumstances, time constraints may be a sufficient basis for necessity, 
but the cost of certification alone, in the absence of extraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of engines. 
In this regard, required items of information include:
    (1) An estimate of the program's duration; and
    (2) The maximum number of locomotives or locomotive engines 
involved.
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the testing;
    (2) The location(s) of the testing;
    (3) The time, work, or mileage duration of the testing;

[[Page 531]]

    (4) The ownership arrangement with regard to the locomotives and 
engines involved in the testing;
    (5) The intended final disposition of the locomotives and engines;
    (6) The manner in which the locomotive or engine identification 
numbers will be identified, recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer or remanufacturer of new locomotives or 
locomotive engines may request a testing exemption to cover locomotives 
or locomotive engines intended for use in test programs planned or 
anticipated over the course of a subsequent two-year period. Unless 
otherwise required by the Director, Engine Programs and Compliance 
Division, a manufacturer or remanufacturer requesting such an exemption 
need only furnish the information required by paragraphs (a)(1) and 
(d)(2) of this section along with a description of the recordkeeping and 
control procedures that will be employed to assure that the locomotives 
or locomotive engines are used for purposes consistent with paragraph 
(a) of this section.
    (g) For locomotives being used for the purpose of developing a 
fundamentally new emission control technology related either to an 
alternative fuel or an aftertreatment device, the Administrator may 
exempt the locomotive from some or all of the applicable standards of 
this part for the full useful life of the locomotive, subject to the 
provisions of paragraphs (a) through (f) of this section.



Sec. 92.906  Manufacturer-owned, remanufacturer-owned exemption and display 
exemption.

    (a) Any manufacturer-owned or remanufacturer-owned locomotive or 
locomotive engine, as defined by Sec. 92.2, is exempt from Sec. 92.1103, 
without application, if the manufacturer complies with the following 
terms and conditions:
    (1) The manufacturer or remanufacturer must establish, maintain, and 
retain the following adequately organized and indexed information on 
each exempted locomotive or locomotive engine:
    (i) Locomotive or engine identification number;
    (ii) Use of the locomotive or engine on exempt status; and
    (iii) Final disposition of any locomotive or engine removed from 
exempt status.
    (2) The manufacturer or remanufacturer must provide right of entry 
and access to these records to EPA Enforcement Officers as outlined in 
Sec. 92.208.
    (3) The manufacturer or remanufacturer must permanently affix a 
label to each locomotive or locomotive engine on exempt status, unless 
the requirement is waived or an alternate procedure is approved by the 
Director, Engine Programs and Compliance Division. This label should:
    (i) Be affixed in a readily visible portion of the locomotive or 
locomotive engine;
    (ii) Be attached in such a manner that cannot be removed without 
destruction or defacement;
    (iii) State in the English language and in block letters and 
numerals of a color that contrasts with the background of the label, the 
following information:
    (A) The label heading ``Emission Control Information'';
    (B) Full corporate name and trademark of manufacturer or 
remanufacturer;
    (C) Engine displacement, engine family identification, and model 
year of engine; or person of office to be contacted for further 
information about the engine;
    (D) The statement ``This locomotive or locomotive engine is exempt 
from the prohibitions of 40 CFR 92.1103.''
    (4) No provision of paragraph (a)(3) of this section prevents a 
manufacturer or remanufacturer from including any other information it 
desires on the label.
    (5) The locomotive or locomotive engine is not used in revenue-
generating service, or sold.
    (b) Display exemption. An uncertified locomotive or locomotive 
engine that is to be used solely for display purposes, and that will 
only be operated incident and necessary to the display purpose, and will 
not be sold unless an applicable certificate of conformity has

[[Page 532]]

been obtained for the locomotive or engine, is exempt without request 
from the standards of this part.



Sec. 92.907  Non-locomotive-specific engine exemption.

    (a) For manufacturers selling non-locomotive-specific engines to be 
used as propulsion engines in remanufactured locomotives, such 
locomotives and engines are exempt, provided:
    (1) The engines are covered by a certificate of conformity issued 
under 40 CFR part 89;
    (2) More engines are reasonably projected to be sold and used under 
the certificate for non-locomotive use than for use in locomotives;
    (3) The number of such engines exempted under this paragraph (a) 
does not exceed 25 per manufacturer in any calendar year;
    (4) The Administrator has approved the exemption as specified in 
paragraph (e) of this section.
    (b) For manufacturers of freshly manufactured switch locomotives 
powered by non-locomotive-specific engines, such freshly manufactured 
switch locomotives are exempt, provided:
    (1) The engines are covered by a certificate of conformity issued 
under 40 CFR part 89;
    (2) More engines are reasonably projected to be sold and used under 
the certificate for non-locomotive use than for use in locomotives;
    (3) The number of such locomotives sold within any three-year period 
by the manufacturer, and exempted under this paragraph (b) does not 
exceed 15; and
    (4) The Administrator has approved the exemption as specified in 
paragraph (e) of this section.
    (c)(1) The remanufacture of locomotive engines that have been 
exempted under this section is exempt without request provided that the 
remanufacturer remanufactures them to a previously-certified 
configuration, or to be equivalent to engines that have been previously 
certified under this part or 40 CFR part 89.
    (2) The remanufacture of non-locomotive-specific engines that were 
used in locomotives prior to January 1, 2000 is exempt from the 
requirements of this part provided: The remanufacturer remanufactures 
them to be equivalent to engines that have been previously certified 
under this part or 40 CFR part 89, or demonstrates that the 
NOX emissions from the remanufactured locomotive engine are 
at least 40 percent less than its emissions prior to certification; and 
the Administrator has approved the exemption as specified in paragraph 
(e) of this section.
    (d) Manufacturers and remanufacturers of engines and/or locomotives 
exempted under this section shall:
    (1) Report annually to EPA the number of engines exempted under 
paragraph (a) of this section;
    (2) Report annually to EPA the number of locomotives exempted under 
paragraph (b) of this section; and
    (3) Upon the Administrator's request, provide test data showing the 
emissions of the engine or locomotive when it is operated at the actual 
in-use locomotive power points.
    (e)(1) Manufacturers and remanufacturers seeking an exemption under 
this section shall notify the Administrator of such intent at least 90 
days prior to selling or placing into service the locomotives or 
locomotive engines.
    (2) The Administrator shall deny a non-locomotive-specific exemption 
in any case where he/she has evidence that approving such an exemption 
would be inappropriate because of adverse environmental or economic 
impacts.
    (3) When denying an exemption, the Administrator shall notify the 
manufacturer or remanufacturer of EPA's decision to deny or consider 
denying the exemption within 60 days of the manufacturer's or 
remanufacturer's notification in paragraph (e)(1) of this section.
    (4) Unless the Administrator notifies the manufacturer or 
remanufacturer of EPA's decision to deny or consider denying the 
exemption within 60 days of the manufacturer's or remanufacturer's 
notification in paragraph (e)(1) of this section, the exemption shall be 
considered approved 90 days of the manufacturer's or remanufacturer's 
notification.

[[Page 533]]



Sec. 92.908  National security exemption.

    A manufacturer or remanufacturer requesting a national security 
exemption must state the purpose for which the exemption is required and 
the request must be endorsed by an agency of the federal government 
charged with responsibility for national defense.



Sec. 92.909  Export exemptions.

    (a) A new locomotive or locomotive engine intended solely for 
export, and so labeled or tagged on the outside of any container, the 
locomotive and on the engine itself, is subject to the provisions of 
Sec. 92.1103, unless the importing country has new locomotive or new 
locomotive engine emission standards which differ from EPA standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards whatsoever is deemed to be a country having emission 
standards which differ from EPA standards.
    (c) It is a condition of any exemption for the purpose of export 
under paragraph (a) of this section, that such exemption is void ab 
initio with respect to a new locomotive or locomotive engine intended 
solely for export, where such locomotive or locomotive engine is sold, 
or offered for sale, to an ultimate purchaser or otherwise distributed 
or introduced into commerce in the United States for purposes other than 
export.



Sec. 92.910  Granting of exemptions.

    (a) If upon completion of the review of an exemption request made 
pursuant to Sec. 92.905 or Sec. 92.908, EPA determines it is appropriate 
to grant such an exemption, a memorandum of exemption is to be prepared 
and submitted to the person requesting the exemption. The memorandum is 
to set forth the basis for the exemption, its scope, and such terms and 
conditions as are deemed necessary. Such terms and conditions generally 
include, but are not limited to, agreements by the applicant to conduct 
the exempt activity in the manner described to EPA, create and maintain 
adequate records accessible to EPA at reasonable times, employ labels 
for the exempt locomotives or engines setting forth the nature of the 
exemption, take appropriate measures to assure that the terms of the 
exemption are met, and advise EPA of the termination of the activity and 
the ultimate disposition of the locomotives or engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
is deemed to cover any subject locomotive or engine only to the extent 
that the specified terms and conditions are complied with. A breach of 
any term or condition causes the exemption to be void ab initio with 
respect to any locomotive or engine. Consequently, the causing or the 
performing of an act prohibited under Sec. 92.1103(a)(1) or (a)(3), 
other than in strict conformity with all terms and conditions of this 
exemption, renders the person to whom the exemption is granted, and any 
other person to whom the provisions of Sec. 92.1103(a) are applicable, 
liable to suit under sections 204 and 205 of the Act.

    Effective Date Note: At 63 FR 19077, Apr. 16, 1998, Sec. 92.910 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 92.911  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/or the exemption request review procedure should be addressed to: 
Group Manager, Engine Compliance Programs Group, Engine Programs and 
Compliance Division U.S. Environmental Protection Agency, 6403-J, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.



     Subpart K--Requirements Applicable to Owners and Operators of 
                   Locomotives and Locomotive Engines



Sec. 92.1001  Applicability.

    The requirements of this subpart are applicable to railroads and all 
other owners and operators of locomotives and locomotive engines subject 
to the provisions of subpart A of this part, except as otherwise 
specified.



Sec. 92.1002  Definitions.

    The definitions of subpart A of this part apply to this subpart.

[[Page 534]]



Sec. 92.1003  In-use testing program.

    (a) Applicability. This section applies to all Class I freight 
railroads, beginning on January 1, 2005.
    (b) Testing requirements. Each railroad subject to the provisions of 
this section shall annually test a sample of locomotives in its fleet. 
For the purpose of this section, a railroad's fleet includes both the 
locomotives that it owns and the locomotives that it is leasing.
    (1)(i) Except as specified in paragraphs (b)(1) (ii) and (iii) of 
this section, the number of locomotives to be tested shall be at least 
0.15 percent of the average number of locomotives in the railroad's 
fleet during the previous calendar year (i.e., the number tested shall 
be 0.0015 multiplied by the number of locomotives in the fleet, rounded 
up to the next whole number).
    (ii) After December 31, 2015, the number of locomotives to be tested 
by railroads with 500 or more locomotives shall be at least 0.10 percent 
of the average number of locomotives in the railroad's fleet during the 
previous calendar year (i.e., the number tested shall be 0.0010 
multiplied by the number of locomotives in the fleet, rounded up to the 
next whole number). After December 31, 2015, the number of locomotives 
to be tested by railroads with fewer than 500 locomotives shall be zero. 
The provisions of this paragraph (b)(1)(ii) apply only when:
    (A) No new locomotive emission standards have taken effect during 
the previous 5 years;
    (B) Locomotive emission controls have not changed fundamentally, 
during the previous 5 years, in any manner that could reasonably be 
expected to have the potential to significantly affect emissions 
durability; and
    (C) Testing during the previous 5 years has shown, to the 
satisfaction of the Administrator, that the degree of noncompliance for 
tested locomotives is low enough that the higher rate of testing 
specified in paragraph (b)(1)(i) of this section is not needed.
    (iii) The Administrator may allow a railroad to perform a smaller 
number of tests than specified in paragraphs (b)(1) (i) or (ii) of this 
section, where he/she determines that the number of tests specified in 
paragraphs (b)(1)(i) or (ii) of this section is not necessary.
    (2) Testing shall be performed according to the test procedures in 
subpart B of this part, unless otherwise approved by the Administrator.
    (c) Test locomotive selection. (1)(i) A representative sample of 
locomotives shall be randomly selected for testing.
    (ii) Unless otherwise specified by the Administrator, the selection 
shall be made by the railroad.
    (iii) The railroad shall select locomotives from each manufacturer 
and remanufacturer, and from each tier level (e.g., Tier 0, Tier 1 and 
Tier 2) in proportion to their numbers in the railroad's fleet, except 
where specified or allowed otherwise by the Administrator.
    (iv) Locomotives tested during the previous year shall be excluded 
from the sample.
    (v) Locomotives may not be excluded from the sample because of 
visible smoke, a history of durability problems, or other evidence of 
malmaintenance.
    (2)(i) Locomotives selected for testing according to the provisions 
of this section shall have been certified in compliance with 
requirements in subpart A of this part, and shall have been operated for 
at least 100 percent of their useful lives.
    (ii) Where the number of locomotives that have been operated for at 
least 100 percent of their useful lives is not large enough to fulfill 
the testing requirement, locomotives still within their useful lives 
shall be tested. In this case, the locomotives must have been operated 
longer than at least 80 percent of the locomotives in the railroad's 
fleet.
    (3) Where specified by the Administrator, the railroad shall test 
specified locomotives in its fleet, including locomotives that do not 
meet the criteria specified in paragraph (c)(2) of this section.
    (d) Reporting requirements. All testing done in compliance with the 
provisions of this section shall be reported to EPA within thirty 
calendar days of the end of each year. At a minimum, each report shall 
contain the following:
    (1) Full corporate name and address of the railroad providing the 
report.
    (2) For each locomotive tested, the following:

[[Page 535]]

    (i) Corporate name of the manufacturer and last remanufacturer(s) 
(including both certificate holder and installer, where different) of 
the locomotive, and the corporate name of the manufacturer or last 
remanufacturer(s) of the engine if different than that of the 
manufacturer or remanufacturer(s) of the locomotive;
    (ii) Year, and if known month of original manufacture of the 
locomotive and the engine, and the manufacturer's model designation of 
the locomotive and manufacturer's model designation of the engine, and 
the locomotive identification number;
    (iii) Year, and if known month that the engine last underwent 
remanufacture, and the engine remanufacturer's designation which either 
reflects, or most closely reflects, the engine after the last 
remanufacture, and the engine family identification;
    (iv) The number of MW-hrs and miles (where available) the locomotive 
has been operated since its last remanufacture; and
    (v) The emission test results for all measured pollutants.
    (e) Any railroad that performed no emission testing during a given 
year is exempt from the reporting requirements described in paragraph 
(d) of this section for that year.
    (f) In lieu of some or all of the test data required by this 
section, railroads may submit equivalent emission data collected for 
other purposes. The Administrator may also allow emission data collected 
using other testing or sampling procedures to be submitted in lieu of 
some or part of the data required by this section with advance approval.
    (g) All reports submitted to EPA in compliance with the provisions 
of this subpart must be addressed to: Group Manager, Engine Compliance 
Programs Group, Engine Programs and Compliance Division 6403-J, 
Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460.



Sec. 92.1004  Maintenance and repair.

    (a) Unless otherwise approved by the Administrator, all owners of 
locomotives subject to the provisions of this part shall ensure that all 
emission-related maintenance is performed on the locomotives, as 
specified in the maintenance instructions provided by the certifying 
manufacturer or remanufacturer in compliance with Sec. 92.211 (or 
maintenance that is equivalent to the maintenance specified by the 
certifying manufacturer or remanufacturer in terms of maintaining 
emissions performance).
    (b) Unless otherwise approved by the Administrator, all maintenance 
and repair of locomotives and locomotive engines subject to the 
provisions of this part performed by any owner, operator or other 
maintenance provider, including maintenance that is not covered by 
paragraph (a) of this section, shall be performed, using good 
engineering judgement, in such a manner that the locomotive or 
locomotive engine continues (after the maintenance or repair) to the 
meet the emission standards or family emission limits (as applicable) it 
was certified as meeting prior to the need for maintenance or repair.
    (c) The owner of the locomotive shall maintain records of all 
maintenance and repair that could reasonably affect the emission 
performance of any locomotive or locomotive engine subject to the 
provision of this part.



Sec. 92.1005  In-use locomotives.

    (a)(1) Any Class I railroad subject to the provisions of this 
subpart shall supply to the Administrator, upon request, in-use 
locomotives, selected by the Administrator. The number of locomotives 
which the Administrator requests under this paragraph (a)(1) shall not 
exceed five locomotives per railroad per calendar year. These 
locomotives or engines shall be supplied for testing at such reasonable 
time and place and for such reasonable periods as the Administrator may 
require. The Administrator shall make reasonable allowances to the 
railroad to schedule the supply of locomotives for testing in such a 
manner that it minimizes disruption of its operational schedule.
    (2) Any non-Class I railroad or other entity subject to the 
provisions of this subpart shall supply to the Administrator, upon 
request, in-use locomotives, selected by the Administrator. The number 
of locomotives which the Administrator requests

[[Page 536]]

under this paragraph (a)(2) shall not exceed two locomotives per 
railroad (or other entity) per calendar year. These locomotives or 
engines shall be supplied for testing at such reasonable time and place 
and for such reasonable periods as the Administrator may require. The 
Administrator shall make reasonable allowances to the railroad or other 
entity to schedule the supply of locomotives for testing in such a 
manner that it minimizes disruption of its operational schedule. The 
Administrator shall request locomotives under this paragraph (a)(2) only 
for purposes which cannot be accomplished using locomotives supplied 
under paragraph (a)(1) of this section.
    (b) Any railroad or other entity subject to the provisions of this 
subpart shall make reasonable efforts to supply manufacturers and 
remanufacturers of locomotives and locomotive engines with the test 
locomotives and locomotive engines needed to fulfill the in-use testing 
requirements contained in subpart G of this part.



Sec. 92.1006  Refueling requirements.

    (a) Refueling equipment used by a locomotive operator for 
locomotives fueled with a volatile fuel shall be designed in such a 
manner so as not to render inoperative or reduce the effectiveness of 
the controls on the locomotive that are intended to minimize the escape 
of fuel vapors.
    (b) Hoses used to refuel gaseous-fueled locomotives shall not be 
designed to be bled or vented to the atmosphere under normal operating 
conditions.



      Subpart L--General Enforcement Provisions and Prohibited Acts



Sec. 92.1101  Applicability.

    The requirements of this subpart are applicable to all 
manufacturers, remanufacturers, owners and operators of locomotives and 
locomotive engines subject to the provisions of subpart A of this part.



Sec. 92.1102  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 92.1103  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1)(i)(A) In the case of a manufacturer or remanufacturer of new 
locomotives or new locomotive engines, the sale, the offering for sale, 
the introduction into commerce, the delivery for introduction into 
commerce, or the distribution in commerce of any new locomotive or new 
locomotive engine manufactured or remanufactured after the effective 
date of applicable emission standards under this part, unless such 
locomotive or locomotive engine is covered by a certificate of 
conformity issued (and in effect) under regulations found in this part. 
(Introduction into commerce includes placement of a new locomotive or 
new locomotive engine back into service following remanufacturing.)
    (B) The manufacture or remanufacture of a locomotive or locomotive 
engine for the purpose of an act listed in paragraph (a)(1)(i)(A) of 
this section unless such locomotive or locomotive engine is covered by a 
certificate of conformity issued (and in effect) under regulations found 
in this part prior to its introduction into commerce.
    (ii) In the case of any person, except as provided in Subpart I of 
this part, the importation into the United States of any locomotive or 
locomotive engine manufactured or remanufactured after June 15, 1998, 
unless such locomotive or locomotive engine is covered by a certificate 
of conformity issued (and in effect) under regulations found in this 
part.
    (2)(i) For a person to fail or refuse to permit access to or copying 
of records or to fail to make reports or provide information required 
under this part.
    (ii) For a person to fail or refuse to permit entry, testing, or 
inspection authorized under this part.
    (iii) For a person to fail or refuse to perform tests, or to have 
tests performed as required by this part.
    (iv) For a person to fail to establish or maintain records as 
required under this part.
    (3)(i) For a person to remove or render inoperative a device or 
element of design installed on or in a locomotive or locomotive engine 
in compliance with regulations under this part,

[[Page 537]]

or to set any adjustable parameter to a setting outside of the range 
specified by the manufacturer or remanufacturer, as approved in the 
application for certification by the Administrator.
    (ii) For a person to manufacture, remanufacture, sell or offer to 
sell, or install, a part or component intended for use with, or as part 
of, a locomotive or locomotive engine, where a principal effect of the 
part or component is to bypass, defeat, or render inoperative a device 
or element of design installed on or in a locomotive or locomotive 
engine in compliance with regulations issued under this part, and where 
the person knows or should know that the part or component is being 
offered for sale or installed for this use or put to such use.
    (iii) For a locomotive owner or operator to fail to comply with the 
maintenance and repair requirements of Sec. 92.1004.
    (4) For a manufacturer or a remanufacturer of a new locomotive or 
locomotive engine subject to standards prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver for 
introduction into commerce, a new locomotive or new locomotive engine 
unless the manufacturer or remanufacturer has complied with the 
requirements of Sec. 92.1107.
    (ii) To sell, offer for sale, or introduce or deliver for 
introduction into commerce, a new locomotive or new locomotive engine 
unless all required labels and tags are affixed to the engine in 
accordance with Sec. 92.212.
    (iii) To fail or refuse to comply with the requirements of 
Sec. 92.1108.
    (iv) Except as provided in Sec. 92.211, to provide directly or 
indirectly in any communication to the ultimate purchaser or a 
subsequent purchaser that the coverage of a warranty under the Act is 
conditioned upon use of a part, component, or system manufactured by the 
manufacturer or remanufacturer or a person acting for the manufacturer 
or remanufacturer or under its control, or conditioned upon service 
performed by such persons.
    (v) To fail or refuse to comply with the terms and conditions of the 
warranty under Sec. 92.1107.
    (5) For a manufacturer or remanufacturer of locomotives to 
distribute in commerce, sell, offer for sale, or deliver for 
introduction into commerce new locomotives (including all locomotives 
which contain a new engine) not covered by a certificate of conformity.
    (b) For the purposes of enforcement of this part, the following 
apply:
    (1) Nothing in paragraph (a)(3) of this section is to be construed 
to require the use of any manufacturer's or remanufacturer's parts in 
maintaining or repairing a locomotive or locomotive engine.
    (2) Actions for the purpose of repair or replacement of a device or 
element of design or any other item are not considered prohibited acts 
under paragraph (a)(3)(i) of this section if the action is a necessary 
and temporary procedure, the device or element is replaced upon 
completion of the procedure, and the action results in the proper 
functioning of the device or element of design.
    (3) Actions for the purpose of remanufacturing a locomotive are not 
considered prohibited acts under paragraph (a)(3)(i) of this section if 
the new remanufactured locomotive is covered by a certificate of 
conformity and complies with all applicable requirements of this part.



Sec. 92.1104  General enforcement provisions.

    (a) Information collection provisions. (1)(i) Every manufacturer or 
remanufacturer of new locomotives and/or new locomotive engines and 
other persons subject to the requirements of this part must establish 
and maintain records, perform tests, make reports and provide 
information the Administrator may reasonably require to determine 
whether the manufacturer or remanufacturer or other person has acted or 
is acting in compliance with this part or to otherwise carry out the 
provisions of this part, and must, upon request of an officer or 
employee duly designated by the Administrator, permit the officer or 
employee at reasonable times to have access to and copy such records. 
The manufacturer or remanufacturer shall comply in all respects with the 
requirements of subpart E of this part.

[[Page 538]]

    (ii) Every manufacturer, remanufacturer, owner, or operator of 
locomotives or locomotive engines exempted from the standards or 
requirements of this part must establish and maintain records, perform 
tests, make reports and provide information the Administrator may 
reasonably require regarding the emissions of such locomotives or 
locomotive engines.
    (2) For purposes of enforcement of this part, an officer or employee 
duly designated by the Administrator, upon presenting appropriate 
credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of the 
manufacturer or remanufacturer, or of any person whom the manufacturer 
or remanufacturer engaged to perform any activity required under 
paragraph (a)(1) of this section, for the purposes of inspecting or 
observing any activity conducted pursuant to paragraph (a)(1) of this 
section; and
    (ii) To inspect records, files, papers, processes, controls, and 
facilities used in performing an activity required by paragraph (a)(1) 
of this section, by the manufacturer or remanufacturer or by a person 
whom the manufacturer or remanufacturer engaged to perform the activity.
    (b) Exemption provision. The Administrator may exempt a new 
locomotive or new locomotive engine from Sec. 92.1103 upon such terms 
and conditions as the Administrator may find necessary for the purpose 
of export, research, investigations, studies, demonstrations, or 
training, or for reasons of national security, or for other purposes 
allowed by subpart J of this part.
    (c) Importation provision. (1) A new locomotive or locomotive 
engine, offered for importation or imported by a person in violation of 
Sec. 92.1103 is to be refused admission into the United States, but the 
Secretary of the Treasury and the Administrator may, by joint 
regulation, provide for deferring a final determination as to admission 
and authorizing the delivery of such a locomotive or locomotive engine 
offered for import to the owner or consignee thereof upon such terms and 
conditions (including the furnishing of a bond) as may appear to them 
appropriate to insure that the locomotive or locomotive engine will be 
brought into conformity with the standards, requirements, and 
limitations applicable to it under this part.
    (2) If a locomotive or locomotive engine is finally refused 
admission under this paragraph (c), the Secretary of the Treasury shall 
cause disposition thereof in accordance with the customs laws unless it 
is exported, under regulations prescribed by the Secretary, within 90 
days of the date of notice of the refusal or additional time as may be 
permitted pursuant to the regulations.
    (3) Disposition in accordance with the customs laws may not be made 
in such manner as may result, directly or indirectly, in the sale, to 
the ultimate consumer, of a new locomotive or locomotive engine that 
fails to comply with applicable standards of the Administrator under 
this part.
    (d) Export provision. A new locomotive or locomotive engine intended 
solely for export, and so labeled or tagged on the outside of the 
container if used and on the engine, shall be subject to the provisions 
of Sec. 92.1103, except that if the country that is to receive the 
locomotive or locomotive engine has emission standards that differ from 
the standards prescribed under subpart A of this part, then the 
locomotive or locomotive engine must comply with the standards of the 
country that is to receive the locomotive or locomotive engine.
    (e) Recordkeeping. Except where specified otherwise, records 
required by this part must be kept for eight (8) years.



Sec. 92.1105  Injunction proceedings for prohibited acts.

    (a) The district courts of the United States have jurisdiction to 
restrain violations of Sec. 92.1103(a).
    (b) Actions to restrain violations of Sec. 92.1103(a) must be 
brought by and in the name of the United States. In an action, subpoenas 
for witnesses who are required to attend a district court in any 
district may run into any other district.



Sec. 92.1106  Penalties.

    (a) Violations. A violation of the requirements of this subpart is a 
violation of the applicable provisions of the Act, including sections 
213(d) and 203,

[[Page 539]]

and is subject to the penalty provisions thereunder.
    (1) A person who violates Sec. 92.1103 (a)(1), (a)(4), or (a)(5), or 
a manufacturer, remanufacturer, dealer or railroad who violates 
Sec. 92.1103(a)(3)(i) or (iii) is subject to a civil penalty of not more 
than $25,000 for each violation unless modified by the Debt Collection 
Improvement Act (31 U.S.C. 3701 et seq.) and/or regulations issued 
thereunder.
    (2) A person other than a manufacturer, remanufacturer, dealer, or 
railroad who violates Sec. 92.1103(a)(3)(i) or any person who violates 
Sec. 92.1103(a)(3)(ii) is subject to a civil penalty of not more than 
$2,500 for each violation unless modified by the Debt Collection 
Improvement Act and/or regulations issued thereunder.
    (3) A violation with respect to Sec. 92.1103(a)(1), (a)(3)(i), 
(a)(3)(iii), (a)(4), or (a)(5) constitutes a separate offense with 
respect to each locomotive or locomotive engine.
    (4) A violation with respect to Sec. 92.1103(a)(3)(ii) constitutes a 
separate offense with respect to each part or component. Each day of a 
violation with respect to Sec. 92.1103(a)(5) constitutes a separate 
offense.
    (5) A person who violates Sec. 92.1103(a)(2) or (a)(5) is subject to 
a civil penalty of not more than $25,000 per day of violation unless 
modified by the Debt Collection Improvement Act and/or regulations 
issued thereunder.
    (b) Civil actions. The Administrator may commence a civil action to 
assess and recover any civil penalty under paragraph (a) of this 
section.
    (1) An action under this paragraph (b) may be brought in the 
district court of the United States for the district in which the 
defendant resides or has the Administrator's principal place of 
business, and the court has jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessed 
under this paragraph (b), the court is to take into account the gravity 
of the violation, the economic benefit or savings (if any) resulting 
from the violation, the size of the violator's business, the violator's 
history of compliance with Title II of the Act, action taken to remedy 
the violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are required to 
attend a district court in any district may run into any other district.
    (c) Administrative assessment of certain penalties. (1) 
Administrative penalty authority. In lieu of commencing a civil action 
under paragraph (b) of this section, the Administrator may assess any 
civil penalty prescribed in paragraph (a) of this section, except that 
the maximum amount of penalty sought against each violator in a penalty 
assessment proceeding shall not exceed $200,000, unless the 
Administrator and the Attorney General jointly determine that a matter 
involving a larger penalty amount is appropriate for administrative 
penalty assessment. Any such determination by the Administrator and the 
Attorney General is not subject to judicial review. Assessment of a 
civil penalty shall be by an order made on the record after opportunity 
for a hearing held in accordance with the procedures found at part 22 of 
this chapter. The Administrator may compromise, or remit, with or 
without conditions, any administrative penalty which may be imposed 
under this section.
    (2) Determining amount. In determining the amount of any civil 
penalty assessed under this paragraph (c), the Administrator shall take 
into account the gravity of the violation, the economic benefit or 
savings (if any) resulting from the violation, the size of the 
violator's business, the violator's history of compliance with Title II 
of the Act, action taken to remedy the violation, the effect of the 
penalty on the violator's ability to continue in business, and such 
other matters as justice may require.
    (3) Effect of administrator's action. (i) Action by the 
Administrator under this paragraph (c) does not affect or limit the 
Administrator's authority to enforce any provisions of the Act; except 
that any violation with respect to which the Administrator has commenced 
and is diligently prosecuting an action under this paragraph (c), or for 
which the Administrator has issued a final order not subject to further 
judicial review and for which the violator

[[Page 540]]

has paid a penalty assessment under this paragraph shall not be the 
subject of a civil penalty action under paragraph (b) of this section.
    (ii) No action by the Administrator under this paragraph (c) shall 
affect a person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this paragraph (c) is 
to become final 30 days after its issuance unless a petition for 
judicial review is filed under paragraph (c)(5) of this section.
    (5) Judicial review. A person against whom a civil penalty is 
assessed in accordance with this paragraph (c) may seek review of the 
assessment in the United States District Court for the District of 
Columbia or for the district in which the violation is alleged to have 
occurred, in which such person resides, or where the person's principal 
place of business is located, within the 30-day period beginning on the 
date a civil penalty order is issued. The person shall simultaneously 
send a copy of the filing by certified mail to the Administrator and the 
Attorney General. The Administrator shall file in the court within 30 
days a certified copy, or certified index, as appropriate, of the record 
on which the order was issued. The court is not to set aside or remand 
any order issued in accordance with the requirements of this paragraph 
(c) unless substantial evidence does not exist in the record, taken as a 
whole, to support the finding of a violation or unless the 
Administrator's assessment of the penalty constitutes an abuse of 
discretion, and the court is not to impose additional civil penalties 
unless the Administrator's assessment of the penalty constitutes an 
abuse of discretion. In any proceedings, the United States may seek to 
recover civil penalties assessed under this section.
    (6) Collection. (i) If any person fails to pay an assessment of a 
civil penalty imposed by the Administrator as provided in this part 
after the order making the assessment has become final or after a court 
in an action brought under paragraph (c)(5) of this section has entered 
a final judgment in favor of the Administrator, the Administrator shall 
request that the Attorney General bring a civil action in an appropriate 
district court to recover the amount assessed (plus interest at rates 
established pursuant to section 6621(a)(2) of the Internal Revenue Code 
of 1986 (26 U.S.C. 6621(a)(2)) from the date of the final order or the 
date of final judgment, as the case may be). In such an action, the 
validity, amount, and appropriateness of the penalty is not subject to 
review.
    (ii) A person who fails to pay on a timely basis the amount of an 
assessment of a civil penalty as described in paragraph (c)(6)(i) of 
this section shall be required to pay, in addition to that amount and 
interest, the United States' enforcement expenses, including attorney's 
fees and costs for collection proceedings, and a quarterly nonpayment 
penalty for each quarter during which the failure to pay persists. The 
nonpayment penalty is an amount equal to ten percent of the aggregate 
amount of that person's penalties and nonpayment penalties which are 
unpaid as of the beginning of such quarter.



Sec. 92.1107  Warranty provisions.

    (a) The manufacturer or remanufacturer of each locomotive or 
locomotive engine must warrant to the ultimate purchaser and each 
subsequent purchaser or owner that the locomotive or locomotive engine 
is designed, built, and equipped so as to conform at the time of sale or 
time of return to service following remanufacture with applicable 
regulations under section 213 of the Act, and is free from defects in 
materials and workmanship which cause such locomotive or locomotive 
engine to fail to conform with applicable regulations for its warranty 
period (as determined under Sec. 92.10).
    (b) For the purposes of this section, the owner of any locomotive or 
locomotive engine warranted under this part is responsible for the 
proper maintenance of the locomotive and the locomotive engine. Proper 
maintenance includes replacement and/or service, as needed, at the 
owner's expense at a service establishment or facility of the owner's 
choosing, of all parts, items, or devices which were in general use with 
locomotives or locomotive engines prior to 1999. For diesel engines, 
this would generally include replacement or

[[Page 541]]

cleaning of the fuel delivery and injection system.



Sec. 92.1108  In-use compliance provisions.

    (a) Effective with respect to locomotives and locomotive engines 
subject to the requirements of this part:
    (1) If the Administrator determines that a substantial number of any 
class or category of locomotives or locomotive engines, although 
properly maintained and used, do not conform to the regulations 
prescribed under section 213 of the Act when in actual use throughout 
their useful life period (as defined under Sec. 92.2), the Administrator 
shall immediately notify the manufacturer or remanufacturer of such 
nonconformity and require the manufacturer or remanufacturer to submit a 
plan for remedying the nonconformity of the locomotives or locomotive 
engines with respect to which such notification is given.
    (i) The manufacturer's or remanufacturer's plan shall provide that 
the nonconformity of any such locomotives or locomotive engines which 
are properly used and maintained will be remedied at the expense of the 
manufacturer or remanufacturer.
    (ii) If the manufacturer or remanufacturer disagrees with such 
determination of nonconformity and so advises the Administrator, the 
Administrator shall afford the manufacturer or remanufacturer and other 
interested persons an opportunity to present their views and evidence in 
support thereof at a public hearing. Unless, as a result of such 
hearing, the Administrator withdraws such determination of 
nonconformity, the Administrator shall, within 60 days after the 
completion of such hearing, order the manufacturer or remanufacturer to 
provide prompt notification of such nonconformity in accordance with 
paragraph (a)(2) of this section. The manufacturer or remanufacturer 
shall comply in all respects with the requirements of subpart G of this 
part.
    (2) Any notification required to be given by the manufacturer or 
remanufacturer under paragraph (a)(1) of this section with respect to 
any class or category of locomotives or locomotive engines shall be 
given to ultimate purchasers, subsequent purchasers (if known), and 
dealers (as applicable) in such manner and containing such information 
as required in Subparts E and H of this part.
    (3)(i) The certifying manufacturer or remanufacturer shall furnish 
with each new locomotive or locomotive engine written instructions for 
the proper maintenance and use of the engine by the ultimate purchaser 
as required under Sec. 92.211.
    (ii) The instruction under paragraph (a)(3)(i) of this section must 
not include any condition on the ultimate purchaser's using, in 
connection with such locomotive or locomotive engine, any component or 
service (other than a component or service provided without charge under 
the terms of the purchase agreement) which is identified by brand, 
trade, or corporate name. Such instructions also must not directly or 
indirectly distinguish between service performed by the franchised 
dealers of such manufacturer or remanufacturer, or any other service 
establishments with which such manufacturer or remanufacturer has a 
commercial relationship, and service performed by independent locomotive 
or locomotive engine repair facilities with which such manufacturer or 
remanufacturer has no commercial relationship.
    (iii) The prohibition of paragraph (a)(3)(ii) of this section may be 
waived by the Administrator if:
    (A) The manufacturer or remanufacturer satisfies the Administrator 
that the locomotive or locomotive engine will function properly only if 
the component or service so identified is used in connection with such 
engine; and
    (B) The Administrator finds that such a waiver is in the public 
interest.
    (iv) In addition, the manufacturer or remanufacturer shall indicate 
by means of a label or tag permanently affixed to the locomotive and to 
the engine that the locomotive and/or the locomotive engine is covered 
by a certificate of conformity issued for the purpose of assuring 
achievement of emission standards prescribed under section 213 of the 
Act. This label or tag shall also contain information relating to 
control of emissions as prescribed under Sec. 92.212.
    (b) The manufacturer or remanufacturer bears all cost obligation any

[[Page 542]]

dealer incurs as a result of a requirement imposed by paragraph (a) of 
this section. The transfer of any such cost obligation from a 
manufacturer or remanufacturer to a dealer through franchise or other 
agreement is prohibited.
    (c) If a manufacturer or remanufacturer includes in an advertisement 
a statement respecting the cost or value of emission control devices or 
systems, the manufacturer or remanufacturer shall set forth in the 
statement the cost or value attributed to these devices or systems by 
the Secretary of Labor (through the Bureau of Labor Statistics). The 
Secretary of Labor, and his or her representatives, has the same access 
for this purpose to the books, documents, papers, and records of a 
manufacturer or remanufacturer as the Comptroller General has to those 
of a recipient of assistance for purposes of section 311 of the Act.

Appendix I to Part 92--Emission Related Locomotive and Engine Parameters 
                           and Specifications

I. Basic Engine Parameters--Reciprocating Engines.
    1. Compression ratio.
    2. Type of air aspiration (natural, Roots blown, supercharged, 
turbocharged).
    3. Valves (intake and exhaust).
a. Head diameter dimension.
b. Valve lifter or actuator type and valve lash dimension.
    4. Camshaft timing.
a. Valve opening--intake exhaust (degrees from TDC or BDC).
b. Valve closing--intake exhaust (degrees from TDC or BDC).
c. Valve overlap (degrees).
    5. Ports--two stroke engines (intake and/or exhaust).
a. Flow area.
b. Opening timing (degrees from TDC or BDC).
c. Closing timing (degrees from TDC or BDC).
II. Intake Air System.
    1. Roots blower/supercharger/turbocharger calibration.
    2. Charge air cooling.
a. Type (air-to-air; air-to-liquid).
b. Type of liquid cooling (engine coolant, dedicated cooling system).
c. Performance (charge air delivery temperature (  deg.F) at rated power 
and one other power level under ambient conditions of 80  deg.F and 110 
deg.F, and 3 minutes and 15 minutes after selecting rated power, and 3 
minutes and 5 minutes after selecting other power level).
    3. Temperature control system calibration.
    4. Maximum allowable inlet air restriction.
III. Fuel System.
    1. General.
a. Engine idle speed.
    2. Carburetion.
a. Air-fuel flow calibration.
b. Idle mixture.
c. Transient enrichment system calibration.
d. Starting enrichment system calibration.
e. Altitude compensation system calibration.
f. Hot idle compensation system calibration.
    3. Fuel injection--non-compression ignition engines.
a. Control parameters and calibrations.
b. Idle mixture.
c. Fuel shutoff system calibration.
d. Starting enrichment system calibration.
e. Transient enrichment system calibration.
f. Air-fuel flow calibration.
g. Altitude compensation system calibration.
h. Operating pressure(s).
i. Injector timing calibration.
    4. Fuel injection--compression ignition engines.
a. Control parameters and calibrations.
b. Transient enrichment system calibration.
c. Air-fuel flow calibration.
d. Altitude compensation system calibration.
e. Operating pressure(s).
f. Injector timing calibration.
IV. Ignition System--non-compression ignition engines.
    1. Control parameters and calibration.
    2. Initial timing setting.
    3. Dwell setting.
    4. Altitude compensation system calibration.
    5. Spark plug voltage.
V. Engine Cooling System.
    1. Thermostat calibration.
VI. Exhaust System.
    1. Maximum allowable back pressure.
VII. Exhaust Emission Control System.
    1. Air injection system.
a. Control parameters and calibrations.
b. Pump flow rate.
    2. EGR system.
a. Control parameters and calibrations.
b. EGR valve flow calibration.
    3. Catalytic converter system.
a. Active surface area.
b. Volume of catalyst.
c. Conversion efficiency.
    4. Backpressure.
VIII. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibrations.

[[Page 543]]

IX. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).
X. Evaporative Emission Control System.
    1. Control parameters and calibrations.
    2. Fuel tank.
a. Volume.
b. Pressure and vacuum relief settings.

 Appendix II to Part 92--Interpretive Ruling for Sec. 92.705--Remedial 
                                  Plans

    The following is an interpretive ruling set forth previously by EPA 
for on-highway vehicles. EPA expects to apply the same principles to 
locomotives.
    (1) The purpose of this ruling is to set forth EPA's interpretation 
regarding one aspect of a motor vehicle or motor vehicle engine 
manufacturer's recall liability under section 207(c)(1) of the Clean Air 
Act, 42 U.S.C. 7641(c)(1). This ruling will provide guidance to vehicle 
and engine manufacturers to better enable them to submit acceptable 
remedial plans.
    (2) Section 207(c)(1) requires the Administrator to base a recall 
order on a determination that a substantial number of in-use vehicles or 
engines within a given class or category of vehicles or engines, 
although properly maintained and used, fail to conform to the 
regulations prescribed under section 202 when in actual use throughout 
their useful lives. After making such a determination, he shall require 
the manufacturer to submit a plan to remedy the nonconformity of any 
such vehicles or engines. The plan shall provide that the manufacturer 
will remedy, at the manufacturer's expense, all properly maintained and 
used vehicles which experienced the nonconformity during their useful 
lives regardless of their age or mileage at the time of repair.

Appendix III to Part 92--Smoke Standards for Non-Normalized Measurements

                     Table III-1--Equivalent Smoke Standards for Non-Normalized Measurements
----------------------------------------------------------------------------------------------------------------
                  Path length                                               Standards
----------------------------------------------------------------------------------------------------------------
             If the path length is:                              Then the opacity may not exceed:
----------------------------------------------------------------------------------------------------------------
                                                           Peak                         Steady-State
              cm                    inches      ----------------------------------------------------------------
                                                    3-sec        30-sec       Tier 0       Tier 1       Tier 2
----------------------------------------------------------------------------------------------------------------
10.0-19.9....................  3.94-7.86.......            7            5            4            3            2
20.0-29.9....................  7.87-11.80......           13           10            7            6            4
30.0-39.9....................  11.81-15.74.....           19           14           10            8            6
40.0-49.9....................  15.75-19.68.....           24           18           13           11            9
50.0-59.9....................  19.69-23.61.....           29           23           16           13           11
60.0-69.9....................  23.62-27.55.....           34           26           19           16           13
70.0-79.9....................  27.56-31.49.....           38           30           22           18           14
80.0-89.9....................  31.50-35.42.....           43           34           25           21           16
90.0-99.9....................  35.43-39.36.....           46           37           27           23           18
100.0-109.9..................  39.37-43.30.....           50           40           30           25           20
110.0-119.9..................  43.31-47.23.....           53           43           32           27           22
120.0-129.9..................  47.24-51.17.....           56           46           35           29           23
130.0-139.9..................  51.18-55.11.....           59           49           37           31           25
140.0-149.9..................  55.12-59.05.....           62           51           39           33           27
150.0-159.9..................  59.06-62.98.....           65           54           41           35           28
160.0-169.9..................  62.99-66.92.....           67           56           43           37           30
170.0-179.9..................  66.93-70.86.....           69           58           45           39           32
180.0-189.9..................  70.87-74.79.....           71           60           47           40           33
190.0-199.9..................  74.80-78.73.....           73           62           49           42           35
[ge]200......................  [ge]78.74.......           75           64           51           44           36
----------------------------------------------------------------------------------------------------------------

 Appendix IV to Part 92--Guidelines for Determining Equivalency Between 
                      Emission Measurement Systems

    This appendix describes a series of correlation criteria that EPA 
considers to be reasonable for the purpose of demonstrating equivalency 
between two test systems designed to measure the same emissions during 
FTP locomotive testing. These criteria are presented here only as 
guidelines. When requested to make a finding of equivalency, EPA could 
base its decision on criteria other than those listed here, where EPA 
has reason to believe that these criteria are not appropriate.
    (a) General approach. (1) Multiple tests should be conducted in 
pairs on the same locomotive or engine using each of the measurement 
systems.

[[Page 544]]

    (2) Variations for other parameters, such as test fuel, should be 
minimized to the maximum extent possible.
    (3) Locomotive and/or locomotive engine tests conducted in 
accordance with the provisions of Subpart B of this part are preferred. 
Where appropriate, engine tests conducted in accordance with 40 CFR part 
89 may also be used.
    (4) Equivalency of the systems should be determined by comparing 
individual modal data, individual cycle-weighted data, and the average 
cycle-weighted results from each system.
    (b) Correlation criteria for particulate measurements. (1) The 
correlation coefficient (R2) for individual modal data should 
be 0.90, or higher.
    (2) The maximum deviation between any pair of cycle-weighted data 
should be 15 percent, or less.
    (3) The ratio of average cycle-weighted results using the alternate 
system to the average cycle-weighted results using the specified Part 92 
system (i.e., avgalt/avgspc) should be between 
0.97 and 1.05.
    (c) Correlation criteria for other measurements. Correlation 
parameters for gaseous pollutants should be better than those specified 
in paragraph (b) of this appendix for particulate measurements.
    (d) Minimum number of tests. The recommended minimum number of tests 
with each system necessary to determine equivalency is:
    (1) Four 13-mode locomotive or locomotive engine tests, conducted in 
accordance with the provisions of subpart B of this part; or
    (2) Seven 8-mode nonroad engine tests, conducted in accordance with 
the provisions of 40 CFR part 89.
    (e) Statistical outliers. Statistical outliers may be excluded 
consistent with good engineering judgement. Outliers should be replaced 
by rerunning each excluded test point. Where more than one outlier is 
excluded, is recommended to perform one additional pair of tests (in 
addition to the minimum number specified in paragraph (d) of this 
appendix) for each two outliers excluded.



PART 93--DETERMINING CONFORMITY OF FEDERAL ACTIONS TO STATE OR FEDERAL 
IMPLEMENTATION PLANS--Table of Contents




   Subpart A--Conformity to State or Federal Implementation Plans of 
   Transportation Plans, Programs, and Projects Developed, Funded or 
       Approved Under Title 23 U.S.C. or the Federal Transit Laws

Sec.
93.100  Purpose.
93.101  Definitions.
93.102  Applicability.
93.103  Priority.
93.104  Frequency of conformity determinations.
93.105  Consultation.
93.106  Content of transportation plans.
93.107  Relationship of transportation plan and TIP conformity with the 
          NEPA process.
93.108  Fiscal constraints for transportation plans and TIPs.
93.109  Criteria and procedures for determining conformity of 
          transportation plans, programs, and projects: General.
93.110  Criteria and procedures: Latest planning assumptions.
93.111  Criteria and procedures: Latest emissions model.
93.112  Criteria and procedures: Consultation.
93.113  Criteria and procedures: Timely implementation of TCMs.
93.114  Criteria and procedures: Currently conforming transportation 
          plan and TIP.
93.115  Criteria and procedures: Projects from a plan and TIP.
93.116  Criteria and procedures: Localized CO and PM10 
          violations (hot spots).
93.117  Criteria and procedures: Compliance with PM10 control 
          measures.
93.118  Criteria and procedures: Motor vehicle emissions budget.
93.119  Criteria and procedures: Emission reductions in areas without 
          motor vehicle emissions budgets.
93.120   Consequences of control strategy implementation plan failures.
93.121  Requirements for adoption or approval of projects by other 
          recipients of funds designated under title 23 U.S.C. or the 
          Federal Transit Laws.
93.122  Procedures for determining regional transportation-related 
          emissions.
93.123  Procedures for determining localized CO and PM10 
          concentrations (hot-spot analysis).
93.124  Using the motor vehicle emissions budget in the applicable 
          implementation plan (or implementation plan submission).
93.125  Enforceability of design concept and scope and project-level 
          mitigation and control measures.
93.126  Exempt projects.
93.127  Projects exempt from regional emissions analyses.
93.128  Traffic signal synchronization projects.
93.129  Special exemptions from conformity requirements for pilot 
          program areas.

Subpart B--Determining Conformity of General Federal Actions to State or 
                      Federal Implementation Plans

93.150  Prohibition.

[[Page 545]]

93.151  State implementation plan (SIP) revision.
93.152  Definitions.
93.153  Applicability.
93.154  Conformity analysis.
93.155  Reporting requirements.
93.156  Public participation.
93.157  Frequency of conformity determinations.
93.158  Criteria for determining conformity of general Federal actions.
93.159  Procedures for conformity determinations of general Federal 
          actions.
93.160  Mitigation of air quality impacts.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 58 FR 62235, Nov. 24, 1993, unless otherwise noted.



   Subpart A--Conformity to State or Federal Implementation Plans of 
   Transportation Plans, Programs, and Projects Developed, Funded or 
       Approved Under Title 23 U.S.C. or the Federal Transit Laws

    Source: 62 FR 43801, Aug. 15, 1997, unless otherwise noted.



Sec. 93.100  Purpose.

    The purpose of this subpart is to implement section 176(c) of the 
Clean Air Act (CAA), as amended (42 U.S.C. 7401 et seq.), and the 
related requirements of 23 U.S.C. 109(j), with respect to the conformity 
of transportation plans, programs, and projects which are developed, 
funded, or approved by the United States Department of Transportation 
(DOT), and by metropolitan planning organizations (MPOs) or other 
recipients of funds under title 23 U.S.C. or the Federal Transit Laws 
(49 U.S.C. Chapter 53). This subpart sets forth policy, criteria, and 
procedures for demonstrating and assuring conformity of such activities 
to an applicable implementation plan developed pursuant to section 110 
and Part D of the CAA.



Sec. 93.101  Definitions.

    Terms used but not defined in this subpart shall have the meaning 
given them by the CAA, titles 23 and 49 U.S.C., other Environmental 
Protection Agency (EPA) regulations, or other DOT regulations, in that 
order of priority.
    Applicable implementation plan is defined in section 302(q) of the 
CAA and means the portion (or portions) of the implementation plan, or 
most recent revision thereof, which has been approved under section 110, 
or promulgated under section 110(c), or promulgated or approved pursuant 
to regulations promulgated under section 301(d) and which implements the 
relevant requirements of the CAA.
    CAA means the Clean Air Act, as amended (42 U.S.C. 7401 et seq.).
    Cause or contribute to a new violation for a project means:
    (1) To cause or contribute to a new violation of a standard in the 
area substantially affected by the project or over a region which would 
otherwise not be in violation of the standard during the future period 
in question, if the project were not implemented; or
    (2) To contribute to a new violation in a manner that would increase 
the frequency or severity of a new violation of a standard in such area.
    Clean data means air quality monitoring data determined by EPA to 
meet the requirements of 40 CFR part 58 that indicate attainment of the 
national ambient air quality standard.
    Control strategy implementation plan revision is the implementation 
plan which contains specific strategies for controlling the emissions of 
and reducing ambient levels of pollutants in order to satisfy CAA 
requirements for demonstrations of reasonable further progress and 
attainment (CAA sections 182(b)(1), 182(c)(2)(A), 182(c)(2)(B), 
187(a)(7), 189(a)(1)(B), and 189(b)(1)(A); and sections 192(a) and 
192(b), for nitrogen dioxide).
    Design concept means the type of facility identified by the project, 
e.g., freeway, expressway, arterial highway, grade-separated highway, 
reserved right-of-way rail transit, mixed-traffic rail transit, 
exclusive busway, etc.
    Design scope means the design aspects which will affect the proposed 
facility's impact on regional emissions, usually as they relate to 
vehicle or person carrying capacity and control, e.g., number of lanes 
or tracks to be constructed

[[Page 546]]

or added, length of project, signalization, access control including 
approximate number and location of interchanges, preferential treatment 
for high-occupancy vehicles, etc.
    DOT means the United States Department of Transportation.
    EPA means the Environmental Protection Agency.
    FHWA means the Federal Highway Administration of DOT.
    FHWA/FTA project, for the purpose of this subpart, is any highway or 
transit project which is proposed to receive funding assistance and 
approval through the Federal-Aid Highway program or the Federal mass 
transit program, or requires Federal Highway Administration (FHWA) or 
Federal Transit Administration (FTA) approval for some aspect of the 
project, such as connection to an interstate highway or deviation from 
applicable design standards on the interstate system.
    Forecast period with respect to a transportation plan is the period 
covered by the transportation plan pursuant to 23 CFR part 450.
    FTA means the Federal Transit Administration of DOT.
    Highway project is an undertaking to implement or modify a highway 
facility or highway-related program. Such an undertaking consists of all 
required phases necessary for implementation. For analytical purposes, 
it must be defined sufficiently to:
    (1) Connect logical termini and be of sufficient length to address 
environmental matters on a broad scope;
    (2) Have independent utility or significance, i.e., be usable and be 
a reasonable expenditure even if no additional transportation 
improvements in the area are made; and
    (3) Not restrict consideration of alternatives for other reasonably 
foreseeable transportation improvements.
    Horizon year is a year for which the transportation plan describes 
the envisioned transportation system according to Sec. 93.106.
    Hot-spot analysis is an estimation of likely future localized CO and 
PM10 pollutant concentrations and a comparison of those 
concentrations to the national ambient air quality standards. Hot-spot 
analysis assesses impacts on a scale smaller than the entire 
nonattainment or maintenance area, including, for example, congested 
roadway intersections and highways or transit terminals, and uses an air 
quality dispersion model to determine the effects of emissions on air 
quality.
    Increase the frequency or severity means to cause a location or 
region to exceed a standard more often or to cause a violation at a 
greater concentration than previously existed and/or would otherwise 
exist during the future period in question, if the project were not 
implemented.
    Lapse means that the conformity determination for a transportation 
plan or TIP has expired, and thus there is no currently conforming 
transportation plan and TIP.
    Maintenance area means any geographic region of the United States 
previously designated nonattainment pursuant to the CAA Amendments of 
1990 and subsequently redesignated to attainment subject to the 
requirement to develop a maintenance plan under section 175A of the CAA, 
as amended.
    Maintenance plan means an implementation plan under section 175A of 
the CAA, as amended.
    Metropolitan planning organization (MPO) is that organization 
designated as being responsible, together with the State, for conducting 
the continuing, cooperative, and comprehensive planning process under 23 
U.S.C. 134 and 49 U.S.C. 5303. It is the forum for cooperative 
transportation decision-making.
    Milestone has the meaning given in sections 182(g)(1) and 189(c) of 
the CAA. A milestone consists of an emissions level and the date on 
which it is required to be achieved.
    Motor vehicle emissions budget is that portion of the total 
allowable emissions defined in the submitted or approved control 
strategy implementation plan revision or maintenance plan for a certain 
date for the purpose of meeting reasonable further progress milestones 
or demonstrating attainment or maintenance of the NAAQS, for any 
criteria pollutant or its precursors, allocated to highway and transit 
vehicle use and emissions.
    National ambient air quality standards (NAAQS) are those standards 
established pursuant to section 109 of the CAA.

[[Page 547]]

    NEPA means the National Environmental Policy Act of 1969, as amended 
(42 U.S.C. 4321 et seq.).
    NEPA process completion, for the purposes of this subpart, with 
respect to FHWA or FTA, means the point at which there is a specific 
action to make a determination that a project is categorically excluded, 
to make a Finding of No Significant Impact, or to issue a record of 
decision on a Final Environmental Impact Statement under NEPA.
    Nonattainment area means any geographic region of the United States 
which has been designated as nonattainment under section 107 of the CAA 
for any pollutant for which a national ambient air quality standard 
exists.
    Project means a highway project or transit project.
    Protective finding means a determination by EPA that a submitted 
control strategy implementation plan revision contains adopted control 
measures or written commitments to adopt enforceable control measures 
that fully satisfy the emissions reductions requirements relevant to the 
statutory provision for which the implementation plan revision was 
submitted, such as reasonable further progress or attainment.
    Recipient of funds designated under title 23 U.S.C. or the Federal 
Transit Laws means any agency at any level of State, county, city, or 
regional government that routinely receives title 23 U.S.C. or Federal 
Transit Laws funds to construct FHWA/FTA projects, operate FHWA/FTA 
projects or equipment, purchase equipment, or undertake other services 
or operations via contracts or agreements. This definition does not 
include private landowners or developers, or contractors or entities 
that are only paid for services or products created by their own 
employees.
    Regionally significant project means a transportation project (other 
than an exempt project) that is on a facility which serves regional 
transportation needs (such as access to and from the area outside of the 
region, major activity centers in the region, major planned developments 
such as new retail malls, sports complexes, etc., or transportation 
terminals as well as most terminals themselves) and would normally be 
included in the modeling of a metropolitan area's transportation 
network, including at a minimum all principal arterial highways and all 
fixed guideway transit facilities that offer an alternative to regional 
highway travel.
    Safety margin means the amount by which the total projected 
emissions from all sources of a given pollutant are less than the total 
emissions that would satisfy the applicable requirement for reasonable 
further progress, attainment, or maintenance.
    Standard means a national ambient air quality standard.
    Transit is mass transportation by bus, rail, or other conveyance 
which provides general or special service to the public on a regular and 
continuing basis. It does not include school buses or charter or 
sightseeing services.
    Transit project is an undertaking to implement or modify a transit 
facility or transit-related program; purchase transit vehicles or 
equipment; or provide financial assistance for transit operations. It 
does not include actions that are solely within the jurisdiction of 
local transit agencies, such as changes in routes, schedules, or fares. 
It may consist of several phases. For analytical purposes, it must be 
defined inclusively enough to:
    (1) Connect logical termini and be of sufficient length to address 
environmental matters on a broad scope;
    (2) Have independent utility or independent significance, i.e., be a 
reasonable expenditure even if no additional transportation improvements 
in the area are made; and
    (3) Not restrict consideration of alternatives for other reasonably 
foreseeable transportation improvements.
    Transportation control measure (TCM) is any measure that is 
specifically identified and committed to in the applicable 
implementation plan that is either one of the types listed in section 
108 of the CAA, or any other measure for the purpose of reducing 
emissions or concentrations of air pollutants from transportation 
sources by reducing vehicle use or changing traffic flow or congestion 
conditions. Notwithstanding the first sentence of this definition, 
vehicle technology-based, fuel-

[[Page 548]]

based, and maintenance-based measures which control the emissions from 
vehicles under fixed traffic conditions are not TCMs for the purposes of 
this subpart.
    Transportation improvement program (TIP) means a staged, multiyear, 
intermodal program of transportation projects covering a metropolitan 
planning area which is consistent with the metropolitan transportation 
plan, and developed pursuant to 23 CFR part 450.
    Transportation plan means the official intermodal metropolitan 
transportation plan that is developed through the metropolitan planning 
process for the metropolitan planning area, developed pursuant to 23 CFR 
part 450.
    Transportation project is a highway project or a transit project.
    Written commitment for the purposes of this subpart means a written 
commitment that includes a description of the action to be taken; a 
schedule for the completion of the action; a demonstration that funding 
necessary to implement the action has been authorized by the 
appropriating or authorizing body; and an acknowledgment that the 
commitment is an enforceable obligation under the applicable 
implementation plan.



Sec. 93.102  Applicability.

    (a) Action applicability.
    (1) Except as provided for in paragraph (c) of this section or 
Sec. 93.126, conformity determinations are required for:
    (i) The adoption, acceptance, approval or support of transportation 
plans and transportation plan amendments developed pursuant to 23 CFR 
part 450 or 49 CFR part 613 by an MPO or DOT;
    (ii) The adoption, acceptance, approval or support of TIPs and TIP 
amendments developed pursuant to 23 CFR part 450 or 49 CFR part 613 by 
an MPO or DOT; and
    (iii) The approval, funding, or implementation of FHWA/FTA projects.
    (2) Conformity determinations are not required under this subpart 
for individual projects which are not FHWA/FTA projects. However, 
Sec. 93.121 applies to such projects if they are regionally significant.
    (b) Geographic applicability. The provisions of this subpart shall 
apply in all nonattainment and maintenance areas for transportation-
related criteria pollutants for which the area is designated 
nonattainment or has a maintenance plan.
    (1) The provisions of this subpart apply with respect to emissions 
of the following criteria pollutants: ozone, carbon monoxide (CO), 
nitrogen dioxide (NO2), and particles with an aerodynamic 
diameter less than or equal to a nominal 10 micrometers 
(PM10).
    (2) The provisions of this subpart apply with respect to emissions 
of the following precursor pollutants:
    (i) Volatile organic compounds (VOC) and nitrogen oxides 
(NOX) in ozone areas;
    (ii) NOX in NO2 areas; and
    (iii) VOC, NOX, and PM10 in PM10 
areas if the EPA Regional Administrator or the director of the State air 
agency has made a finding that transportation-related precursor 
emissions within the nonattainment area are a significant contributor to 
the PM10 nonattainment problem and has so notified the MPO 
and DOT, or if the applicable implementation plan (or implementation 
plan submission) establishes a budget for such emissions as part of the 
reasonable further progress, attainment or maintenance strategy.
    (3) The provisions of this subpart apply to maintenance areas for 20 
years from the date EPA approves the area's request under section 107(d) 
of the CAA for redesignation to attainment, unless the applicable 
implementation plan specifies that the provisions of this subpart shall 
apply for more than 20 years.
    (c) Limitations. (1) Projects subject to this subpart for which the 
NEPA process and a conformity determination have been completed by DOT 
may proceed toward implementation without further conformity 
determinations unless more than three years have elapsed since the most 
recent major step (NEPA process completion; start of final design; 
acquisition of a significant portion of the right-of-way; or approval of 
the plans, specifications and estimates) occurred. All phases of such 
projects which were considered in the

[[Page 549]]

conformity determination are also included, if those phases were for the 
purpose of funding final design, right-of-way acquisition, construction, 
or any combination of these phases.
    (2) A new conformity determination for the project will be required 
if there is a significant change in project design concept and scope, if 
a supplemental environmental document for air quality purposes is 
initiated, or if three years have elapsed since the most recent major 
step to advance the project occurred.
    (d) Grace period for new nonattainment areas. For areas or portions 
of areas which have been continuously designated attainment or not 
designated for any standard for ozone, CO, PM10 or 
NO2 since 1990 and are subsequently redesignated to 
nonattainment or designated nonattainment for any standard for any of 
these pollutants, the provisions of this subpart shall not apply with 
respect to that standard for 12 months following the effective date of 
final designation to nonattainment for each standard for such pollutant.

[62 FR 43801, Aug. 15, 1997, as amended at 65 FR 18918, Apr. 10, 2000; 
67 FR 50817, Aug. 6, 2002]



Sec. 93.103  Priority.

    When assisting or approving any action with air quality-related 
consequences, FHWA and FTA shall give priority to the implementation of 
those transportation portions of an applicable implementation plan 
prepared to attain and maintain the NAAQS. This priority shall be 
consistent with statutory requirements for allocation of funds among 
States or other jurisdictions.



Sec. 93.104  Frequency of conformity determinations.

    (a) Conformity determinations and conformity redeterminations for 
transportation plans, TIPs, and FHWA/FTA projects must be made according 
to the requirements of this section and the applicable implementation 
plan.
    (b) Frequency of conformity determinations for transportation plans. 
(1) Each new transportation plan must be demonstrated to conform before 
the transportation plan is approved by the MPO or accepted by DOT.
    (2) All transportation plan revisions must be found to conform 
before the transportation plan revisions are approved by the MPO or 
accepted by DOT, unless the revision merely adds or deletes exempt 
projects listed in Sec. 93.126 or Sec. 93.127. The conformity 
determination must be based on the transportation plan and the revision 
taken as a whole.
    (3) The MPO and DOT must determine the conformity of the 
transportation plan no less frequently than every three years. If more 
than three years elapse after DOT's conformity determination without the 
MPO and DOT determining conformity of the transportation plan, the 
existing conformity determination will lapse.
    (c) Frequency of conformity determinations for transportation 
improvement programs. (1) A new TIP must be demonstrated to conform 
before the TIP is approved by the MPO or accepted by DOT.
    (2) A TIP amendment requires a new conformity determination for the 
entire TIP before the amendment is approved by the MPO or accepted by 
DOT, unless the amendment merely adds or deletes exempt projects listed 
in Sec. 93.126 or Sec. 93.127.
    (3) The MPO and DOT must determine the conformity of the TIP no less 
frequently than every three years. If more than three years elapse after 
DOT's conformity determination without the MPO and DOT determining 
conformity of the TIP, the existing conformity determination will lapse.
    (4) After an MPO adopts a new or revised transportation plan, 
conformity of the TIP must be redetermined by the MPO and DOT within six 
months from the date of DOT's conformity determination for the 
transportation plan, unless the new or revised plan merely adds or 
deletes exempt projects listed in Secs. 93.126 and 93.127. Otherwise, 
the existing conformity determination for the TIP will lapse.
    (d) Projects. FHWA/FTA projects must be found to conform before they 
are adopted, accepted, approved, or funded. Conformity must be 
redetermined for any FHWA/FTA project if three years have elapsed since 
the most recent major step to advance the project (NEPA process 
completion;

[[Page 550]]

start of final design; acquisition of a significant portion of the 
right-of-way; or approval of the plans, specifications and estimates) 
occurred.
    (e) Triggers for transportation plan and TIP conformity 
determinations. Conformity of existing transportation plans and TIPs 
must be redetermined within 18 months of the following, or the existing 
conformity determination will lapse, and no new project-level conformity 
determinations may be made until conformity of the transportation plan 
and TIP has been determined by the MPO and DOT:
    (1) November 24, 1993;
    (2) The effective date of EPA's finding that motor vehicle emissions 
budgets from an initially submitted control strategy implementation plan 
or maintenance plan are adequate pursuant to Sec. 93.118(e) and can be 
used for transportation conformity purposes;
    (3) EPA approval of a control strategy implementation plan revision 
or maintenance plan which establishes or revises a motor vehicle 
emissions budget;
    (4) EPA approval of an implementation plan revision that adds, 
deletes, or changes TCMs; and
    (5) EPA promulgation of an implementation plan which establishes or 
revises a motor vehicle emissions budget or adds, deletes, or changes 
TCMs.

[62 FR 43801, Aug. 15, 1997, as amended at 67 FR 50817, Aug. 6, 2002]



Sec. 93.105  Consultation.

    (a) General. The implementation plan revision required under 
Sec. 51.390 of this chapter shall include procedures for interagency 
consultation (Federal, State, and local), resolution of conflicts, and 
public consultation as described in paragraphs (a) through (e) of this 
section. Public consultation procedures will be developed in accordance 
with the requirements for public involvement in 23 CFR part 450.
    (1) The implementation plan revision shall include procedures to be 
undertaken by MPOs, State departments of transportation, and DOT with 
State and local air quality agencies and EPA before making conformity 
determinations, and by State and local air agencies and EPA with MPOs, 
State departments of transportation, and DOT in developing applicable 
implementation plans.
    (2) Before EPA approves the conformity implementation plan revision 
required by Sec. 51.390 of this chapter, MPOs and State departments of 
transportation must provide reasonable opportunity for consultation with 
State air agencies, local air quality and transportation agencies, DOT, 
and EPA, including consultation on the issues described in paragraph 
(c)(1) of this section, before making conformity determinations.
    (b) Interagency consultation procedures: General factors. (1) States 
shall provide well-defined consultation procedures in the implementation 
plan whereby representatives of the MPOs, State and local air quality 
planning agencies, State and local transportation agencies, and other 
organizations with responsibilities for developing, submitting, or 
implementing provisions of an implementation plan required by the CAA 
must consult with each other and with local or regional offices of EPA, 
FHWA, and FTA on the development of the implementation plan, the 
transportation plan, the TIP, and associated conformity determinations.
    (2) Interagency consultation procedures shall include at a minimum 
the following general factors and the specific processes in paragraph 
(c) of this section:
    (i) The roles and responsibilities assigned to each agency at each 
stage in the implementation plan development process and the 
transportation planning process, including technical meetings;
    (ii) The organizational level of regular consultation;
    (iii) A process for circulating (or providing ready access to) draft 
documents and supporting materials for comment before formal adoption or 
publication;
    (iv) The frequency of, or process for convening, consultation 
meetings and responsibilities for establishing meeting agendas;
    (v) A process for responding to the significant comments of involved 
agencies; and

[[Page 551]]

    (vi) A process for the development of a list of the TCMs which are 
in the applicable implementation plan.
    (c) Interagency consultation procedures: Specific processes. 
Interagency consultation procedures shall also include the following 
specific processes:
    (1) A process involving the MPO, State and local air quality 
planning agencies, State and local transportation agencies, EPA, and DOT 
for the following:
    (i) Evaluating and choosing a model (or models) and associated 
methods and assumptions to be used in hot-spot analyses and regional 
emissions analyses;
    (ii) Determining which minor arterials and other transportation 
projects should be considered ``regionally significant'' for the 
purposes of regional emissions analysis (in addition to those 
functionally classified as principal arterial or higher or fixed 
guideway systems or extensions that offer an alternative to regional 
highway travel), and which projects should be considered to have a 
significant change in design concept and scope from the transportation 
plan or TIP;
    (iii) Evaluating whether projects otherwise exempted from meeting 
the requirements of this subpart (see Secs. 93.126 and 93.127) should be 
treated as non-exempt in cases where potential adverse emissions impacts 
may exist for any reason;
    (iv) Making a determination, as required by Sec. 93.113(c)(1), 
whether past obstacles to implementation of TCMs which are behind the 
schedule established in the applicable implementation plan have been 
identified and are being overcome, and whether State and local agencies 
with influence over approvals or funding for TCMs are giving maximum 
priority to approval or funding for TCMs. This process shall also 
consider whether delays in TCM implementation necessitate revisions to 
the applicable implementation plan to remove TCMs or substitute TCMs or 
other emission reduction measures;
    (v) Identifying, as required by Sec. 93.123(b), projects located at 
sites in PM10 nonattainment areas which have vehicle and 
roadway emission and dispersion characteristics which are essentially 
identical to those at sites which have violations verified by 
monitoring, and therefore require quantitative PM10 hot-spot 
analysis;
    (vi) Notification of transportation plan or TIP revisions or 
amendments which merely add or delete exempt projects listed in 
Sec. 93.126 or Sec. 93.127; and
    (vii) Choosing conformity tests and methodologies for isolated rural 
nonattainment and maintenance areas, as required by 
Sec. 93.109(g)(2)(iii).
    (2) A process involving the MPO and State and local air quality 
planning agencies and transportation agencies for the following:
    (i) Evaluating events which will trigger new conformity 
determinations in addition to those triggering events established in 
Sec. 93.104; and
    (ii) Consulting on emissions analysis for transportation activities 
which cross the borders of MPOs or nonattainment areas or air basins.
    (3) Where the metropolitan planning area does not include the entire 
nonattainment or maintenance area, a process involving the MPO and the 
State department of transportation for cooperative planning and analysis 
for purposes of determining conformity of all projects outside the 
metropolitan area and within the nonattainment or maintenance area.
    (4) A process to ensure that plans for construction of regionally 
significant projects which are not FHWA/FTA projects (including projects 
for which alternative locations, design concept and scope, or the no-
build option are still being considered), including those by recipients 
of funds designated under title 23 U.S.C. or the Federal Transit Laws, 
are disclosed to the MPO on a regular basis, and to ensure that any 
changes to those plans are immediately disclosed.
    (5) A process involving the MPO and other recipients of funds 
designated under title 23 U.S.C. or the Federal Transit Laws for 
assuming the location and design concept and scope of projects which are 
disclosed to the MPO as required by paragraph (c)(4) of this section but 
whose sponsors have not yet decided these features, in sufficient detail 
to perform the regional emissions analysis according to the requirements 
of Sec. 93.122.

[[Page 552]]

    (6) A process for consulting on the design, schedule, and funding of 
research and data collection efforts and regional transportation model 
development by the MPO (e.g., household/ travel transportation surveys).
    (7) A process for providing final documents (including applicable 
implementation plans and implementation plan revisions) and supporting 
information to each agency after approval or adoption. This process is 
applicable to all agencies described in paragraph (a)(1) of this 
section, including Federal agencies.
    (d) Resolving conflicts. Conflicts among State agencies or between 
State agencies and an MPO shall be escalated to the Governor if they 
cannot be resolved by the heads of the involved agencies. The State air 
agency has 14 calendar days to appeal to the Governor after the State 
DOT or MPO has notified the State air agency head of the resolution of 
his or her comments. The implementation plan revision required by 
Sec. 51.390 of this chapter shall define the procedures for starting the 
14-day clock. If the State air agency appeals to the Governor, the final 
conformity determination must have the concurrence of the Governor. If 
the State air agency does not appeal to the Governor within 14 days, the 
MPO or State department of transportation may proceed with the final 
conformity determination. The Governor may delegate his or her role in 
this process, but not to the head or staff of the State or local air 
agency, State department of transportation, State transportation 
commission or board, or an MPO.
    (e) Public consultation procedures. Affected agencies making 
conformity determinations on transportation plans, programs, and 
projects shall establish a proactive public involvement process which 
provides opportunity for public review and comment by, at a minimum, 
providing reasonable public access to technical and policy information 
considered by the agency at the beginning of the public comment period 
and prior to taking formal action on a conformity determination for all 
transportation plans and TIPs, consistent with these requirements and 
those of 23 CFR 450.316(b). Any charges imposed for public inspection 
and copying should be consistent with the fee schedule contained in 49 
CFR 7.95. In addition, these agencies must specifically address in 
writing all public comments that known plans for a regionally 
significant project which is not receiving FHWA or FTA funding or 
approval have not been properly reflected in the emissions analysis 
supporting a proposed conformity finding for a transportation plan or 
TIP. These agencies shall also provide opportunity for public 
involvement in conformity determinations for projects where otherwise 
required by law.



Sec. 93.106  Content of transportation plans.

    (a) Transportation plans adopted after January 1, 1997 in serious, 
severe, or extreme ozone nonattainment areas and in serious CO 
nonattainment areas. If the metropolitan planning area contains an 
urbanized area population greater than 200,000, the transportation plan 
must specifically describe the transportation system envisioned for 
certain future years which shall be called horizon years.
    (1) The agency or organization developing the transportation plan 
may choose any years to be horizon years, subject to the following 
restrictions:
    (i) Horizon years may be no more than 10 years apart;
    (ii) The first horizon year may be no more than 10 years from the 
base year used to validate the transportation demand planning model;
    (iii) If the attainment year is in the time span of the 
transportation plan, the attainment year must be a horizon year; and
    (iv) The last horizon year must be the last year of the 
transportation plan's forecast period.
    (2) For these horizon years:
    (i) The transportation plan shall quantify and document the 
demographic and employment factors influencing expected transportation 
demand, including land use forecasts, in accordance with implementation 
plan provisions and the consultation requirements specified by 
Sec. 93.105;
    (ii) The highway and transit system shall be described in terms of 
the regionally significant additions or modifications to the existing 
transportation

[[Page 553]]

network which the transportation plan envisions to be operational in the 
horizon years. Additions and modifications to the highway network shall 
be sufficiently identified to indicate intersections with existing 
regionally significant facilities, and to determine their effect on 
route options between transportation analysis zones. Each added or 
modified highway segment shall also be sufficiently identified in terms 
of its design concept and design scope to allow modeling of travel times 
under various traffic volumes, consistent with the modeling methods for 
area-wide transportation analysis in use by the MPO. Transit facilities, 
equipment, and services envisioned for the future shall be identified in 
terms of design concept, design scope, and operating policies that are 
sufficient for modeling of their transit ridership. Additions and 
modifications to the transportation network shall be described 
sufficiently to show that there is a reasonable relationship between 
expected land use and the envisioned transportation system; and
    (iii) Other future transportation policies, requirements, services, 
and activities, including intermodal activities, shall be described.
    (b) Moderate areas reclassified to serious. Ozone or CO 
nonattainment areas which are reclassified from moderate to serious and 
have an urbanized population greater than 200,000 must meet the 
requirements of paragraph (a) of this section within two years from the 
date of reclassification.
    (c) Transportation plans for other areas. Transportation plans for 
other areas must meet the requirements of paragraph (a) of this section 
at least to the extent it has been the previous practice of the MPO to 
prepare plans which meet those requirements. Otherwise, the 
transportation system envisioned for the future must be sufficiently 
described within the transportation plans so that a conformity 
determination can be made according to the criteria and procedures of 
Secs. 93.109 through 93.119.
    (d) Savings. The requirements of this section supplement other 
requirements of applicable law or regulation governing the format or 
content of transportation plans.



Sec. 93.107  Relationship of transportation plan and TIP conformity with 
the NEPA process.

    The degree of specificity required in the transportation plan and 
the specific travel network assumed for air quality modeling do not 
preclude the consideration of alternatives in the NEPA process or other 
project development studies. Should the NEPA process result in a project 
with design concept and scope significantly different from that in the 
transportation plan or TIP, the project must meet the criteria in 
Secs. 93.109 through 93.119 for projects not from a TIP before NEPA 
process completion.



Sec. 93.108  Fiscal constraints for transportation plans and TIPs.

    Transportation plans and TIPs must be fiscally constrained 
consistent with DOT's metropolitan planning regulations at 23 CFR part 
450 in order to be found in conformity.



Sec. 93.109  Criteria and procedures for determining conformity of 
transportation plans, programs, and projects: General.

    (a) In order for each transportation plan, program, and FHWA/FTA 
project to be found to conform, the MPO and DOT must demonstrate that 
the applicable criteria and procedures in this subpart are satisfied, 
and the MPO and DOT must comply with all applicable conformity 
requirements of implementation plans and of court orders for the area 
which pertain specifically to conformity. The criteria for making 
conformity determinations differ based on the action under review 
(transportation plans, TIPs, and FHWA/FTA projects), the relevant 
pollutant(s), and the status of the implementation plan.
    (b) Table 1 in this paragraph indicates the criteria and procedures 
in Secs. 93.110 through 93.119 which apply for transportation plans, 
TIPs, and FHWA/FTA projects. Paragraphs (c) through (f) of this section 
explain when the budget, emission reduction, and hot spot tests are 
required for each pollutant. Paragraph (g) of this section addresses 
isolated rural nonattainment and maintenance areas. Table 1 follows:

[[Page 554]]



                      Table 1--Conformity Criteria
------------------------------------------------------------------------
 
------------------------------------------------------------------------
All Actions at all times:
  Sec.  93.110                           Latest planning assumptions
  Sec.  93.111                           Latest emissions model
  Sec.  93.112                           Consultation
Transportation Plan:
  Sec.  93.113(b)                        TCMs
  Sec.  93.118 or Sec.  93.119           Emissions budget or Emission
                                          reduction
TIP:
  Sec.  93.113(c)                        TCMs
  Sec.  93.118 or Sec.  93.119           Emissions budget or Emission
                                          reduction
Project (From a Conforming Plan and
 TIP):
  Sec.  93.114                           Currently conforming plan and
                                          TIP
  Sec.  93.115                           Project from a conforming plan
                                          and TIP
  Sec.  93.116                           CO and PM10 hot spots
  Sec.  93.117                           PM10 control measures
Project (Not From a Conforming Plan and
 TIP):
  Sec.  93.113(d)                        TCMs
  Sec.  93.114                           Currently conforming plan and
                                          TIP
  Sec.  93.116                           CO and PM10 hot spots
  Sec.  93.117                           PM10 control measures
  Sec.  93.118 or Sec.  93.119           Emissions budget or Emission
                                          reduction
------------------------------------------------------------------------

    (c) Ozone nonattainment and maintenance areas. In addition to the 
criteria listed in Table 1 in paragraph (b) of this section that are 
required to be satisfied at all times, in ozone nonattainment and 
maintenance areas conformity determinations must include a demonstration 
that the budget and/or emission reduction tests are satisfied as 
described in the following:
    (1) In ozone nonattainment and maintenance areas the budget test 
must be satisfied as required by Sec. 93.118 for conformity 
determinations made:
    (i) 45 days after a control strategy implementation plan revision or 
maintenance plan has been submitted to EPA, unless EPA has declared the 
motor vehicle emissions budget inadequate for transportation conformity 
purposes; or
    (ii) After EPA has declared that the motor vehicle emissions budget 
in a submitted control strategy implementation plan revision or 
maintenance plan is adequate for transportation conformity purposes.
    (2) In ozone nonattainment areas that are required to submit a 
control strategy implementation plan revision (usually moderate and 
above areas), the emission reduction tests must be satisfied as required 
by Sec. 93.119 for conformity determinations made:
    (i) During the first 45 days after a control strategy implementation 
plan revision or maintenance plan has been submitted to EPA, unless EPA 
has declared a motor vehicle emissions budget adequate for 
transportation conformity purposes; or
    (ii) If EPA has declared the motor vehicle emissions budget in a 
submitted control strategy implementation plan revision or maintenance 
plan inadequate for transportation conformity purposes, and there is no 
previously established motor vehicle emissions budget in the approved 
implementation plan or a previously submitted control strategy 
implementation plan revision or maintenance plan.
    (3) An ozone nonattainment area must satisfy the emission reduction 
test for NOX, as required by Sec. 93.119, if the 
implementation plan or plan submission that is applicable for the 
purposes of conformity determinations is a 15% plan or Phase I 
attainment demonstration that does not include a motor vehicle emissions 
budget for NOX. The implementation plan will be considered to 
establish a motor vehicle emissions budget for NOX if the 
implementation plan or plan submission contains an explicit 
NOX motor vehicle emissions budget that is intended to act as 
a ceiling on future NOX emissions, and the NOX 
motor vehicle emissions budget is a net reduction from NOX 
emissions levels in 1990.
    (4) Ozone nonattainment areas that have not submitted a maintenance 
plan and that are not required to submit a control strategy 
implementation plan revision (usually marginal and below areas) must 
satisfy one of the following requirements:
    (i) The emission reduction tests required by Sec. 93.119; or
    (ii) The State shall submit to EPA an implementation plan revision 
that contains motor vehicle emissions budget(s) and an attainment 
demonstration, and the budget test required by Sec. 93.118 must be 
satisfied using the submitted motor vehicle emissions budget(s) (as 
described in paragraph (c)(1) of this section).
    (5) Notwithstanding paragraphs (c)(1) and (c)(2) of this section, 
moderate and above ozone nonattainment areas with three years of clean 
data that have not

[[Page 555]]

submitted a maintenance plan and that EPA has determined are not subject 
to the Clean Air Act reasonable further progress and attainment 
demonstration requirements must satisfy one of the following 
requirements:
    (i) The emission reduction tests as required by Sec. 93.119;
    (ii) The budget test as required by Sec. 93.118, using the motor 
vehicle emissions budgets in the submitted control strategy 
implementation plan (subject to the timing requirements of paragraph 
(c)(1) of this section); or
    (iii) The budget test as required by Sec. 93.118, using the motor 
vehicle emissions of ozone precursors in the most recent year of clean 
data as motor vehicle emissions budgets, if such budgets are established 
by the EPA rulemaking that determines that the area has clean data.
    (d) CO nonattainment and maintenance areas. In addition to the 
criteria listed in Table 1 in paragraph (b) of this section that are 
required to be satisfied at all times, in CO nonattainment and 
maintenance areas conformity determinations must include a demonstration 
that the hot spot, budget and/or emission reduction tests are satisfied 
as described in the following:
    (1) FHWA/FTA projects in CO nonattainment or maintenance areas must 
satisfy the hot spot test required by Sec. 93.116(a) at all times. Until 
a CO attainment demonstration or maintenance plan is approved by EPA, 
FHWA/FTA projects must also satisfy the hot spot test required by 
Sec. 93.116(b).
    (2) In CO nonattainment and maintenance areas the budget test must 
be satisfied as required by Sec. 93.118 for conformity determinations 
made:
    (i) 45 days after a control strategy implementation plan revision or 
maintenance plan has been submitted to EPA, unless EPA has declared the 
motor vehicle emissions budget inadequate for transportation conformity 
purposes; or
    (ii) After EPA has declared that the motor vehicle emissions budget 
in a submitted control strategy implementation plan revision or 
maintenance plan is adequate for transportation conformity purposes.
    (3) Except as provided in paragraph (d)(4) of this section, in CO 
nonattainment areas the emission reduction tests must be satisfied as 
required by Sec. 93.119 for conformity determinations made:
    (i) During the first 45 days after a control strategy implementation 
plan revision or maintenance plan has been submitted to EPA, unless EPA 
has declared a motor vehicle emissions budget adequate for 
transportation conformity purposes; or
    (ii) If EPA has declared the motor vehicle emissions budget in a 
submitted control strategy implementation plan revision or maintenance 
plan inadequate for transportation conformity purposes, and there is no 
previously established motor vehicle emissions budget in the approved 
implementation plan or a previously submitted control strategy 
implementation plan revision or maintenance plan.
    (4) CO nonattainment areas that have not submitted a maintenance 
plan and that are not required to submit an attainment demonstration 
(e.g., moderate CO areas with a design value of 12.7 ppm or less or not 
classified CO areas) must satisfy one of the following requirements:
    (i) The emission reduction tests required by Sec. 93.119; or
    (ii) The State shall submit to EPA an implementation plan revision 
that contains motor vehicle emissions budget(s) and an attainment 
demonstration, and the budget test required by Sec. 93.118 must be 
satisfied using the submitted motor vehicle emissions budget(s) (as 
described in paragraph (d)(2) of this section).
    (e) PM10 nonattainment and maintenance areas. In addition 
to the criteria listed in Table 1 in paragraph (b) of this section that 
are required to be satisfied at all times, in PM10 
nonattainment and maintenance areas conformity determinations must 
include a demonstration that the hot spot, budget and/or emission 
reduction tests are satisfied as described in the following:
    (1) FHWA/FTA projects in PM10 nonattainment or 
maintenance areas must satisfy the hot spot test required by 
Sec. 93.116(a).
    (2) In PM10 nonattainment and maintenance areas the 
budget test must be satisfied as required by Sec. 93.118 for conformity 
determinations made:

[[Page 556]]

    (i) 45 days after a control strategy implementation plan revision or 
maintenance plan has been submitted to EPA, unless EPA has declared the 
motor vehicle emissions budget inadequate for transportation conformity 
purposes; or
    (ii) After EPA has declared that the motor vehicle emissions budget 
in a submitted control strategy implementation plan revision or 
maintenance plan is adequate for transportation conformity purposes.
    (3) In PM10 nonattainment areas the emission reduction 
tests must be satisfied as required by Sec. 93.119 for conformity 
determinations made:
    (i) During the first 45 days after a control strategy implementation 
plan revision or maintenance plan has been submitted to EPA, unless EPA 
has declared a motor vehicle emissions budget adequate for 
transportation conformity purposes;
    (ii) If EPA has declared the motor vehicle emissions budget in a 
submitted control strategy implementation plan revision or maintenance 
plan inadequate for transportation conformity purposes, and there is no 
previously established motor vehicle emissions budget in the approved 
implementation plan or a previously submitted control strategy 
implementation plan revision or maintenance plan; or
    (iii) If the submitted implementation plan revision is a 
demonstration of impracticability under CAA section 189(a)(1)(B)(ii) and 
does not demonstrate attainment.
    (f) NO2 nonattainment and maintenance areas. In addition 
to the criteria listed in Table 1 in paragraph (b) of this section that 
are required to be satisfied at all times, in NO2 
nonattainment and maintenance areas conformity determinations must 
include a demonstration that the budget and/or emission reduction tests 
are satisfied as described in the following:
    (1) In NO2 nonattainment and maintenance areas the budget 
test must be satisfied as required by Sec. 93.118 for conformity 
determinations made:
    (i) 45 days after a control strategy implementation plan revision or 
maintenance plan has been submitted to EPA, unless EPA has declared the 
motor vehicle emissions budget inadequate for transportation conformity 
purposes; or
    (ii) After EPA has declared that the motor vehicle emissions budget 
in a submitted control strategy implementation plan revision or 
maintenance plan is adequate for transportation conformity purposes.
    (2) In NO2 nonattainment areas the emission reduction 
tests must be satisfied as required by Sec. 93.119 for conformity 
determinations made:
    (i) During the first 45 days after a control strategy implementation 
plan revision or maintenance plan has been submitted to EPA, unless EPA 
has declared a motor vehicle emissions budget adequate for 
transportation conformity purposes; or
    (ii) If EPA has declared the motor vehicle emissions budget in a 
submitted control strategy implementation plan revision or maintenance 
plan inadequate for transportation conformity purposes, and there is no 
previously established motor vehicle emissions budget in the approved 
implementation plan or a previously submitted control strategy 
implementation plan revision or maintenance plan.
    (g) Isolated rural nonattainment and maintenance areas. This 
paragraph applies to any nonattainment or maintenance area (or portion 
thereof) which does not have a metropolitan transportation plan or TIP 
and whose projects are not part of the emissions analysis of any MPO's 
metropolitan transportation plan or TIP. This paragraph does not apply 
to ``donut'' areas which are outside the metropolitan planning boundary 
and inside the nonattainment/maintenance area boundary.
    (1) FHWA/FTA projects in all isolated rural nonattainment and 
maintenance areas must satisfy the requirements of Secs. 93.110, 93.111, 
93.112, 93.113(d), 93.116, and 93.117. Until EPA approves the control 
strategy implementation plan or maintenance plan for a rural CO 
nonattainment or maintenance area, FHWA/FTA projects must also satisfy 
the requirements of Sec. 93.116(b) (``Localized CO and PM10 
violations (hot spots)'').
    (2) Isolated rural nonattainment and maintenance areas are subject 
to the budget and/or emission reduction tests as described in paragraphs 
(c) through

[[Page 557]]

(f) of this section, with the following modifications:
    (i) When the requirements of Secs. 93.118 and 93.119 apply to 
isolated rural nonattainment and maintenance areas, references to 
``transportation plan'' or ``TIP'' should be taken to mean those 
projects in the statewide transportation plan or statewide TIP which are 
in the rural nonattainment or maintenance area.
    (ii) In isolated rural nonattainment and maintenance areas that are 
subject to Sec. 93.118, FHWA/FTA projects must be consistent with motor 
vehicle emissions budget(s) for the years in the timeframe of the 
attainment demonstration or maintenance plan. For years after the 
attainment year (if a maintenance plan has not been submitted) or after 
the last year of the maintenance plan, FHWA/FTA projects must satisfy 
one of the following requirements:
    (A) Sec. 93.118;
    (B) Sec. 93.119 (including regional emissions analysis for 
NOX in all ozone nonattainment and maintenance areas, 
notwithstanding Sec. 93.119(d)(2)); or
    (C) As demonstrated by the air quality dispersion model or other air 
quality modeling technique used in the attainment demonstration or 
maintenance plan, the FHWA/FTA project, in combination with all other 
regionally significant projects expected in the area in the timeframe of 
the statewide transportation plan, must not cause or contribute to any 
new violation of any standard in any areas; increase the frequency or 
severity of any existing violation of any standard in any area; or delay 
timely attainment of any standard or any required interim emission 
reductions or other milestones in any area. Control measures assumed in 
the analysis must be enforceable.
    (iii) The choice of requirements in paragraph (g)(2)(ii) of this 
section and the methodology used to meet the requirements of paragraph 
(g)(2)(ii)(C) of this section must be determined through the interagency 
consultation process required in Sec. 93.105(c)(1)(vii) through which 
the relevant recipients of title 23 U.S.C. or Federal Transit Laws 
funds, the local air quality agency, the State air quality agency, and 
the State department of transportation should reach consensus about the 
option and methodology selected. EPA and DOT must be consulted through 
this process as well. In the event of unresolved disputes, conflicts may 
be escalated to the Governor consistent with the procedure in 
Sec. 93.105(d), which applies for any State air agency comments on a 
conformity determination.



Sec. 93.110  Criteria and procedures: Latest planning assumptions.

    (a) The conformity determination, with respect to all other 
applicable criteria in Secs. 93.111 through 93.119, must be based upon 
the most recent planning assumptions in force at the time of the 
conformity determination. The conformity determination must satisfy the 
requirements of paragraphs (b) through (f) of this section.
    (b) Assumptions must be derived from the estimates of current and 
future population, employment, travel, and congestion most recently 
developed by the MPO or other agency authorized to make such estimates 
and approved by the MPO. The conformity determination must also be based 
on the latest assumptions about current and future background 
concentrations.
    (c) The conformity determination for each transportation plan and 
TIP must discuss how transit operating policies (including fares and 
service levels) and assumed transit ridership have changed since the 
previous conformity determination.
    (d) The conformity determination must include reasonable assumptions 
about transit service and increases in transit fares and road and bridge 
tolls over time.
    (e) The conformity determination must use the latest existing 
information regarding the effectiveness of the TCMs and other 
implementation plan measures which have already been implemented.
    (f) Key assumptions shall be specified and included in the draft 
documents and supporting materials used for the interagency and public 
consultation required by Sec. 93.105.



Sec. 93.111  Criteria and procedures: Latest emissions model.

    (a) The conformity determination must be based on the latest 
emission

[[Page 558]]

estimation model available. This criterion is satisfied if the most 
current version of the motor vehicle emissions model specified by EPA 
for use in the preparation or revision of implementation plans in that 
State or area is used for the conformity analysis. Where EMFAC is the 
motor vehicle emissions model used in preparing or revising the 
applicable implementation plan, new versions must be approved by EPA 
before they are used in the conformity analysis.
    (b) EPA will consult with DOT to establish a grace period following 
the specification of any new model.
    (1) The grace period will be no less than three months and no more 
than 24 months after notice of availability is published in the Federal 
Register.
    (2) The length of the grace period will depend on the degree of 
change in the model and the scope of re-planning likely to be necessary 
by MPOs in order to assure conformity. If the grace period will be 
longer than three months, EPA will announce the appropriate grace period 
in the Federal Register.
    (c) Transportation plan and TIP conformity analyses for which the 
emissions analysis was begun during the grace period or before the 
Federal Register notice of availability of the latest emission model may 
continue to use the previous version of the model. Conformity 
determinations for projects may also be based on the previous model if 
the analysis was begun during the grace period or before the Federal 
Register notice of availability, and if the final environmental document 
for the project is issued no more than three years after the issuance of 
the draft environmental document.



Sec. 93.112  Criteria and procedures: Consultation.

    Conformity must be determined according to the consultation 
procedures in this subpart and in the applicable implementation plan, 
and according to the public involvement procedures established in 
compliance with 23 CFR part 450. Until the implementation plan revision 
required by Sec. 51.390 of this chapter is fully approved by EPA, the 
conformity determination must be made according to Sec. 93.105 (a)(2) 
and (e) and the requirements of 23 CFR part 450.



Sec. 93.113  Criteria and procedures: Timely implementation of TCMs.

    (a) The transportation plan, TIP, or any FHWA/FTA project which is 
not from a conforming plan and TIP must provide for the timely 
implementation of TCMs from the applicable implementation plan.
    (b) For transportation plans, this criterion is satisfied if the 
following two conditions are met:
    (1) The transportation plan, in describing the envisioned future 
transportation system, provides for the timely completion or 
implementation of all TCMs in the applicable implementation plan which 
are eligible for funding under title 23 U.S.C. or the Federal Transit 
Laws, consistent with schedules included in the applicable 
implementation plan.
    (2) Nothing in the transportation plan interferes with the 
implementation of any TCM in the applicable implementation plan.
    (c) For TIPs, this criterion is satisfied if the following 
conditions are met:
    (1) An examination of the specific steps and funding source(s) 
needed to fully implement each TCM indicates that TCMs which are 
eligible for funding under title 23 U.S.C. or the Federal Transit Laws 
are on or ahead of the schedule established in the applicable 
implementation plan, or, if such TCMs are behind the schedule 
established in the applicable implementation plan, the MPO and DOT have 
determined that past obstacles to implementation of the TCMs have been 
identified and have been or are being overcome, and that all State and 
local agencies with influence over approvals or funding for TCMs are 
giving maximum priority to approval or funding of TCMs over other 
projects within their control, including projects in locations outside 
the nonattainment or maintenance area.
    (2) If TCMs in the applicable implementation plan have previously 
been programmed for Federal funding but the funds have not been 
obligated and the TCMs are behind the schedule in the implementation 
plan, then the TIP cannot be found to conform if the funds

[[Page 559]]

intended for those TCMs are reallocated to projects in the TIP other 
than TCMs, or if there are no other TCMs in the TIP, if the funds are 
reallocated to projects in the TIP other than projects which are 
eligible for Federal funding intended for air quality improvement 
projects, e.g., the Congestion Mitigation and Air Quality Improvement 
Program.
    (3) Nothing in the TIP may interfere with the implementation of any 
TCM in the applicable implementation plan.
    (d) For FHWA/FTA projects which are not from a conforming 
transportation plan and TIP, this criterion is satisfied if the project 
does not interfere with the implementation of any TCM in the applicable 
implementation plan.



Sec. 93.114  Criteria and procedures: Currently conforming transportation 
plan and TIP.

    There must be a currently conforming transportation plan and 
currently conforming TIP at the time of project approval.
    (a) Only one conforming transportation plan or TIP may exist in an 
area at any time; conformity determinations of a previous transportation 
plan or TIP expire once the current plan or TIP is found to conform by 
DOT. The conformity determination on a transportation plan or TIP will 
also lapse if conformity is not determined according to the frequency 
requirements specified in Sec. 93.104.
    (b) This criterion is not required to be satisfied at the time of 
project approval for a TCM specifically included in the applicable 
implementation plan, provided that all other relevant criteria of this 
subpart are satisfied.



Sec. 93.115  Criteria and procedures: Projects from a plan and TIP.

    (a) The project must come from a conforming plan and program. If 
this criterion is not satisfied, the project must satisfy all criteria 
in Table 1 of Sec. 93.109(b) for a project not from a conforming 
transportation plan and TIP. A project is considered to be from a 
conforming transportation plan if it meets the requirements of paragraph 
(b) of this section and from a conforming program if it meets the 
requirements of paragraph (c) of this section. Special provisions for 
TCMs in an applicable implementation plan are provided in paragraph (d) 
of this section.
    (b) A project is considered to be from a conforming transportation 
plan if one of the following conditions applies:
    (1) For projects which are required to be identified in the 
transportation plan in order to satisfy Sec. 93.106 (``Content of 
transportation plans''), the project is specifically included in the 
conforming transportation plan and the project's design concept and 
scope have not changed significantly from those which were described in 
the transportation plan, or in a manner which would significantly impact 
use of the facility; or
    (2) For projects which are not required to be specifically 
identified in the transportation plan, the project is identified in the 
conforming transportation plan, or is consistent with the policies and 
purpose of the transportation plan and will not interfere with other 
projects specifically included in the transportation plan.
    (c) A project is considered to be from a conforming program if the 
following conditions are met:
    (1) The project is included in the conforming TIP and the design 
concept and scope of the project were adequate at the time of the TIP 
conformity determination to determine its contribution to the TIP's 
regional emissions, and the project design concept and scope have not 
changed significantly from those which were described in the TIP; and
    (2) If the TIP describes a project design concept and scope which 
includes project-level emissions mitigation or control measures, written 
commitments to implement such measures must be obtained from the project 
sponsor and/or operator as required by Sec. 93.125(a) in order for the 
project to be considered from a conforming program. Any change in these 
mitigation or control measures that would significantly reduce their 
effectiveness constitutes a change in the design concept and scope of 
the project.
    (d) TCMs. This criterion is not required to be satisfied for TCMs 
specifically included in an applicable implementation plan.

[[Page 560]]



Sec. 93.116  Criteria and procedures: Localized CO and PM10 
violations (hot spots).

    (a) This paragraph applies at all times. The FHWA/FTA project must 
not cause or contribute to any new localized CO or PM10 
violations or increase the frequency or severity of any existing CO or 
PM10 violations in CO and PM10 nonattainment and 
maintenance areas. This criterion is satisfied if it is demonstrated 
that no new local violations will be created and the severity or number 
of existing violations will not be increased as a result of the project. 
The demonstration must be performed according to the consultation 
requirements of Sec. 93.105(c)(1)(i) and the methodology requirements of 
Sec. 93.123.
    (b) This paragraph applies for CO nonattainment areas as described 
in Sec. 93.109(d)(1). Each FHWA/FTA project must eliminate or reduce the 
severity and number of localized CO violations in the area substantially 
affected by the project (in CO nonattainment areas). This criterion is 
satisfied with respect to existing localized CO violations if it is 
demonstrated that existing localized CO violations will be eliminated or 
reduced in severity and number as a result of the project. The 
demonstration must be performed according to the consultation 
requirements of Sec. 93.105(c)(1)(i) and the methodology requirements of 
Sec. 93.123.



Sec. 93.117  Criteria and procedures: Compliance with PM10 
control measures.

    The FHWA/FTA project must comply with PM10 control 
measures in the applicable implementation plan. This criterion is 
satisfied if the project-level conformity determination contains a 
written commitment from the project sponsor to include in the final 
plans, specifications, and estimates for the project those control 
measures (for the purpose of limiting PM10 emissions from the 
construction activities and/or normal use and operation associated with 
the project) that are contained in the applicable implementation plan.



Sec. 93.118  Criteria and procedures: Motor vehicle emissions budget.

    (a) The transportation plan, TIP, and project not from a conforming 
transportation plan and TIP must be consistent with the motor vehicle 
emissions budget(s) in the applicable implementation plan (or 
implementation plan submission). This criterion applies as described in 
Sec. 93.109 (c) through (g). This criterion is satisfied if it is 
demonstrated that emissions of the pollutants or pollutant precursors 
described in paragraph (c) of this section are less than or equal to the 
motor vehicle emissions budget(s) established in the applicable 
implementation plan or implementation plan submission.
    (b) Consistency with the motor vehicle emissions budget(s) must be 
demonstrated for each year for which the applicable (and/or submitted) 
implementation plan specifically establishes motor vehicle emissions 
budget(s), for the last year of the transportation plan's forecast 
period, and for any intermediate years as necessary so that the years 
for which consistency is demonstrated are no more than ten years apart, 
as follows:
    (1) Until a maintenance plan is submitted:
    (i) Emissions in each year (such as milestone years and the 
attainment year) for which the control strategy implementation plan 
revision establishes motor vehicle emissions budget(s) must be less than 
or equal to that year's motor vehicle emissions budget(s); and
    (ii) Emissions in years for which no motor vehicle emissions 
budget(s) are specifically established must be less than or equal to the 
motor vehicle emissions budget(s) established for the most recent prior 
year. For example, emissions in years after the attainment year for 
which the implementation plan does not establish a budget must be less 
than or equal to the motor vehicle emissions budget(s) for the 
attainment year.
    (2) When a maintenance plan has been submitted:
    (i) Emissions must be less than or equal to the motor vehicle 
emissions budget(s) established for the last year of the maintenance 
plan, and for any other years for which the maintenance plan establishes 
motor vehicle emissions budgets. If the maintenance plan does not 
establish motor vehicle emissions budgets for any years other than

[[Page 561]]

the last year of the maintenance plan, the demonstration of consistency 
with the motor vehicle emissions budget(s) must be accompanied by a 
qualitative finding that there are no factors which would cause or 
contribute to a new violation or exacerbate an existing violation in the 
years before the last year of the maintenance plan. The interagency 
consultation process required by Sec. 93.105 shall determine what must 
be considered in order to make such a finding;
    (ii) For years after the last year of the maintenance plan, 
emissions must be less than or equal to the maintenance plan's motor 
vehicle emissions budget(s) for the last year of the maintenance plan; 
and
    (iii) If an approved control strategy implementation plan has 
established motor vehicle emissions budgets for years in the timeframe 
of the transportation plan, emissions in these years must be less than 
or equal to the control strategy implementation plan's motor vehicle 
emissions budget(s) for these years.
    (c) Consistency with the motor vehicle emissions budget(s) must be 
demonstrated for each pollutant or pollutant precursor in Sec. 93.102(b) 
for which the area is in nonattainment or maintenance and for which the 
applicable implementation plan (or implementation plan submission) 
establishes a motor vehicle emissions budget.
    (d) Consistency with the motor vehicle emissions budget(s) must be 
demonstrated by including emissions from the entire transportation 
system, including all regionally significant projects contained in the 
transportation plan and all other regionally significant highway and 
transit projects expected in the nonattainment or maintenance area in 
the timeframe of the transportation plan.
    (1) Consistency with the motor vehicle emissions budget(s) must be 
demonstrated with a regional emissions analysis that meets the 
requirements of Secs. 93.122 and 93.105(c)(1)(i).
    (2) The regional emissions analysis may be performed for any years 
in the timeframe of the transportation plan provided they are not more 
than ten years apart and provided the analysis is performed for the 
attainment year (if it is in the timeframe of the transportation plan) 
and the last year of the plan's forecast period. Emissions in years for 
which consistency with motor vehicle emissions budgets must be 
demonstrated, as required in paragraph (b) of this section, may be 
determined by interpolating between the years for which the regional 
emissions analysis is performed.
    (e) Motor vehicle emissions budgets in submitted control strategy 
implementation plan revisions and submitted maintenance plans. (1) 
Consistency with the motor vehicle emissions budgets in submitted 
control strategy implementation plan revisions or maintenance plans must 
be demonstrated if EPA has declared the motor vehicle emissions 
budget(s) adequate for transportation conformity purposes, or beginning 
45 days after the control strategy implementation plan revision or 
maintenance plan has been submitted (unless EPA has declared the motor 
vehicle emissions budget(s) inadequate for transportation conformity 
purposes). However, submitted implementation plans do not supersede the 
motor vehicle emissions budgets in approved implementation plans for the 
period of years addressed by the approved implementation plan.
    (2) If EPA has declared an implementation plan submission's motor 
vehicle emissions budget(s) inadequate for transportation conformity 
purposes, the inadequate budget(s) shall not be used to satisfy the 
requirements of this section. Consistency with the previously 
established motor vehicle emissions budget(s) must be demonstrated. If 
there are no previous approved implementation plans or implementation 
plan submissions with motor vehicle emissions budgets, the emission 
reduction tests required by Sec. 93.119 must be satisfied.
    (3) If EPA declares an implementation plan submission's motor 
vehicle emissions budget(s) inadequate for transportation conformity 
purposes more than 45 days after its submission to EPA, and conformity 
of a transportation plan or TIP has already been determined by DOT using 
the budget(s), the conformity determination will remain valid. Projects 
included in that transportation plan or TIP could still

[[Page 562]]

satisfy Secs. 93.114 and 93.115, which require a currently conforming 
transportation plan and TIP to be in place at the time of a project's 
conformity determination and that projects come from a conforming 
transportation plan and TIP.
    (4) EPA will not find a motor vehicle emissions budget in a 
submitted control strategy implementation plan revision or maintenance 
plan to be adequate for transportation conformity purposes unless the 
following minimum criteria are satisfied:
    (i) The submitted control strategy implementation plan revision or 
maintenance plan was endorsed by the Governor (or his or her designee) 
and was subject to a State public hearing;
    (ii) Before the control strategy implementation plan or maintenance 
plan was submitted to EPA, consultation among federal, State, and local 
agencies occurred; full implementation plan documentation was provided 
to EPA; and EPA's stated concerns, if any, were addressed;
    (iii) The motor vehicle emissions budget(s) is clearly identified 
and precisely quantified;
    (iv) The motor vehicle emissions budget(s), when considered together 
with all other emissions sources, is consistent with applicable 
requirements for reasonable further progress, attainment, or maintenance 
(whichever is relevant to the given implementation plan submission);
    (v) The motor vehicle emissions budget(s) is consistent with and 
clearly related to the emissions inventory and the control measures in 
the submitted control strategy implementation plan revision or 
maintenance plan; and
    (vi) Revisions to previously submitted control strategy 
implementation plans or maintenance plans explain and document any 
changes to previously submitted budgets and control measures; impacts on 
point and area source emissions; any changes to established safety 
margins (see Sec. 93.101 for definition); and reasons for the changes 
(including the basis for any changes related to emission factors or 
estimates of vehicle miles traveled).
    (5) Before determining the adequacy of a submitted motor vehicle 
emissions budget, EPA will review the State's compilation of public 
comments and response to comments that are required to be submitted with 
any implementation plan. EPA will document its consideration of such 
comments and responses in a letter to the State indicating the adequacy 
of the submitted motor vehicle emissions budget.
    (6) When the motor vehicle emissions budget(s) used to satisfy the 
requirements of this section are established by an implementation plan 
submittal that has not yet been approved or disapproved by EPA, the MPO 
and DOT's conformity determinations will be deemed to be a statement 
that the MPO and DOT are not aware of any information that would 
indicate that emissions consistent with the motor vehicle emissions 
budget will cause or contribute to any new violation of any standard; 
increase the frequency or severity of any existing violation of any 
standard; or delay timely attainment of any standard or any required 
interim emission reductions or other milestones.



Sec. 93.119  Criteria and procedures: Emission reductions in areas without 
motor vehicle emissions budgets.

    (a) The transportation plan, TIP, and project not from a conforming 
transportation plan and TIP must contribute to emissions reductions. 
This criterion applies as described in Sec. 93.109(c) through (g). It 
applies to the net effect of the action (transportation plan, TIP, or 
project not from a conforming transportation plan and TIP) on motor 
vehicle emissions from the entire transportation system.
    (b) This criterion may be met in moderate and above ozone 
nonattainment areas that are subject to the reasonable further progress 
requirements of CAA section 182(b)(1) and in moderate with design value 
greater than 12.7 ppm and serious CO nonattainment areas if a regional 
emissions analysis that satisfies the requirements of Sec. 93.122 and 
paragraphs (e) through (h) of this section demonstrates that for each 
analysis year and for each of the pollutants described in paragraph (d) 
of this section:
    (1) The emissions predicted in the ``Action'' scenario are less than 
the

[[Page 563]]

emissions predicted in the ``Baseline'' scenario, and this can be 
reasonably expected to be true in the periods between the analysis 
years; and
    (2) The emissions predicted in the ``Action'' scenario are lower 
than 1990 emissions by any nonzero amount.
    (c) This criterion may be met in PM10 and NO2 
nonattainment areas; marginal and below ozone nonattainment areas and 
other ozone nonattainment areas that are not subject to the reasonable 
further progress requirements of CAA section 182(b)(1); and moderate 
with design value less than 12.7 ppm and below CO nonattainment areas if 
a regional emissions analysis that satisfies the requirements of 
Sec. 93.122 and paragraphs (e) through (h) of this section demonstrates 
that for each analysis year and for each of the pollutants described in 
paragraph (d) of this section, one of the following requirements is met:
    (1) The emissions predicted in the ``Action'' scenario are less than 
the emissions predicted in the ``Baseline'' scenario, and this can be 
reasonably expected to be true in the periods between the analysis 
years; or
    (2) The emissions predicted in the ``Action'' scenario are not 
greater than baseline emissions. Baseline emissions are those estimated 
to have occurred during calendar year 1990, unless the conformity 
implementation plan revision required by Sec. 51.390 of this chapter 
defines the baseline emissions for a PM10 area to be those 
occurring in a different calendar year for which a baseline emissions 
inventory was developed for the purpose of developing a control strategy 
implementation plan.
    (d) Pollutants. The regional emissions analysis must be performed 
for the following pollutants:
    (1) VOC in ozone areas;
    (2) NOX in ozone areas, unless the EPA Administrator 
determines that additional reductions of NOX would not 
contribute to attainment;
    (3) CO in CO areas;
    (4) PM10 in PM10 areas;
    (5) Transportation-related precursors of PM10 in 
PM10 nonattainment and maintenance areas if the EPA Regional 
Administrator or the director of the State air agency has made a finding 
that such precursor emissions from within the area are a significant 
contributor to the PM10 nonattainment problem and has so 
notified the MPO and DOT; and
    (6) NOX in NO2 areas.
    (e) Analysis years. The regional emissions analysis must be 
performed for analysis years that are no more than ten years apart. The 
first analysis year must be no more than five years beyond the year in 
which the conformity determination is being made. The last year of 
transportation plan's forecast period must also be an analysis year.
    (f) ``Baseline'' scenario. The regional emissions analysis required 
by paragraphs (b) and (c) of this section must estimate the emissions 
that would result from the ``Baseline'' scenario in each analysis year. 
The ``Baseline'' scenario must be defined for each of the analysis 
years. The ``Baseline'' scenario is the future transportation system 
that will result from current programs, including the following (except 
that exempt projects listed in Sec. 93.126 and projects exempt from 
regional emissions analysis as listed in Sec. 93.127 need not be 
explicitly considered):
    (1) All in-place regionally significant highway and transit 
facilities, services and activities;
    (2) All ongoing travel demand management or transportation system 
management activities; and
    (3) Completion of all regionally significant projects, regardless of 
funding source, which are currently under construction or are undergoing 
right-of-way acquisition (except for hardship acquisition and protective 
buying); come from the first year of the previously conforming 
transportation plan and/or TIP; or have completed the NEPA process.
    (g) ``Action'' scenario. The regional emissions analysis required by 
paragraphs (b) and (c) of this section must estimate the emissions that 
would result from the ``Action'' scenario in each analysis year. The 
``Action'' scenario must be defined for each of the analysis years. The 
``Action'' scenario is the transportation system that would result from 
the implementation of the proposed action (transportation plan, TIP, or 
project not from a conforming transportation plan and TIP)

[[Page 564]]

and all other expected regionally significant projects in the 
nonattainment area. The ``Action'' scenario must include the following 
(except that exempt projects listed in Sec. 93.126 and projects exempt 
from regional emissions analysis as listed in Sec. 93.127 need not be 
explicitly considered):
    (1) All facilities, services, and activities in the ``Baseline'' 
scenario;
    (2) Completion of all TCMs and regionally significant projects 
(including facilities, services, and activities) specifically identified 
in the proposed transportation plan which will be operational or in 
effect in the analysis year, except that regulatory TCMs may not be 
assumed to begin at a future time unless the regulation is already 
adopted by the enforcing jurisdiction or the TCM is identified in the 
applicable implementation plan;
    (3) All travel demand management programs and transportation system 
management activities known to the MPO, but not included in the 
applicable implementation plan or utilizing any Federal funding or 
approval, which have been fully adopted and/or funded by the enforcing 
jurisdiction or sponsoring agency since the last conformity 
determination;
    (4) The incremental effects of any travel demand management programs 
and transportation system management activities known to the MPO, but 
not included in the applicable implementation plan or utilizing any 
Federal funding or approval, which were adopted and/or funded prior to 
the date of the last conformity determination, but which have been 
modified since then to be more stringent or effective;
    (5) Completion of all expected regionally significant highway and 
transit projects which are not from a conforming transportation plan and 
TIP; and
    (6) Completion of all expected regionally significant non-FHWA/FTA 
highway and transit projects that have clear funding sources and 
commitments leading toward their implementation and completion by the 
analysis year.
    (h) Projects not from a conforming transportation plan and TIP. For 
the regional emissions analysis required by paragraphs (b) and (c) of 
this section, if the project which is not from a conforming 
transportation plan and TIP is a modification of a project currently in 
the plan or TIP, the `Baseline' scenario must include the project with 
its original design concept and scope, and the `Action' scenario must 
include the project with its new design concept and scope.



Sec. 93.120  Consequences of control strategy implementation plan failures.

    (a) Disapprovals. (1) If EPA disapproves any submitted control 
strategy implementation plan revision (with or without a protective 
finding), the conformity status of the transportation plan and TIP shall 
lapse on the date that highway sanctions as a result of the disapproval 
are imposed on the nonattainment area under section 179(b)(1) of the 
CAA. No new transportation plan, TIP, or project may be found to conform 
until another control strategy implementation plan revision fulfilling 
the same CAA requirements is submitted and conformity to this submission 
is determined.
    (2) If EPA disapproves a submitted control strategy implementation 
plan revision without making a protective finding, then beginning 120 
days after such disapproval, only projects in the first three years of 
the currently conforming transportation plan and TIP may be found to 
conform. This means that beginning 120 days after disapproval without a 
protective finding, no transportation plan, TIP, or project not in the 
first three years of the currently conforming plan and TIP may be found 
to conform until another control strategy implementation plan revision 
fulfilling the same CAA requirements is submitted and conformity to this 
submission is determined. During the first 120 days following EPA's 
disapproval without a protective finding, transportation plan, TIP, and 
project conformity determinations shall be made using the motor vehicle 
emissions budget(s) in the disapproved control strategy implementation 
plan, unless another control strategy implementation plan revision has 
been submitted and its motor vehicle emissions budget(s) applies for 
transportation conformity purposes, pursuant to Sec. 93.109.

[[Page 565]]

    (3) In disapproving a control strategy implementation plan revision, 
EPA would give a protective finding where a submitted plan contains 
adopted control measures or written commitments to adopt enforceable 
control measures that fully satisfy the emissions reductions 
requirements relevant to the statutory provision for which the 
implementation plan revision was submitted, such as reasonable further 
progress or attainment.
    (b) Failure to submit and incompleteness. In areas where EPA 
notifies the State, MPO, and DOT of the State's failure to submit a 
control strategy implementation plan or submission of an incomplete 
control strategy implementation plan revision (either of which initiates 
the sanction process under CAA sections 179 or 110(m)), the conformity 
status of the transportation plan and TIP shall lapse on the date that 
highway sanctions are imposed on the nonattainment area for such failure 
under section 179(b)(1) of the CAA, unless the failure has been remedied 
and acknowledged by a letter from the EPA Regional Administrator.
    (c) Federal implementation plans. If EPA promulgates a Federal 
implementation plan that contains motor vehicle emissions budget(s) as a 
result of a State failure, the conformity lapse imposed by this section 
because of that State failure is removed.




Sec. 93.121  Requirements for adoption or approval of projects by other 
recipients of funds designated under title 23 U.S.C. or the Federal Transit 
Laws.

    (a) Except as provided in paragraph (b) of this section, no 
recipient of Federal funds designated under title 23 U.S.C. or the 
Federal Transit Laws shall adopt or approve a regionally significant 
highway or transit project, regardless of funding source, unless the 
recipient finds that the requirements of one of the following are met:
    (1) The project was included in the first three years of the most 
recently conforming transportation plan and TIP (or the conformity 
determination's regional emissions analyses), even if conformity status 
is currently lapsed; and the project's design concept and scope has not 
changed significantly from those analyses; or
    (2) There is a currently conforming transportation plan and TIP, and 
a new regional emissions analysis including the project and the 
currently conforming transportation plan and TIP demonstrates that the 
transportation plan and TIP would still conform if the project were 
implemented (consistent with the requirements of Secs. 93.118 and/or 
93.119 for a project not from a conforming transportation plan and TIP).
    (b) In isolated rural nonattainment and maintenance areas subject to 
Sec. 93.109(g), no recipient of Federal funds designated under title 23 
U.S.C. or the Federal Transit Laws shall adopt or approve a regionally 
significant highway or transit project, regardless of funding source, 
unless the recipient finds that the requirements of one of the following 
are met:
    (1) The project was included in the regional emissions analysis 
supporting the most recent conformity determination for the portion of 
the statewide transportation plan and TIP which are in the nonattainment 
or maintenance area, and the project's design concept and scope has not 
changed significantly; or
    (2) A new regional emissions analysis including the project and all 
other regionally significant projects expected in the nonattainment or 
maintenance area demonstrates that those projects in the statewide 
transportation plan and statewide TIP which are in the nonattainment or 
maintenance area would still conform if the project were implemented 
(consistent with the requirements of Secs. 93.118 and/or 93.119 for 
projects not from a conforming transportation plan and TIP).



Sec. 93.122  Procedures for determining regional transportation-related 
emissions.

    (a) General requirements. (1) The regional emissions analysis 
required by Secs. 93.118 and 93.119 for the transportation plan, TIP, or 
project not from a conforming plan and TIP must include all regionally 
significant projects expected in the nonattainment or maintenance area. 
The analysis shall include FHWA/FTA projects proposed in the 
transportation plan and TIP and all other regionally significant 
projects

[[Page 566]]

which are disclosed to the MPO as required by Sec. 93.105. Projects 
which are not regionally significant are not required to be explicitly 
modeled, but vehicle miles traveled (VMT) from such projects must be 
estimated in accordance with reasonable professional practice. The 
effects of TCMs and similar projects that are not regionally significant 
may also be estimated in accordance with reasonable professional 
practice.
    (2) The emissions analysis may not include for emissions reduction 
credit any TCMs or other measures in the applicable implementation plan 
which have been delayed beyond the scheduled date(s) until such time as 
their implementation has been assured. If the measure has been partially 
implemented and it can be demonstrated that it is providing quantifiable 
emission reduction benefits, the emissions analysis may include that 
emissions reduction credit.
    (3) Emissions reduction credit from projects, programs, or 
activities which require a regulatory action in order to be implemented 
may not be included in the emissions analysis unless:
    (i) The regulatory action is already adopted by the enforcing 
jurisdiction;
    (ii) The project, program, or activity is included in the applicable 
implementation plan;
    (iii) The control strategy implementation plan submission or 
maintenance plan submission that establishes the motor vehicle emissions 
budget(s) for the purposes of Sec. 93.118 contains a written commitment 
to the project, program, or activity by the agency with authority to 
implement it; or
    (iv) EPA has approved an opt-in to a Federally enforced program, EPA 
has promulgated the program (if the control program is a Federal 
responsibility, such as vehicle tailpipe standards), or the Clean Air 
Act requires the program without need for individual State action and 
without any discretionary authority for EPA to set its stringency, delay 
its effective date, or not implement the program.
    (4) Emissions reduction credit from control measures that are not 
included in the transportation plan and TIP and that do not require a 
regulatory action in order to be implemented may not be included in the 
emissions analysis unless the conformity determination includes written 
commitments to implementation from the appropriate entities.
    (i) Persons or entities voluntarily committing to control measures 
must comply with the obligations of such commitments.
    (ii) The conformity implementation plan revision required in 
Sec. 51.390 of this chapter must provide that written commitments to 
control measures that are not included in the transportation plan and 
TIP must be obtained prior to a conformity determination and that such 
commitments must be fulfilled.
    (5) A regional emissions analysis for the purpose of satisfying the 
requirements of Sec. 93.119 must make the same assumptions in both the 
``Baseline'' and ``Action'' scenarios regarding control measures that 
are external to the transportation system itself, such as vehicle 
tailpipe or evaporative emission standards, limits on gasoline 
volatility, vehicle inspection and maintenance programs, and oxygenated 
or reformulated gasoline or diesel fuel.
    (6) The ambient temperatures used for the regional emissions 
analysis shall be consistent with those used to establish the emissions 
budget in the applicable implementation plan. All other factors, for 
example the fraction of travel in a hot stabilized engine mode, must be 
consistent with the applicable implementation plan, unless modified 
after interagency consultation according to Sec. 93.105(c)(1)(i) to 
incorporate additional or more geographically specific information or 
represent a logically estimated trend in such factors beyond the period 
considered in the applicable implementation plan.
    (7) Reasonable methods shall be used to estimate nonattainment or 
maintenance area VMT on off-network roadways within the urban 
transportation planning area, and on roadways outside the urban 
transportation planning area.
    (b) Regional emissions analysis in serious, severe, and extreme 
ozone nonattainment areas and serious CO nonattainment areas must meet 
the requirements of paragraphs (b) (1)

[[Page 567]]

through (3) of this section if their metropolitan planning area contains 
an urbanized area population over 200,000.
    (1) By January 1, 1997, estimates of regional transportation-related 
emissions used to support conformity determinations must be made at a 
minimum using network-based travel models according to procedures and 
methods that are available and in practice and supported by current and 
available documentation. These procedures, methods, and practices are 
available from DOT and will be updated periodically. Agencies must 
discuss these modeling procedures and practices through the interagency 
consultation process, as required by Sec. 93.105(c)(1)(i). Network-based 
travel models must at a minimum satisfy the following requirements:
    (i) Network-based travel models must be validated against observed 
counts (peak and off-peak, if possible) for a base year that is not more 
than 10 years prior to the date of the conformity determination. Model 
forecasts must be analyzed for reasonableness and compared to historical 
trends and other factors, and the results must be documented;
    (ii) Land use, population, employment, and other network-based 
travel model assumptions must be documented and based on the best 
available information;
    (iii) Scenarios of land development and use must be consistent with 
the future transportation system alternatives for which emissions are 
being estimated. The distribution of employment and residences for 
different transportation options must be reasonable;
    (iv) A capacity-sensitive assignment methodology must be used, and 
emissions estimates must be based on a methodology which differentiates 
between peak and off-peak link volumes and speeds and uses speeds based 
on final assigned volumes;
    (v) Zone-to-zone travel impedances used to distribute trips between 
origin and destination pairs must be in reasonable agreement with the 
travel times that are estimated from final assigned traffic volumes. 
Where use of transit currently is anticipated to be a significant factor 
in satisfying transportation demand, these times should also be used for 
modeling mode splits; and
    (vi) Network-based travel models must be reasonably sensitive to 
changes in the time(s), cost(s), and other factors affecting travel 
choices.
    (2) Reasonable methods in accordance with good practice must be used 
to estimate traffic speeds and delays in a manner that is sensitive to 
the estimated volume of travel on each roadway segment represented in 
the network-based travel model.
    (3) Highway Performance Monitoring System (HPMS) estimates of 
vehicle miles traveled (VMT) shall be considered the primary measure of 
VMT within the portion of the nonattainment or maintenance area and for 
the functional classes of roadways included in HPMS, for urban areas 
which are sampled on a separate urban area basis. For areas with 
network-based travel models, a factor (or factors) may be developed to 
reconcile and calibrate the network-based travel model estimates of VMT 
in the base year of its validation to the HPMS estimates for the same 
period. These factors may then be applied to model estimates of future 
VMT. In this factoring process, consideration will be given to 
differences between HPMS and network-based travel models, such as 
differences in the facility coverage of the HPMS and the modeled network 
description. Locally developed count- based programs and other 
departures from these procedures are permitted subject to the 
interagency consultation procedures of Sec. 93.105(c)(1)(i).
    (c) In all areas not otherwise subject to paragraph (b) of this 
section, regional emissions analyses must use those procedures described 
in paragraph (b) of this section if the use of those procedures has been 
the previous practice of the MPO. Otherwise, areas not subject to 
paragraph (b) of this section may estimate regional emissions using any 
appropriate methods that account for VMT growth by, for example, 
extrapolating historical VMT or projecting future VMT by considering 
growth in population and historical growth trends for VMT per person.

[[Page 568]]

These methods must also consider future economic activity, transit 
alternatives, and transportation system policies.
    (d) PM10 from construction-related fugitive dust. (1) For 
areas in which the implementation plan does not identify construction-
related fugitive PM10 as a contributor to the nonattainment 
problem, the fugitive PM10 emissions associated with highway 
and transit project construction are not required to be considered in 
the regional emissions analysis.
    (2) In PM10 nonattainment and maintenance areas with 
implementation plans which identify construction-related fugitive 
PM10 as a contributor to the nonattainment problem, the 
regional PM10 emissions analysis shall consider construction-
related fugitive PM10 and shall account for the level of 
construction activity, the fugitive PM10 control measures in 
the applicable implementation plan, and the dust-producing capacity of 
the proposed activities.
    (e) Reliance on previous regional emissions analysis. (1) The TIP 
may be demonstrated to satisfy the requirements of Secs. 93.118 (``Motor 
vehicle emissions budget'') or 93.119 (``Emission reductions in areas 
without motor vehicle emissions budgets'') without new regional 
emissions analysis if the regional emissions analysis already performed 
for the plan also applies to the TIP. This requires a demonstration 
that:
    (i) The TIP contains all projects which must be started in the TIP's 
timeframe in order to achieve the highway and transit system envisioned 
by the transportation plan;
    (ii) All TIP projects which are regionally significant are included 
in the transportation plan with design concept and scope adequate to 
determine their contribution to the transportation plan's regional 
emissions at the time of the transportation plan's conformity 
determination; and
    (iii) The design concept and scope of each regionally significant 
project in the TIP is not significantly different from that described in 
the transportation plan.
    (2) A project which is not from a conforming transportation plan and 
a conforming TIP may be demonstrated to satisfy the requirements of 
Sec. 93.118 or Sec. 93.119 without additional regional emissions 
analysis if allocating funds to the project will not delay the 
implementation of projects in the transportation plan or TIP which are 
necessary to achieve the highway and transit system envisioned by the 
transportation plan, and if the project is either:
    (i) Not regionally significant; or
    (ii) Included in the conforming transportation plan (even if it is 
not specifically included in the latest conforming TIP) with design 
concept and scope adequate to determine its contribution to the 
transportation plan's regional emissions at the time of the 
transportation plan's conformity determination, and the design concept 
and scope of the project is not significantly different from that 
described in the transportation plan.



Sec. 93.123  Procedures for determining localized CO and PM10 
concentrations (hot-spot analysis).

    (a) CO hot-spot analysis. (1) The demonstrations required by 
Sec. 93.116 (``Localized CO and PM10 violations'') must be 
based on quantitative analysis using the applicable air quality models, 
data bases, and other requirements specified in 40 CFR part 51, Appendix 
W (Guideline on Air Quality Models). These procedures shall be used in 
the following cases, unless different procedures developed through the 
interagency consultation process required in Sec. 93.105 and approved by 
the EPA Regional Administrator are used:
    (i) For projects in or affecting locations, areas, or categories of 
sites which are identified in the applicable implementation plan as 
sites of violation or possible violation;
    (ii) For projects affecting intersections that are at Level-of-
Service D, E, or F, or those that will change to Level-of-Service D, E, 
or F because of increased traffic volumes related to the project;
    (iii) For any project affecting one or more of the top three 
intersections in the nonattainment or maintenance area with highest 
traffic volumes, as identified in the applicable implementation plan; 
and

[[Page 569]]

    (iv) For any project affecting one or more of the top three 
intersections in the nonattainment or maintenance area with the worst 
level of service, as identified in the applicable implementation plan.
    (2) In cases other than those described in paragraph (a)(1) of this 
section, the demonstrations required by Sec. 93.116 may be based on 
either:
    (i) Quantitative methods that represent reasonable and common 
professional practice; or
    (ii) A qualitative consideration of local factors, if this can 
provide a clear demonstration that the requirements of Sec. 93.116 are 
met.
    (b) PM10 hot-spot analysis. (1) The hot-spot 
demonstration required by Sec. 93.116 must be based on quantitative 
analysis methods for the following types of projects:
    (i) Projects which are located at sites at which violations have 
been verified by monitoring;
    (ii) Projects which are located at sites which have vehicle and 
roadway emission and dispersion characteristics that are essentially 
identical to those of sites with verified violations (including sites 
near one at which a violation has been monitored); and
    (iii) New or expanded bus and rail terminals and transfer points 
which increase the number of diesel vehicles congregating at a single 
location.
    (2) Where quantitative analysis methods are not required, the 
demonstration required by Sec. 93.116 may be based on a qualitative 
consideration of local factors.
    (3) The identification of the sites described in paragraph (b)(1) 
(i) and (ii) of this section, and other cases where quantitative methods 
are appropriate, shall be determined through the interagency 
consultation process required in Sec. 93.105. DOT may choose to make a 
categorical conformity determination on bus and rail terminals or 
transfer points based on appropriate modeling of various terminal sizes, 
configurations, and activity levels.
    (4) The requirements for quantitative analysis contained in this 
paragraph (b) will not take effect until EPA releases modeling guidance 
on this subject and announces in the Federal Register that these 
requirements are in effect.
    (c) General requirements. (1) Estimated pollutant concentrations 
must be based on the total emissions burden which may result from the 
implementation of the project, summed together with future background 
concentrations. The total concentration must be estimated and analyzed 
at appropriate receptor locations in the area substantially affected by 
the project.
    (2) Hot-spot analyses must include the entire project, and may be 
performed only after the major design features which will significantly 
impact concentrations have been identified. The future background 
concentration should be estimated by multiplying current background by 
the ratio of future to current traffic and the ratio of future to 
current emission factors.
    (3) Hot-spot analysis assumptions must be consistent with those in 
the regional emissions analysis for those inputs which are required for 
both analyses.
    (4) PM10 or CO mitigation or control measures shall be 
assumed in the hot-spot analysis only where there are written 
commitments from the project sponsor and/or operator to implement such 
measures, as required by Sec. 93.125(a).
    (5) CO and PM10 hot-spot analyses are not required to 
consider construction-related activities which cause temporary increases 
in emissions. Each site which is affected by construction-related 
activities shall be considered separately, using established 
``Guideline'' methods. Temporary increases are defined as those which 
occur only during the construction phase and last five years or less at 
any individual site.



Sec. 93.124  Using the motor vehicle emissions budget in the applicable 
implementation plan (or implementation plan submission).

    (a) In interpreting an applicable implementation plan (or 
implementation plan submission) with respect to its motor vehicle 
emissions budget(s), the MPO and DOT may not infer additions to the 
budget(s) that are not explicitly intended by the implementation plan 
(or submission). Unless the implementation plan explicitly quantifies 
the

[[Page 570]]

amount by which motor vehicle emissions could be higher while still 
allowing a demonstration of compliance with the milestone, attainment, 
or maintenance requirement and explicitly states an intent that some or 
all of this additional amount should be available to the MPO and DOT in 
the emissions budget for conformity purposes, the MPO may not interpret 
the budget to be higher than the implementation plan's estimate of 
future emissions. This applies in particular to applicable 
implementation plans (or submissions) which demonstrate that after 
implementation of control measures in the implementation plan:
    (1) Emissions from all sources will be less than the total emissions 
that would be consistent with a required demonstration of an emissions 
reduction milestone;
    (2) Emissions from all sources will result in achieving attainment 
prior to the attainment deadline and/or ambient concentrations in the 
attainment deadline year will be lower than needed to demonstrate 
attainment; or
    (3) Emissions will be lower than needed to provide for continued 
maintenance.
    (b) If an applicable implementation plan submitted before November 
24, 1993, demonstrates that emissions from all sources will be less than 
the total emissions that would be consistent with attainment and 
quantifies that ``safety margin,'' the State may submit an 
implementation plan revision which assigns some or all of this safety 
margin to highway and transit mobile sources for the purposes of 
conformity. Such an implementation plan revision, once it is endorsed by 
the Governor and has been subject to a public hearing, may be used for 
the purposes of transportation conformity before it is approved by EPA.
    (c) A conformity demonstration shall not trade emissions among 
budgets which the applicable implementation plan (or implementation plan 
submission) allocates for different pollutants or precursors, or among 
budgets allocated to motor vehicles and other sources, unless the 
implementation plan establishes appropriate mechanisms for such trades.
    (d) If the applicable implementation plan (or implementation plan 
submission) estimates future emissions by geographic subarea of the 
nonattainment area, the MPO and DOT are not required to consider this to 
establish subarea budgets, unless the applicable implementation plan (or 
implementation plan submission) explicitly indicates an intent to create 
such subarea budgets for the purposes of conformity.
    (e) If a nonattainment area includes more than one MPO, the 
implementation plan may establish motor vehicle emissions budgets for 
each MPO, or else the MPOs must collectively make a conformity 
determination for the entire nonattainment area.



Sec. 93.125  Enforceability of design concept and scope and project-level 
mitigation and control measures.

    (a) Prior to determining that a transportation project is in 
conformity, the MPO, other recipient of funds designated under title 23 
U.S.C. or the Federal Transit Laws, FHWA, or FTA must obtain from the 
project sponsor and/or operator written commitments to implement in the 
construction of the project and operation of the resulting facility or 
service any project-level mitigation or control measures which are 
identified as conditions for NEPA process completion with respect to 
local PM10 or CO impacts. Before a conformity determination 
is made, written commitments must also be obtained for project-level 
mitigation or control measures which are conditions for making 
conformity determinations for a transportation plan or TIP and are 
included in the project design concept and scope which is used in the 
regional emissions analysis required by Secs. 93.118 (``Motor vehicle 
emissions budget'') and 93.119 (``Emission reductions in areas without 
motor vehicle emissions budgets'') or used in the project-level hot-spot 
analysis required by Sec. 93.116.
    (b) Project sponsors voluntarily committing to mitigation measures 
to facilitate positive conformity determinations must comply with the 
obligations of such commitments.
    (c) The implementation plan revision required in Sec. 51.390 of this 
chapter shall provide that written commitments to mitigation measures 
must be obtained

[[Page 571]]

prior to a positive conformity determination, and that project sponsors 
must comply with such commitments.
    (d) If the MPO or project sponsor believes the mitigation or control 
measure is no longer necessary for conformity, the project sponsor or 
operator may be relieved of its obligation to implement the mitigation 
or control measure if it can demonstrate that the applicable hot-spot 
requirements of Sec. 93.116, emission budget requirements of 
Sec. 93.118, and emission reduction requirements of Sec. 93.119 are 
satisfied without the mitigation or control measure, and so notifies the 
agencies involved in the interagency consultation process required under 
Sec. 93.105. The MPO and DOT must find that the transportation plan and 
TIP still satisfy the applicable requirements of Secs. 93.118 and/or 
93.119 and that the project still satisfies the requirements of 
Sec. 93.116, and therefore that the conformity determinations for the 
transportation plan, TIP, and project are still valid. This finding is 
subject to the applicable public consultation requirements in 
Sec. 93.105(e) for conformity determinations for projects.



Sec. 93.126  Exempt projects.

    Notwithstanding the other requirements of this subpart, highway and 
transit projects of the types listed in Table 2 of this section are 
exempt from the requirement to determine conformity. Such projects may 
proceed toward implementation even in the absence of a conforming 
transportation plan and TIP. A particular action of the type listed in 
Table 2 of this section is not exempt if the MPO in consultation with 
other agencies (see Sec. 93.105(c)(1)(iii)), the EPA, and the FHWA (in 
the case of a highway project) or the FTA (in the case of a transit 
project) concur that it has potentially adverse emissions impacts for 
any reason. States and MPOs must ensure that exempt projects do not 
interfere with TCM implementation. Table 2 follows:

                        Table 2--Exempt Projects

                                 Safety

Railroad/highway crossing.
Hazard elimination program.
Safer non-Federal-aid system roads.
Shoulder improvements.
Increasing sight distance.
Safety improvement program.
Traffic control devices and operating assistance other than 
signalization projects.
Railroad/highway crossing warning devices.
Guardrails, median barriers, crash cushions.
Pavement resurfacing and/or rehabilitation.
Pavement marking demonstration.
Emergency relief (23 U.S.C. 125).
Fencing.
Skid treatments.
Safety roadside rest areas.
Adding medians.
Truck climbing lanes outside the urbanized area.
Lighting improvements.
Widening narrow pavements or reconstructing bridges (no additional 
travel lanes).
Emergency truck pullovers.

                              Mass Transit

Operating assistance to transit agencies.
Purchase of support vehicles.
Rehabilitation of transit vehicles \1\.
Purchase of office, shop, and operating equipment for existing 
facilities.
Purchase of operating equipment for vehicles (e.g., radios, fareboxes, 
lifts, etc.).
Construction or renovation of power, signal, and communications systems.
Construction of small passenger shelters and information kiosks.
Reconstruction or renovation of transit buildings and structures (e.g., 
rail or bus buildings, storage and maintenance facilities, stations, 
terminals, and ancillary structures).
Rehabilitation or reconstruction of track structures, track, and 
trackbed in existing rights-of-way.
Purchase of new buses and rail cars to replace existing vehicles or for 
minor expansions of the fleet \1\.
Construction of new bus or rail storage/maintenance facilities 
categorically excluded in 23 CFR part 771.

                               Air Quality

Continuation of ride-sharing and van-pooling promotion activities at 
current levels.
Bicycle and pedestrian facilities.

                                  Other

Specific activities which do not involve or lead directly to 
construction, such as:
    Planning and technical studies.
    Grants for training and research programs.
    Planning activities conducted pursuant to titles 23 and 49 U.S.C.
    Federal-aid systems revisions.
Engineering to assess social, economic, and environmental effects of the 
proposed action or alternatives to that action.
Noise attenuation.

[[Page 572]]

Emergency or hardship advance land acquisitions (23 CFR 712.204(d)).
Acquisition of scenic easements.
Plantings, landscaping, etc.
Sign removal.
Directional and informational signs.
Transportation enhancement activities (except rehabilitation and 
operation of historic transportation buildings, structures, or 
facilities).
Repair of damage caused by natural disasters, civil unrest, or terrorist 
acts, except projects involving substantial functional, locational or 
capacity changes.
    Note: \1\In PM10 nonattainment or maintenance areas, such 
projects are exempt only if they are in compliance with control measures 
in the applicable implementation plan.



Sec. 93.127  Projects exempt from regional emissions analyses.

    Notwithstanding the other requirements of this subpart, highway and 
transit projects of the types listed in Table 3 of this section are 
exempt from regional emissions analysis requirements. The local effects 
of these projects with respect to CO or PM10 concentrations 
must be considered to determine if a hot-spot analysis is required prior 
to making a project-level conformity determination. These projects may 
then proceed to the project development process even in the absence of a 
conforming transportation plan and TIP. A particular action of the type 
listed in Table 3 of this section is not exempt from regional emissions 
analysis if the MPO in consultation with other agencies (see 
Sec. 93.105(c)(1)(iii)), the EPA, and the FHWA (in the case of a highway 
project) or the FTA (in the case of a transit project) concur that it 
has potential regional impacts for any reason. Table 3 follows:

        Table 3--Projects Exempt From Regional Emissions Analyses

Intersection channelization projects.
Intersection signalization projects at individual intersections.
Interchange reconfiguration projects.
Changes in vertical and horizontal alignment.
Truck size and weight inspection stations.
Bus terminals and transfer points.



Sec. 93.128  Traffic signal synchronization projects.

    Traffic signal synchronization projects may be approved, funded, and 
implemented without satisfying the requirements of this subpart. 
However, all subsequent regional emissions analyses required by 
Secs. 93.118 and 93.119 for transportation plans, TIPs, or projects not 
from a conforming plan and TIP must include such regionally significant 
traffic signal synchronization projects.



Sec. 93.129  Special exemptions from conformity requirements for pilot program 
areas.

    EPA and DOT may exempt no more than six areas for no more than three 
years from certain requirements of this subpart if these areas are 
selected to participate in a conformity pilot program and have developed 
alternative requirements that have been approved by EPA as an 
implementation plan revision in accordance with Sec. 51.390 of this 
chapter. For the duration of the pilot program, areas selected to 
participate in the pilot program must comply with the conformity 
requirements of the pilot area's implementation plan revision for 
Sec. 51.390 of this chapter and all other requirements in 40 CFR parts 
51 and 93 that are not covered by the pilot area's implementation plan 
revision for Sec. 51.390 of this chapter. The alternative conformity 
requirements in conjunction with any applicable state and/or federal 
conformity requirements must be proposed to fulfill all of the 
requirements of and achieve results equivalent to or better than section 
176(c) of the Clean Air Act. After the three-year duration of the pilot 
program has expired, areas will again be subject to all of the 
requirements of this subpart and 40 CFR part 51, subpart T, and/or to 
the requirements of any implementation plan revision that was previously 
approved by EPA in accordance with Sec. 51.390 of this chapter.

[64 FR 13483, Mar. 18, 1999]



Subpart B--Determining Conformity of General Federal Actions to State or 
                      Federal Implementation Plans

    Source: 58 FR 63253, Nov. 30, 1993, unless otherwise noted.

[[Page 573]]



Sec. 93.150  Prohibition.

    (a) No department, agency or instrumentality of the Federal 
Government shall engage in, support in any way or provide financial 
assistance for, license or permit, or approve any activity which does 
not conform to an applicable implementation plan.
    (b) A Federal agency must make a determination that a Federal action 
conforms to the applicable implementation plan in accordance with the 
requirements of this subpart before the action is taken.
    (c) Paragraph (b) of this section does not include Federal actions 
where:
    (1) A National Environmental Policy Act (NEPA) analysis was 
completed as evidenced by a final environmental assessment (EA), 
environmental impact statement (EIS), or finding of no significant 
impact (FONSI) that was prepared prior to January 31, 1994; or
    (2)(i) Prior to January 31, 1994, an environmental analysis was 
commenced or a contract was awarded to develop the specific 
environmental analysis;
    (ii) Sufficient environmental analysis is completed by March 15, 
1994 so that the Federal agency may determine that the Federal action is 
in conformity with the specific requirements and the purposes of the 
applicable SIP pursuant to the agency's affirmative obligation under 
section 176(c) of the Clean Air Act (Act); and
    (iii) A written determination of conformity under section 176(c) of 
the Act has been made by the Federal agency responsible for the Federal 
action by March 15, 1994.
    (d) Notwithstanding any provision of this subpart, a determination 
that an action is in conformance with the applicable implementation plan 
does not exempt the action from any other requirements of the applicable 
implementation plan, the National Environmental Policy Act (NEPA), or 
the Clean Air Act (Act).

[58 FR 63253, Nov. 30, 1993; 58 FR 67442, Dec. 21, 1993]



Sec. 93.151  State implementation plan (SIP) revision.

    The Federal conformity rules under this subpart, in addition to any 
existing applicable State requirements, establish the conformity 
criteria and procedures necessary to meet the Act requirements until 
such time as the required conformity SIP revision is approved by EPA. A 
State's conformity provisions must contain criteria and procedures that 
are no less stringent than the requirements described in this subpart. A 
State may establish more stringent conformity criteria and procedures 
only if they apply equally to nonfederal as well as Federal entities. 
Following EPA approval of the State conformity provisions (or a portion 
thereof) in a revision to the applicable SIP, the approved (or approved 
portion of the) State criteria and procedures would govern conformity 
determinations and the Federal conformity regulations contained in this 
part would apply only for the portion, if any, of the State's conformity 
provisions that is not approved by EPA. In addition, any previously 
applicable SIP requirements relating to conformity remain enforceable 
until the State revises its SIP to specifically remove them from the SIP 
and that revision is approved by EPA.



Sec. 93.152  Definitions.

    Terms used but not defined in this part shall have the meaning given 
them by the Act and EPA's regulations (40 CFR chapter I), in that order 
of priority.
    Affected Federal land manager means the Federal agency or the 
Federal official charged with direct responsibility for management of an 
area designated as Class I under the Act (42 U.S.C. 7472) that is 
located within 100 km of the proposed Federal action.
    Applicable implementation plan or applicable SIP means the portion 
(or portions) of the SIP or most recent revision thereof, which has been 
approved under section 110 of the Act, or promulgated under section 
110(c) of the Act (Federal implementation plan), or promulgated or 
approved pursuant to regulations promulgated under section 301(d) of the 
Act and which implements the relevant requirements of the Act.
    Areawide air quality modeling analysis means an assessment on a 
scale that includes the entire nonattainment or maintenance area which 
uses an air

[[Page 574]]

quality dispersion model to determine the effects of emissions on air 
quality.
    Cause or contribute to a new violation means a Federal action that:
    (1) Causes a new violation of a national ambient air quality 
standard (NAAQS) at a location in a nonattainment or maintenance area 
which would otherwise not be in violation of the standard during the 
future period in question if the Federal action were not taken; or
    (2) Contributes, in conjunction with other reasonably foreseeable 
actions, to a new violation of a NAAQS at a location in a nonattainment 
or maintenance area in a manner that would increase the frequency or 
severity of the new violation.
    Caused by, as used in the terms ``direct emissions'' and ``indirect 
emissions,'' means emissions that would not otherwise occur in the 
absence of the Federal action.
    Criteria pollutant or standard means any pollutant for which there 
is established a NAAQS at 40 CFR part 50.
    Direct emissions means those emissions of a criteria pollutant or 
its precursors that are caused or initiated by the Federal action and 
occur at the same time and place as the action.
    Emergency means a situation where extremely quick action on the part 
of the Federal agencies involved is needed and where the timing of such 
Federal activities makes it impractical to meet the requirements of this 
subpart, such as natural disasters like hurricanes or earthquakes, civil 
disturbances such as terrorist acts and military mobilizations.
    Emissions budgets are those portions of the applicable SIP's 
projected emission inventories that describe the levels of emissions 
(mobile, stationary, area, etc.) that provide for meeting reasonable 
further progress milestones, attainment, and/or maintenance for any 
criteria pollutant or its precursors.
    Emissions offsets, for purposes of Sec. 93.158, are emissions 
reductions which are quantifiable, consistent with the applicable SIP 
attainment and reasonable further progress demonstrations, surplus to 
reductions required by, and credited to, other applicable SIP 
provisions, enforceable at both the State and Federal levels, and 
permanent within the timeframe specified by the program.
    Emissions that a Federal agency has a continuing program 
responsibility for means emissions that are specifically caused by an 
agency carrying out its authorities, and does not include emissions that 
occur due to subsequent activities, unless such activities are required 
by the Federal agency. When an agency, in performing its normal program 
responsibilities, takes actions itself or imposes conditions that result 
in air pollutant emissions by a non-Federal entity taking subsequent 
actions, such emissions are covered by the meaning of a continuing 
program responsibility.
    EPA means the Environmental Protection Agency.
    Federal action means any activity engaged in by a department, 
agency, or instrumentality of the Federal government, or any activity 
that a department, agency or instrumentality of the Federal government 
supports in any way, provides financial assistance for, licenses, 
permits, or approves, other than activities related to transportation 
plans, programs, and projects developed, funded, or approved under title 
23 U.S.C. or the Federal Transit Act (49 U.S.C. 1601 et seq.). Where the 
Federal action is a permit, license, or other approval for some aspect 
of a non-Federal undertaking, the relevant activity is the part, 
portion, or phase of the non-Federal undertaking that requires the 
Federal permit, license, or approval.
    Federal agency means, for purposes of this subpart, a Federal 
department, agency, or instrumentality of the Federal government.
    Increase the frequency or severity of any existing violation of any 
standard in any area means to cause a nonattainment area to exceed a 
standard more often or to cause a violation at a greater concentration 
than previously existed and/or would otherwise exist during the future 
period in question, if the project were not implemented.
    Indirect emissions means those emissions of a criteria pollutant or 
its precursors that:
    (1) Are caused by the Federal action, but may occur later in time 
and/or may be further removed in distance from

[[Page 575]]

the action itself but are still reasonably foreseeable; and
    (2) The Federal agency can practicably control and will maintain 
control over due to a continuing program responsibility of the Federal 
agency.
    Local air quality modeling analysis means an assessment of localized 
impacts on a scale smaller than the entire nonattainment or maintenance 
area, including, for example, congested roadway intersections and 
highways or transit terminals, which uses an air quality dispersion 
model to determine the effects of emissions on air quality.
    Maintenance area means an area with a maintenance plan approved 
under section 175A of the Act.
    Maintenance plan means a revision to the applicable SIP, meeting the 
requirements of section 175A of the Act.
    Metropolitan Planning Organization (MPO) is that organization 
designated as being responsible, together with the State, for conducting 
the continuing, cooperative, and comprehensive planning process under 23 
U.S.C. 134 and 49 U.S.C. 1607.
    Milestone has the meaning given in sections 182(g)(1) and 189(c)(1) 
of the Act.
    National ambient air quality standards (NAAQS) are those standards 
established pursuant to section 109 of the Act and include standards for 
carbon monoxide (CO), lead (Pb), nitrogen dioxide (NO2), 
ozone, particulate matter (PM-10), and sulfur dioxide (SO2).
    NEPA is the National Environmental Policy Act of 1969, as amended 
(42 U.S.C. 4321 et seq.).
    Nonattainment area means an area designated as nonattainment under 
section 107 of the Act and described in 40 CFR part 81.
    Precursors of a criteria pollutant are:
    (1) For ozone, nitrogen oxides (NOx), unless an area is exempted 
from NOx requirements under section 182(f) of the Act, and volatile 
organic compounds (VOC); and
    (2) For PM-10, those pollutants described in the PM-10 nonattainment 
area applicable SIP as significant contributors to the PM-10 levels.
    Reasonably foreseeable emissions are projected future indirect 
emissions that are identified at the time the conformity determination 
is made; the location of such emissions is known and the emissions are 
quantifiable, as described and documented by the Federal agency based on 
its own information and after reviewing any information presented to the 
Federal agency.
    Regional water and/or wastewater projects include construction, 
operation, and maintenance of water or wastewater conveyances, water or 
wastewater treatment facilities, and water storage reservoirs which 
affect a large portion of a nonattainment or maintenance area.
    Regionally significant action means a Federal action for which the 
direct and indirect emissions of any pollutant represent 10 percent or 
more of a nonattainment or maintenance area's emission inventory for 
that pollutant.
    Total of direct and indirect emissions means the sum of direct and 
indirect emissions increases and decreases caused by the Federal action; 
i.e., the ``net'' emissions considering all direct and indirect 
emissions. The portion of emissions which are exempt or presumed to 
conform under Sec. 93.153 (c), (d), (e), or (f) are not included in the 
``total of direct and indirect emissions.'' The ``total of direct and 
indirect emissions'' includes emissions of criteria pollutants and 
emissions of precursors of criteria pollutants.



Sec. 93.153  Applicability.

    (a) Conformity determinations for Federal actions related to 
transportation plans, programs, and projects developed, funded, or 
approved under title 23 U.S.C. or the Federal Transit Act (49 U.S.C. 
1601 et seq.) must meet the procedures and criteria of 40 CFR part 51, 
subpart T, in lieu of the procedures set forth in this subpart.
    (b) For Federal actions not covered by paragraph (a) of this 
section, a conformity determination is required for each pollutant where 
the total of direct and indirect emissions in a nonattainment or 
maintenance area caused by a Federal action would equal or exceed any of 
the rates in paragraphs (b)(1) or (2) of this section.
    (1) For purposes of paragraph (b) of this section, the following 
rates apply in nonattainment areas (NAA's):

[[Page 576]]



------------------------------------------------------------------------
                                                                  Tons/
                                                                   year
------------------------------------------------------------------------
Ozone (VOC's or NOX):
  Serious NAA's................................................       50
  Severe NAA's.................................................       25
  Extreme NAA's................................................       10
  Other ozone NAA's outside an ozone transport region..........      100
  Marginal and moderate NAA's inside an ozone transport region:
  VOC..........................................................       50
  NOX..........................................................      100
Carbon monoxide:
  All NAA's....................................................      100
SO2 or NO2
  All NAA's....................................................      100
PM-10:
  Moderate NAA's...............................................      100
  Serious NAA's................................................       70
Pb:
  All NAA's....................................................       25
------------------------------------------------------------------------

    (2) For purposes of paragraph (b) of this section, the following 
rates apply in maintenance areas:

------------------------------------------------------------------------
                                                                  Tons/
                                                                   year
------------------------------------------------------------------------
Ozone (NOX), SO2 or NO2
  All Maintenance Areas........................................      100
Ozone (VOC's):
  Maintenance areas inside an ozone transport region...........       50
  Maintenance areas outside an ozone transport region..........      100
Carbon monoxide:
  All Maintenance Areas........................................      100
PM-10:
  All Maintenance Areas........................................      100
Pb:
  All Maintenance Areas........................................       25
------------------------------------------------------------------------

    (c) The requirements of this subpart shall not apply to the 
following Federal actions:
    (1) Actions where the total of direct and indirect emissions are 
below the emissions levels specified in paragraph (b) of this section.
    (2) Actions which would result in no emissions increase or an 
increase in emissions that is clearly de minimis:
    (i) Judicial and legislative proceedings.
    (ii) Continuing and recurring activities such as permit renewals 
where activities conducted will be similar in scope and operation to 
activities currently being conducted.
    (iii) Rulemaking and policy development and issuance.
    (iv) Routine maintenance and repair activities, including repair and 
maintenance of administrative sites, roads, trails, and facilities.
    (v) Civil and criminal enforcement activities, such as 
investigations, audits, inspections, examinations, prosecutions, and the 
training of law enforcement personnel.
    (vi) Administrative actions such as personnel actions, 
organizational changes, debt management or collection, cash management, 
internal agency audits, program budget proposals, and matters relating 
to the administration and collection of taxes, duties and fees.
    (vii) The routine, recurring transportation of materiel and 
personnel.
    (viii) Routine movement of mobile assets, such as ships and 
aircraft, in home port reassignments and stations (when no new support 
facilities or personnel are required) to perform as operational groups 
and/or for repair or overhaul.
    (ix) Maintenance dredging and debris disposal where no new depths 
are required, applicable permits are secured, and disposal will be at an 
approved disposal site.
    (x) Actions, such as the following, with respect to existing 
structures, properties, facilities and lands where future activities 
conducted will be similar in scope and operation to activities currently 
being conducted at the existing structures, properties, facilities, and 
lands; for example, relocation of personnel, disposition of federally-
owned existing structures, properties, facilities, and lands, rent 
subsidies, operation and maintenance cost subsidies, the exercise of 
receivership or conservatorship authority, assistance in purchasing 
structures, and the production of coins and currency.
    (xi) The granting of leases, licenses such as for exports and trade, 
permits, and easements where activities conducted will be similar in 
scope and operation to activities currently being conducted.
    (xii) Planning, studies, and provision of technical assistance.
    (xiii) Routine operation of facilities, mobile assets and equipment.
    (xiv) Transfers of ownership, interests, and titles in land, 
facilities, and real and personal properties, regardless of the form or 
method of the transfer.

[[Page 577]]

    (xv) The designation of empowerment zones, enterprise communities, 
or viticultural areas.
    (xvi) Actions by any of the Federal banking agencies or the Federal 
Reserve Banks, including actions regarding charters, applications, 
notices, licenses, the supervision or examination of depository 
institutions or depository institution holding companies, access to the 
discount window, or the provision of financial services to banking 
organizations or to any department, agency or instrumentality of the 
United States.
    (xvii) Actions by the Board of Governors of the Federal Reserve 
System or any Federal Reserve Bank necessary to effect monetary or 
exchange rate policy.
    (xviii) Actions that implement a foreign affairs function of the 
United States.
    (xix) Actions (or portions thereof) associated with transfers of 
land, facilities, title, and real properties through an enforceable 
contract or lease agreement where the delivery of the deed is required 
to occur promptly after a specific, reasonable condition is met, such as 
promptly after the land is certified as meeting the requirements of 
CERCLA, and where the Federal agency does not retain continuing 
authority to control emissions associated with the lands, facilities, 
title, or real properties.
    (xx) Transfers of real property, including land, facilities, and 
related personal property from a Federal entity to another Federal 
entity and assignments of real property, including land, facilities, and 
related personal property from a Federal entity to another Federal 
entity for subsequent deeding to eligible applicants.
    (xxi) Actions by the Department of the Treasury to effect fiscal 
policy and to exercise the borrowing authority of the United States.
    (3) Actions where the emissions are not reasonably foreseeable, such 
as the following:
    (i) Initial Outer Continental Shelf lease sales which are made on a 
broad scale and are followed by exploration and development plans on a 
project level.
    (ii) Electric power marketing activities that involve the 
acquisition, sale and transmission of electric energy.
    (4) Actions which implement a decision to conduct or carry out a 
conforming program such as prescribed burning actions which are 
consistent with a conforming land management plan.
    (d) Notwithstanding the other requirements of this subpart, a 
conformity determination is not required for the following Federal 
actions (or portion thereof):
    (1) The portion of an action that includes major new or modified 
stationary sources that require a permit under the new source review 
(NSR) program (section 173 of the Act) or the prevention of significant 
deterioration program (title I, part C of the Act).
    (2) Actions in response to emergencies or natural disasters such as 
hurricanes, earthquakes, etc., which are commenced on the order of hours 
or days after the emergency or disaster and, if applicable, which meet 
the requirements of paragraph (e) of this section.
    (3) Research, investigations, studies, demonstrations, or training 
(other than those exempted under paragraph (c)(2) of this section), 
where no environmental detriment is incurred and/or, the particular 
action furthers air quality research, as determined by the State agency 
primarily responsible for the applicable SIP;
    (4) Alteration and additions of existing structures as specifically 
required by new or existing applicable environmental legislation or 
environmental regulations (e.g., hush houses for aircraft engines and 
scrubbers for air emissions).
    (5) Direct emissions from remedial and removal actions carried out 
under the Comprehensive Environmental Response, Compensation and 
Liability Act and associated regulations to the extent such emissions 
either comply with the substantive requirements of the PSD/NSR 
permitting program or are exempted from other environmental regulation 
under the provisions of CERCLA and applicable regulations issued under 
CERCLA.
    (e) Federal actions which are part of a continuing response to an 
emergency

[[Page 578]]

or disaster under paragraph (d)(2) of this section and which are to be 
taken more than 6 months after the commencement of the response to the 
emergency or disaster under paragraph (d)(2) of this section are exempt 
from the requirements of this subpart only if:
    (1) The Federal agency taking the actions makes a written 
determination that, for a specified period not to exceed an additional 6 
months, it is impractical to prepare the conformity analyses which would 
otherwise be required and the actions cannot be delayed due to 
overriding concerns for public health and welfare, national security 
interests and foreign policy commitments; or
    (2) For actions which are to be taken after those actions covered by 
paragraph (e)(1) of this section, the Federal agency makes a new 
determination as provided in paragraph (e)(1) of this section.
    (f) Notwithstanding other requirements of this subpart, actions 
specified by individual Federal agencies that have met the criteria set 
forth in either paragraph (g)(1) or (g)(2) of this section and the 
procedures set forth in paragraph (h) of this section are presumed to 
conform, except as provided in paragraph (j) of this section.
    (g) The Federal agency must meet the criteria for establishing 
activities that are presumed to conform by fulfilling the requirements 
set forth in either paragraph (g)(1) or (g)(2) of this section:
    (1) The Federal agency must clearly demonstrate using methods 
consistent with this subpart that the total of direct and indirect 
emissions from the type of activities which would be presumed to conform 
would not:
    (i) Cause or contribute to any new violation of any standard in any 
area;
    (ii) Interfere with provisions in the applicable SIP for maintenance 
of any standard;
    (iii) Increase the frequency or severity of any existing violation 
of any standard in any area; or
    (iv) Delay timely attainment of any standard or any required interim 
emission reductions or other milestones in any area including, where 
applicable, emission levels specified in the applicable SIP for purposes 
of:
    (A) A demonstration of reasonable further progress;
    (B) A demonstration of attainment; or
    (C) A maintenance plan; or
    (2) The Federal agency must provide documentation that the total of 
direct and indirect emissions from such future actions would be below 
the emission rates for a conformity determination that are established 
in paragraph (b) of this section, based, for example, on similar actions 
taken over recent years.
    (h) In addition to meeting the criteria for establishing exemptions 
set forth in paragraphs (g)(1) or (g)(2) of this section, the following 
procedures must also be complied with to presume that activities will 
conform:
    (1) The Federal agency must identify through publication in the 
Federal Register its list of proposed activities that are presumed to 
conform and the basis for the presumptions;
    (2) The Federal agency must notify the appropriate EPA Regional 
Office(s), State and local air quality agencies and, where applicable, 
the agency designated under section 174 of the Act and the MPO and 
provide at least 30 days for the public to comment on the list of 
proposed activities presumed to conform;
    (3) The Federal agency must document its response to all the 
comments received and make the comments, response, and final list of 
activities available to the public upon request; and
    (4) The Federal agency must publish the final list of such 
activities in the Federal Register.
    (i) Notwithstanding the other requirements of this subpart, when the 
total of direct and indirect emissions of any pollutant from a Federal 
action does not equal or exceed the rates specified in paragraph (b) of 
this section, but represents 10 percent or more of a nonattainment or 
maintenance area's total emissions of that pollutant, the action is 
defined as a regionally significant action and the requirements of 
Sec. 93.150 and Secs. 93.155 through 93.160 shall apply for the Federal 
action.

[[Page 579]]

    (j) Where an action otherwise presumed to conform under paragraph 
(f) of this section is a regionally significant action or does not in 
fact meet one of the criteria in paragraph (g)(1) of this section, that 
action shall not be presumed to conform and the requirements of 
Sec. 93.150 and Secs. 93.155 through 93.160 shall apply for the Federal 
action.
    (k) The provisions of this subpart shall apply in all nonattainment 
and maintenance areas.



Sec. 93.154  Conformity analysis.

    Any Federal department, agency, or instrumentality of the Federal 
government taking an action subject to this subpart must make its own 
conformity determination consistent with the requirements of this 
subpart. In making its conformity determination, a Federal agency must 
consider comments from any interested parties. Where multiple Federal 
agencies have jurisdiction for various aspects of a project, a Federal 
agency may choose to adopt the analysis of another Federal agency or 
develop its own analysis in order to make its conformity determination.



Sec. 93.155  Reporting requirements.

    (a) A Federal agency making a conformity determination under 
Sec. 93.158 must provide to the appropriate EPA Regional Office(s), 
State and local air quality agencies and, where applicable, affected 
Federal land managers, the agency designated under section 174 of the 
Act and the MPO a 30 day notice which describes the proposed action and 
the Federal agency's draft conformity determination on the action.
    (b) A Federal agency must notify the appropriate EPA Regional 
Office(s), State and local air quality agencies and, where applicable, 
affected Federal land managers, the agency designated under section 174 
of the Clean Air Act and the MPO within 30 days after making a final 
conformity determination under Sec. 93.158.



Sec. 93.156  Public participation.

    (a) Upon request by any person regarding a specific Federal action, 
a Federal agency must make available for review its draft conformity 
determination under Sec. 93.158 with supporting materials which describe 
the analytical methods and conclusions relied upon in making the 
applicability analysis and draft conformity determination.
    (b) A Federal agency must make public its draft conformity 
determination under Sec. 93.158 by placing a notice by prominent 
advertisement in a daily newspaper of general circulation in the area 
affected by the action and by providing 30 days for written public 
comment prior to taking any formal action on the draft determination. 
This comment period may be concurrent with any other public involvement, 
such as occurs in the NEPA process.
    (c) A Federal agency must document its response to all the comments 
received on its draft conformity determination under Sec. 93.158 and 
make the comments and responses available, upon request by any person 
regarding a specific Federal action, within 30 days of the final 
conformity determination.
    (d) A Federal agency must make public its final conformity 
determination under Sec. 93.158 for a Federal action by placing a notice 
by prominent advertisement in a daily newspaper of general circulation 
in the area affected by the action within 30 days of the final 
conformity determination.



Sec. 93.157  Frequency of conformity determinations.

    (a) The conformity status of a Federal action automatically lapses 5 
years from the date a final conformity determination is reported under 
Sec. 93.155, unless the Federal action has been completed or a 
continuous program has been commenced to implement that Federal action 
within a reasonable time.
    (b) Ongoing Federal activities at a given site showing continuous 
progress are not new actions and do not require periodic 
redeterminations so long as such activities are within the scope of the 
final conformity determination reported under Sec. 93.155.
    (c) If, after the conformity determination is made, the Federal 
action is changed so that there is an increase in the total of direct 
and indirect emissions, above the levels in Sec. 93.153(b), a new 
conformity determination is required.

[[Page 580]]



Sec. 93.158  Criteria for determining conformity of general Federal actions.

    (a) An action required under Sec. 93.153 to have a conformity 
determination for a specific pollutant, will be determined to conform to 
the applicable SIP if, for each pollutant that exceeds the rates in 
Sec. 93.153(b), or otherwise requires a conformity determination due to 
the total of direct and indirect emissions from the action, the action 
meets the requirements of paragraph (c) of this section, and meets any 
of the following requirements:
    (1) For any criteria pollutant, the total of direct and indirect 
emissions from the action are specifically identified and accounted for 
in the applicable SIP's attainment or maintenance demonstration;
    (2) For ozone or nitrogen dioxide, the total of direct and indirect 
emissions from the action are fully offset within the same nonattainment 
or maintenance area through a revision to the applicable SIP or a 
similarly enforceable measure that effects emission reductions so that 
there is no net increase in emissions of that pollutant;
    (3) For any criteria pollutant, except ozone and nitrogen dioxide, 
the total of direct and indirect emissions from the action meet the 
requirements:
    (i) Specified in paragraph (b) of this section, based on areawide 
air quality modeling analysis and local air quality modeling analysis; 
or
    (ii) Meet the requirements of paragraph (a)(5) of this section and, 
for local air quality modeling analysis, the requirement of paragraph 
(b) of this section;
    (4) For CO or PM-10--
    (i) Where the State agency primarily responsible for the applicable 
SIP determines that an areawide air quality modeling analysis is not 
needed, the total of direct and indirect emissions from the action meet 
the requirements specified in paragraph (b) of this section, based on 
local air quality modeling analysis; or
    (ii) Where the State agency primarily responsible for the applicable 
SIP determines that an areawide air quality modeling analysis is 
appropriate and that a local air quality modeling analysis is not 
needed, the total of direct and indirect emissions from the action meet 
the requirements specified in paragraph (b) of this section, based on 
areawide modeling, or meet the requirements of paragraph (a)(5) of this 
section; or
    (5) For ozone or nitrogen dioxide, and for purposes of paragraphs 
(a)(3)(11) and (a)(4)(ii) of this section, each portion of the action or 
the action as a whole meets any of the following requirements:
    (i) Where EPA has approved a revision to an area's attainment or 
maintenance demonstration after 1990 and the State makes a determination 
as provided in paragraph (a)(5)(i)(A) of this section or where the State 
makes a commitment as provided in paragraph (a)(5)(i)(B) of this 
section:
    (A) The total of direct and indirect emissions from the action (or 
portion thereof) is determined and documented by the State agency 
primarily responsible for the applicable SIP to result in a level of 
emissions which, together with all other emissions in the nonattainment 
(or maintenance) area, would not exceed the emissions budgets specified 
in the applicable SIP;
    (B) The total of direct and indirect emissions from the action (or 
portion thereof) is determined by the State agency responsible for the 
applicable SIP to result in a level of emissions which, together with 
all other emissions in the nonattainment (or maintenance) area, would 
exceed an emissions budget specified in the applicable SIP and the State 
Governor or the Governor's designee for SIP actions makes a written 
commitment to EPA which includes the following:
    (1) A specific schedule for adoption and submittal of a revision to 
the SIP which would achieve the needed emission reductions prior to the 
time emissions from the Federal action would occur;
    (2) Identification of specific measures for incorporation into the 
SIP which would result in a level of emissions which, together with all 
other emissions in the nonattainment or maintenance area, would not 
exceed any emissions budget specified in the applicable SIP;
    (3) A demonstration that all existing applicable SIP requirements 
are being

[[Page 581]]

implemented in the area for the pollutants affected by the Federal 
action, and that local authority to implement additional requirements 
has been fully pursued;
    (4) A determination that the responsible Federal agencies have 
required all reasonable mitigation measures associated with their 
action; and
    (5) Written documentation including all air quality analyses 
supporting the conformity determination;
    (C) Where a Federal agency made a conformity determination based on 
a State commitment under paragraph (a)(5)(i)(B) of this section, such a 
State commitment is automatically deemed a call for a SIP revision by 
EPA under section 110(k)(5) of the Act, effective on the date of the 
Federal conformity determination and requiring response within 18 months 
or any shorter time within which the State commits to revise the 
applicable SIP;
    (ii) The action (or portion thereof), as determined by the MPO, is 
specifically included in a current transportation plan and 
transportation improvement program which have been found to conform to 
the applicable SIP under 40 CFR part 51, subpart T, or 40 CFR part 93, 
subpart A;
    (iii) The action (or portion thereof) fully offsets its emissions 
within the same nonattainment or maintenance area through a revision to 
the applicable SIP or an equally enforceable measure that effects 
emission reductions equal to or greater than the total of direct and 
indirect emissions from the action so that there is no net increase in 
emissions of that pollutant;
    (iv) Where EPA has not approved a revision to the relevant SIP 
attainment or maintenance demonstration since 1990, the total of direct 
and indirect emissions from the action for the future years (described 
in Sec. 93.159(d) do not increase emissions with respect to the baseline 
emissions:
    (A) The baseline emissions reflect the historical activity levels 
that occurred in the geographic area affected by the proposed Federal 
action during:
    (1) Calendar year 1990;
    (2) The calendar year that is the basis for the classification (or, 
where the classification is based on multiple years, the most 
representative year), if a classification is promulgated in 40 CFR part 
81; or
    (3) The year of the baseline inventory in the PM-10 applicable SIP;
    (B) The baseline emissions are the total of direct and indirect 
emissions calculated for the future years (described in Sec. 93.159(d)) 
using the historic activity levels (described in paragraph (a)(5)(iv)(A) 
of this section) and appropriate emission factors for the future years; 
or
    (v) Where the action involves regional water and/or wastewater 
projects, such projects are sized to meet only the needs of population 
projections that are in the applicable SIP.
    (b) The areawide and/or local air quality modeling analyses must:
    (1) Meet the requirements in Sec. 93.159; and
    (2) Show that the action does not:
    (i) Cause or contribute to any new violation of any standard in any 
area; or
    (ii) Increase the frequency or severity of any existing violation of 
any standard in any area.
    (c) Notwithstanding any other requirements of this section, an 
action subject to this subpart may not be determined to conform to the 
applicable SIP unless the total of direct and indirect emissions from 
the action is in compliance or consistent with all relevant requirements 
and milestones contained in the applicable SIP, such as elements 
identified as part of the reasonable further progress schedules, 
assumptions specified in the attainment or maintenance demonstration, 
prohibitions, numerical emission limits, and work practice requirements.
    (d) Any analyses required under this section must be completed, and 
any mitigation requirements necessary for a finding of conformity must 
be identified before the determination of conformity is made.



Sec. 93.159  Procedures for conformity determinations of general Federal 
actions.

    (a) The analyses required under this subpart must be based on the 
latest planning assumptions.

[[Page 582]]

    (1) All planning assumptions must be derived from the estimates of 
population, employment, travel, and congestion most recently approved by 
the MPO, or other agency authorized to make such estimates, where 
available.
    (2) Any revisions to these estimates used as part of the conformity 
determination, including projected shifts in geographic location or 
level of population, employment, travel, and congestion, must be 
approved by the MPO or other agency authorized to make such estimates 
for the urban area.
    (b) The analyses required under this subpart must be based on the 
latest and most accurate emission estimation techniques available as 
described below, unless such techniques are inappropriate. If such 
techniques are inappropriate and written approval of the EPA Regional 
Administrator is obtained for any modification or substitution, they may 
be modified or another technique substituted on a case-by-case basis or, 
where appropriate, on a generic basis for a specific Federal agency 
program.
    (1) For motor vehicle emissions, the most current version of the 
motor vehicle emissions model specified by EPA and available for use in 
the preparation or revision of SIPs in that State must be used for the 
conformity analysis as specified in paragraphs (b)(1)(i) and (ii) of 
this section:
    (i) The EPA must publish in the Federal Register a notice of 
availability of any new motor vehicle emissions model; and
    (ii) A grace period of 3 months shall apply during which the motor 
vehicle emissions model previously specified by EPA as the most current 
version may be used. Conformity analyses for which the analysis was 
begun during the grace period or no more than 3 years before the Federal 
Register notice of availability of the latest emission model may 
continue to use the previous version of the model specified by EPA.
    (2) For non-motor vehicle sources, including stationary and area 
source emissions, the latest emission factors specified by EPA in the 
``Compilation of Air Pollutant Emission Factors (AP-42)'' \1\ must be 
used for the conformity analysis unless more accurate emission data are 
available, such as actual stack test data from stationary sources which 
are part of the conformity analysis.
---------------------------------------------------------------------------

    \1\ Copies may be obtained from the Technical Support Division of 
OAQPS, EPA, MD-14, Research Triangle Park, NC 27711.
---------------------------------------------------------------------------

    (c) The air quality modeling analyses required under this subpart 
must be based on the applicable air quality models, data bases, and 
other requirements specified in the most recent version of the 
``Guideline on Air Quality Models (Revised)'' (1986), including 
supplements (EPA publication no. 450/2-78-027R) \2\, unless:
---------------------------------------------------------------------------

    \2\ See footnote 1 at Sec. 93.159(b)(2).
---------------------------------------------------------------------------

    (1) The guideline techniques are inappropriate, in which case the 
model may be modified or another model substituted on a case-by-case 
basis or, where appropriate, on a generic basis for a specific Federal 
agency program; and
    (2) Written approval of the EPA Regional Administrator is obtained 
for any modification or substitution.
    (d) The analyses required under this subpart, except 
Sec. 93.158(a)(1), must be based on the total of direct and indirect 
emissions from the action and must reflect emission scenarios that are 
expected to occur under each of the following cases:
    (1) The Act mandated attainment year or, if applicable, the farthest 
year for which emissions are projected in the maintenance plan;
    (2) The year during which the total of direct and indirect emissions 
from the action is expected to be the greatest on an annual basis; and
    (3) Any year for which the applicable SIP specifies an emissions 
budget.



Sec. 93.160  Mitigation of air quality impacts.

    (a) Any measures that are intended to mitigate air quality impacts 
must be identified and the process for implementation and enforcement of 
such measures must be described, including an implementation schedule 
containing explicit timelines for implementation.

[[Page 583]]

    (b) Prior to determining that a Federal action is in conformity, the 
Federal agency making the conformity determination must obtain written 
commitments from the appropriate persons or agencies to implement any 
mitigation measures which are identified as conditions for making 
conformity determinations.
    (c) Persons or agencies voluntarily committing to mitigation 
measures to facilitate positive conformity determinations must comply 
with the obligations of such commitments.
    (d) In instances where the Federal agency is licensing, permitting 
or otherwise approving the action of another governmental or private 
entity, approval by the Federal agency must be conditioned on the other 
entity meeting the mitigation measures set forth in the conformity 
determination.
    (e) When necessary because of changed circumstances, mitigation 
measures may be modified so long as the new mitigation measures continue 
to support the conformity determination. Any proposed change in the 
mitigation measures is subject to the reporting requirements of 
Sec. 93.156 and the public participation requirements of Sec. 93.157.
    (f) The implementation plan revision required in Sec. 93.151 shall 
provide that written commitments to mitigation measures must be obtained 
prior to a positive conformity determination and that such commitments 
must be fulfilled.
    (g) After a State revises its SIP to adopt its general conformity 
rules and EPA approves that SIP revision, any agreements, including 
mitigation measures, necessary for a conformity determination will be 
both State and federally enforceable. Enforceability through the 
applicable SIP will apply to all persons who agree to mitigate direct 
and indirect emissions associated with a Federal action for a conformity 
determination.



PART 94--CONTROL OF EMISSIONS FROM MARINE COMPRESSION-IGNITION ENGINES--
Table of Contents




 Subpart A--General Provisions for Emission Regulations for Compression-
                         Ignition Marine Engines

Sec.
94.1  Applicability.
94.2  Definitions.
94.3  Abbreviations.
94.4  Treatment of confidential information.
94.5  Reference materials.
94.6  Regulatory structure.
94.7  General standards and requirements.
94.8  Exhaust emission standards.
94.9  Compliance with emission standards.
94.10  Warranty period.
94.11  Requirements for rebuilding certified engines.
94.12  Interim provisions.

                       Subpart B--Test Procedures

94.101  Applicability.
94.102  General provisions.
94.103  Test procedures for Category 1 marine engines.
94.104  Test procedures for Category 2 marine engines.
94.105  Duty cycles.
94.106  Supplemental test procedures for Category 1 and Category 2 
          marine engines.
94.107  Determination of maximum test speed.
94.108  Test fuels.
94.109  Test procedures for Category 3 marine engines.

                   Subpart C--Certification Provisions

94.201  Applicability.
94.202  Definitions.
94.203  Application for certification.
94.204  Designation of engine families.
94.205  Prohibited controls, adjustable parameters.
94.206  Required information.
94.207  Special test procedures.
94.208  Certification.
94.209   Special provisions for post-manufacture marinizers and small-
          volume manufacturers.
94.210  Amending the application and certificate of conformity.
94.211  Emission-related maintenance instructions for purchasers.
94.212  Labeling.

[[Page 584]]

94.213  Submission of engine identification numbers.
94.214  Production engines.
94.215  Maintenance of records; submittal of information; right of 
          entry.
94.216  Hearing procedures.
94.217  Emission data engine selection.
94.218  Deterioration factor determination.
94.219  Durability data engine selection.
94.220  Service accumulation.
94.221  Application of good engineering judgment.
94.222  Certification of engines on imported vessels.

   Subpart D--Certification Averaging, Banking, and Trading Provisions

94.301  Applicability.
94.302  Definitions.
94.303  General provisions.
94.304  Compliance requirements.
94.305  Credit generation and use calculation.
94.306  Certification.
94.307  Labeling.
94.308  Maintenance of records.
94.309  Reports.
94.310  Notice of opportunity for hearing.

  Subpart E--Emission-related Defect Reporting Requirements, Voluntary 
                         Emission Recall Program

94.401  Applicability.
94.402  Definitions.
94.403  Emission defect information report.
94.404  Voluntary emissions recall reporting.
94.405  Alternative report formats.
94.406  Reports filing: record retention.
94.407  Responsibility under other legal provisions preserved.
94.408  Disclaimer of production warranty applicability.

        Subpart F--Manufacturer Production Line Testing Programs

94.501  Applicability.
94.502  Definitions.
94.503  General requirements.
94.504  Right of entry and access.
94.505  Sample selection for testing.
94.506  Test procedures.
94.507  Sequence of testing.
94.508  Calculation and reporting of test results.
94.509  Maintenance of records; submittal of information.
94.510  Compliance with criteria for production line testing.
94.511  [Reserved]
94.512  Suspension and revocation of certificates of conformity.
94.513  Request for public hearing.
94.514  Administrative procedures for public hearing.
94.515  Hearing procedures.
94.516  Appeal of hearing decision.
94.517  Treatment of confidential information.

Subpart G--[Reserved]

                      Subpart H--Recall Regulations

94.701  Applicability.
94.702  Definitions.
94.703  Applicability of 40 CFR Part 85, Subpart S.

             Subpart I--Importation of Nonconforming Engines

94.801  Applicability.
94.802  Definitions.
94.803  Admission.
94.804  Exemptions.
94.805  Prohibited acts; penalties.

              Subpart J--Exclusion and Exemption Provisions

94.901  Purpose and applicability.
94.902  Definitions.
94.903  Exclusions.
94.904  Exemptions.
94.905  Testing exemption.
94.906  Manufacturer-owned exemption, display exemption, and competition 
          exemption.
94.907  Engine dressing exemption.
94.908  National security exemption.
94.909  Export exemptions.
94.910  Granting of exemptions.
94.911  Submission of exemption requests.

Subpart K--Requirements Applicable to Vessel Manufacturers, Owners, and 
                                Operators

94.1001  Applicability.
94.1002  Definitions.
94.1003  Production testing, in-use testing, and inspections.
94.1004  Maintenance, repair adjustment, and recordkeeping.

      Subpart L--General Enforcement Provisions and Prohibited Acts

94.1101  Applicability.
94.1102  Definitions.
94.1103  Prohibited acts.
94.1104  General enforcement provisions.
94.1105  Injunction proceedings for prohibited acts.
94.1106  Penalties.
94.1107  Warranty provisions.
94.1108  In-use compliance provisions.

Appendix I to Part 94--Emission-Related Engine Parameters and 
          Specifications.


[[Page 585]]


    Authority: 42 U.S.C. 7522, 7523, 7524, 7525, 7541, 7542, 7543, 7545, 
7547, 7549, 7550 and 7601(a).

    Source: 64 FR 73331, Dec. 29, 1999, unless otherwise noted.



 Subpart A--General Provisions for Emission Regulations for Compression-
                         Ignition Marine Engines



Sec. 94.1  Applicability.

    (a) Except as noted in paragraphs (b) and (c) of this section, the 
provisions of this part apply to manufacturers (including post-
manufacture marinizers and dressers), rebuilders, owners and operators 
of:
    (1) Marine engines that are compression-ignition engines 
manufactured (or that otherwise become new) on or after January 1, 2004;
    (2) Marine vessels manufactured (or that otherwise become new) on or 
after January 1, 2004 and which include a compression-ignition marine 
engine.
    (b) Notwithstanding the provision of paragraph (c) of this section, 
the requirements and prohibitions of this part do not apply with respect 
to the engines identified in paragraphs (a)(1) and (2) of this section 
where such engines are:
    (1) Marine engines with rated power below 37 kW; or
    (2) Marine engines on foreign vessels.
    (c) The provisions of Subpart L of this part apply to everyone with 
respect to the engines identified in paragraph (a) of this section.

[67 FR 68341, Nov. 8, 2002, as amended at 68 FR 9780, Feb. 28, 2003]



Sec. 94.2  Definitions.

    (a) The definitions of this section apply to this subpart. They also 
apply to all subparts of this part, except where noted otherwise.
    (b) As used in this part, all terms not defined in this section 
shall have the meaning given them in the Act: Act means the Clean Air 
Act as amended (42 U.S.C. 7401 et seq.).
    Adjustable Parameter means any device, system, or element of design 
which is physically or electronically capable of being adjusted 
(including those which are difficult to access) and which, if adjusted, 
may affect emissions or engine performance during emission testing.
    Administrator means the Administrator of the Environmental 
Protection Agency or his/her authorized representative.
    Aftertreatment system or aftertreatment component or aftertreatment 
technology means any system or component or technology mounted 
downstream of the exhaust valve or exhaust port whose design function is 
to reduce exhaust emissions.
    Annex VI Technical Code means the ``Technical Code on Control of 
Emission of Nitrogen Oxides from Marine Diesel Engines,'' adopted by the 
International Maritime Organization (incorporated by reference in 
Sec. 94.5).
    Applicable standard means a standard to which an engine is subject; 
or, where an engine is certified to another standard or FEL, applicable 
standard means the other standard or FEL to which the engine is 
certified, as allowed by Sec. 94.8. This definition does not apply to 
subpart D of this part.
    Auxiliary engine means a marine engine that is not a propulsion 
engine.
    Auxiliary emission control device (AECD) means any element of design 
which senses temperature, vessel speed, engine RPM, atmospheric 
pressure, manifold pressure or vacuum, or any other parameter for the 
purpose of activating, modulating, delaying, or deactivating the 
operation of any part of the emission control system (including, but not 
limited to injection timing); or any other feature that causes in-use 
emissions to be higher than those measured under test conditions.
    Averaging means the exchange of emission credits among engine 
families within a given manufacturer's product line.
    Banking means the retention of emission credits by a credit holder 
for use in future calendar year averaging or trading as permitted by the 
regulations in this part.
    Base engine means a land-based engine to be marinized, as configured 
prior to marinization.
    Blue Sky Series engine means an engine meeting the requirements of 
Sec. 94.7(e).

[[Page 586]]

    Brake-specific fuel consumption means the mass of fuel consumed by 
an engine during a test segment divided by the brake-power output of the 
engine during that same test segment.
    Calibration means the set of specifications, including tolerances, 
specific to a particular design, version, or application of a component, 
or components, or assembly capable of functionally describing its 
operation over its working range.
    Category 1 means relating to a marine engine with a rated power 
greater than or equal to 37 kilowatts and a specific engine displacement 
less than 5.0 liters per cylinder.
    Category 2 means relating to a marine engine with a specific engine 
displacement greater than or equal to 5.0 liters per cylinder but less 
than 30 liters per cylinder.
    Category 3 means relating to a marine engine with a specific engine 
displacement greater than or equal to 30 liters per cylinder.
    Commercial means relating to an engine or vessel that is not a 
recreational marine engine or a recreational vessel.
    Compliance date means the date on which compliance with a standard 
becomes mandatory. For example, the compliance date for standards which 
first apply to the 2004 model year, is January 1, 2004.
    Compression-ignition means relating to an engine that is not a 
spark-ignition engine.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Constant-speed engine means an engine that is governed to operate 
only at a single rated speed.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any portion of the engine crankcase ventilation or 
engine lubrication system.
    Defeat device means an AECD or other control feature that reduces 
the effectiveness of the emission control system under conditions which 
may reasonably be expected to be encountered in normal engine operation 
and use, unless the AECD or other control feature has been identified by 
the manufacturer in the application for certification, and:
    (1) Such conditions are substantially represented by the portion of 
the applicable duty cycle of Sec. 94.105 during which the applicable 
emission rates are measured;
    (2) The need for the AECD or other control feature is justified in 
terms of protecting the engine or vessel against damage or accident; or
    (3) The AECD or other control feature does not go beyond the 
requirements of engine starting.
    Designated Officer means the Manager of the Engine Programs Group 
(6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
Washington, DC 20460.
    Deterioration factor means the difference between exhaust emissions 
at the end of useful life and exhaust emissions at the low hour test 
point expressed as either: the ratio of exhaust emissions at the end of 
useful life to exhaust emissions at the low hour test point (for 
multiplicative deterioration factors); or the difference between exhaust 
emissions at the end of useful life and exhaust emissions at the low 
hour test point (for additive deterioration factors).
    Diesel fuel means any fuel suitable for use in diesel engines which 
is commonly or commercially known or sold as diesel fuel or marine 
distillate fuel.
    Dresser means any entity that modifies a land-based engine for use 
in a marine vessel, in compliance with the provisions of Sec. 94.907. 
This means that dressers may not modify the engine in a way that would 
affect emissions.
    Emission control system means those devices, systems or elements of 
design which control or reduce the emission of substances from an 
engine. This includes, but is not limited to, mechanical and electronic 
components and controls, and computer software.
    Emission credits means the amount of emission reduction or 
exceedance, by an engine family, below or above the emission standard, 
respectively, as calculated under subpart D of this part. Emission 
reductions below the standard are considered as ``positive credits,'' 
while emission exceedances above

[[Page 587]]

the standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a calendar year waiting 
to be reported to EPA at the end of the calendar year. ``Actual 
credits'' refer to emission credits based on actual applicable 
production/sales volume as contained in the end-of-year reports 
submitted to EPA.
    Emission-data engine means an engine which is tested for purposes of 
emission certification or production line testing.
    Emission-related defect means a defect in design, materials, or 
workmanship in a device, system, or assembly which affects any parameter 
or specification enumerated in Appendix I of this part.
    Emission-related maintenance means that maintenance which 
substantially affects emissions or which is likely to affect the 
deterioration of the engine or vessel with respect to emissions.
    Engine family means a group of engine configurations that are 
expected to have similar emission characteristics throughout the useful 
lives of the engines (see Sec. 94.204), and that are (or were) covered 
(or requested to be covered) by a specific certificate of conformity.
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer, with respect to compliance with the provisions of this 
part.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator or his/her designee.
    Exhaust emissions means substances (i.e., gases and particles) 
emitted to the atmosphere from any opening downstream from the exhaust 
port or exhaust valve of an engine.
    Exhaust gas recirculation means an emission control technology that 
reduces emissions by routing gases that had been exhausted from the 
combustion chamber(s) back into the engine to be mixed with incoming air 
prior to or during combustion. The use of valve timing to increase the 
amount of residual exhaust gas in the combustion chamber(s) that is 
mixed with incoming air prior to or during combustion is not considered 
to be exhaust gas recirculation for the purposes of this part.
    Family Emission Limit (FEL) means an emission level declared by the 
certifying manufacturer to serve in lieu of an otherwise applicable 
emission standard for certification and compliance purposes in the 
averaging, banking and trading program. FELs are expressed to the same 
number of decimal places as the applicable emission standard.
    Foreign vessel means a vessel of foreign registry or a vessel 
operated under the authority of a country other than the United States.
    Fuel system means the combination of fuel tank(s), fuel pump(s), 
fuel lines and filters, pressure regulator(s), and fuel injection 
components, fuel system vents, and any other component involved in the 
delivery of fuel to the engine.
    Green Engine Factor means a factor that is applied to emission 
measurements from an engine that has had little or no service 
accumulation. The Green Engine Factor adjusts emission measurements to 
be equivalent to emission measurements from an engine that has had 
approximately 300 hours of use.
    Hydrocarbon standard means an emission standard for total 
hydrocarbons, nonmethane hydrocarbons, or total hydrocarbon equivalent; 
or a combined emission standard for NOX and total 
hydrocarbons, nonmethane hydrocarbons, or total hydrocarbon equivalent.
    Identification number means a specification (for example, model 
number/serial number combination) which allows a particular engine to be 
distinguished from other similar engines.
    Importer means an entity or person who imports engines from a 
foreign country into the United States (including its territories).
    Intermediate Speed means peak torque speed if peak torque speed 
occurs from 60 to 75 percent of maximum test speed. If peak torque speed 
is less than 60 percent of maximum test speed, intermediate speed means 
60 percent of maximum test speed. If peak torque

[[Page 588]]

speed is greater than 75 percent of maximum test speed, intermediate 
speed means 75 percent of maximum test speed.
    Low hour engine means an engine during the interval between the time 
that normal assembly operations and adjustments are completed and the 
time that 300 additional operating hours have been accumulated 
(including hours of operation accumulated during emission testing, if 
performed).
    Malfunction means a condition in which the operation of a component 
in an engine occurs in a manner other than that specified by the 
certifying manufacturer (e.g., as specified in the application for 
certification); or the operation of an engine in that condition.
    Manufacturer means any person engaged in the manufacturing or 
assembling of new engines or importing such engines for resale, or who 
acts for and is under the control of any such person in connection with 
the distribution of such engines. The term manufacturer includes post-
manufacturer marinizers, but does not include any dealer with respect to 
new engines received by such person in commerce.
    Manufacturer-owned engine means an uncertified marine engine that is 
owned and controlled by a manufacturer, is used for product development, 
and is not sold or leased.
    Marine engine means an engine that is installed or intended to be 
installed on a marine vessel. This definition does not include portable 
auxiliary engines for which the fueling, cooling and exhaust systems are 
not integral parts of the vessel.
    Marine vessel has the meaning specified in the General Provisions of 
the United States Code, 1 U.S.C. 3.
    Maximum Test Power means:
    (1) For Category 1 engines, the power output observed at the maximum 
test speed with the maximum fueling rate possible.
    (2) For Category 2 engines, 90 percent of the power output observed 
at the maximum test speed with the maximum fueling rate possible.
    Maximum test speed means the engine speed defined by Sec. 94.107 to 
be the maximum engine speed to use during testing.
    Maximum Test Torque means the torque output observed at the test 
speed with the maximum fueling rate possible at that speed.
    Method of aspiration means the method whereby air for fuel 
combustion enters the engine (e.g., naturally aspirated or 
turbocharged).
    Model year means the manufacturer's annual new model production 
period which includes January 1 of the calendar year, ends no later than 
December 31 of the calendar year, and does not begin earlier than 
January 2 of the previous calendar year. Where a manufacturer has no 
annual new model production period, model year means calendar year.
    New marine engine means:
    (1)(i) A marine engine, the equitable or legal title to which has 
never been transferred to an ultimate purchaser;
    (ii) A marine engine installed on a vessel, the equitable or legal 
title to such vessel has never been transferred to an ultimate 
purchaser; or
    (iii) A marine engine that has not been placed into service on a 
vessel.
    (2) Where the equitable or legal title to an engine or vessel is not 
transferred to an ultimate purchaser prior to its being placed into 
service, the engine ceases to be new after it is placed into service.
    (3) With respect to imported engines, the term ``new marine engine'' 
means an engine that is not covered by a certificate of conformity under 
this part at the time of importation, and that was manufactured after 
the starting date of the emission standards in this part which are 
applicable to such engine (or which would be applicable to such engine 
had it been manufactured for importation into the United States).
    New vessel means:
    (1)(i) A vessel, the equitable or legal title to which has never 
been transferred to an ultimate purchaser; or
    (ii) For vessels with no Category 3 engines, a vessel that has been 
modified such that the value of the modifications exceeds 50 percent of 
the value of the modified vessel. The value of the modification is the 
difference in the assessed value of the vessel before the modification 
and the assessed value of the vessel after the modification.

[[Page 589]]

Use the following equation to determine if the fractional value of the 
modification exceeds 50 percent:

Percent of value = [(Value after modification)-(Value before 
modification)] x 100% (Value after modification)

    (iii) For vessels with Category 3 engines, a vessel that has 
undergone a modification, which:
    (A) Substantially alters the dimensions or carrying capacity of the 
vessel; or
    (2) Changes the type of vessel; or
    (3) Substantially prolongs the vessel's life.
    (2) Where the equitable or legal title to a vessel is not 
transferred to an ultimate purchaser prior to its being placed into 
service, the vessel ceases to be new when it is placed into service.
    Nonconforming marine engine means a marine engine which is not 
covered by a certificate of conformity prior to importation or being 
offered for importation (or for which such coverage has not been 
adequately demonstrated to EPA); or a marine engine which was originally 
covered by a certificate of conformity, but which is not in a certified 
configuration, or otherwise does not comply with the conditions of that 
certificate of conformity.

    Note: This definition does not include domestic marine engines which 
are not covered by a certificate of conformity prior to their 
introduction into U.S. commerce; such engines are considered to be 
``noncomplying marine engines.''

    Oxides of nitrogen means nitric oxide and nitrogen dioxide. Oxides 
of nitrogen are expressed quantitatively as if the nitric oxide were in 
the form of nitrogen dioxide (oxides of nitrogen are assumed to have a 
molecular weight equivalent to nitrogen dioxide).
    Passenger has the meaning given by 46 U.S.C. 2101 (21) and (21a). In 
the context of commercial vessels, this generally means that a passenger 
is a person that pays to be on the vessel.
    Post-manufacture marinizer means an entity that produces a marine 
engine by modifying a non-marine engine, whether certified or 
uncertified, complete or partially complete, where such entity is not 
controlled by the manufacturer of the base engine or by an entity that 
also controls the manufacturer of the base engine. In addition, vessel 
manufacturers that substantially modify marine engines are post-
manufacture marinizers. For the purpose of this definition, 
``substantially modify'' means changing an engine in a way that could 
change engine emission characteristics.
    Presentation of credentials means the display of the document 
designating a person as an EPA enforcement officer.
    Primary fuel means that type of fuel (e.g., petroleum distillate 
diesel fuel) that is expected to be consumed in the greatest quantity 
(volume basis) when the engine is operated in use.
    Propulsion engine means an engine that moves a vessel through the 
water or directs the movement of a vessel.
    Recreational marine engine means a Category 1 propulsion marine 
engine that is intended by the manufacturer to be installed on a 
recreational vessel, and which is permanently labeled as follows: ``THIS 
ENGINE IS CATEGORIZED AS A RECREATIONAL MARINE ENGINE UNDER 40 CFR PART 
94. INSTALLATION OF THIS ENGINE IN ANY NONRECREATIONAL VESSEL IS A 
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
    Recreational vessel has the meaning given in 46 U.S.C. 2101 (25), 
but excludes ``passenger vessels'' and ``small passenger vessels'' as 
defined by 46 U.S.C. 2101 (22) and (35) and excludes vessels used solely 
for competition. In general, for this part, ``recreational vessel'' 
means a vessel that is intended by the vessel manufacturer to be 
operated primarily for pleasure or leased, rented or chartered to 
another for the latter's pleasure, excluding the following vessels:
    (1) Vessels of less than 100 gross tons that carry more than 6 
passengers (as defined in this section).
    (2) Vessels of 100 gross tons or more that carry one or more 
passengers (as defined in this section).
    (3) Vessels used solely for competition.
    Residual fuel means a petroleum product containing the heavier 
compounds that remain after the distillate fuel oils (e.g., diesel fuel 
and marine distillate fuel) and lighter hydrocarbons

[[Page 590]]

are distilled away in refinery operations.
    Round means to round numbers according to ASTM E29-02 (incorporated 
by reference in Sec. 94.5), unless otherwise specified.
    Service life means the total life of an engine. Service life begins 
when the engine is originally manufactured and continues until the 
engine is permanently removed from service.
    Specific emissions means emissions expressed on the basis of 
observed brake power, using units of g/kW-hr. Observed brake power 
measurement includes accessories on the engine if these accessories are 
required for running an emission test (except for the cooling fan). When 
it is not possible to test the engine in the gross conditions, for 
example if the engine and transmission form a single integral unit, the 
engine may be tested in the net condition. Power corrections from net to 
gross conditions will be allowed with prior approval of the 
Administrator.
    Small-volume boat builder means a boat manufacturer with fewer than 
500 employees and with annual U.S.-directed production of fewer than 100 
boats. For manufacturers owned by a parent company, these limits apply 
to the combined production and number of employees of the parent company 
and all its subsidiaries.
    Small-volume manufacturer means a manufacturer with annual U.S.-
directed production of fewer than 1,000 internal combustion engines 
(marine and nonmarine). For manufacturers owned by a parent company, the 
limit applies to the production of the parent company and all its 
subsidiaries.
    Spark-ignition means relating to a gasoline-fueled engine or other 
engines with a spark plug (or other sparking device) and with operating 
characteristics significantly similar to the theoretical Otto combustion 
cycle. Spark-ignition engines usually use a throttle to regulate intake 
air flow to control power during normal operation.
    Specified by a certificate of conformity or specified in a 
certificate of conformity means stated or otherwise specified in a 
certificate of conformity or an approved application for certification.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines or vessels selected from 
the population of an engine family for emission testing.
    Tier 1 means relating to an engine subject to the Tier 1 emission 
standards listed in Sec. 94.8.
    Tier 2 means relating to an engine subject to the Tier 2 emission 
standards listed in Sec. 94.8.
    Total Hydrocarbon Equivalent means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or 
other organic compounds that are measured separately as contained in a 
gas sample, expressed as petroleum-fueled engine hydrocarbons. The 
hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
    Trading means the exchange of engine emission credits between credit 
holders.
    Ultimate Purchaser means, with respect to any new engine or vessel, 
the first person who in good faith purchases such new engine or vessel 
for purposes other than resale.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, the U.S. Virgin Islands, and the Trust 
Territory of the Pacific Islands.
    U.S.-directed production volume means the number of marine engine 
units, subject to this part, produced by a manufacturer for which the 
manufacturer has reasonable assurance that sale was or will be made to 
ultimate purchasers in the United States.
    Useful life means the period during which an engine is designed to 
properly function in terms of reliability and fuel consumption, without 
being remanufactured, specified as hours of operation and years. It is 
the period during which a new engine is required to comply with all 
applicable emission standards. (Note: Sec. 94.9(a) specifies minimum 
requirements for useful life values.)
    Vessel means a marine vessel.
    Vessel operator means any individual that physically operates or 
maintains a vessel, or exercises managerial control over the operation 
of the vessel.

[[Page 591]]

    Vessel owner means the individual or company that holds legal title 
to a vessel.
    Voluntary emission recall means a repair, adjustment, or 
modification program voluntarily initiated and conducted by a 
manufacturer to remedy any emission-related defect for which 
notification of engine or vessel owners has been provided.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68341, Nov. 8, 2002; 68 
FR 9781, Feb. 28, 2003]



Sec. 94.3  Abbreviations.

    The abbreviations of this section apply to all subparts of this part 
and have the following meanings:

AECD--Auxiliary emission control device.
API--American Petroleum Institute.
ASTM--American Society for Testing and Materials.
 deg.C--Degrees Celsius.
CI--Compression ignition.
CO--Carbon monoxide.
CO2--Carbon dioxide.
disp.--volumetric displacement of an engine cylinder.
EGR--Exhaust gas recirculation.
EP--End point.
EPA--Environmental Protection Agency.
FEL--Family emission limit.
ft--foot or feet.
FTP--Federal Test Procedure.
g--gram(s).
g/kW-hr--Grams per kilowatt hour.
gal--U.S. gallon.
h--hour(s).
HC--hydrocarbon.
Hg--Mercury.
hp--horsepower.
ICI--Independent Commercial Importer.
in--inch(es).
K--Kelvin.
kg--kilogram(s).
km--kilometer(s).
kPa--kilopascal(s).
kW--kilowatt.
L/cyl--liters per cylinder.
m--meter(s).
max--maximum.
mg--milligram(s).
min--minute.
ml--milliliter(s).
mm--millimeter.
NIST--National Institute for Standards and Testing.
NMHC--Non-methane hydrocarbons.
NTIS--National Technical Information Service.
NO--nitric oxide.
NO2--nitrogen dioxide.
NOX--oxides of nitrogen.
No.--number.
O2--oxygen.
pct--percent.
PM--particulate matter.
PMM--post-manufacture marinizer.
ppm--parts per million by volume.
ppmC--parts per million, carbon.
rpm--revolutions per minute.
s--second(s).
SAE--Society of Automotive Engineers.
SEA--Selective Enforcement Auditing.
SI--International system of units (i.e., metric).
THC--Total hydrocarbon.
THCE--Total hydrocarbon equivalent.
U.S.--United States.
U.S.C.--United States Code.
vs--versus.
W--watt(s).
wt--weight.



Sec. 94.4  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this part is entitled to confidential treatment as 
provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this part is 
confidential, a person or manufacturer must indicate clearly the items 
of information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this part is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
EPA only to the extent and by means of the procedures set forth in 40 
CFR part 2, subpart B.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[[Page 592]]



Sec. 94.5  Reference materials.

    We have incorporated by reference the documents listed in this 
section. The Director of the Federal Register approved the incorporation 
by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR part 51. Anyone 
may inspect copies at the U.S. EPA, Air and Radiation Docket and 
Information Center, 1301 Constitution Ave., NW., Room B102, EPA West 
Building, Washington, DC 20460 or the Office of the Federal Register, 
800 N. Capitol St., NW., 7th Floor, Suite 700, Washington, DC.
    (a) ASTM material. Table 1 of Sec. 94.5 lists material from the 
American Society for Testing and Materials that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the American Society 
for Testing and Materials, 100 Barr Harbor Dr., PO Box C700, West 
Conshohocken, PA 19428. Table 1 follows:

                 Table 1 of Sec.  94.5.--ASTM Materials
------------------------------------------------------------------------
           Document No. and name                  Part 94 reference
------------------------------------------------------------------------
ASTM D 86-01, Standard Test Method for       94.108
 Distillation of Petroleum Products at
 Atmospheric Pressure.
ASTM D 93-02, Standard Test Methods for      94.108
 Flash-Point by Pensky-Martens Closed Cup
 Tester.
ASTM D 129-00, Standard Test Method for      94.108
 Sulfur in Petroleum Products (General Bomb
 Method).
ASTM D 287-92 (Reapproved 2000), Standard    94.108
 Test Method for API Gravity of Crude
 Petroleum and Petroleum Products
 (Hydrometer Method).
ASTM D 445-01, Standard Test Method for      94.108
 Kinematic Viscosity of Transparent and
 Opaque Liquids (the Calculation of Dynamic
 Viscosity).
ASTM D 613-01, Standard Test Method for      94.108
 Cetane Number of Diesel Fuel Oil.
ASTM D 1319-02a, Standard Test Method for    94.108
 Hydrocarbon Types in Liquid Petroleum
 Products by Fluorescent Indicator
 Adsorption.
ASTM D 2622-98, Standard Test Method for     94.108
 Sulfur in Petroleum Products by Wavelength
 Dispersive X-ray Fluorescence Spectrometry.
ASTM D 5186-99, Standard Test Method for     94.108
 Determination of the Aromatic Content and
 Polynuclear Aromatic Content of Diesel
 Fuels and Aviation Turbine Fuels by
 Supercritical Fluid Chromatography.
ASTM E 29-02, Standard Practice for Using    94.2
 Significant Digits in Test Data to
 Determine Conformance with Specifications.
------------------------------------------------------------------------

    (b) ISO material. Table 2 of Sec. 94.5 lists material from the 
International Organization for Standardization that we have incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section of this part where we 
reference it. Anyone may purchase copies of these materials from the 
International Organization for Standardization, Case Postale 56, CH-1211 
Geneva 20, Switzerland.
    Table 2 follows:

                  Table 2 of Sec.  94.5.--ISO Materials
------------------------------------------------------------------------
           Document No. and name               40 CFR part 94 reference
------------------------------------------------------------------------
ISO 8178-1, Reciprocating internal           94.109
 combustion engines--Exhaust emission
 measurement--Part 1: Test-bed measurement
 of gaseous and particulate exhaust
 emissions, 1996.
------------------------------------------------------------------------

    (c) IMO material. Table 3 of Sec. 94.5 lists material from the 
International Maritime Organization 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 
Maritime Organization, 4 Albert Embankment, London SE1 7SR, United 
Kingdom.
    Table 3 follows:

[[Page 593]]



                  Table 3 of Sec.  94.5.--IMO Materials
------------------------------------------------------------------------
           Document No. and name               40 CFR part 94 reference
------------------------------------------------------------------------
Resolution 2--Technical Code on Control of   94.2, 94.11, 94.108,
 Emission of Nitrogen Oxides from Marine      94.109, 94.204, 94.211,
 Diesel Engines, 1997.                        94.1004.
------------------------------------------------------------------------


[68 FR 9781, Feb. 28, 2003]



Sec. 94.6  Regulatory structure.

    This section provides an overview of the regulatory structure of 
this part.
    (a) The regulations of this Part 94 are intended to control 
emissions from in-use marine engines.
    (b) The engines for which the regulations of this part (i.e., 40 CFR 
part 94) apply are specified by Sec. 94.1, and by the definitions of 
Sec. 94.2. The point at which an engine or vessel becomes subject to the 
regulations of this part is determined by the definitions of new marine 
engine and new marine vessel in Sec. 94.2. Subpart J of this part 
contains provisions exempting certain engines and vessels from the 
emission standards in this part under special circumstances.
    (c) To comply with the requirements of this part, a manufacturer 
must demonstrate to EPA that the engine meets the applicable standards 
of Secs. 94.7 and 94.8, and all other requirements of this part. The 
requirements of this certification process are described in subparts C 
and D of this part.
    (d) Subpart B of this part specifies procedures and equipment to be 
used for conducting emission tests for the purpose of the regulations of 
this part.
    (e) Subparts E, F, and H of this part specify requirements for 
manufacturers after certification; that is during production and use of 
the engines.
    (f) Subpart I of this part contains requirements applicable to the 
importation of marine engines covered by the provisions of this part.
    (g) Subpart L of this part describes prohibited acts and contains 
other enforcement provisions relating to marine engines and vessels 
covered by the provisions of this part.
    (h) Unless specified otherwise, the provisions of this part apply to 
all marine engines and vessels subject to the emission standards of this 
part.



Sec. 94.7  General standards and requirements.

    (a) Marine engines and vessels may not be equipped with a defeat 
device.
    (b) An engine may not be equipped with an emission control system 
for the purpose of complying with emission standards if such a system 
will cause or contribute to an unreasonable risk to public health, 
welfare, or safety in its operation or function.
    (c) You may not design your engines with emission-control devices, 
systems, or elements of design that cause or contribute to an 
unreasonable risk to public health, welfare, or safety while operating. 
For example, this would apply if the engine emits a noxious or toxic 
substance it would otherwise not emit that contributes to such an 
unreasonable risk.
    (d) Manufacturers shall ensure that all engines subject to the 
emission standards of this part are equipped with a connection in the 
engine exhaust system that is located downstream of the engine and 
before any point at which the exhaust contacts water (or any other 
cooling/scrubbing medium) for the temporary attachment of gaseous and/or 
particulate emission sampling equipment. Use good engineering judgment 
to locate the connection. This connection shall be internally threaded 
with standard pipe threads of a size not larger than one-half inch, and 
shall be closed by a pipe-plug when not in use. Equivalent connections 
are allowed. Engine manufacturers may comply with this requirement by 
providing vessel manufacturers with clear instructions explaining how to 
meet this requirement, and noting in the instructions that failure to 
comply may subject the vessel manufacturer to federal penalties. Vessel 
manufacturers are required to comply with the engine manufacturer's 
instructions.
    (e) Electronically controlled engines subject to the emission 
standards of this part shall broadcast on engine's

[[Page 594]]

controller area networks engine torque (as percent of maximum torque at 
that speed) and engine speed.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68341, Nov. 8, 2002; 68 
FR 9782, Feb. 28, 2003]



Sec. 94.8  Exhaust emission standards.

    (a) The Tier 1 standards of paragraph (a)(1) of this section apply 
until replaced by the standards of paragraph (a)(2) of this section.
    (1) Tier 1 standards. NOX emissions from model year 2004 
and later engines with displacement of 2.5 or more liters per cylinder 
may not exceed the following values:
    (i) 17.0 g/kW-hr when maximum test speed is less than 130 rpm.
    (ii) 45.0 x N-0.20 when maximum test speed is at least 
130 but less than 2000 rpm, where N is the maximum test speed of the 
engine in revolutions per minute.


(Note: Round speed-dependent standards to the nearest 0.1 g/kW-hr.)

    (iii) 9.8 g/kW-hr when maximum test speed is 2000 rpm or more.
    (2) Tier 2 standards. (i) Exhaust emissions from marine compression-
ignition engines shall not exceed the applicable Tier 2 exhaust emission 
standards contained in Table A-1 as follows:

                                             Table A-1.--Primary Tier 2 Exhaust Emission Standards (G/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                          THC+NOX  g/kW-
   Engine size liters/cylinder, rated power                     Category                  Model year \1\        hr          CO  g/kW-hr     PM  g/kW-hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
disp. < 0.9 and power [ge] 37 kW..............  Category 1..............................            2005             7.5             5.0            0.40
0.9 [le] disp. < 1.2, all power levels........  Category 1..............................            2004             7.2             5.0            0.30
1.2 [le] disp. < 2.5, all power levels........  Category 1..............................            2004             7.2             5.0            0.20
2.5 [le] disp. < 5.0, all power levels........  Category 1..............................            2007             7.2             5.0            0.20
5.0 [le] disp. < 15.0, all power levels.......  Category 2..............................            2007             7.8             5.0            0.27
15.0 [le] disp. < 20.0 power, < 3300 kW.......  Category 2..............................            2007             8.7             5.0            0.50
15.0 [le] disp. < 20.0, power [ge] 3300 kW....  Category 2..............................            2007             9.8             5.0            0.50
20.0 [le] disp. < 25.0, all power levels......  Category 2..............................            2007             9.8             5.0            0.50
25.0 [le] disp. < 30.0, all power levels......  Category 2..............................            2007            11.0             5.0            0.50
disp. [ge] 30.0, all power levels.............  Category 3..............................            2007  See paragraph (a)(2)(ii) of this section.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The model years listed indicate the model years for which the specified standards start.

    (ii) EPA has not finalized Tier 2 standards for Category 3 engines. 
EPA will promulgate final Tier 2 standards for Category 3 engines on or 
before April 27, 2007.
    (b) Exhaust emissions of oxides of nitrogen, carbon monoxide, 
hydrocarbon, and particulate matter (and other compounds, as applicable) 
shall be measured using the procedures set forth in subpart B of this 
part.
    (c) In lieu of the THC+NOX standards, and PM standards 
specified in paragraph (a) of this section, manufacturers may elect to 
include engine families in the averaging, banking, and trading program, 
the provisions of which are specified in subpart D of this part. The 
manufacturer shall then set a family emission limit (FEL) which will 
serve as the standard for that engine family. The ABT provisions of 
subpart D of this part do not apply for Category 3 engines.
    (d)(1) Naturally aspirated engines subject to the standards of this 
section shall not discharge crankcase emissions into the ambient 
atmosphere.
    (2) For engines using turbochargers, pumps, blowers, or 
superchargers for air induction, if the engine discharges crankcase 
emissions into the ambient atmosphere in use, these crankcase emissions 
shall be included in all exhaust emission measurements. This requirement 
applies only for engines subject to hydrocarbon standards (e.g., THC 
standards, NMHC standards, or THC+NOX standards).

[[Page 595]]

    (3) The crankcase requirements of this paragraph (d) do not apply 
for Tier 1 engines.
    (e)(1) For Category 1 and Category 2 engines, exhaust emissions from 
propulsion engines subject to the standards (or FELs) in paragraph (a), 
(c), or (f) of this section shall not exceed:
    (i) 1.20 times the applicable standards (or FELs) when tested in 
accordance with the supplemental test procedures specified in 
Sec. 94.106 at loads greater than or equal to 45 percent of the maximum 
power at rated speed or 1.50 times the applicable standards (or FELs) at 
loads less than 45 percent of the maximum power at rated speed; or
    (ii) 1.25 times the applicable standards (or FELs) when tested over 
the whole power range in accordance with the supplemental test 
procedures specified in Sec. 94.106.
    (2) [Reserved]
    (f) The following define the requirements for low-emitting Blue Sky 
Series engines:
    (1) Voluntary standards. (i) Category 1 and Category 2 engines may 
be designated ``Blue Sky Series'' engines by meeting the voluntary 
standards listed in Table A-2, which apply to all certification and in-
use testing:

           Table A-2.--Voluntary Emission Standards [g/kW-hr]
------------------------------------------------------------------------
         Rated brake power (kW)               THC+NOX           PM
------------------------------------------------------------------------
Power [ge] 37 kW, and displ. < 0.9......             4.0            0.24
0.9 [le] displ. < 1.2...................             4.0            0.18
1.2 [le] displ. < 2.5...................             4.0            0.12
2.5 [le] displ. < 5.....................             5.0            0.12
5 [le] displ. < 15......................             5.0            0.16
15 [le] disp. < 20, and power < 3300 kW.             5.2            0.30
15 [le] disp. < 20, and power [ge] 3300              5.9            0.30
 kW.....................................
20 [le] disp. < 25......................             5.9            0.30
25 [le] disp. < 30......................             6.6            0.30
------------------------------------------------------------------------

    (ii) Category 3 engines may be designated ``Blue Sky Series'' 
engines by meeting these voluntary standards that would apply to all 
certification and in-use testing:
    (A) A NOX standard of 9.0 x N-\0.20\ where N = 
the maximum test speed of the engine in revolutions per minute (or 4.8 
g/kW-hr for engines with maximum test speeds less than 130 rpm). (Note: 
Round speed-dependent standards to the nearest 0.1 g/kW-hr.)
    (B) An HC standard of 0.4 g/kW-hr.
    (C) A CO standard of 3.0 g/kW-hr.
    (2) Additional standards. Blue Sky Series engines are subject to all 
provisions that would otherwise apply under this part.
    (3) Test procedures. Manufacturers may use an alternate procedure to 
demonstrate the desired level of emission control if approved in advance 
by the Administrator.
    (g) Standards for alternative fuels. The standards described in this 
section apply to compression-ignition engines, irrespective of fuel, 
with the following two exceptions for Category 1 and Category 2 engines:
    (1) Engines fueled with natural gas shall comply with 
NMHC+NOX standards that are numerically equivalent to the 
THC+NOX described in paragraph (a) of this section; and
    (2) Engines fueled with alcohol fuel shall comply with 
THCE+NOX standards that are numerically equivalent to the 
THC+NOX described in paragraph (a) of this section.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68342, Nov. 8, 2002; 68 
FR 9782, Feb. 28, 2003]



Sec. 94.9  Compliance with emission standards.

    (a) The general standards and requirements in Sec. 94.7 and the 
emission standards in Sec. 94.8 apply to each new engine throughout its 
useful life period. The useful life is specified both in years and in 
hours of operation, and ends when either of the values (hours of 
operation or years) is exceeded.
    (1) The minimum useful life is 10 years or 10,000 hours of operation 
for Category 1, 10 years or 20,000 hours of operation for Category 2, 
and 3 years or 10,000 hours of operation for Category 3.

[[Page 596]]

    (2) The manufacturer shall specify a longer useful life if the 
engine is designed to remain in service longer than the applicable 
minimum useful life without being rebuilt. A manufacturer's recommended 
time to remanufacture/rebuild longer than the minimum useful life is one 
indicator of a longer design life.
    (3) Upon request by the manufacturer, the Administrator may allow 
useful life values shorter than the minimum values specified in 
paragraph (a)(1) of this section, provided:
    (i) The useful life value may not be shorter than any of the 
following:
    (A) 1000 hours of operation.
    (B) The manufacturer's recommended overhaul interval.
    (C) The mechanical warranty provided by the manufacturer to the 
owner.
    (ii) The manufacturer must have documentation from in-use engines 
showing that these engines will rarely operate longer than the alternate 
useful life.
    (iii) The manufacturer displays the useful life on the engine label.
    (b) Certification is the process by which manufacturers apply for 
and obtain certificates of conformity from EPA, which allows the 
manufacturer to introduce into commerce new marine engines for sale or 
use in the U.S.
    (1) Compliance with the applicable emission standards by an engine 
family shall be demonstrated by the certifying manufacturer before a 
certificate of conformity may be issued under Sec. 94.208. Manufacturers 
shall demonstrate compliance using emission data, measured using the 
procedures specified in Subpart B of this part, from a low hour engine. 
A development engine that is equivalent in design to the marine engines 
being certified may be used for Category 2 or Category 3 certification.
    (2) The emission values to compare with the standards shall be the 
emission values of a low hour engine, or a development engine, adjusted 
by the deterioration factors developed in accordance with the provisions 
of Sec. 94.219. Before comparing any emission value with the standard, 
round it to the same number of significant figures contained in the 
applicable standard.
    (c) Upon request by the manufacturer, the Administrator may limit 
the applicability of exhaust emission requirements of Sec. 94.8(e) as 
necessary for safety or to otherwise protect the engine.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68342, Nov. 8, 2002; 68 
FR 9783, Feb. 28, 2003]



Sec. 94.10  Warranty period.

    (a)(1) Warranties imposed by Sec. 94.1107 for Category 1 or Category 
2 engines shall apply for a period of operating hours equal to at least 
50 percent of the useful life in operating hours or a period of years 
equal to at least 50 percent of the useful life in years, whichever 
comes first.
    (2) Warranties imposed by Sec. 94.1107 for Category 3 engines shall 
apply for a period of operating hours equal to at least the full useful 
life in operating hours or a period of years equal to at least the full 
useful life in years, whichever comes first.
    (b) Warranties imposed by Sec. 94.1107 shall apply for a period not 
less than any mechanical warranties provided by the manufacturer to the 
owner.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9784, Feb. 28, 2003]



Sec. 94.11  Requirements for rebuilding certified engines.

    (a) The provisions of this section apply with respect to engines 
subject to the standards prescribed in Sec. 94.8 and are applicable to 
the process of engine rebuilding. Engine rebuilding means to overhaul an 
engine or to otherwise perform extensive service on the engine (or on a 
portion of the engine or engine system). For the purpose of this 
definition, perform extensive service means to disassemble the engine 
(or portion of the engine or engine system), inspect and/or replace many 
of the parts, and reassemble the engine (or portion of the engine or 
engine system) in such a manner that significantly increases the service 
life of the resultant engine.
    (b) When rebuilding an engine, portions of an engine, or an engine 
system, there must be a reasonable technical basis for knowing that the 
resultant engine is equivalent, from an emissions standpoint, to a 
certified configuration (i.e., tolerances, calibrations,

[[Page 597]]

specifications), and the model year(s) of the resulting engine 
configuration must be identified. A reasonable basis would exist if:
    (1) Parts installed, whether the parts are new, used, or rebuilt, 
are such that a person familiar with the design and function of motor 
vehicle engines would reasonably believe that the parts perform the same 
function with respect to emission control as the original parts; and
    (2) Any parameter adjustment or design element change is made only:
    (i) In accordance with the original engine manufacturer's 
instructions; or
    (ii) Where data or other reasonable technical basis exists that such 
parameter adjustment or design element change, when performed on the 
engine or similar engines, is not expected to adversely affect in-use 
emissions.
    (c) When an engine is being rebuilt and remains installed or is 
reinstalled in the same vessel, it must be rebuilt to a configuration of 
the same or later model year as the original engine. When an engine is 
being replaced, the replacement engine must be an engine of (or rebuilt 
to) a certified configuration that is equivalent, from an emissions 
standpoint, to the engine being replaced.
    (d) At time of rebuild, emission-related codes or signals from on-
board monitoring systems may not be erased or reset without diagnosing 
and responding appropriately to the diagnostic codes, regardless of 
whether the systems are installed to satisfy requirements in Sec. 94.211 
or for other reasons and regardless of form or interface. Diagnostic 
systems must be free of all such codes when the rebuilt engine is 
returned to service. Such signals may not be rendered inoperative during 
the rebuilding process.
    (e)(1) When conducting a rebuild, all critical emission-related 
components listed in Appendix I of this part not otherwise addressed by 
paragraphs (b) through (d) of this section must be checked and cleaned, 
adjusted, repaired, or replaced as necessary, following manufacturer 
recommended practices.
    (2) During the installation of a rebuilt engine, all critical 
emission-related components listed in Appendix I of this part not 
otherwise addressed by paragraphs (b) through (d) of this section must 
be checked as necessary, following manufacturer recommended practices.
    (f) Records shall be kept by parties conducting activities included 
in paragraphs (b) through (e) of this section. At minimum the records 
shall include the hours of operation at the time of rebuild, a listing 
of work performed on the engine and emission-related control components 
(including a listing of parts and components used, engine parameter 
adjustments, emission-related codes or signals responded to and reset), 
and work performed under paragraph (e) of this section.
    (1) Parties may keep records in whatever format or system they 
choose as long as the records are understandable to an EPA enforcement 
officer or can be otherwise provided to an EPA enforcement officer in an 
understandable format when requested.
    (2) Parties are not required to keep records of information that is 
not reasonably available through normal business practices including 
information on activities not conducted by themselves or information 
that they cannot reasonably access.
    (3) Parties may keep records of their rebuilding practices for an 
engine family rather than on each individual engine rebuilt in cases 
where those rebuild practices are followed routinely.
    (4) Records must be kept for a minimum of two years after the engine 
is rebuilt.
    (g) For Category 3 engines, the owner and operator shall also comply 
with the recordkeeping requirements in the Annex VI Technical Code 
(incorporated by reference at Sec. 94.5) regarding the Engine Book of 
Record Parameters.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9784, Feb. 28, 2003]



Sec. 94.12  Interim provisions.

    This section contains provisions that apply for a limited number of 
calendar years or model years. These provisions supercede the other 
provisions of this part. The provisions of this section do not apply for 
Category 3 engines.
    (a) Compliance date of standards. Certain companies may delay 
compliance with emission standards. Companies

[[Page 598]]

wishing to take advantage of this provision must inform the Designated 
Officer of their intent to do so in writing before the date that 
compliance with the standards would otherwise be mandatory.
    (1) Post-manufacture marinizers may elect to delay the model year of 
the Tier 2 standards for commercial engines as specified in Sec. 94.8 by 
one year for each engine family.
    (2) Small-volume manufacturers may elect to delay the model year of 
the Tier 2 standards for recreational engines as specified in Sec. 94.8 
by five years for each engine family.
    (b) Early banking of emission credits. (1) A manufacturer may 
optionally certify engines manufactured before the date the Tier 2 
standards take effect to earn emission credits under the averaging, 
banking, and trading program. Such optionally certified engines are 
subject to all provisions relating to mandatory certification and 
enforcement described in this part. Manufacturers may begin earning 
credits for recreational engines on December 9, 2002.
    (2) Consistent with the provisions of Subpart D of this part, 
NOX and PM emission credits may be generated from engines 
prior to the applicable effective compliance date of the applicable 
standard (i.e., the effective compliance date in Sec. 94.8(a), as 
applicable), relative to baseline emission rates.
    (3)(i) THC+NOX credits generated under this paragraph (b) 
shall be calculated as specified in Sec. 92.305, except that the 
baseline emission rate may be either the applicable standard or a 
measured THC+NOX baseline level for the configuration with 
the lowest NOX emission rate in the applicable engine family. 
The additional credits resulting from using a measured baseline (instead 
of the applicable standard) shall be discounted by 10 percent. This 
discount does not apply to the portion of the credits resulting from the 
engine's emissions being below the applicable standard. Baseline 
emission rates may not exceed the IMO NOX limits.
    (ii) PM credits generated under this paragraph (b) shall be 
calculated as specified in Sec. 94.305, except that the applicable 
standard may be replaced by a measured PM baseline emission rate for the 
configuration with the lowest NOX emission rate in the 
applicable engine family that is approved in advance by the 
Administrator. The additional credits resulting from using a measured 
baseline (instead of the applicable standard) shall be discounted by 10 
percent. This discount does not apply to the portion of the credits 
resulting from the engine's emissions being below the applicable 
standard.
    (4)(i) For post-manufacture marinizers, measured baseline emission 
levels may be based on emissions from a single engine for each engine 
family.
    (ii) For all other manufacturers, measured baseline emission levels 
must be based on the average of emissions from at least three engines 
for each engine family.
    (iii) The Administrator must approve any measured baselines in 
advance.
    (5) For an engine to be eligible to generate early credits under 
this paragraph (b), its certified emission levels for all pollutants 
must be below the Tier 2 standards listed in Sec. 94.8, with the 
following exception: PMMs may include in this early credit program 
Category 1 marine engines with certified emissions above the Tier 2 
standards listed in Sec. 94.8. Early credits generated by Category 1 
marine engines with certified emissions above the Tier 2 standards 
listed in Sec. 94.8 may not be used for model year 2008 or later 
engines.
    (c) Testing of Category 1 engines subject to the requirements of 
this part that is conducted by the Administrator shall be performed 
using test fuels that meet the specifications in Sec. 94.108 and have a 
sulfur content no higher than 0.20 weight percent, unless the PM 
emission rates are corrected for the effect of a higher fuel sulfur 
content.
    (d) Post-manufacture marinizers may import an uncertified engine for 
marinization, in cases where the engine in the final marinized 
configuration is not subject to the standards of this part because:
    (1) The model year of the marinized engine is prior to the first 
model year for which engines of that size are subject to the standards;
    (2) The post-manufacture marinizer is marinizing the engine under 
paragraph (a) of this section; or

[[Page 599]]

    (3) The post-manufacture marinizer is granted hardship relief from 
the Tier 2 standards under Sec. 94.209(c).
    (e) Compliance date of NTE requirements (1) Notwithstanding the 
other provisions of this part, the requirements of Sec. 94.8(e) for 
commercial marine engines start with 2010 model year engines for 
postmanufacture marinizers and 2007 model year engines for all other 
engine manufacturers.
    (2) Notwithstanding the other provisions of this part, the 
requirements of Sec. 94.8(e) for recreational marine engines start with 
2012 model year engines for post-manufacture marinizers and 2009 model 
year engines for all other engine manufacturers.
    (f) Flexibility for small-volume boat builders. Notwithstanding the 
other provisions of this part, manufacturers may sell uncertified 
recreational engines to small-volume boat builders during the first five 
years for which the emission standards in Sec. 94.8 apply, subject to 
the following provisions:
    (1) The U.S.-directed production volume of boats from any small-
volume boat builder using uncertified engines during the total five-year 
period may not exceed 80 percent of the manufacturer's average annual 
production for the three years prior to the general applicability of the 
recreational engine standards in Sec. 94.8, except as allowed in 
paragraph (f)(2) of this section.
    (2) Small-volume boat builders may exceed the production limits in 
paragraph (f)(1) of this section, provided they do not exceed 20 boats 
during the five-year period or 10 boats in any single calendar year. 
This does not apply to boats powered by engines with displacement 
greater than 2.5 liters per cylinder.
    (3) Small-volume boat builders must keep records of all the boats 
and engines produced under this paragraph (f), including boat and engine 
model numbers, serial numbers, and dates of manufacture. Records must 
also include information verifying compliance with the limits in 
paragraph (f)(1) or (f)(2) of this section. Keep these records until at 
least two full years after you no longer use the provisions in this 
paragraph (f).
    (4) Manufacturers must add a permanent, legible label, written in 
block letters in English, to a readily visible part of each engine 
exempted under this paragraph (f). This label must include at least the 
following items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement (in liters), rated power, and model year 
of the engine or whom to contact for further information.
    (iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 94.12(f) 
FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.
    (g) Flexibility for engines over 560kW. Notwithstanding the other 
provisions of this part, manufacturers may choose to delay certification 
of marine engines with less than 2.5 liters per cylinder and rated power 
above 560 kW, that are derived from a land-based nonroad engine with a 
rated power greater than 560 kW, if they do all of the following:
    (1) Certify all of their applicable marine engines with less than 
2.5 liters per cylinder and rated power above 560 kW to a NOX 
standard of 6.4 g/kW-hr for model years 2008 through 2012.
    (2) Notify EPA in writing before 2004 of their intent to use this 
provision. This notification must include a signed statement certifying 
that the manufacturer will comply with all the provisions of this 
paragraph (g).
    (3) Add a permanent, legible label, written in block letters in 
English, to a readily visible part of each engine exempted under this 
paragraph (f). This label must include at least the following items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement (in liters), rated power, and model year 
of the engine or whom to contact for further information.
    (iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 94.12(g) 
FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68343, Nov. 8, 2002; 68 
FR 9784, Feb. 28, 2003]

[[Page 600]]


    Editorial Note: At 68 FR 9784, Feb. 28, 2003, Sec. 94.12 was amended 
by adding paragraph (f). The amendment could not be incorporated because 
paragraph (f) already exists in the section. For the convenience of the 
user, the added text is set forth as follows:

Sec. 94.12  Interim provisions.

                                * * * * *

    (f) Manufacturers may submit test data collected using the Annex VI 
test procedures to show compliance with Tier 1 standards for model years 
before 2007. Note: Starting in 2007, EPA may approve a manufacturer's 
request to continue using alternate procedures under Sec. 94.102(c), as 
long as the manufacturer satisfies EPA that the differences in testing 
will not affect NOX emission rates.



                       Subpart B--Test Procedures



Sec. 94.101  Applicability.

    Provisions of this subpart apply for testing performed by the 
Administrator or a manufacturer.



Sec. 94.102  General provisions.

    (a) The test procedures specified in this part are intended to 
produce emission measurements that are equivalent to emission 
measurements that would result from emission tests performed during in-
use operation using the same engine configuration installed in a vessel.
    (b) Test procedures otherwise allowed by the provisions of this 
subpart shall not be used where such procedures are not consistent with 
good engineering practice and the regulatory goal specified in paragraph 
(a) of this section.
    (c) Alternate test procedures may be used if shown to yield 
equivalent results, and if approved in advance by the Administrator.



Sec. 94.103  Test procedures for Category 1 marine engines.

    (a) Gaseous and particulate emissions shall be measured using the 
test procedures specified in 40 CFR part 89, except as otherwise 
specified in this subpart.
    (b) The Administrator may specify changes to the provisions of 
paragraph (a) of this section that are necessary to comply with the 
general provisions of Sec. 94.102.



Sec. 94.104  Test procedures for Category 2 marine engines.

    (a) Gaseous and particulate emissions shall be measured using the 
test procedures specified in 40 CFR part 92, except as otherwise 
specified in this subpart.
    (b)(1) The requirements of 40 CFR part 92 related to charge air 
temperatures, engine speed and load, and engine air inlet restriction 
pressures do not apply for marine engines.
    (2) For marine engine testing, charge air temperatures, engine speed 
and load, and engine air inlet restriction pressures shall be 
representative of typical in-use marine engine conditions.
    (c) Conduct testing at ambient temperatures from 13  deg.C to 30 
deg.C.
    (d) The Administrator may specify changes to the provisions of 
paragraph (a) of this section that are necessary to comply with the 
general provisions of Sec. 94.102.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68343, Nov. 8, 2002]



Sec. 94.105  Duty cycles.

    (a) Overview. For the purpose of determining compliance with the 
emission standards of Sec. 94.8, except for those in Sec. 94.8(e), 
engines shall be tested using the appropriate duty cycles described in 
this section.
    (b) General cycle. Propulsion engines that are used with (or 
intended to be used with) fixed-pitch propellers, and any other engines 
for which the other duty cycles of this section do not apply, shall be 
tested using the duty cycle described in the following Table B-1:

                                      Table B-1--General Marine Duty Cycle
----------------------------------------------------------------------------------------------------------------
                                                                 Engine
                                                               speed \1\    Percent of    Minimum
                          Mode No.                            (percent of    maximum      time in     Weighting
                                                                maximum     test power      mode       factors
                                                              test speed)      \2\       (minutes)
----------------------------------------------------------------------------------------------------------------
1...........................................................          100          100          5.0         0.20

[[Page 601]]

 
2...........................................................           91           75          5.0         0.50
3...........................................................           80           50          5.0         0.15
4...........................................................           63           25          5.0         0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed: 2 percent of point.
\2\ Power: 2 percent of engine maximum value.

    (c) Variable-pitch and electrically coupled propellers. (1) 
Constant-speed propulsion engines that are used with (or intended to be 
used with) variable-pitch propellers or with electrically coupled 
propellers shall be tested using the duty cycle described in the 
following Table B-2:

                           Table B-2--Duty Cycle for Constant-Speed Propulsion Engines
----------------------------------------------------------------------------------------------------------------
                                                                 Engine
                                                               speed \1\    Percent of    Minimum
                          Mode No.                            (percent of    maximum      time in     Weighting
                                                                maximum     test power      mode       factors
                                                              test speed)      \2\       (minutes)
----------------------------------------------------------------------------------------------------------------
1...........................................................          100          100          5.0         0.20
2...........................................................          100           75          5.0         0.50
3...........................................................          100           50          5.0         0.15
4...........................................................          100           25          5.0         0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed: 2 percent of point.
\2\ Power: 2 percent of engine maximum value.

    (2) For the purpose of determining compliance with the emission 
standards of Sec. 94.8, variable-speed propulsion engines that are used 
with (or intended to be used with) variable-pitch propellers or with 
electrically coupled propellers shall be tested using the duty cycle 
described in Table B-3, which follows:

 Table B-3--Duty Cycle for Variable Speed Propulsion Engines Used on Non-Propeller Law Vessels and for Variable
                                             Speed Auxiliary Engines
----------------------------------------------------------------------------------------------------------------
                                                                            Percent of    Minimum
                                                                             maximum      time in     Weighting
       Test segment           Mode No.           Engine speed \1\          test torque      mode       factors
                                                                               \2\       (minutes)
----------------------------------------------------------------------------------------------------------------
1.........................            1  Maximum Test Speed..............          100          5.0         0.15
1.........................            2  Maximum Test Speed..............           75          5.0         0.15
1.........................            3  Maximum Test Speed..............           50          5.0         0.15
1.........................            4  Maximum Test Speed..............           10          5.0         0.10
2.........................            5  Intermediate....................          100          5.0         0.10
2.........................            6  Intermediate....................           75          5.0         0.10
2.........................            7  Intermediate....................           50          5.0         0.10
2.........................            8  Idle............................            0          5.0         0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed (non-idle): 2 percent of point. Engine speed (idle): Within manufacturer's
  specifications. Idle speed is specified by the manufacturer.
\2\ Torque (non-idle): 2 percent of engine maximum value. Torque (idle): minimum fueling rate Load
  less than 5 percent of peak torque.

    (d) Auxiliary. For the purpose of determining compliance with the 
emission standards of Sec. 94.8:
    (1) Constant speed auxiliary engines shall be tested using the duty 
cycle described in Table B-4, which follows:

[[Page 602]]



                           Table B-4--Duty Cycle for Constant-Speed Auxiliary Engines
----------------------------------------------------------------------------------------------------------------
                                                                            Percent of    Minimum
                                                                             maximum      time in     Weighting
            Mode No.                          Engine speed \1\             test torque      mode       factors
                                                                               \2\       (minutes)
----------------------------------------------------------------------------------------------------------------
1...............................  Maximum Test Speed.....................          100          5.0         0.05
2...............................  Maximum Test Speed.....................           75          5.0         0.25
3...............................  Maximum Test Speed.....................           50          5.0         0.30
4...............................  Maximum Test Speed.....................           25          5.0         0.30
5...............................  Maximum Test Speed.....................           10          5.0         0.10
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed: 2 percent of point.
\2\ Torque: 2 percent of engine maximum value.

    (2) Variable speed auxiliary engines shall be tested using the duty 
cycle described in Table B-3 in paragraph (c)(2) of this section.
    (e) Recreational. For the purpose of determining compliance with the 
emission standards of Sec. 94.8, recreational engines shall be tested 
using the duty cycle described in Table B-5, which follows:

                                    Table B-5--Recreational Marine Duty Cycle
----------------------------------------------------------------------------------------------------------------
                                                      Engine
                                                    speed\(1)\      Percent of     Minimum time
                    Mode No.                        (percent of    maximum test       in mode        Weighting
                                                   maximum test     power\(2)\       (minutes)        factors
                                                      speed)
----------------------------------------------------------------------------------------------------------------
1...............................................             100             100             5.0            0.08
2...............................................              91              75             5.0            0.13
3...............................................              80              50             5.0            0.17
4...............................................              63              25             5.0            0.32
5...............................................            idle               0             5.0           0.30
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed: 2 percent of point.
\2\ Power: 2 percent of engine maximum value.


[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68343, Nov. 8, 2002]



Sec. 94.106  Supplemental test procedures for Category 1 and Category 2 
marine engines.

    This section describes the test procedures for supplemental testing 
conducted to determine compliance with the exhaust emission requirements 
of Sec. 94.8(e)(1). In general, the supplemental test procedures are the 
same as those otherwise specified by this subpart, except that they 
cover any speeds, loads, ambient conditions, and operating parameters 
that may be experienced in use. The test procedures specified by other 
sections in this subpart also apply to these tests, except as specified 
in this section.
    (a) Notwithstanding other provisions of this subpart, testing 
conducted to determine compliance with the exhaust emission requirements 
of Sec. 94.8(e) may be conducted:
    (1) At any speed and load (or any combination of speeds and loads 
that is nominally steady-state) within the applicable Not To Exceed Zone 
specified in paragraph (b) of this section;
    (2)(i) Without correction, at any intake air temperature between 
13 deg.C and 35 deg.C (or between 13 deg.C and 30 deg.C for engines not 
drawing intake air directly from a space that could be heated by the 
engine);
    (ii) Without correction at any ambient water temperature (or 
equivalent) between 5 deg.C and 27 deg.C;
    (iii) Without correction at any ambient humidity between 7.1 and 
10.7 grams of moisture per kilogram of dry air; and
    (3) With a continuous sampling period not less than 30 seconds in 
duration.
    (b) The specified Not to Exceed Zones for marine engines are defined 
as follows. These Not to Exceed Zones apply, unless a modified zone is 
established under paragraph (c) of this section.

[[Page 603]]

    (1) For commercial Category 1 engines certified using the duty cycle 
specified in Sec. 94.105(b), the Not to Exceed zones are defined as 
follows:
    (i) The Not to Exceed zone is the region between the curves power = 
1.15 x SPD2 and power = 0.85 x SPD4, excluding all 
operation below 25% of maximum power at rated speed and excluding all 
operation below 63% of maximum test speed.
    (ii) This zone is divided into two subzones, one above and one below 
45% of maximum power at rated speed.
    (iii) SPD in paragraph (b)(1)(i) of this section refers to percent 
of maximum test speed.
    (iv) See Figure B-1 for an illustration of this Not to Exceed zone 
which follows:

[[Page 604]]

[GRAPHIC] [TIFF OMITTED] TR29DE99.002

    (2) For Category 2 engines certified using the duty cycle specified 
in Sec. 94.105(b), the Not to Exceed zones are defined as follows:
    (i) The Not to Exceed zone is the region between the curves power = 
1.04 x SPD2 and power = 0.76 x SPD4, excluding all 
operation below 25% of maximum power at rated speed and excluding all 
operation below 63% of maximum test speed.
    (ii) This zone is divided into two subzones, one above and one below 
45% of maximum power at rated speed.

[[Page 605]]

    (iii) SPD in paragraph (b)(2)(i) of this section refers to percent 
of maximum test speed.
    (iv) See Figure B-2 in paragraph (b)(3) of this section for an 
illustration of this Not to Exceed zone.
    (3) For engines certified using the duty cycle specified in 
Sec. 94.105(c)(2), the Not to Exceed zones are defined as follows:
[GRAPHIC] [TIFF OMITTED] TR29DE99.003


[[Page 606]]


    (i) The Not to Exceed zone is the region above the curve power = 
0.85 x SPD2, excluding all operation below 25% of maximum 
power at rated speed and excluding all operation below 63% of maximum 
test speed.
    (ii) This zone is divided into two subzones, one above and one below 
45% of maximum power at rated speed.
    (iii) SPD in paragraph (b)(3)(i) of this section refers to percent 
of maximum test speed.
    (iv) See Figure B-3 for an illustration of this Not to Exceed zone:

[[Page 607]]

[GRAPHIC] [TIFF OMITTED] TR29DE99.004

    (4) For engines certified using the duty cycle specified in 
Sec. 94.105(c)(1), the Not to Exceed zone is defined as any load greater 
than or equal to 25 percent of maximum power at rated speed, and any 
speed at which the engine operates in use.
    (5) For recreational marine engines certified using the duty cycle 
specified in Sec. 94.105(e), the Not to Exceed zones are defined as 
follows:

[[Page 608]]

    (i) The Not to Exceed zone is the region between the curves power = 
1.15 x SPD\2\ and power = 0.85 x SPD\4\, excluding all operation below 
25% of maximum power at rated speed and excluding all operation below 
63% of maximum test speed.
    (ii) This zone is divided into three subzones, one below 45% of 
maximum power at maximum test speed; one above 95% of maximum test 
speed; and a third area including all of the remaining area of the NTE 
zone.
    (iii) SPD in paragraph (b)(5)(i) of this section refers to percent 
of maximum test speed.
    (iv) See Figure B-4 for an illustration of this Not to Exceed zone 
as follows:
[GRAPHIC] [TIFF OMITTED] TR08NO02.003


[[Page 609]]


    (c)(1) Upon request by the manufacturer, the Administrator may 
specify a narrower Not to Exceed Zone for an engine family at the time 
of certification, provided that the narrower Not to Exceed Zone includes 
all speeds greater than 63 percent of maximum test speed and loads 
greater than 25 percent of maximum power at rated speed at which the 
engines are expected to normally operate in use.
    (2) At the time of certification, the Administrator may specify, or 
require the manufacturer to specify, a broader Not to Exceed Zone for an 
engine family, provided that the broader Not to Exceed Zone includes 
only speeds greater than 63 percent of maximum test speed and loads 
greater than 25 percent of maximum power at rated speed at which the 
engines are expected to normally operate in use.
    (d) Testing conducted to determine compliance with the exhaust 
emission requirements of Sec. 94.8(e) may be conducted at any ambient 
air temperature or humidity outside the ranges specified in paragraph 
(a)(2) of this section, provided that emission measurements are 
corrected to be equivalent to measurements within the ranges specified 
in paragraph (a)(2) of this section. Correction of emission measurements 
made in accordance with this paragraph (d) shall be made in accordance 
with good engineering practice. The measurements shall be corrected to 
be within the range using the minimum possible correction.
    (e) Testing conducted under this section may not include engine 
starting.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68344, Nov. 8, 2002; 68 
FR 9784, Feb. 28, 2003]



Sec. 94.107  Determination of maximum test speed.

    (a) Overview. This section specifies how to determine maximum test 
speed from a lug curve. This maximum test speed is used in Secs. 94.105, 
94.106, and Sec. 94.109 (including the tolerances for engine speed 
specified in Sec. 94.105).
    (b) Generation of lug curve. Prior to beginning emission testing, 
generate maximum measured brakepower versus engine speed data points 
using the applicable method specified in 40 CFR 86.1332. These data 
points form the lug curve. It is not necessary to generate the entire 
lug curve. For the portion of the curve where power increases with 
increasing speed, it is not necessary to generate points with power less 
than 90 percent of the maximum power value. For the portion of the curve 
where power decreases with increasing speed, it is not necessary to 
generate points with power less than 75 percent of the maximum power 
value.
    (c) Normalization of lug curve. (1) Identify the point (power and 
speed) on the lug curve at which maximum power occurs.
    (2) Normalize the power values of the lug curve by dividing them by 
the maximum power value identified in paragraph (b)(1) of this section, 
and multiplying the resulting values by 100.
    (3) Normalize the engine speed values of the lug curve by dividing 
them by the speed at which maximum power occurs, which is identified in 
paragraph (b)(1) of this section, and multiplying the resulting values 
by 100.
    (4) Maximum engine power is located on the normalized lug curve at 
100 percent power and 100 percent speed.
    (d) Determination of maximum test speed. Calculate the maximum test 
speed from the speedfactor analysis described in this paragraph (d).
    (1) For a given combination of engine power and speed (i.e., a given 
power/speed point), the speedfactor is the distance to the normalized 
power/speed point from the zero power, zero speed point. The value of 
the speedfactor is defined as:

[GRAPHIC] [TIFF OMITTED] TR29DE99.005

    (2) Calculate speedfactors for the power/speed data points on the 
lug curve, and determine the maximum value.
    (3) Maximum test speed is the speed at which the maximum value for 
the speedfactor occurs.
    (e) For constant-speed engines, rated speed is the maximum test 
speed.
    (f) For Category 3 engines, manufacturers may choose to set the 
maximum test speed at the maximum in-use engine speed instead of the 
speed specified in Sec. 94.107(d).

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9784, Feb. 28, 2003]

[[Page 610]]



Sec. 94.108  Test fuels.

    (a) Distillate diesel test fuel. (1) The diesel fuels for testing 
Category 1 and Category 2 marine engines designed to operate on 
distillate diesel fuel shall be clean and bright, with pour and cloud 
points adequate for operability. The diesel fuel may contain nonmetallic 
additives as follows: cetane improver, metal deactivator, antioxidant, 
dehazer, antirust, pour depressant, dye, dispersant, and biocide. The 
diesel fuel shall also meet the specifications (as determined using 
methods incorporated by reference at Sec. 94.5) in Table B-5 of this 
section, or substantially equivalent specifications approved by the 
Administrator, as follows:

              Table B-5.--Federal Test Fuel Specifications
------------------------------------------------------------------------
              Item                 Procedure \1\            Value
------------------------------------------------------------------------
Cetane.........................  ASTM D 613-01....  40-48
Distillation Range:
    Initial boiling point,       ASTM D 86-01.....  171-204
     deg.C.
    10% point,  deg.C..........  ASTM D 86-01.....  204-238
    50% point,  deg.C..........  ASTM D 86-01.....  243-282
    90% point,  deg.C..........  ASTM D 86-01.....  293-332
    End point,  deg.C..........  ASTM D 86-01.....  321-366
Flashpoint,  deg.C.............  ASTM D 93-02.....  54 minimum
Gravity, API...................  ASTM D 287-92....  32-37
Hydrocarbon composition:
    Aromatics, volume percent..  ASTM D 1319-02a    10 minimum
                                  or D 5186-99.
    Olefins and Saturates        ASTM D 1319-02a..  Remainder
     (paraffins and
     napththenes).
Total Sulfur, weight percent...  ASTM D 129-00 or   0.03--0.80
                                  D 2622-98.
Viscosity at 38  deg.C,          ASTM D 445-01....  2.0-3.2
 centistokes.
------------------------------------------------------------------------
\1\ All ASTM standards are incorporated by reference in Sec.  94.5.

    (2) Other diesel fuels may be used for testing provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in service; and
    (iii) Use of a fuel listed under paragraph (a)(1) of this section 
would have a detrimental effect on emissions or durability; and
    (iv) Written approval from the Administrator of the fuel 
specifications is provided prior to the start of testing.
    (3) The specification of the fuel to be used under paragraphs 
(a)(1), and (a)(2) of this section shall be reported in the application 
for certification.
    (b) Other fuel types. For Category 1 and Category 2 engines that are 
designed to be capable of using a type of fuel (or mixed fuel) instead 
of or in addition to distillate diesel fuel (e.g., natural gas, 
methanol, or nondistillate diesel), and that are expected to use that 
type of fuel (or mixed fuel) in service:
    (1) A commercially available fuel of that type shall be used for 
exhaust emission testing. The manufacturer shall propose for the 
Administrator's approval a set of test fuel specifications that take 
into account the engine design and the properties of commercially 
available fuels. The Administrator may require testing on each fuel if 
it is designed to operate on more than one fuel. These test fuel 
specifications shall be reported in the application for certification.
    (2) [Reserved]
    (c) Service accumulation fuel. Fuel used for service accumulation 
shall be representative of the typical fuel expected to be used by the 
engines in service.
    (d) Correction for sulfur. (1) Particulate emission measurements 
from Category 1 or Category 2 engines without exhaust aftertreatment 
obtained using a diesel fuel containing more than 0.40 weight percent 
sulfur may be adjusted to a sulfur content of 0.40 weight percent.
    (2) Adjustments to the particulate measurement shall be made using 
the following equation:

PMadj=PM-[BSFC *0.0917 *(FSF-0.0040)]

Where:
PMadj=adjusted measured PM level [g/kW-hr]

[[Page 611]]

PM=measured weighted PM level [g/KW-hr]
BSFC=measured brake specific fuel consumption [g/KW-hr]
FSF=fuel sulfur weight fraction
    (e) Test fuel for Category 3 engines. For testing Tier 1 engines, 
use test fuels meeting the specifications listed in the Annex VI 
Technical Code (incorporated by reference in Sec. 94.5).

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68345, Nov. 8, 2002; 68 
FR 9784, Feb. 28, 2003]



Sec. 94.109  Test procedures for Category 3 marine engines.

    (a) Gaseous emissions shall be measured using the test cycles and 
procedures specified by Section 5 of the Annex VI Technical Code 
(incorporated by reference in Sec. 94.5), except as otherwise specified 
in this paragraph (a).
    (1) The inlet air and exhaust restrictions shall be set at the 
average in-use levels.
    (2) Measurements are valid only for sampling periods in which the 
temperature of the charge air entering the engine is within 3  deg.C of 
the temperature that would occur in-use under ambient conditions 
(temperature, pressure, and humidity) identical to the test conditions. 
You may measure emissions within larger discrepancies, but you may not 
use those measurements to demonstrate compliance.
    (3) Engine coolant and engine oil temperatures shall be equivalent 
to the temperatures that would occur in-use under ambient conditions 
identical to the test conditions.
    (4) Exhaust flow rates shall be calculated using measured fuel flow 
rates.
    (5) Standards used for calibration shall be traceable to NIST 
standards. (Other national standards may be used if they have been shown 
to be equivalent to NIST standards.)
    (6) Certification tests may be performed at any representative 
pressure and humidity levels. Certification tests may be performed at 
any ambient air temperature from 13  deg.C to 30  deg.C and any charge 
air cooling water temperature from 17  deg.C to 27  deg.C. These limits 
apply instead of the limits specified in section 5.2.1 of the Annex VI 
Technical Code. Correct emissions for test conditions using the 
corrections specified in section 5.12.3 of the Annex VI Technical Code.
    (7) Test cycles shall be denormalized based on the maximum test 
speed described in Sec. 94.107.
    (b) Analyzers meeting the specifications of either 40 CFR part 86, 
subpart N, or ISO 8178-1 (incorporated by reference in Sec. 94.5) shall 
be used to measure THC and CO.
    (c) The Administrator may specify changes to the provisions of 
paragraph (a) of this section that are necessary to comply with the 
general provisions of Sec. 94.102.

[68 FR 9785, Feb. 28, 2003]



                   Subpart C--Certification Provisions



Sec. 94.201  Applicability.

    The requirements of this subpart are applicable to manufacturers of 
engines subject to the standards of subpart A of this part.



Sec. 94.202  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 94.203  Application for certification.

    (a) For each engine family that complies with all applicable 
standards and requirements, the manufacturer shall submit to the 
Administrator a completed application for a certificate of conformity.
    (b) The application shall be approved and signed by the authorized 
representative of the manufacturer.
    (c) The application shall be updated and corrected by amendment, 
where necessary, as provided for in Sec. 94.210 to accurately reflect 
the manufacturer's production.
    (d) Each application shall include all the following information:
    (1)(i) A description of the basic engine design, including but not 
limited to, the engine family specifications, the provisions of which 
are contained in Sec. 94.204.
    (ii) A list of distinguishable configurations to be included in the 
engine family.
    (2) An explanation of how the emission control system operates, 
including detailed descriptions of:
    (i) All emission control system components;

[[Page 612]]

    (ii) The injection timing map or maps (i.e., degrees before or after 
top-dead-center), and any functional dependence of such timing on other 
operational parameters (e.g., engine coolant temperature or engine 
speed);
    (iii) Each auxiliary emission control device (AECD); and
    (iv) All fuel system components to be installed on any production or 
test engine(s).
    (3) A description of the test engine.
    (4) Special or alternate test procedures, if applicable.
    (5) A description of the operating cycle and the period of operation 
necessary to accumulate service hours on the test engine and stabilize 
emission levels.
    (6) A description of all adjustable operating parameters (e.g., 
injection timing and fuel rate), including all the following:
    (i) The nominal or recommended setting and the associated production 
tolerances.
    (ii) The physically adjustable range (Note: if this is different 
than the intended adjustable range, describe why these are different).
    (iii) The limits or stops used to limit adjustable ranges.
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range.
    (v) Information relating to the reason that the physical limits or 
stops used to establish the physically adjustable range of each 
parameter, or any other means used to inhibit adjustment, are the most 
effective means possible of preventing adjustment of parameters to 
settings outside the manufacturer's specified adjustable ranges on in-
use engines.
    (7) For families participating in the averaging, banking, and 
trading program, the information specified in subpart D of this part.
    (8) Projected U.S.-directed production volume information for each 
configuration.
    (9) A description of the test equipment and fuel used.
    (10) All test data obtained by the manufacturer on each test engine.
    (11) The intended useful life period for the engine family, in 
accordance with Sec. 94.9(a).
    (12) The intended deterioration factors for the engine family, in 
accordance with Sec. 94.218.
    (13) All information required for EPA to interpret all messages and 
parameters broadcast on an engine's controller area network, including 
but not limited to message or parameter identification, scaling, limit, 
offset, and transfer function. (The manufacturer may reference publicly 
released controller area network standards where applicable. The format 
of this information shall be provided in a format similar to publicly 
released documents pertaining to controller area network standards.)
    (14) (i) For Category 1 and Category 2 engines, a statement that the 
all the engines included in the engine family comply with the Not To 
Exceed standards specified in Sec. 94.8(e) when operated under all 
conditions which may reasonably be expected to be encountered in normal 
operation and use; the manufacturer also must provide a detailed 
description of all testing, engineering analyses, and other information 
which provides the basis for this statement.
    (ii) [Reserved]
    (15) An unconditional statement certifying that all engines included 
in the engine family comply with all requirements of this part and the 
Clean Air Act.
    (16) A statement indicating duty-cycle and application of the engine 
(e.g., used to propel planing vessels, use to propel vessels with 
variable-pitch propellers, constant-speed auxiliary, recreational, 
etc.).
    (e) At the Administrator's request, the manufacturer shall supply 
such additional information as may be required to evaluate the 
application.
    (f)(1) If the manufacturer submits some or all of the information 
specified in paragraph (d) of this section in advance of its full 
application for certification, the Administrator shall review the 
information and make the determinations required in Sec. 94.208 (d) 
within 90 days of the manufacturer's submittal.
    (2) The 90-day decision period is exclusive of any elapsed time 
during

[[Page 613]]

which EPA is waiting for additional information requested from a 
manufacturer regarding an adjustable parameter (the 90-day period 
resumes upon receipt of the manufacturer's response). For example, if 
EPA requests additional information 30 days after the manufacturer 
submits information under paragraph (f)(1) of this section, then the 
Administrator would make a determination within 60 days of the receipt 
of the requested information from the manufacturer.
    (g)(1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided that all of the 
information specified therein is maintained by the manufacturer as 
required by Sec. 94.215, and amended, updated, or corrected as 
necessary.
    (2) For the purposes of this paragraph (g), Sec. 94.215 includes all 
information specified in paragraph (d) of this section, whether or not 
such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review a manufacturer's records at any 
time. At the Administrator's discretion, this review may take place 
either at the manufacturer's facility or at another facility designated 
by the Administrator.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68346, Nov. 8, 2002; 68 
FR 9785, Feb. 28, 2003]



Sec. 94.204  Designation of engine families.

    This section specifies the procedure and requirements for grouping 
of engines into engine families.
    (a) Manufacturers shall divide their engines into groupings of 
engines which are expected to have similar emission characteristics 
throughout their useful life. Each group shall be defined as a separate 
engine family.
    (b) For Category 1 marine engines, the following characteristics 
distinguish engine families:
    (1) Fuel;
    (2) Cooling method (including cooling medium);
    (3) Method of air aspiration;
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap);
    (5) Combustion chamber design;
    (6) Bore;
    (7) Stroke;
    (8) Number of cylinders, (engines with aftertreatment devices only);
    (9) Cylinder arrangement (engines with aftertreatment devices only);
    (10) Fuel system configuration; and
    (11) Class (commercial or recreational).
    (c) For Category 2 marine engines, the following characteristics 
distinguish engine families:
    (1) The combustion cycle (e.g., diesel cycle);
    (2) The type of engine cooling employed (air-cooled or water-
cooled), and procedure(s) employed to maintain engine temperature within 
desired limits (thermostat, on-off radiator fan(s), radiator shutters, 
etc.);
    (3) The bore and stroke dimensions;
    (4) The approximate intake and exhaust event timing and duration 
(valve or port);
    (5) The location of the intake and exhaust valves (or ports);
    (6) The size of the intake and exhaust valves (or ports);
    (7) The overall injection, or as appropriate ignition, timing 
characteristics (i.e., the deviation of the timing curves from the 
optimal fuel economy timing curve must be similar in degree);
    (8) The combustion chamber configuration and the surface-to-volume 
ratio of the combustion chamber when the piston is at top dead center 
position, using nominal combustion chamber dimensions;
    (9) The location of the piston rings on the piston;
    (10) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown);
    (11) The turbocharger or supercharger general performance 
characteristics (e.g., approximate boost pressure, approximate response 
time, approximate size relative to engine displacement);
    (12) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled);
    (13) The intake manifold induction port size and configuration;
    (14) The type of fuel and fuel system configuration;
    (15) The configuration of the fuel injectors and approximate 
injection pressure;

[[Page 614]]

    (16) The type of fuel injection system controls (i.e., mechanical or 
electronic);
    (17) The type of smoke control system;
    (18) The exhaust manifold port size and configuration; and
    (19) The type of exhaust aftertreatment system (oxidation catalyst, 
particulate trap), and characteristics of the aftertreatment system 
(catalyst loading, converter size vs engine size).
    (d) Upon request by the manufacturer, engines that are eligible to 
be included in the same engine family based on the criteria in paragraph 
(b) or (c) of this section may be divided into different engine 
families. This request must be accompanied by information the 
manufacturer believes supports the use of these different engine 
families.
    (e) Upon request by the manufacturer, the Administrator may allow 
engines that would be required to be grouped into separate engine 
families based on the criteria in paragraph (b) or (c) of this section 
to be grouped into a single engine family if the manufacturer 
demonstrates that the engines will have similar emission 
characteristics; however, recreational and commercial engines may not be 
grouped in the same engine family. This request must be accompanied by 
emission information supporting the appropriateness of such combined 
engine families.
    (f) Category 3 engines shall be grouped into engine families based 
on the criteria specified in Section 4.3 of the Annex VI Technical Code 
(incorporated by reference in Sec. 94.5), except as allowed in 
paragraphs (d) and (e) of this section.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68346, Nov. 8, 2002; 68 
FR 9785, Feb. 28, 2003]



Sec. 94.205  Prohibited controls, adjustable parameters.

    (a) Any system installed on, or incorporated in, a new engine to 
enable the engine to conform to the standards contained in this part:
    (1) Shall not cause a violation of the general standards of 
Sec. 94.7.
    (2) Shall function during all in-use operation, except as otherwise 
allowed by this part.
    (b)(1) Category 1 marine engines equipped with adjustable parameters 
must comply with all requirements of this subpart for any adjustment in 
the physically adjustable range.
    (2) Category 2 and Category 3 marine engines equipped with 
adjustable parameters must comply with all requirements of this subpart 
for any adjustment in the approved adjustable range.
    (c) The Administrator may require that adjustable parameters be set 
to any specification within its adjustable range for certification, 
selective enforcement audit, or in-use testing to determine compliance 
with the requirements of this subpart.
    (d) In specifying the adjustable range of each adjustable parameter 
on a new engine, the manufacturer, shall:
    (1) Ensure that safe engine operating characteristics are available 
within that range, as required by section 202(a)(4) of the Clean Air 
Act, taking into consideration the production tolerances; and
    (2) To the maximum extent practicable, limit the physical range of 
adjustability to that which is necessary for proper operation of the 
engine.
    (e) Tier 1 Category 3 marine engines shall be adjusted according to 
the manufacturer's specifications for testing.
    (f) For Category 3 marine engines, manufacturers must specify in the 
maintenance instructions how to adjust the engines to achieve emission 
performance equivalent to the performance demonstrated under the 
certification test conditions. This must address all necessary 
adjustments, including those required to address differences in fuel 
quality or ambient temperatures. For example, equivalent emissions 
performance can be measured relative to optimal engine performance that 
could be achieved in the absence of emission standards (i.e., the 
calibration that result in the lowest fuel consumption and/or maximum 
firing pressure). In this example, adjustments that achieved the same 
percent reduction in NOX emissions from the optimal 
calibration would be considered to be equivalent. Alternatively, if the 
engine uses injection timing retard

[[Page 615]]

and EGR to reduce emissions, then retarding timing the same number of 
degrees (relative to optimal engine performance) and using the same rate 
of EGR at the different conditions would be considered to be equivalent.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9785, Feb. 28, 2003]



Sec. 94.206  Required information.

    (a) The manufacturer shall perform the tests required by the 
applicable test procedures, and submit to the Administrator the 
information required by this section: Provided, that if requested by the 
manufacturer, the Administrator may waive any requirement of this 
section for testing of engines for which the required emission data are 
otherwise available.
    (b) The manufacturer shall submit exhaust emission deterioration 
factors, with supporting data. The determination of the deterioration 
factors shall be conducted in accordance with Sec. 94.218 to ensure that 
the engines covered by a certificate issued under Sec. 94.208 will meet 
all of the emission standards in Sec. 94.8 in use for the useful life of 
the engine.
    (c) The manufacturer shall submit emission data on such engines 
tested in accordance with the applicable test procedures of Subpart B of 
this part. These data shall include zero hour data, if generated. In 
lieu of providing the emission data required by paragraph (a) of this 
section, the Administrator may, upon request by the manufacturer, allow 
the manufacturer to demonstrate (on the basis of previous emission 
tests, development tests, or other testing information) that the engine 
will conform with the applicable emission standards of Sec. 94.8.
    (d) The manufacturer shall submit a statement that the engines for 
which certification is requested conform to the requirements in 
Sec. 94.7 and that the descriptions of tests performed to ascertain 
compliance with the general standards in Sec. 94.7, and the data derived 
from such tests, are available to the Administrator upon request.
    (e) The manufacturer shall submit a statement that the emission data 
engine used to demonstrate compliance with the applicable standards of 
this part is in all material respects as described in the manufacturer's 
application for certification; that it has been tested in accordance 
with the applicable test procedures utilizing the fuels and equipment 
described in the application for certification; and that on the basis of 
such tests, the engine family conforms to the requirements of this part. 
If, on the basis of the data supplied and any additional data as 
required by the Administrator, the Administrator determines that the 
test engine was not as described in the application for certification or 
was not tested in accordance with the applicable test procedures 
utilizing the fuels and equipment as described in the application for 
certification, the Administrator may make the determination that the 
engine does not meet the applicable standards. If the Administrator 
makes such a determination, he/she may withhold, suspend, or revoke the 
certificate of conformity under Sec. 94.208 (c)(3)(i).



Sec. 94.207  Special test procedures.

    (a) Establishment of special test procedures by EPA. The 
Administrator may, on the basis of written application by a 
manufacturer, establish special test procedures other than those set 
forth in this part, for any engine that the Administrator determines is 
not susceptible to satisfactory testing under the specified test 
procedures set forth in Subpart B of this part.
    (b) Use of alternate test procedures by a manufacturer. (1) A 
manufacturer may elect to use an alternate test procedure, provided that 
it is equivalent to the specified procedures with respect to the 
demonstration of compliance, its use is approved in advance by the 
Administrator, and the basis for the equivalence with the specified test 
procedures is fully described in the manufacturer's application.
    (2) The Administrator may reject data generated under alternate test 
procedures if the data do not correlate with data generated under the 
specified procedures.



Sec. 94.208  Certification.

    (a) If, after a review of the application for certification, test 
reports and data acquired from an engine or from a development data 
engine, and any

[[Page 616]]

other information required or obtained by EPA, the Administrator 
determines that the application is complete and that the engine family 
meets the requirements of the Act and this part, he/she will issue a 
certificate of conformity with respect to such engine family, except as 
provided by paragraph (c)(3) of this section. The certificate of 
conformity is valid for each engine family from the date of issuance by 
EPA until 31 December of the model year or calendar year for which it is 
issued and upon such terms and conditions as the Administrator deems 
necessary or appropriate to ensure that the production engines covered 
by the certificate will meet the requirements of the Act and of this 
part.
    (b) [Reserved]
    (c)(1) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificates were issued were satisfied or excused.
    (2) The Administrator will determine whether the test data included 
in the application represents all engines of the engine family.
    (3) Notwithstanding the fact that any engine(s) may comply with 
other provisions of this subpart, the Administrator may withhold or deny 
the issuance of any certificate of conformity, or suspend or revoke any 
such certificate(s) which has (have) been issued with respect to any 
such engine(s) if:
    (i) The manufacturer submits false or incomplete information in its 
application for certification thereof;
    (ii) The manufacturer renders inaccurate any test data which it 
submits pertaining thereto or otherwise circumvents the intent of the 
Act, or of this part with respect to such engine;
    (iii) Any EPA Enforcement Officer is denied access on the terms 
specified in Sec. 94.215 to any facility or portion thereof which 
contains any of the following:
    (A) An engine which is scheduled to undergo emissions testing, or 
which is undergoing emissions testing, or which has undergone emissions 
testing; or
    (B) Any components used or considered for use in the construction, 
modification or buildup of any engine which is scheduled to undergo 
emissions testing, or which is undergoing emissions testing, or which 
has undergone emissions testing for purposes of emissions certification; 
or
    (C) Any production engine which is or will be claimed by the 
manufacturer to be covered by the certificate; or
    (D) Any step in the construction of the engine; or
    (E) Any records, documents, reports or histories required by this 
part to be kept concerning any of the items listed in paragraphs 
(c)(3)(iii)(A) through (D) of this section; or
    (iv) Any EPA Enforcement Officer is denied ``reasonable assistance'' 
(as defined in Sec. 94.215).
    (4) In any case in which a manufacturer knowingly submits false or 
inaccurate information or knowingly renders inaccurate or invalid any 
test data or commits any other fraudulent acts and such acts contribute 
substantially to the Administrator's decision to issue a certificate of 
conformity, the Administrator may deem such certificate void ab initio.
    (5) In any case in which certification of an engine is to be 
withheld, denied, revoked or suspended under paragraph (c)(3) of this 
section, and in which the Administrator has presented to the 
manufacturer involved reasonable evidence that a violation of 
Sec. 94.215 in fact occurred, the manufacturer, if it wishes to contend 
that, even though the violation occurred, the engine in question was not 
involved in the violation to a degree that would warrant withholding, 
denial, revocation or suspension of certification under paragraph (c)(3) 
of this section, shall have the burden of establishing that contention 
to the satisfaction of the Administrator.
    (6) Any revocation, suspension, or voiding of certification under 
paragraph (c)(3) of this section shall:
    (i) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec. 94.216; 
and
    (ii) Extend no further than to forbid the introduction into commerce 
of engines previously covered by the certification which are still in 
the hands of the manufacturer, except in cases of such fraud or other 
misconduct that makes the certification invalid ab initio.

[[Page 617]]

    (7) The manufacturer may request, within 30 days of receiving 
notification, that any determination made by the Administrator under 
paragraph (c)(3) of this section to withhold or deny certification be 
reviewed in a hearing conducted in accordance with Sec. 94.216. The 
request shall be in writing, signed by an authorized representative of 
the manufacturer and shall include a statement specifying the 
manufacturer's objections to the Administrator's determinations, and 
data in support of such objections. If the Administrator finds, after a 
review of the request and supporting data, that the request raises a 
substantial factual issue, he/she will grant the request with respect to 
such issue.
    (d) In approving an application for certification, the Administrator 
may specify or require the manufacturer to specify:
    (1) A broader range of adjustability than recommended by the 
manufacturer for those engine parameters which are subject to 
adjustment, if the Administrator determines that it is not reasonable to 
expect the parameter to be kept adjusted within the recommended range in 
use;
    (2) A longer useful life period, if the Administrator determines 
that the useful life of the engines in the engine family, as defined in 
Sec. 94.2, is longer than the period specified by the manufacturer;
    (3) Larger deterioration factors, if the Administrator determines 
that the deterioration factors specified by the manufacturer do not meet 
the requirements of Sec. 94.218; and/or
    (4) A broader Not to Exceed Zone subject to the provisions of 
Sec. 94.106(b).
    (e) Within 30 days following receipt of notification of the 
Administrator's determinations made under paragraph (d) of this section, 
the manufacturer may request a hearing on the Administrator's 
determinations. The request shall be in writing, signed by an authorized 
representative of the manufacturer and shall include a statement 
specifying the manufacturer's objections to the Administrator's 
determinations and data in support of such objections. If, after review 
of the request and supporting data, the Administrator finds that the 
request raises a substantial factual issue, the manufacturer shall be 
provided with a hearing in accordance with Sec. 94.216 with respect to 
such issue.



Sec. 94.209  Special provisions for post-manufacture marinizers and 
small-volume manufacturers.

    The provisions of this section apply for Category 1 and Category 2 
engines, but not for Category 3 engines.
    (a) Broader engine families. Instead of the requirements of 
Sec. 94.204, an engine family may consist of any engines subject to the 
same emission standards. This does not change any of the requirements of 
this part for showing that an engine family meets emission standards. To 
be eligible to use the provisions of this paragraph (a), the 
manufacturer must demonstrate one of the following:
    (1) It is a post-manufacture marinizer and that the base engines 
used for modification have a valid certificate of conformity issued 
under 40 CFR part 89 or 40 CFR part 92 or the heavy-duty engine 
provisions of 40 CFR part 86.
    (2) It is a small-volume manufacturer.
    (b) Hardship relief. Post-manufacture marinizers, small-volume 
manufacturers, and small-volume boat builders may take any of the 
otherwise prohibited actions identified in Sec. 94.1103(a)(1) if 
approved in advance by the Administrator, subject to the following 
requirements:
    (1) Application for relief must be submitted to the Designated 
Officer in writing prior to the earliest date in which the applying 
manufacturer would be in violation of Sec. 94.1103. The manufacturer 
must submit evidence showing that the requirements for approval have 
been met.
    (2) The conditions causing the impending violation must not be 
substantially the fault of the applying manufacturer.
    (3) The conditions causing the impending violation must jeopardize 
the solvency of the applying manufacturer if relief is not granted.
    (4) The applying manufacturer must demonstrate that no other 
allowances under this part will be available to avoid the impending 
violation.

[[Page 618]]

    (5) Any relief may not exceed one year beyond the date relief is 
granted.
    (6) The Administrator may impose other conditions on the granting of 
relief including provisions to recover the lost environmental benefit.
    (7) The manufacturer must add a permanent, legible label, written in 
block letters in English, to a readily visible part of each engine 
exempted under this paragraph (b).
    This label must include at least the following items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement (in liters), rated power, and model year 
of the engine or whom to contact for further information.
    (iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 94.209(b) 
FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.
    (c) Extension of deadlines. Small-volume manufacturers may use the 
provisions of 40 CFR 1068.250 to ask for an extension of a deadline to 
meet emission standards. We may require that you use available base 
engines that have been certified to emission standards for land-based 
engines until you are able to produce engines certified to the 
requirements of this part.

[67 FR 68346, Nov. 8, 2002, as amended at 68 FR 9786, Feb. 28, 2003]



Sec. 94.210  Amending the application and certificate of conformity.

    (a) The manufacturer shall notify the Administrator when changes to 
information required to be described in the application for 
certification are to be made to a product line covered by a certificate 
of conformity. This notification shall include a request to amend the 
application or the existing certificate of conformity. Except as 
provided in paragraph (e) of this section, no manufacturer shall make 
said changes or produce said engines prior to receiving approval from 
the Administrator.
    (b) A manufacturer's request to amend the application or the 
existing certificate of conformity shall include the following 
information:
    (1) A full description of the change to be made in production, or of 
the engines to be added;
    (2) Engineering evaluations or data showing that the engines as 
modified or added will comply with all applicable emission standards; 
and
    (3) A determination whether the manufacturer's original test fleet 
selection is still appropriate, and if the original test fleet selection 
is determined not to be appropriate, test fleet selection(s) 
representing the engines changed or added which would have been required 
if the engines had been included in the original application for 
certification.
    (c) The Administrator may require the manufacturer to perform tests 
on the engine representing the engine to be added or changed.
    (d)(1) Based on the description of the amendment and data derived 
from such testing as the Administrator may require or conduct, the 
Administrator will determine whether the change or addition would still 
be covered by the certificate of conformity then in effect.
    (2) If the Administrator determines that the change or new engine(s) 
meets the requirements of this part and the Act, the appropriate 
certificate of conformity shall be amended.
    (3) If the Administrator determines that the changed engine(s) does 
not meet the requirements of this part and the Act, the certificate of 
conformity will not be amended. The Administrator shall provide a 
written explanation to the manufacturer of the decision not to amend the 
certificate. The manufacturer may request a hearing on a denial.
    (e) A manufacturer may make changes in or additions to production 
engines concurrently with the notification to the Administrator, as 
required by paragraph (a) of this section, if the manufacturer complies 
with the following requirements:
    (1) In addition to the information required in paragraph (b) of this 
section, the manufacturer shall supply supporting documentation, test 
data, and engineering evaluations as appropriate to demonstrate that all 
affected engines will still meet applicable emission standards.

[[Page 619]]

    (2) If, after a review, the Administrator determines additional 
testing is required, the manufacturer shall provide the required test 
data within 30 days or cease production of the affected engines.
    (3) If the Administrator determines that the affected engines do not 
meet applicable requirements, the Administrator will notify the 
manufacturer to cease production of the affected engines and to recall 
and correct at no expense to the owner all affected engines previously 
produced.
    (4) Election to produce engines under this paragraph (e) will be 
deemed to be a consent to recall all engines that the Administrator 
determines do not meet applicable standards and to cause such 
nonconformity to be remedied at no expense to the owner.



Sec. 94.211  Emission-related maintenance instructions for purchasers.

    (a) The manufacturer shall furnish or cause to be furnished to the 
ultimate purchaser of each new engine, subject to the standards 
prescribed in Sec. 94.8, written instructions for the proper maintenance 
and use of the engine as are reasonable and necessary to assure the 
proper functioning of the emissions control system, consistent with the 
applicable provisions of paragraph (b) of this section.
    (1) The maintenance and use instructions required by this section 
shall be clear and easily understandable.
    (2) The maintenance instructions required by this section shall 
contain a general description of the documentation that would 
demonstrate for warranty purposes that the ultimate purchaser or any 
subsequent owner had complied with the instructions.
    (3) For Category 3 engines, the manufacturer must provide in 
boldface type on the first page of the written maintenance instructions 
notice that Sec. 94.1004 requires that the emissions-related maintenance 
be performed as specified in the instructions (or equivalent).
    (b)(1) The manufacturer must provide in boldface type on the first 
page of the written maintenance instructions notice that maintenance, 
replacement, or repair of the emission control devices and systems may 
be performed by any engine repair establishment or individual.
    (2) The instructions under paragraph (b)(1) of this section will not 
include any condition on the ultimate purchaser's or owner's using, in 
connection with such engine, any component or service (other than a 
component or service provided without charge under the terms of the 
purchase agreement) which is identified by brand, trade, or corporate 
name. Such instructions also will not directly or indirectly distinguish 
between service performed by any other service establishments with which 
such manufacturer has a commercial relationship and service performed by 
independent vessel or engine repair facilities with which such 
manufacturer has no commercial relationship.
    (3) The prohibition of paragraph (b)(2) of this section may be 
waived by the Administrator if:
    (i) The manufacturer demonstrates to the Administrator's 
satisfaction that the engine will function properly only if the 
component or service so identified is used in connection with such 
engine; and
    (ii) The Administrator finds that such a waiver is in the public 
interest.
    (c) The manufacturer shall provide to the Administrator, no later 
than the time of the submission required by Sec. 94.203, a copy of the 
emission-related maintenance instructions that the manufacturer proposes 
to supply to the ultimate purchaser or owner in accordance with this 
section. The Administrator will review such instructions to determine 
whether they are reasonable and necessary to ensure the proper 
functioning of the engine's emission control systems. If the 
Administrator determines that such instructions are not reasonable and 
necessary to ensure the proper functioning of the emission control 
systems, he/she may disapprove the application for certification or may 
require that the manufacturer modify the instructions.
    (d) Any revision to the maintenance instructions which will affect 
emissions shall be supplied to the Administrator at least 30 days before 
being supplied to the ultimate purchaser or

[[Page 620]]

owner unless the Administrator consents to a lesser period of time, and 
is subject to the provisions of Sec. 94.210.
    (e) This paragraph (e) specifies emission-related scheduled 
maintenance for purposes of obtaining durability data for marine 
engines. The maintenance intervals specified in this paragraph are 
minimum intervals.
    (1) All emission-related scheduled maintenance for purposes of 
obtaining durability data must occur at the same or longer hours of use 
intervals as those specified in the manufacturer's maintenance 
instructions furnished to the ultimate purchaser of the engine under 
paragraph (a) of this section. This maintenance schedule may be updated 
as necessary throughout the testing of the engine, provided that no 
maintenance operation is deleted from the maintenance schedule after the 
operation has been performed on the test equipment or engine.
    (2) Any emission-related maintenance which is performed on 
equipment, engines, subsystems, or components must be technologically 
necessary to ensure in-use compliance with the emission standards. The 
manufacturer must submit data which demonstrate to the Administrator 
that all of the emission-related scheduled maintenance which is to be 
performed is technologically necessary. Scheduled maintenance must be 
approved by the Administrator prior to being performed or being included 
in the emission-related maintenance instructions provided to the 
purchasers under paragraph (a) of this section.
    (i) The Administrator may require longer maintenance intervals than 
those listed in paragraphs (e)(3) and (e)(4) of this section where the 
listed intervals are not technologically necessary.
    (ii) The Administrator may allow manufacturers to specify shorter 
maintenance intervals than those listed in paragraphs (e)(3) and (e)(4) 
of this section where technologically necessary for Category 2 engines.
    (iii) The maintenance intervals listed in paragraphs (e)(3) and 
(e)(4) of this section do not apply for Category 3.
    (3) The adjustment, cleaning, repair, or replacement of items listed 
in paragraphs (e)(3)(i) through (e)(3)(iii) of this section shall occur 
at 1,500 hours of use and at 1,500-hour intervals thereafter.
    (i) Exhaust gas recirculation system-related filters and coolers.
    (ii) Positive crankcase ventilation valve.
    (iii) Fuel injector tips (cleaning only).
    (4) The adjustment, cleaning and repair of items in paragraphs 
(e)(4)(i) through (e)(4)(vii) of this section shall occur at 3,000 hours 
of use and at 3,000-hour intervals thereafter for engines with per-
cylinder displacement less than 1.2 liters, or at 4,500-hour intervals 
thereafter for engines with per-cylinder displacement greater than or 
equal to 1.2 liters.
    (i) Fuel injectors.
    (ii) Turbocharger.
    (iii) Electronic engine control unit and its associated sensors and 
actuators.
    (iv) Particulate trap or trap-oxidizer system (including related 
components).
    (v) Exhaust gas recirculation system (including all related control 
valves and tubing), except as otherwise provided in paragraph (e)(3)(i) 
of this section.
    (vi) Catalytic convertor.
    (vii) Any other add-on emission-related component (i.e., a component 
whose sole or primary purpose is to reduce emissions or whose failure 
will significantly degrade emission control and whose function is not 
integral to the design and performance of the engine).
    (f) Scheduled maintenance not related to emissions which is 
reasonable and technologically necessary (e.g., oil change, oil filter 
change, fuel filter change, air filter change, cooling system 
maintenance, adjustment of idle speed, governor, engine bolt torque, 
valve lash, injector lash, timing, lubrication of the exhaust manifold 
heat control valve, etc.) may be performed on durability engines at the 
least frequent intervals recommended by the manufacturer to the ultimate 
purchaser, (e.g., not the intervals recommended for severe service).
    (g) Adjustment of engine idle speed on emission data engines may be 
performed once before the low-hour emission test point. Any other 
engine,

[[Page 621]]

emission control system, or fuel system adjustment, repair, removal, 
disassembly, cleaning, or replacement on emission data vehicles shall be 
performed only with advance approval of the Administrator.
    (h) For Category 1 and Category 2 engines, equipment, instruments, 
or tools may not be used to identify malfunctioning, maladjusted, or 
defective engine components unless the same or equivalent equipment, 
instruments, or tools will be available to dealerships and other service 
outlets and are:
    (1) Used in conjunction with scheduled maintenance on such 
components; or
    (2) Used subsequent to the identification of an engine malfunction, 
as provided in paragraph (e) of this section for emission data engines; 
or
    (3) Specifically authorized by the Administrator.
    (i) All test data, maintenance reports, and required engineering 
reports shall be compiled and provided to the Administrator in 
accordance with Sec. 94.215.
    (j)(1) The components listed in paragraphs (j)(1)(i) through 
(j)(1)(vi) of this section are defined as critical emission-related 
components.
    (i) Catalytic convertor.
    (ii) Electronic engine control unit and its associated sensors and 
actuators.
    (iii) Exhaust gas recirculation system (including all related 
filters, coolers, control valves, and tubing).
    (iv) Positive crankcase ventilation valve.
    (v) Particulate trap or trap-oxidizer system.
    (vi) Any other add-on emission-related component (i.e., a component 
whose sole or primary purpose is to reduce emissions or whose failure 
will significantly degrade emission control and whose function is not 
integral to the design and performance of the engine).
    (2) All critical emission-related scheduled maintenance must have a 
reasonable likelihood of being performed in use. For Category 1 and 
Category 2 engines, the manufacturer must show the reasonable likelihood 
of such maintenance being performed in-use. Critical emission-related 
scheduled maintenance items which satisfy one of the conditions defined 
in paragraphs (j)(2)(i) through (j)(2)(vi) of this section will be 
accepted as having a reasonable likelihood of being performed in use.
    (i) Data are presented which establish for the Administrator a 
connection between emissions and engine performance such that as 
emissions increase due to lack of maintenance, vehicle performance will 
simultaneously deteriorate to a point unacceptable for typical 
operation.
    (ii) Survey data are submitted which adequately demonstrate to the 
Administrator with an 80 percent confidence level that 80 percent of 
such engines already have this critical maintenance item performed in-
use at the recommended interval(s).
    (iii) A clearly displayed visible signal system approved by the 
Administrator is installed to alert the equipment operator that 
maintenance is due. A signal bearing the message ``maintenance needed'' 
or ``check engine,'' or a similar message approved by the Administrator, 
shall be actuated at the appropriate usage point or by component 
failure. This signal must be continuous while the engine is in operation 
and not be easily eliminated without performance of the required 
maintenance. Resetting the signal shall be a required step in the 
maintenance operation. The method for resetting the signal system shall 
be approved by the Administrator. The system must not be designed to 
deactivate upon the end of the useful life of the engine or thereafter.
    (iv) A manufacturer may desire to demonstrate through a survey that 
a critical maintenance item is likely to be performed without a visible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer may in a 
given model year market up to 200 randomly selected engines per critical 
emission-related maintenance item without such visible signals, and 
monitor the performance of the critical maintenance item by the owners 
to show compliance with paragraph (j)(2)(ii) of this section. This 
option is restricted to two consecutive model years and may not be 
repeated

[[Page 622]]

until any previous survey has been completed. If the critical 
maintenance involves more than one engine family, the sample will be 
sales weighted to ensure that it is representative of all the families 
in question.
    (v) The manufacturer provides the maintenance free of charge, and 
clearly informs the customer that the maintenance is free in the 
instructions provided under paragraph (a) of this section.
    (vi) The manufacturer uses any other method which the Administrator 
approves as establishing a reasonable likelihood that the critical 
maintenance will be performed in-use.
    (3) Visible signal systems used under paragraph (j)(2)(iii) of this 
section are considered an element of design of the emission control 
system. Therefore, disabling, resetting, or otherwise rendering such 
signals inoperative without also performing the indicated maintenance 
procedure is a prohibited act.
    (k) For engines with rated power greater than 130 kW, the 
manufacturer must provide the ultimate purchaser with a Technical File 
meeting the specifications of section 2.4 of the AnnexVI Technical Code 
(incorporated by reference in Sec. 94.5). The maintenance instructions 
required by this part to be provided by manufacturer may be included in 
this Technical File. The manufacturer must provide a copy of this 
Technical File to EPA upon request.
    (l) Owners and operators of Category 3 engines shall transfer the 
maintenance instructions to subsequent owners and operators of the 
engine upon sale or transfer of the engine or vessel.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9786, Feb. 28, 2003]



Sec. 94.212  Labeling.

    (a) General requirements. (1) Each new engine covered by a 
certificate of conformity under Sec. 94.208 shall be labeled by the 
manufacturer in the manner described in this paragraph (b) of this 
section at the time of manufacture.
    (2) Each new marine engine modified from a base engine by post-
manufacture marinizers in accordance with the provisions of Sec. 94.209 
(b) and covered by a certificate of conformity under Sec. 94.208 shall 
be labeled by the PMM in the manner described in paragraph (b) of this 
section.
    (b) Engine labels. Engine labels meeting the specifications of this 
section shall be applied to every engine by the manufacturer at the 
point of original manufacture. Engine labels shall be permanent and 
legible and shall be affixed to the engine in a position in which it 
will be readily visible after installation of the engine in the vessel. 
The label shall be attached to an engine part necessary for normal 
operation and not normally requiring replacement during the useful life 
of the engine. The label shall be affixed by the manufacturer in such 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such engine. The label may be not be made up of more than 
one piece without the advance approval of the Administrator. The label 
shall contain the following information lettered in the English language 
in block letters and numerals, which shall be of a color that contrasts 
with the background of the label:
    (1) The label heading: Marine Engine Emission Control Information.
    (2) Full corporate name and trademark of the manufacturer.
    (3) The model year.
    (4) The per-cylinder displacement of the engine.
    (5) Engine family and configuration identification.
    (6) A prominent unconditional statement of compliance with U.S. 
Environmental Protection Agency regulations which apply to marine 
engines designated by the parameters of paragraphs 5(b)(2)(v)(A) through 
(E) of this section.
    (7) The useful life of the engine.
    (8) The standards and/or FELs to which the engine was certified.
    (9) Engine tune-up specifications and adjustments, as recommended by 
the manufacturer in accordance with the applicable emission standards, 
including but not limited to idle speeds(s), injection timing, valve 
lash (as applicable), as well as other parameters deemed necessary by 
the manufacturer.
    (10) The application for which the engine family is certified. (For 
example:

[[Page 623]]

constant-speed auxiliary, variable-speed propulsion engines used with 
fixed-pitch propellers, recreational, etc.)
    (c) The provisions of this section shall not prevent a manufacturer 
from also providing on the label any other information that such 
manufacturer deems necessary for, or useful to, the proper operation and 
satisfactory maintenance of the vessel or engine.
    (d) Engines certified under the voluntary standards described in 
Sec. 94.8(f) to be designated as Blue Sky Series engines must contain 
the statement on the label: ``Blue Sky Series''.
    (e) If an engine can be modified to operate on residual fuel, but 
has not been certified to meet the standards on such a fuel, it must 
contain the statement on the label: ``THIS ENGINE IS CERTIFIED FOR 
OPERATION ONLY WITH DISTILLATE DIESEL FUEL. MODIFYING THE ENGINE TO 
OPERATE ON RESIDUAL FUEL MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTIES.'' The Administrator may approve alternate language.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68346, Nov. 8, 2002]



Sec. 94.213  Submission of engine identification numbers.

    (a) Upon request of the Administrator, the manufacturer of any 
engine covered by a certificate of conformity shall, within 30 days of 
receipt of such request, identify by engine identification number, the 
engines covered by the certificate of conformity.
    (b) The manufacturer of any engines covered by a certificate of 
conformity shall provide to the Administrator, within 60 days of the 
issuance of a certificate of conformity, an explanation of the elements 
in any engine identification coding system in sufficient detail to 
enable the Administrator to identify those engines which are covered by 
a certificate of conformity.



Sec. 94.214  Production engines.

    Any manufacturer obtaining certification under this part shall 
supply to the Administrator, upon his/her request, a reasonable number 
of production engines, as specified by the Administrator. The engines 
shall be representative of the engines, emission control systems, and 
fuel systems offered and typical of production engines available for 
sale or use under the certificate. These engines shall be supplied for 
testing at such time and place and for such reasonable periods as the 
Administrator may require. This requirement does not apply for Category 
3 engines. Manufacturers of Category 3 engines, however, must allow EPA 
access to test engines and development engines to the extent necessary 
to determine that the engine family is in full compliance with the 
applicable requirements of this part.

[68 FR 9786, Feb. 28, 2003]



Sec. 94.215  Maintenance of records; submittal of information; right of entry.

    (a) Any manufacturer subject to any of the standards or procedures 
prescribed in this subpart shall establish, maintain and retain the 
following adequately organized and indexed records:
    (1) General records. The records required to be maintained by this 
paragraph (a) shall consist of:
    (i) Identification and description of all certification engines for 
which testing is required under this subpart.
    (ii) A description of all emission control systems which are 
installed on or incorporated in each certification engine.
    (iii) A description of all procedures used to test each such 
certification engine.
    (iv) A copy of all applications for certification, filed with the 
Administrator.
    (2) Individual records. (i) A brief history of each engine used for 
certification under this subpart including:
    (A) In the case where a current production engine is modified for 
use as a certification engine, a description of the process by which the 
engine was selected and of the modifications made. In the case where the 
certification engine is not derived from a current production engine, a 
general description of the buildup of the engine (e.g., whether 
experimental heads were cast and machined according to supplied 
drawings). In the cases in the previous two sentences, a description of 
the origin and selection process for fuel system components, ignition 
system components

[[Page 624]]

(as applicable), intake air pressurization and cooling system 
components, cylinders, pistons and piston rings, exhaust smoke control 
system components, and exhaust aftertreatment devices as applicable, 
shall be included. The required descriptions shall specify the steps 
taken to assure that the certification engine, with respect to its 
engine, drivetrain, fuel system, emission control system components, 
exhaust aftertreatment devices, or any other devices or components as 
applicable, that can reasonably be expected to influence exhaust 
emissions will be representative of production engines and that either: 
all components and/or engine, construction processes, component 
inspection and selection techniques, and assembly techniques employed in 
constructing such engines are reasonably likely to be implemented for 
production engines; or that they are as close as practicable to planned 
construction and assembly process.
    (B) A complete record of all emission tests performed (except tests 
performed by EPA directly), including test results, the date and purpose 
of each test, and the number of hours accumulated on the engine.
    (C) A record and description of all maintenance and other servicing 
performed, giving the date of the maintenance or service and the reason 
for it.
    (D) A record and description of each test performed to diagnose 
engine or emission control system performance, giving the date and time 
of the test and the reason for it.
    (E) A brief description of any significant events affecting the 
engine during the period covered by the history and not described by an 
entry under one of the previous headings, including such extraordinary 
events as accidents involving the engine or dynamometer runaway.
    (ii) Each such history shall be started on the date that the first 
of any of the selection or buildup activities in paragraph (a)(2)(i)(A) 
of this section occurred with respect to the certification engine and 
shall be kept in a designated location.
    (3) All records, other than routine emission test records, required 
to be maintained under this subpart shall be retained by the 
manufacturer for a period of 8 years after issuance of all certificates 
of conformity to which they relate. Routine emission test records shall 
be retained by the manufacturer for a period of one (1) year after 
issuance of all certificates of conformity to which they relate. Records 
may be retained as hard copy or reduced to computer disks, etc., 
depending on the record retention procedures of the manufacturer: 
Provided, that in every case all the information contained in the hard 
copy shall be retained.
    (4) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (5) Pursuant to a request made by the Administrator, the 
manufacturer shall submit to him/her the information that is required to 
be retained.
    (6) EPA may void a certificate of conformity ab initio for an engine 
family for which the manufacturer fails to retain the records required 
in this section or to provide such information to the Administrator upon 
request.
    (b) The manufacturer of engines subject to any of the standards 
prescribed in this part shall submit to the Administrator, at the time 
of issuance by the manufacturer, copies of all instructions or 
explanations regarding the use, repair, adjustment, maintenance, or 
testing of such engine, relevant to the control of crankcase, or exhaust 
emissions issued by the manufacturer, for use by other manufacturers, 
assembly plants, distributors, dealers, owners and operators. Any 
material not translated into the English language need not be submitted 
unless specifically requested by the Administrator.
    (c) Any manufacturer participating in averaging, banking and trading 
program of subpart D of this part must comply with the maintenance of 
records requirements of Sec. 94.308.
    (d)(1) Any manufacturer who has applied for certification of a new 
engine subject to certification testing under this subpart shall admit 
or cause to be admitted any EPA Enforcement Officer during operating 
hours on presentation of credentials to any of the following:

[[Page 625]]

    (i) Any facility where any such tests or any procedures or 
activities connected with such test are or were performed;
    (ii) Any facility where any engine which is being tested (or was 
tested, or is to be tested) is present;
    (iii) Any facility where any construction process or assembly 
process used in the modification or buildup of such an engine into a 
certification engine is taking place or has taken place; or
    (iv) Any facility where any record or other document relating to any 
of the activities listed in this paragraph (d)(1).
    (2) Upon admission to any facility referred to in paragraph (d)(1) 
of this section, any EPA Enforcement Officer shall be allowed:
    (i) To inspect and monitor any part or aspect of such procedures, 
activities and testing facilities including, but not limited to, 
monitoring engine preconditioning, emissions tests, service 
accumulation, maintenance, and engine storage procedures, and to verify 
correlation or calibration of test equipment;
    (ii) To inspect and make copies of any such records, designs, or 
other documents, including those records specified in Subpart D of this 
part; and
    (iii) To inspect and/or photograph any part or aspect of any such 
certification engine and any components to be used in the construction 
thereof.
    (3) In order to allow the Administrator to determine whether or not 
production engines, conform to the conditions upon which a certificate 
of conformity has been issued, or conform in all material respects to 
the design specifications applicable to those engines, as described in 
the application for certification for which a certificate of conformity 
has been issued, any manufacturer shall admit any EPA Enforcement 
Officer on presentation of credentials to:
    (i) Any facility where any document, design or procedure relating to 
the translation of the design and construction of engines and emission 
related components described in the application for certification or 
used for certification testing into production engines is located or 
carried on;
    (ii) Any facility where any engines to be introduced into commerce 
are manufactured; and
    (iii) Any facility where records specified this section are located.
    (4) On admission to any such facility referred to in paragraph 
(d)(3) of this section, any EPA Enforcement Officer shall be allowed:
    (i) To inspect and monitor any aspects of such manufacture and other 
procedures;
    (ii) To inspect and make copies of any such records, documents or 
designs;
    (iii) To inspect and photograph any part or aspect of any such 
engine(s) and any component used in the assembly thereof that are 
reasonably related to the purpose of his/her entry; and
    (iv) To inspect and make copies of any records and documents 
specified in this section.
    (5) Any EPA Enforcement Officer shall be furnished by those in 
charge of a facility being inspected with such reasonable assistance as 
he/she may request to help him/her discharge any function listed in this 
part. Each applicant for or recipient of certification is required to 
cause those in charge of a facility operated for its benefit to furnish 
such reasonable assistance without charge to EPA whether or not the 
applicant controls the facility.
    (6) The duty to admit or cause to be admitted any EPA Enforcement 
Officer applies to any facility involved in the manufacturing or 
assembling of engines, whether or not the manufacturer owns or controls 
the facility in question and applies both to domestic and to foreign 
manufacturers and facilities. EPA will not attempt to make any 
inspections which it has been informed that local law forbids. However, 
if local law makes it impossible to do what is necessary to insure the 
accuracy of data generated at a facility, no informed judgment that an 
engine is certifiable or is covered by a certificate can properly be 
based on those data. It is the responsibility of the manufacturer to 
locate its testing and manufacturing facilities in jurisdictions where 
this situation will not arise.
    (7) For purposes of this section:
    (i) ``Presentation of credentials'' shall mean display of the 
document

[[Page 626]]

designating a person as an EPA Enforcement Officer.
    (ii) Where component or engine storage areas or facilities are 
concerned, ``operating hours'' shall mean all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the area or facility and have access to it.
    (iii) Where facilities or areas other than those covered by 
paragraph (d)(7)(ii) of this section are concerned, ``operating hours'' 
shall mean all times during which an assembly line is in operation or 
all times during which testing, maintenance, service accumulation, 
production or compilation of records, or any other procedure or activity 
related to certification testing, to translation of designs from the 
test stage to the production stage, or to engine manufacture, or 
assembly is being carried out in a facility.
    (iv) ``Reasonable assistance'' includes, but is not limited to, 
clerical, copying, interpretation and translation services, the making 
available on request of personnel of the facility being inspected during 
their working hours to inform the EPA Enforcement Officer of how the 
facility operates and to answer his questions, and the performance on 
request of emissions tests on any engine which is being, has been, or 
will be used for certification testing. Such tests shall be 
nondestructive, but may require appropriate service accumulation. A 
manufacturer may be compelled to cause the personal appearance of any 
employee at such a facility before an EPA Enforcement Officer by written 
request for his appearance, signed by the Assistant Administrator for 
Air and Radiation or the Assistant Administrator for Enforcement and 
Compliance Assurance, served on the manufacturer. Any such employee who 
has been instructed by the manufacturer to appear will be entitled to be 
accompanied, represented and advised by counsel.
    (v) Any entry without 24 hour prior written or oral notification to 
the affected manufacturer shall be authorized in writing by the 
Assistant Administrator for Air and Radiation or the Assistant 
Administrator for Enforcement and Compliance Assurance.
    (8) EPA may void a certificate of conformity ab initio for engines 
introduced into commerce if the manufacturer (or contractor for the 
manufacturer, if applicable) fails to comply with any provision of this 
section.



Sec. 94.216  Hearing procedures.

    (a)(1) After granting a request for a hearing under Sec. 94.210 or 
Sec. 94.208, the Administrator shall designate a Presiding Officer for 
the hearing.
    (2) The hearing shall be held as soon as practicable at a time and 
place fixed by the Administrator or by the Presiding Officer.
    (3) In the case of any hearing requested pursuant to Sec. 94.208, 
the Administrator may in his/her discretion direct that all argument and 
presentation of evidence be concluded within such fixed period not less 
than 30 days as he/she may establish from the date that the first 
written offer of a hearing is made to the manufacturer. To expedite 
proceedings, the Administrator may direct that the decision of the 
Presiding Officer (who may, but need not be the Administrator) shall be 
the final EPA decision.
    (b)(1) Upon his/her appointment pursuant to paragraph (a) of this 
section, the Presiding Officer will establish a hearing file. The file 
shall consist of the notice issued by the Administrator under 
Sec. 94.210 or Sec. 94.208 together with any accompanying material, the 
request for a hearing and the supporting data submitted therewith, and 
all documents relating to the request for certification and all 
documents submitted therewith, and correspondence and other data 
material to the hearing.
    (2) The hearing file will be available for inspection by the 
applicant at the office of the Presiding Officer.
    (c) An applicant may appear in person, or may be represented by 
counsel or by any other duly authorized representative.
    (d)(1) The Presiding Officer, upon the request of any party, or in 
his/her discretion, may arrange for a prehearing conference at a time 
and place specified by him/her to consider the following:
    (i) Simplification of the issues;
    (ii) Stipulations, admissions of fact, and the introduction of 
documents;

[[Page 627]]

    (iii) Limitation of the number of expert witnesses;
    (iv) Possibility of agreement disposing of all or any of the issues 
in dispute;
    (v) Such other matters as may aid in the disposition of the hearing, 
including such additional tests as may be agreed upon by the parties.
    (2) The results of the conference shall be reduced to writing by the 
Presiding Officer and made part of the record.
    (e)(1) Hearings shall be conducted by the Presiding Officer in an 
informal but orderly and expeditious manner. The parties may offer oral 
or written evidence, subject to the exclusion by the Presiding Officer 
of irrelevant, immaterial and repetitious evidence.
    (2) Witnesses will not be required to testify under oath. However, 
the Presiding Officer shall call to the attention of witnesses that 
their statements may be subject to the provisions of 18 U.S.C. 1001 
which imposes penalties for knowingly making false statements or 
representations, or using false documents in any matter within the 
jurisdiction of any department or agency of the United States.
    (3) Any witness may be examined or cross-examined by the Presiding 
Officer, the parties, or their representatives.
    (4) Hearings shall be reported verbatim. Copies of transcripts of 
proceedings may be purchased by the applicant from the reporter.
    (5) All written statements, charts, tabulations, and similar data 
offered in evidence at the hearings shall, upon a showing satisfactory 
to the Presiding Officer of their authenticity, relevancy, and 
materiality, be received in evidence and shall constitute a part of the 
record.
    (6) Oral argument may be permitted in the discretion of the 
Presiding Officer and shall be reported as part of the record unless 
otherwise ordered by him/her.
    (f)(1) The Presiding Officer shall make an initial decision which 
shall include written findings and conclusions and the reasons or basis 
therefor on all the material issues of fact, law, or discretion 
presented on the record. The findings, conclusions, and written decision 
shall be provided to the parties and made a part of the record. The 
initial decision shall become the decision of the Administrator without 
further proceedings unless there is an appeal to the Administrator or 
motion for review by the Administrator within 30 days of the date the 
initial decision was filed.
    (2) On appeal from or review of the initial decision, the 
Administrator shall have all the powers which he/she would have in 
making the initial decision including the discretion to require or allow 
briefs, oral argument, the taking of additional evidence or the 
remanding to the Presiding Officer for additional proceedings. The 
decision by the Administrator shall include written findings and 
conclusions and the reasons or basis therefor on all the material issues 
of fact, law, or discretion presented on the appeal or considered in the 
review.



Sec. 94.217  Emission data engine selection.

    (a) The manufacturer must select for testing, from each engine 
family, the engine configuration which is expected to be worst-case for 
exhaust emission compliance on in-use engines, considering all exhaust 
emission constituents and the range of installation options available to 
vessel builders. The engines selected for testing are collectively 
described as the test fleet.
    (b) Each engine in the test fleet must be constructed to be 
representative of production engines.
    (c) After review of the manufacturer's test fleet, the Administrator 
may select from the available fleet one additional test engine from each 
engine family.
    (d) Each engine selected shall be tested according to the provisions 
of Subpart B of this part.
    (e) In lieu of testing an emission data engine selected under 
paragraph (a) of this section and submitting the resulting data, a 
manufacturer may, with Administrator approval, use emission data on a 
similar engine for which certification has previously been obtained or 
for which all applicable data required under this subpart have 
previously been submitted. These data must be submitted in the 
application for certification.

[[Page 628]]

    (f) A single cylinder test engine may be used for certification of 
Tier 1 Category 3 engine families. If you use test data from a single 
cylinder test engine for certification, explain in your application how 
you have determined that such data show that the multiple cylinder 
production engines will comply with the applicable emission standards.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9786, Feb. 28, 2003]



Sec. 94.218  Deterioration factor determination.

    Manufacturers shall determine exhaust emission deterioration factors 
using good engineering judgement according to the provisions of this 
section. Every deterioration factor must be, in the Administrator's 
judgment, consistent with emissions increases observed in-use based on 
emission testing of similar engines. Deterioration factors that predict 
emission increases over the useful life of an engine that are 
significantly less than the emission increases over the useful life 
observed from in-use testing of similar engines shall not be used.
    (a) A separate exhaust emission deterioration factor shall be 
established for each engine family and for each emission constituent 
applicable to that family.
    (b) Calculation procedures. (1) For engines not utilizing 
aftertreatment technology (e.g., catalyst). For each applicable emission 
constituent, an additive deterioration factor shall be used; that is, a 
deterioration factor that when added to the low mileage emission rate 
equals the emission rate at the end of useful life. However, if the 
deterioration factor supplied by the manufacturer is less than zero, it 
shall be zero for the purposes of this section.
    (2) For engines utilizing aftertreatment technology (e.g., 
catalyst). For each applicable emission constituent, a multiplicative 
deterioration factor shall be used; that is deterioration factors that 
when multiplied by the low mileage emission rate equal the emission rate 
at the end of useful life. However, if the deterioration factor supplied 
by the manufacturer is less than one, it shall be one for the purposes 
of this section.
    (c) Rounding. (1) In the case of a multiplicative exhaust emission 
deterioration factor, round the factor to three places to the right of 
the decimal point.
    (2) In the case of an additive exhaust emission deterioration 
factor, round the factor shall to at least two places to the right of 
the decimal point.
    (d)(1) Except as allowed by paragraph (d)(2) of this section, the 
manufacturer shall determine the deterioration factors for Category 1 
and Category 2 engines based on service accumulation and related 
testing, according to the manufacturer's procedures, and the provisions 
of Secs. 94.219 and 94.220. The manufacturer shall determine the form 
and extent of this service accumulation, consistent with good 
engineering practice, and shall describe this process in the application 
for certification.
    (2) Alternatives to service accumulation and testing for the 
determination of a deterioration factor. A written explanation of the 
appropriateness of using an alternative must be included in the 
application for certification.
    (i) Carryover and carryacross of durability emission data. In lieu 
of testing an emission data or durability data engine selected under 
Sec. 94.217 or Sec. 94.219, and submitting the resulting data, a 
manufacturer may, with Administrator approval, use exhaust emission 
deterioration data on a similar engine for which certification to the 
same standard has previously been obtained or for which all applicable 
data required under this subpart have previously been submitted. These 
data must be submitted in the application for certification.
    (ii) Use of non-marine deterioration data. In the case where a 
manufacturer produces a certified motor vehicle engine, locomotive 
engine, or other nonroad engine that is similar to the marine engine to 
be certified, deterioration data from the non-marine engine may be 
applied to the marine engine. This application of deterioration data 
from such an engine to a marine engine is subject to Administrator 
approval, and the determination of whether the engines are similar shall 
be based on good engineering judgment.
    (iii) Engineering analysis for established technologies. In the case 
where an engine family uses technology which is well established, an 
analysis based on

[[Page 629]]

good engineering practices may be used in lieu of testing to determine a 
deterioration factor for that engine family. Engines using exhaust gas 
recirculation or aftertreatment are excluded from this provision. The 
manufacturer shall provide a written statement to the Administrator that 
all data, analyses, test procedures, evaluations, and other documents, 
on which the deterioration factor is based, are available to the 
Administrator upon request.
    (iv) Assigned deterioration factors. Small-volume manufacturers may 
use deterioration factors established by EPA.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68346, Nov. 8, 2002; 68 
FR 9786, Feb. 28, 2003]



Sec. 94.219  Durability data engine selection.

    (a) For Category 1 and Category 2 engines, the manufacturer shall 
select for durability testing, from each engine family, the engine 
configuration which is expected to generate the highest level of exhaust 
emission deterioration on engines in use, considering all exhaust 
emission constituents and the range of installation options available to 
vessel builders. The manufacturer shall use good engineering judgment in 
making this selection.
    (b) Carryover data satisfying the provisions of Sec. 94.220 may also 
be used in lieu of testing the configuration selected in paragraph (a) 
of this section.
    (c) Durability data engines shall be built from subsystems and 
components that are representative of actual production engines.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9786, Feb. 28, 2003]



Sec. 94.220  Service accumulation.

    (a) Each test emission data engine in the test fleet may be operated 
with all emission control systems operating properly for a period, up to 
125 hours of operation, that is sufficient to stabilize emissions.
    (b) Durability data engines shall accumulate service in a manner 
which will represent the emission levels from in-use engines over their 
full useful life, consistent with good engineering judgement.
    (1) Components may be removed from the engine and aged separately.
    (2) End of useful life emission levels and deterioration factors may 
be projected from durability data engines which have completed less than 
full useful life service accumulation, provided that the amount of 
service accumulation completed and projection procedures are determined 
using good engineering judgement.
    (c) No maintenance, other than recommended lubrication and filter 
changes or maintenance otherwise allowed by this part, may be performed 
during service accumulation without the Administrator's approval.
    (d) The manufacturer must maintain, and provide to the Administrator 
if requested, records stating the rationale for selecting the service 
accumulation period and records describing the method used to accumulate 
service hours on the test engine(s).



Sec. 94.221  Application of good engineering judgment.

    (a) The manufacturer shall exercise good engineering judgment in 
making all decisions called for under this part, including but not 
limited to selections, categorizations, determinations, and applications 
of the requirements of the part.
    (b) Upon written request by the Administrator, the manufacturer 
shall provide within 15 working days (or such longer period as may be 
allowed by the Administrator) a written description of the engineering 
judgment in question.
    (c) The Administrator may reject any such decision by a manufacturer 
if it is not based on good engineering judgment or is otherwise 
inconsistent with the requirements of this part.
    (d) If the Administrator rejects a decision by a manufacturer with 
respect to the exercise of good engineering judgment, the following 
provisions shall apply:
    (1) If the Administrator determines that incorrect information was 
deliberately used in the decision process, that important information 
was deliberately overlooked, that the decision was not made in good 
faith, or that the decision was not made with a rational basis, the 
Administrator may suspend

[[Page 630]]

or void ab initio a certificate of conformity.
    (2) If the Administrator determines that the manufacturer's decision 
is not covered by the provisions of paragraph (d) (1) of this section, 
but that a different decision would reflect a better exercise of good 
engineering judgment, then the Administrator will notify the 
manufacturer of this concern and the basis of the concern.
    (i) The manufacturer shall have at least 30 days to respond to this 
notice. The Administrator may extend this response period upon request 
from the manufacturer if it is necessary to generate additional data for 
the manufacturer's response.
    (ii) The Administrator shall make the final ruling after considering 
the information provided by the manufacturer during the response period. 
If the Administrator determines that the manufacturer's decision was not 
made using good engineering judgment, he/she may reject that decision 
and apply the new ruling to future corresponding decisions as soon as 
practicable.
    (e) The Administrator shall notify the manufacturer in writing 
regarding any decision reached under paragraph (d)(1) or (2) of this 
section. The Administrator shall include in this notification the basis 
for reaching the determination.
    (f) Within 30 working days following receipt of notification of the 
Administrator's determinations made under paragraph (d) of this section, 
the manufacturer may request a hearing on those determinations. The 
request shall be in writing, signed by an authorized representative of 
the manufacturer, and shall include a statement specifying the 
manufacturer's objections to the Administrator's determinations, and 
data or other analysis in support of such objections. If, after review 
of the request and supporting data or analysis, the Administrator finds 
that the request raises a substantial factual issue, he/she shall 
provide the manufacturer a hearing in accordance with Sec. 94.216 with 
respect to such issue.



Sec. 94.222  Certification of engines on imported vessels.

    For marine engines subject to the requirements of this part that are 
installed on imported vessels, the Administrator may specify alternate 
certification provisions as necessary.



   Subpart D Certification Averaging, Banking, and Trading Provisions



Sec. 94.301  Applicability.

    Marine engine families subject to the standards of Subpart A of this 
part are eligible to participate in the certification averaging, 
banking, and trading program described in this subpart.
    The provisions of this subpart apply to manufacturers of new engines 
that are subject to the emission standards of Sec. 94.8.



Sec. 94.302  Definitions.

    The definitions of Subpart A of this part apply to this subpart. The 
following definitions also apply:
    Applicable standard means a standard that would have otherwise been 
applicable had the engine not been certified under this subpart to an 
FEL different than that standard.
    Broker means any entity that facilitates a trade between a buyer and 
seller.
    Buyer means the entity that receives credits as a result of trade.
    Reserved credits means credits that have been generated but have not 
yet been reviewed by EPA or used to demonstrate compliance under the 
averaging provisions of this subpart.
    Seller means the entity that provides credits during a trade.



Sec. 94.303  General provisions.

    (a) Participation in the averaging, banking, and trading program is 
voluntary. A manufacturer may choose to involve some or all of its 
engine families in any or all aspects of the program.
    (b) An engine family is eligible to participate in the certification 
averaging, banking, and trading program for THC+NOX and PM 
emissions only if it is subject to regulation under this part with 
certain exceptions specified

[[Page 631]]

in paragraph (c) of this section. No averaging, banking, and trading 
program is available for meeting the CO standards of this part.
    (c) Engines may not participate in the certification averaging, 
banking, and trading program if they are exported. Only engines 
certified under this part are eligible for generation or use of credits 
in this certification averaging, banking, and trading program. Engines 
certified to the Blue Sky provisions of Sec. 94.8(f) are not eligible 
for inclusion in this certification averaging, banking, and trading 
program.
    (d) Averaging involves the generation of credits by a manufacturer 
for use by that same manufacturer in the same calendar year. A 
manufacturer may use averaging during certification to offset an 
emission exceedance of an engine family caused by an FEL above the 
applicable emission standard, subject to the provisions of this subpart.
    (e) Banking involves the generation of credits by a manufacturer in 
a given calendar year for use in a subsequent model year. A manufacturer 
may bank actual credits only after the end of the calendar year and 
after EPA has reviewed the manufacturer's end-of-year reports. During 
the calendar year and before submittal of the end-of-year report, 
credits originally designated in the certification process for banking 
will be considered reserved and may be redesignated for trading or 
averaging in the end-of-year report. Credits declared for banking from 
the previous calendar year that have not been reviewed by EPA may be 
used in averaging or trading transactions. However, such credits may be 
revoked at a later time following EPA review of the end-of-year report 
or any subsequent audit actions.
    (f) Trading involves the sale of banked credits for use in 
certification of new engines under this part. Only banked credits may be 
traded; reserved credits may not be traded.



Sec. 94.304  Compliance requirements.

    (a) Manufacturers wishing to participate in certification averaging, 
banking and trading programs shall select a FEL for each engine family 
they wish to include. The level of the FEL shall be selected by the 
manufacturer, subject to the upper limits described in paragraph (m) of 
this section. An engine family certified to an FEL is subject to all 
provisions specified in this part, except that the applicable FEL 
replaces the applicable THC+NOX and PM emission standard for 
the family participating in the averaging, banking, and trading program.
    (b) A manufacturer may certify one or more engine families at FELs 
above or below the applicable emission standard, provided the summation 
of the manufacturer's projected balance of all credit transactions in a 
given calendar year is greater than or equal to zero, as calculated for 
each family under Sec. 94.305 and reported under Sec. 94.309.
    (c) Manufacturers certifying engine families with FELs exceeding the 
applicable emission standard shall obtain emission credits in amounts 
sufficient to address the shortfall. Credits may be obtained from 
averaging, banking, or trading, subject to the restrictions described in 
this subpart.
    (d) Manufacturers certifying engine families with FELs below the 
applicable emission standard may generate emission credits to average, 
bank, or trade, or a combination thereof.
    (e) An engine family may not generate credits for one pollutant 
while also using credits for another pollutant in the same model year.
    (f) Credits may only be used for certification; they may not be used 
to remedy a violation of the FEL determined by production line or in-use 
testing. Credits may be used to allow subsequent production of engines 
for an engine family failing production line testing if the manufacturer 
elects to recertify to a higher FEL.
    (g) [Reserved].
    (h) If an FEL is changed after initial certification in any given 
model year, the manufacturer must conduct production line testing to 
verify that the emission levels are achieved, with one exception: when 
an FEL is changed immediately after (and because of) a production line 
testing failure, additional verification testing is not required.
    (i) Manufacturers participating in the averaging, banking and 
trading program must demonstrate compliance with the applicable emission 
standards

[[Page 632]]

at the end of the model year. Manufacturers that have certified engine 
families to FELs above the applicable emission standards and do not have 
sufficient emission credits to offset the difference between the 
emission standard and the FEL for such engine families will be in 
violation of the conditions of the certificate of conformity for such 
engine families. The certificates of conformity may be voided ab initio 
for those engine families.
    (j) In the event of a negative credit balance resulting from a 
credit trade, both the buyer(s) and the seller(s) are liable, except in 
cases involving fraud. Certificates of all engine families participating 
in a negative trade may be voided ab initio.
    (1) Where a buyer of credits is not responsible for causing the 
negative credit balance, the buyer is only liable to supply additional 
credits equivalent to any amount of invalid credits that the buyer used 
for its engine family(ies).
    (2) Credit holders responsible for the credit shortfall may be 
subject to the requirements of Sec. 94.309(g)(3).
    (k) The following provisions limit credit exchanges between 
different types of engines:
    (1) Credits generated by Category 1 engine families may be used for 
compliance by Category 1 or Category 2 engine families. Credits 
generated from Category 1 engine families for use by Category 2 engine 
families must be discounted by 25 percent.
    (2) Credits generated by Category 2 engine families may be used for 
compliance only by Category 2 engine families.
    (3) Credits may not be exchanged between recreational and commercial 
engines.
    (l) Credit life shall be unlimited.
    (m) Upper limits. The FELs for THC+NOX and PM for new 
engines certified for participation in this averaging, banking and 
trading program may not exceed the following values:
    (1) For Category 1 engines, the FEL may not exceed the levels 
contained in Table D-1, which follows:

                      Table D-1--Category 1 Upper Limits for Tier 2 Family Emission Limits
----------------------------------------------------------------------------------------------------------------
                                                                            Model year  THC+NOX FEL   PM FEL  g/
                       Subcategory liters/cylinder                             \1\        g/kW-hr       kW-hr
----------------------------------------------------------------------------------------------------------------
Power [ge] 37 kW disp. < 0.9.............................................         2005         11.5          1.2
0.9 [le] disp. < 1.2.....................................................         2004         11.5          1.2
1.2 [le] disp. < 2.5.....................................................         2004         10.5         0.54
2.5 [le] disp. < 5.0.....................................................         2007         10.5         0.54
----------------------------------------------------------------------------------------------------------------
\1\ The model years listed indicate the model years for which the specified standards start.

    (2) For Category 2 engines, the FEL may not exceed the applicable 
standard by more than 25 percent.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68346, Nov. 8, 2002]



Sec. 94.305  Credit generation and use calculation.

    (a) For each participating engine family, calculate 
THC+NOX and PM emission credits (positive or negative) 
according to the equation in paragraph (b) of this section and round 
emissions to the nearest one-hundredth of a megagram (Mg). Use 
consistent units throughout the calculation.
    (b) Credits (Mg) for each engine family are calculated as: Emission 
credits = (Std--FEL)x(UL)x(Production)x(AvgPR)x(LF)x(10-6)

Where:

    (i) Std = the applicable cycle-weighted marine engine 
THC+NOX or PM emission standard in grams per kilowatt-hour.
    (ii) FEL = the family emission limit for the engine family in grams 
per kilowatt-hour. (The FEL may not exceed the limit established in 
Sec. 94.304(m) for each pollutant.)
    (iii) UL = the useful life in hours of operation.
    (iv) Production = the number of engines participating in the 
averaging, banking, and trading program within the given engine family 
during the calendar year (or the number of engines in

[[Page 633]]

the subset of the engine family for which credits are being calculated). 
Quarterly production projections are used for initial certification. 
Actual applicable production/sales volumes are used for end-of-year 
compliance determination.
    (v) AvgPR = average power rating of all of the configurations within 
an engine family, calculated on a sales-weighted basis, in kilowatts.
    (vi) LF = the load factor, dependent on whether the engine is 
intended for propulsion or auxiliary applications, as follows:
    (A) 0.69 for propulsion engines,
    (B) 0.51 for auxiliary engines.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9786, Feb. 28, 2003]



Sec. 94.306  Certification.

    (a) In the application for certification a manufacturer must:
    (1) Declare its intent to include specific engine families in the 
averaging, banking, and/or trading programs. Separate declarations are 
required for each pollutant (THC+NOX and PM).
    (2) Declare FELs for each engine family participating in 
certification averaging, banking, and/or trading.
    (i) The FELs must be to the same number of significant digits as the 
emission standard.
    (ii) In no case may the FEL exceed the upper limit prescribed in 
Sec. 94.304(m).
    (3) Conduct and submit detailed calculations of projected emission 
credits (positive or negative) based on quarterly production projections 
for each participating family and for each pollutant, using the 
applicable equation in Sec. 94.305 and the applicable values of the 
terms in the equation for the specific family.
    (i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family) of 
the credits necessary to offset the credit deficit according to 
quarterly projected production.
    (ii) If the engine family is projected to generate credits, state 
specifically where the quarterly projected credits will be applied 
(manufacturer/engine family or reserved).
    (4) Submit a statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, cause the 
manufacturer to have a negative credit balance when all credits are 
calculated for all the manufacturer's engine families participating in 
the averaging, banking, and trading program.
    (b) Based on this information, each manufacturer's certification 
application must demonstrate:
    (1) That at the end of model year production, each engine family has 
a net emissions credit balance equal to or greater than zero for any 
pollutant and program for which participation in certification under 
averaging, banking, and/or trading is being sought. The equation in 
section Sec. 94.305 shall be used in this calculation for each engine 
family.
    (2) That the manufacturer will obtain sufficient credits to be used 
to comply with the emission standard for any engine family with an FEL 
that exceeds the applicable emission standard, or where credits will be 
applied if the FEL is less than the emission standard. In cases where 
credits are being obtained, for each engine family involved the 
manufacturer must identify specifically the source of the credits being 
used (manufacturer/engine family). All such reports shall include all 
credits involved in certification averaging, banking, or trading.
    (3) That in cases where credits are being generated/supplied, the 
use of such credits is specifically designated (manufacturer/engine 
family or reserved). All such reports shall include all credits involved 
in certification averaging, banking, or trading.
    (c) Manufacturers must monitor projected versus actual production 
throughout the model year to ensure that compliance with emission 
standards is achieved at the end of the model year.
    (d) At the end of the model year, the manufacturer must provide the 
end-of-year reports required under Sec. 94.309.
    (1) Projected credits based on the information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such projected credits must be validated based 
on review of the end of model year reports and may be revoked

[[Page 634]]

at a later time based on follow-up audits or any other verification 
measure deemed appropriate by the Administrator.
    (2) Compliance for engine families using averaging, banking, or 
trading will be determined at the end of the model year. Manufacturers 
that have certified engine families with credit balances for 
THC+NOX and/or PM that do not equal or exceed zero shall be 
in violation of the conditions of the certificate of conformity for such 
engine families. The certificate of conformity may be voided ab initio 
for those engine families.
    (e) Other conditions of certification.
    (1) All certificates issued are conditional upon compliance by the 
manufacturer with the provisions of this subpart both during and after 
the calendar year of production.
    (2) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be deemed void ab 
initio.
    (3) The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or waived.



Sec. 94.307  Labeling.

    For all engines included in the certification averaging, banking, 
and trading program, the FEL to which the engine is certified must be 
included on the label required in Sec. 94.212.



Sec. 94.308  Maintenance of records.

    (a) The manufacturer of any engine that is certified under the 
averaging, banking, and trading program must establish, maintain, and 
retain the following adequately organized and indexed records for each 
such engine produced:
    (1) EPA engine family and configuration;
    (2) Engine identification number;
    (3) Engine calendar year and build date;
    (4) Rated power;
    (5) Purchaser and destination; and
    (6) Assembly plant.
    (b) The manufacturer of any engine family that is certified under 
the averaging, banking, and trading program must establish, maintain, 
and retain the following adequately organized and indexed records for 
each such family:
    (1) Model year and EPA engine family;
    (2) Family Emission Limit(s) (FEL);
    (3) Rated power for each configuration;
    (4) Projected applicable production/sales volume for the calendar 
year;
    (5) Actual applicable production/sales volume for the calendar year; 
and
    (6) Useful life.
    (c) Any manufacturer producing an engine family participating in 
trading of credits must maintain the following records on a quarterly 
basis for each engine family in the trading program:
    (1) The model year and engine family;
    (2) The actual quarterly and cumulative applicable production/sales 
volume;
    (3) The values required to calculate credits as given in 
Sec. 94.305;
    (4) The resulting type and number of credits generated/required;
    (5) How and where credit surpluses are dispersed; and
    (6) How and through what means credit deficits are met.
    (d) The manufacturer must retain all records required to be 
maintained under this section for a period of 8 years from the due date 
for the end-of-calendar year report. Records may be retained as hard 
copy or reduced to microfilm, ADP diskettes, and so forth, depending on 
the manufacturer's record retention procedure; provided, that in every 
case all information contained in the hard copy is retained.
    (e) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (f) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.
    (g) EPA may void ab initio a certificate of conformity for an engine 
family for which the manufacturer fails to retain the records required 
in this section or to provide such information to the Administrator upon 
request.

[[Page 635]]



Sec. 94.309  Reports.

    (a) Manufacturers must submit the certification information as 
required under Sec. 94.306, and end-of-year reports each year as part of 
their participation in certification averaging, banking, and trading 
programs.
    (b) Quarterly reports. All entities involved in credit trades must 
submit quarterly reports. The reports shall include the source or 
recipient of the credits, the amount of credits involved plus remaining 
balances, details regarding the pollutant, and model year as well as the 
information prescribed in Sec. 94.308(c). Copies of contracts related to 
credit trading must be included or supplied by the buyer, seller, and 
broker, as applicable.
    (c) End-of-year reports must include the information prescribed in 
Sec. 94.308(b). The report shall include a calculation of credit 
balances for each family to show that the summation of the 
manufacturer's use of credits results in a credit balance equal to or 
greater than zero. The report shall be consistent in detail with the 
information submitted under Sec. 94.306 and show how credit surpluses 
were dispersed and how credit shortfalls were met on a family specific 
basis. The end-of-year report shall incorporate any information 
reflected in previous quarterly reports.
    (d) The applicable production/sales volume for quarterly and end-of-
year reports must be based on the location of either the point of first 
retail sale by the manufacturer or the point at which the engine is 
placed into service, whichever occurs first. This is called the final 
product purchase location.
    (e) Each quarterly and end-of-year report submitted shall include a 
statement certifying to the accuracy and authenticity of the material 
reported therein.
    (f) Requirements for submission. (1) Quarterly reports must be 
submitted within 90 days of the end of the calendar quarter to the 
Designated Officer.
    (2) End-of-year reports must be submitted within 120 days of the end 
of the calendar year to the Designated Officer.
    (3) Failure by a manufacturer participating in the averaging, 
banking, or trading program to submit any quarterly or end-of-year 
reports in the specified time for all engines is a violation of sections 
203(a)(1) and 213 of the Clean Air Act for each engine.
    (4) A manufacturer generating credits for banking only who fails to 
submit end-of-year reports in the applicable specified time period (120 
days after the end of the calendar year) may not use or trade the 
credits until such reports are received and reviewed by EPA. Use of 
projected credits pending EPA review is not permitted in these 
circumstances.
    (g) Reporting errors. (1) Errors discovered by EPA or the 
manufacturer in the end-of-year report, including errors in credit 
calculation, may be corrected 180-days subsequent to submission of the 
end-of-year report. Errors discovered by EPA after 180-days shall be 
correctable if, as a result of the correction, the manufacturer's 
credits are reduced. Errors in the manufacturer's favor are not 
corrected if discovered after the 180-day correction period allowed.
    (2) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year report previously submitted to EPA under this 
section, the manufacturer's credits and credit calculations will be 
recalculated. Erroneous positive credits will be void. Erroneous 
negative credit balances may be corrected by EPA.
    (3) If EPA review of a manufacturer's end-of-year report indicates a 
credit shortfall, the manufacturer will be permitted to purchase the 
necessary credits to bring the credit balance to zero. These credits 
must be supplied at the ratio of 1.1 credits for each 1.0 credit needed. 
If sufficient credits are not available to bring the credit balance to 
zero for the family(ies) involved, EPA may void the certificate(s) for 
that family(ies) ab initio. In addition, all engines within an engine 
family for which there are insufficient credits will be considered to 
have violated the conditions of the certificate of conformity and 
therefore are not covered by that certificate.
    (4) If within 180 days of receipt of the manufacturer's end-of-year 
report, EPA review determines a reporting error in the manufacturer's 
favor (that

[[Page 636]]

is, resulting in an increased credit balance) or if the manufacturer 
discovers such an error within 180 days of EPA receipt of the end-of-
year report, the credits are restored for use by the manufacturer.



Sec. 94.310  Notice of opportunity for hearing.

    Any voiding of the certificate under this subpart will be made only 
after the manufacturer concerned has been offered an opportunity for a 
hearing conducted in accordance with Sec. 94.216 and, if a manufacturer 
requests such a hearing, will be made only after an initial decision by 
the Presiding Officer.



  Subpart E--Emission-related Defect Reporting Requirements, Voluntary 
                         Emission Recall Program



Sec. 94.401  Applicability.

    The requirements of this subpart are applicable to manufacturers of 
engines subject to the provisions of Subpart A of this part. The 
requirement to report emission-related defects affecting a given class 
or category of engines applies for eight years from the end of the year 
in which such engines were manufactured.



Sec. 94.402  Definitions.

    The definitions of Subpart A of this part apply to this subpart.



Sec. 94.403  Emission defect information report.

    (a) A manufacturer must file a defect information report whenever it 
determines, in accordance with procedures it established to identify 
either safety-related or performance defects (or based on other 
information), that a specific emission-related defect exists in 25 or 
more Category 1 marine engines, or 10 or more Category 2 marine engines, 
or 2 or more Category 3 engines or cylinders. No report must be filed 
under this paragraph for any emission-related defect corrected prior to 
the sale of the affected engines to an ultimate purchaser. (Note: These 
limits apply to the occurrence of the same defect, and are not 
constrained by engine family or model year.)
    (b) Defect information reports required under paragraph (a) of this 
section must be submitted not more than 15 working days after the same 
emission-related defect is found to effect 25 or more Category 1 marine 
engines, or 10 or more Category 2 marine engines. Information required 
by paragraph (c) of this section that is either not available within 15 
working days or is significantly revised must be submitted as it becomes 
available.
    (c) Except as provided in paragraph (b) of this section, each defect 
report must contain the following information in substantially the 
format outlined:
    (1) The manufacturer's corporate name.
    (2) A description of the defect.
    (3) A description of each class or category of engines potentially 
affected by the defect including make, model, calendar year produced, 
purchaser and any other information as may be required to identify the 
engines affected.
    (4) For each class or category of engines described in response to 
paragraph (c)(3) of this section, the following shall also be provided:
    (i) The number of engines known or estimated to have the defect and 
an explanation of the means by which this number was determined.
    (ii) The address of the plant(s) at which the potentially defective 
engines were produced.
    (5) An evaluation of the emissions impact of the defect and a 
description of any operational or performance problems which a defective 
engine might exhibit.
    (6) Available emissions data which relate to the defect.
    (7) An indication of any anticipated follow-up by the manufacturer.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9786, Feb. 28, 2003]



Sec. 94.404  Voluntary emissions recall reporting.

    (a) When any manufacturer initiates a voluntary emissions recall 
campaign involving an engine, the manufacturer shall submit to EPA a 
report describing the manufacturer's voluntary emissions recall plan as 
prescribed by this section within 15 working days of the

[[Page 637]]

date owner notification was begun. The report shall contain the 
following:
    (1) A description of each class or category of engines recalled 
including the number of engines to be recalled, the calendar year if 
applicable, the make, the model, and such other information as may be 
required to identify the engines recalled.
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments, or other changes to be made to 
correct the engines affected by the emission-related defect.
    (3) A description of the method by which the manufacturer will 
notify engine owners.
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
remedial plan, an explanation of the manufacturer's reasons for imposing 
any such condition, and a description of the proof to be required of an 
engine owner to demonstrate compliance with any such condition.
    (5) A description of the procedure to be followed by engine owners 
to obtain correction of the nonconformity. This shall include 
designation of the date on or after which the owner can have the 
nonconformity remedied, the time reasonably necessary to perform the 
labor to remedy the defect, and the designation of facilities at which 
the defect can be remedied.
    (6) If some or all the nonconforming engines are to be remedied by 
persons other than authorized warranty agents of the manufacturer, a 
description of the class of persons other than authorized warranty 
agents of the manufacturer who will remedy the defect.
    (7) A copy of any written notification sent to engine owners.
    (8) A description of the system by which the manufacturer will 
assure that an adequate supply of parts will be available to perform the 
repair under the remedial plan including the date by which an adequate 
supply of parts will be available to initiate the repair campaign, the 
percentage of the total parts requirement of each person who is to 
perform the repair under the remedial plan to be shipped to initiate the 
campaign, and the method to be used to assure the supply remains both 
adequate and responsive to owner demand.
    (9) Three copies of all necessary instructions to be sent to those 
persons who are to perform the repair under the remedial plan.
    (10) A description of the impact of the changes on fuel consumption, 
operation or performance, and safety of each class or category of 
engines to be recalled.
    (11) A sample of any label to be applied to engines which 
participate in the voluntary recall campaign.
    (b) Unless otherwise specified by the Administrator, the 
manufacturer shall report on the progress of the recall campaign by 
submitting subsequent reports for six consecutive quarters, or until 
proven that remedial action has been adequately taken on all affected 
engines, whichever occurs first, commencing with the quarter after the 
voluntary emissions recall campaign actually begins. Such reports shall 
be submitted no later than 25 working days after the close of each 
calendar quarter. For each class or group of engine subject to the 
voluntary emissions recall campaign, the quarterly report shall contain 
the:
    (1) Emission recall campaign number, if any, designated by the 
manufacturer.
    (2) Date owner notification was begun, and date completed.
    (3) Number of engines involved in the voluntary emissions recall 
campaign.
    (4) Number of engines known or estimated to be affected by the 
emission-related defect and an explanation of the means by which this 
number was determined.
    (5) Number of engines inspected pursuant to voluntary emission 
recall plan.
    (6) Number of inspected engines found to be affected by the 
emissions-related defect.
    (7) Number of engines actually receiving repair under the remedial 
plan.
    (8) Number of engines determined to be unavailable for inspection or 
repair under the remedial plan due to exportation, scrappage, or for 
other reasons (specify).
    (9) Number of engines determined to be ineligible for remedial 
action due to a failure to properly maintain or use such engines.

[[Page 638]]

    (10) Three copies of any service bulletins which relate to the 
defect to be corrected and which have not previously been reported.
    (11) Three copies of all communications transmitted to engine owners 
which relate to the defect to be corrected and which have not previously 
been submitted.
    (c) If the manufacturer determines that any of the information 
requested in paragraph (b) of this section has changed or was incorrect, 
revised information and an explanatory note shall be submitted. Answers 
to paragraphs (b)(5), (6), (7), (8), and (9) of this section shall be 
cumulative totals.
    (d) The manufacturer shall maintain in a form suitable for 
inspection, such as computer information storage devices or card files, 
the names and addresses of engine owners:
    (1) To whom notification was given;
    (2) Who received remedial repair or inspection under the remedial 
plan; and
    (3) Who were determined not to qualify for such remedial action when 
eligibility is conditioned on proper maintenance or use.
    (e) The records described in paragraph (d) of this section shall be 
made available to the Administrator upon request.



Sec. 94.405  Alternative report formats.

    (a) Any manufacturer may submit a plan for making either of the 
reports required by Secs. 94.403 and 94.404 on computer diskettes, 
magnetic tape or other machine readable format. The plan shall be 
accompanied by sufficient technical detail to allow a determination that 
data requirements of these sections will be met and that the data in 
such format will be usable by EPA.
    (b) Upon approval by the Administrator of the reporting system, the 
manufacturer may use such system until otherwise notified by the 
Administrator.



Sec. 94.406  Reports filing: record retention.

    (a) The reports required by Secs. 94.403 and 94.404 shall be sent to 
the Designated Officer.
    (b) The information gathered by the manufacturer to compile the 
reports required by Secs. 94.403 and 94.404 shall be retained for not 
less than 8 years from the date of the manufacture of the engines and 
shall be made available to duly authorized officials of the EPA upon 
request.



Sec. 94.407  Responsibility under other legal provisions preserved.

    The filing of any report under the provisions of this subpart shall 
not affect a manufacturer's responsibility to file reports or 
applications, obtain approval, or give notice under any provision of 
law.



Sec. 94.408  Disclaimer of production warranty applicability.

    (a) The act of filing an Emission Defect Information Report pursuant 
to Sec. 94.403 is inconclusive as to the existence of a defect subject 
to the warranty provided by section 207(a) of the Act.
    (b) A manufacturer may include on each page of its Emission Defect 
Information Report a disclaimer stating that the filing of a Defect 
Information Report pursuant to this subpart is not conclusive as to the 
applicability of the Production Warranty provided by section 207(a) of 
the Act.



        Subpart F--Manufacturer Production Line Testing Programs



Sec. 94.501  Applicability.

    (a) The requirements of this subpart are applicable to manufacturers 
of engines subject to the provisions of Subpart A of this part, 
excluding small-volume manufacturers.
    (b) The provisions of Subpart F of 40 CFR Part 89 (Selective 
Enforcement Audit) apply to engines subject to the provisions of Subpart 
A of this part.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68346, Nov. 8, 2002]



Sec. 94.502  Definitions.

    The definitions in Subpart A of this part apply to this subpart.



Sec. 94.503  General requirements.

    (a) For Tier 2 and later Category 1 and Category 2 engines, 
manufacturers shall test production line engines in accordance with 
sampling procedures

[[Page 639]]

specified in Sec. 94.505 and the test procedures specified in 
Sec. 94.506. The production-line testing requirements of this part do 
not apply for other engines.
    (b) Upon request, the Administrator may also allow manufacturers to 
conduct alternate production line testing programs for Category 1 and 
Category 2 engines, provided the Administrator determines that the 
alternate production line testing program provides equivalent assurance 
that the engines that are being produced conform to the provisions of 
this part. As part of this allowance or for other reasons, the 
Administrator may waive some or all of the requirements of this subpart.
    (c) The requirements of this subpart apply with respect to all 
applicable standards and FELs of Subpart A of this part, including the 
supplemental standards of Sec. 94.8(e).
    (d) If you certify an engine family with carryover emission data, as 
described in Sec. 94.206(c), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one engine per engine family. If we reduce your testing rate, we 
may limit our approval to any number of model years. In determining 
whether to approve your request, we may consider the number of engines 
that have failed the emission tests.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68341, Nov. 8, 2002; 68 
FR 9787, Feb. 28, 2003]



Sec. 94.504  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this part, one or more EPA 
enforcement officers may enter during operating hours and upon 
presentation of credentials any of the following places:
    (1) Any facility, including ports of entry, where any engine is to 
be introduced into commerce or any emission-related component is 
manufactured, assembled, or stored;
    (2) Any facility where any test conducted pursuant to a 
manufacturer's production line testing program or any procedure or 
activity connected with such test is or was performed;
    (3) Any facility where any test engine is present; and
    (4) Any facility where any record required under Sec. 94.509 or 
other document relating to this subpart is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers are authorized to perform the 
following inspection-related activities:
    (1) To inspect and monitor any aspect of engine manufacture, 
assembly, storage, testing and other procedures, and to inspect and 
monitor the facilities in which these procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including test engine selection, preparation and service 
accumulation, emission duty cycles, and maintenance and verification of 
test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection, and testing of a engine; and
    (4) To inspect and photograph any part or aspect of any engine and 
any component used in the assembly thereof that is reasonably related to 
the purpose of the entry.
    (c) EPA enforcement officers are authorized to obtain reasonable 
assistance without cost from those in charge of a facility to help the 
officers perform any function listed in this subpart and they are 
authorized to request the manufacturer to make arrangements with those 
in charge of a facility operated for the manufacturer benefit to furnish 
reasonable assistance without cost to EPA.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services; the making available 
on an EPA enforcement officer's request of personnel of the facility 
being inspected during their working hours to inform the EPA enforcement 
officer of how the facility operates and to answer the officer's 
questions; and the performance on request of emission tests on any 
engine which is being, has been, or will be used for production line 
testing.
    (2) By written request, signed by the Assistant Administrator for 
Air and

[[Page 640]]

Radiation or the Assistant Administrator for Enforcement and Compliance 
Assurance, and served on the manufacturer, a manufacturer may be 
compelled to cause the personal appearance of any employee at such a 
facility before an EPA enforcement officer. Any such employee who has 
been instructed by the manufacturer to appear will be entitled to be 
accompanied, represented, and advised by counsel.
    (d) EPA enforcement officers are authorized to seek a warrant or 
court order authorizing the EPA enforcement officers to conduct the 
activities authorized in this section, as appropriate, to execute the 
functions specified in this section. EPA enforcement officers may 
proceed ex parte to obtain a warrant or court order whether or not the 
EPA enforcement officers first attempted to seek permission from the 
manufacturer or the party in charge of the facility(ies) in question to 
conduct the activities authorized in this section.
    (e) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions where local law does not 
prohibit an EPA enforcement officer(s) from conducting the activities 
specified in this section. EPA will not attempt to make any inspections 
which it has been informed local foreign law prohibits.



Sec. 94.505  Sample selection for testing.

    (a) At the start of each model year, the manufacturer will begin to 
select engines from each Category 1 and Category 2 engine family for 
production line testing. Each engine will be selected from the end of 
the production line. Testing shall be performed throughout the entire 
model year to the extent possible. Engines selected shall cover the 
broadest range of production possible.
    (1)(i) The required sample size for Category 1 engine manufacturers 
is one percent of projected annual U.S.-directed production for all 
Category 1 engine families, provided that no engine tested fails to meet 
applicable emission standards. Test engines shall include a proportional 
sample from each engine family. The required sample size is zero if a 
manufacturer's projected annual production for all Category 1 engine 
families is less than 100.
    (ii) The required sample size for a Category 2 engine family is one 
percent of projected annual U.S.-directed production for that engine 
family, with a minimum sample size of one test per model year provided 
that no engine tested fails to meet applicable emission standards.
    (2) Manufacturers may elect to test additional engines. All 
additional engines must be tested in accordance with the applicable test 
procedures of this part.
    (3) The Administrator may reject any engines selected by the 
manufacturer if he/she determines that such engines are not 
representative of actual production.
    (b) The manufacturer must assemble the test engines using the same 
mass production process that will be used for engines to be introduced 
into commerce.
    (c) No quality control, testing, or assembly procedures will be used 
on any test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, except with 
the approval of the Administrator.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9787, Feb. 28, 2003]



Sec. 94.506  Test procedures.

    (a)(1) For engines subject to the provisions of this subpart, the 
prescribed test procedures are those procedures described in Subpart B 
of this part, except as provided in this section.
    (2) The Administrator may, on the basis of a written application by 
a manufacturer, prescribe test procedures other than those specified in 
paragraph (a)(1) of this section for any engine he/she determines is not 
susceptible to satisfactory testing using procedures specified in 
paragraph (a)(1) of this section.
    (3) If test procedures other than those in Subpart B of this part 
were used in certification of the engine family being tested under this 
subpart (other than alternate test procedures necessary for testing of a 
development engine instead of a low hour engine

[[Page 641]]

under Sec. 94.9), the manufacturer shall use the test procedures used in 
certification for production line testing.
    (b)(1) The manufacturer may not adjust, repair, prepare, modify, or 
perform any emission test on any test engine unless this adjustment, 
repair, preparation, modification and/or test is documented in the 
manufacturer's engine assembly and inspection procedures and is actually 
performed by the manufacturer or unless this adjustment, repair, 
preparation, modification and/or test is required or permitted under 
this subpart or is approved in advance by the Administrator.
    (2) Any adjustable engine parameter must be set to values or 
positions that are within the range specified in the approved 
application for certification.
    (3) The Administrator may adjust or require to be adjusted any 
engine parameter which the Administrator has determined to be subject to 
adjustment for certification and production line testing, to any setting 
within the specified adjustable range of that parameter, as determined 
by the Administrator, prior to the performance of any test.
    (c) Service Accumulation/Green Engine Factor. The manufacturer shall 
accumulate up to 300 hours of service on the engines to be tested. In 
lieu of conducting such service accumulation, the manufacturer may 
establish a Green Engine Factor for each regulated pollutant for each 
engine family to be used in calculating emissions test results. The 
manufacturer shall obtain the approval of the Administrator prior to 
using a Green Engine Factor.
    (d) The manufacturer may not perform any maintenance on test engines 
after selection for testing.
    (e) If an engine is shipped to a facility other than the production 
facility for production line testing, and an adjustment or repair is 
necessary because of such shipment, the engine manufacturer must perform 
the necessary adjustment or repair only after the initial test of the 
engine, except where the Administrator has determined that the test 
would be impossible to perform or would permanently damage the engine.
    (f) If an engine cannot complete the service accumulation or an 
emission test, because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or its 
deletion from the test sequence.
    (g) Retesting. If an engine manufacturer determines that any 
production line emission test of an engine is invalid, the engine must 
be retested in accordance with the requirements of this subpart. 
Emission results from all tests must be reported to EPA, including test 
results the manufacturer determines are invalid. The engine manufacturer 
must also include a detailed explanation of the reasons for invalidating 
any test in the quarterly report required in Sec. 94.508(e). In the 
event a retest is performed, a request may be made to the Administrator, 
within ten days of the end of the production quarter, for permission to 
substitute the after-repair test results for the original test results. 
The Administrator will either affirm or deny the request by the engine 
manufacturer within ten working days from receipt of the request.



Sec. 94.507  Sequence of testing.

    (a) If one or more Category 1 or Category 2 engines fail a 
production line test, then the manufacturer must test two additional 
engines for each engine that fails.
    (b) The two additional engines tested under paragraph (a) of this 
section shall be selected from either the next fifteen produced in that 
engine family, or from those engines produced in that engine family 
within 48 hours of the completion of the failed test.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9787, Feb. 28, 2003]



Sec. 94.508  Calculation and reporting of test results.

    (a) Manufacturers shall calculate initial test results using the 
applicable test procedure specified in Sec. 94.506(a). These results 
must also include the Green Engine Factor, if applicable. Round these 
results to the number of decimal places contained in the applicable 
emission standard expressed to one additional significant figure.
    (b) To calculate test results, sum the initial test results derived 
in paragraph (a) of this section for each test engine,

[[Page 642]]

divide by the number of tests conducted on the engine, and round to the 
same number of decimal places contained in the applicable standard 
expressed to one additional decimal place. (For example, if the 
applicable standard is 7.8, then round the test results to two places to 
the right of the decimal.)
    (c) To calculate the final test results for each test engine, apply 
the appropriate deterioration factors, derived in the certification 
process for the engine family, to the test results described in 
paragraph (b) of this section; round to the same number of decimal 
places contained in the applicable standard expressed to one additional 
decimal place. (For example, if the applicable standard is 7.8, then 
round the test results to two places to the right of the decimal.)
    (d) (1) If, subsequent to an initial failure of a Category 1 or 
Category 2 production line test, the average of the test results for the 
failed engine and the two additional engines tested, is greater than any 
applicable emission standard or FEL, the engine family is deemed to be 
in non-compliance with applicable emission standards, and the 
manufacturer must notify the Administrator within 2 working days of such 
noncompliance.
    (2) [Reserved]
    (e) Within 30 calendar days of the end of each quarter in which 
production line testing occurs, each manufacturer must submit to the 
Administrator a report which includes the following information:
    (1) The location and description of the manufacturer's emission test 
facilities which were utilized to conduct testing reported pursuant to 
this section;
    (2) Total production and sample size for each engine family;
    (3) The applicable standards and/or FELs against which each engine 
family was tested;
    (4) A description of the test engines;
    (5) For each test conducted:
    (i) A description of the test engine, including:
    (A) Configuration and engine family identification;
    (B) Year, make, and build date;
    (C) Engine identification number;
    (D) Number of hours of service accumulated on engine prior to 
testing; and
    (E) Description of Green Engine Factor; how it is determined and how 
it is applied;
    (ii) Location(s) where service accumulation was conducted and 
description of accumulation procedure and schedule, if applicable;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all production 
line emission tests conducted, whether valid or invalid, and the reason 
for invalidation of any test results, if applicable;
    (iv) A complete description of any adjustment, modification, repair, 
preparation, maintenance, and testing which was performed on the test 
engine, has not been reported pursuant to any other paragraph of this 
subpart, and will not be performed on other production engines;
    (v) Any other information the Administrator may request relevant to 
the determination whether the new engines being manufactured by the 
manufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued;
    (6) For each failed engine as defined in Sec. 94.510(a), a 
description of the remedy and test results for all retests as required 
by Sec. 94.512(g);
    (7) The date of the end of the engine manufacturer's model year 
production for each engine family tested; and
    (8) The following signed statement and endorsement by an authorized 
representative of the manufacturer:

    This report is submitted pursuant to Sections 213 and 208 of the 
Clean Air Act. This production line testing program was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
94. No emission-related changes to production processes or quality 
control procedures for the engine family tested have been made during 
this production line testing program that affect engines from the 
production line. All data and information reported herein is, to the 
best of (Company Name) knowledge, true and accurate. I am aware of the 
penalties associated with violations of the Clean Air Act and the 
regulations thereunder.
(Authorized Company Representative.)

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9787, Feb. 28, 2003]

[[Page 643]]



Sec. 94.509  Maintenance of records; submittal of information.

    (a) The manufacturer for any new engine subject to any of the 
provisions of this subpart must establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines in accordance with Sec. 94.503. The equipment requirements in 
Subpart B of this part apply to tests performed under this subpart.
    (2) Individual records. These records pertain to each production 
line test conducted pursuant to this subpart and include:
    (i) The date, time, and location of each test;
    (ii) The method by which the Green Engine Factor was calculated or 
the number of hours of service accumulated on the test engine when the 
test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the production line test;
    (iv) A record and description of any adjustment, repair, preparation 
or modification performed on test engines, giving the date, associated 
time, justification, name(s) of the authorizing personnel, and names of 
all supervisory personnel responsible for the conduct of the action;
    (v) If applicable, the date the engine was shipped from the assembly 
plant, associated storage facility or port facility, and the date the 
engine was received at the testing facility;
    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, in accordance with the record requirements 
specified in Subpart B of this part;
    (vii) A brief description of any significant events during testing 
not otherwise described under this paragraph (a)(2) of this section, 
commencing with the test engine selection process and including such 
extraordinary events as engine damage during shipment.
    (3) The manufacturer must establish, maintain and retain general 
records, pursuant to paragraph (a)(1) of this section, for each test 
cell that can be used to perform emission testing under this subpart.
    (b) The manufacturer must retain all records required to be 
maintained under this subpart for a period of eight (8) years after 
completion of all testing. Records may be retained as hard copy (i.e., 
on paper) or reduced to microfilm, floppy disk, or some other method of 
data storage, depending upon the manufacturer's record retention 
procedure; provided, that in every case, all the information contained 
in the hard copy is retained.
    (c) The manufacturer must, upon request by the Administrator, submit 
the following information with regard to engine production:
    (1) Projected production for each configuration within each engine 
family for which certification has been requested and/or approved.
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production.
    (d) Nothing in this section limits the Administrator's discretion to 
require a manufacturer to establish, maintain, retain or submit to EPA 
information not specified by this section.
    (e) All reports, submissions, notifications, and requests for 
approval made under this subpart must be addressed to the Designated 
Officer.
    (f) The manufacturer must electronically submit the results of its 
production line testing using an EPA information format.



Sec. 94.510  Compliance with criteria for production line testing.

    (a) A failed engine is one whose final test results pursuant to 
Sec. 94.508(c), for one or more of the applicable pollutants, exceed an 
applicable emission standard or FEL.
    (b) A Category 1 or Category 2 engine family is deemed to be in 
noncompliance, for purposes of this subpart, if at any time throughout 
the model year, the average of an initial failed engine and the two 
additional engines tested, is greater than any applicable emission 
standard or FEL.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9787, Feb. 28, 2003]

[[Page 644]]



Sec. 94.511  [Reserved]



Sec. 94.512  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is suspended with respect to any 
engine that fails a production line test pursuant to Sec. 94.510(a), 
effective from the time the testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformity for 
an engine family which is in noncompliance pursuant to Sec. 94.510(b), 
thirty days after the engine family is deemed to be in noncompliance.
    (c) If the results of testing pursuant to this subpart indicate that 
engines of a particular family produced at one plant of a manufacturer 
do not conform to the regulations with respect to which the certificate 
of conformity was issued, the Administrator may suspend the certificate 
of conformity with respect to that family for engines manufactured by 
the manufacturer at all other plants.
    (d) The Administrator may suspend a certificate of conformity for 
any engine family in whole or in part if:
    (1) The manufacturer fails to comply with any of the requirements of 
this subpart.
    (2) The manufacturer submits false or incomplete information in any 
report or information provided to the Administrator under this subpart.
    (3) The manufacturer renders inaccurate any test data submitted 
under this subpart.
    (4) An EPA enforcement officer is denied the opportunity to conduct 
activities authorized in this subpart.
    (5) An EPA enforcement officer is unable to conduct activities 
authorized in Sec. 94.504 for any reason.
    (e) The Administrator shall notify the manufacturer in writing of 
any suspension or revocation of a certificate of conformity in whole or 
in part; a suspension or revocation is effective upon receipt of such 
notification or thirty days from the time an engine family is deemed to 
be in noncompliance under Secs. 94.508(d), 94.510(a), or 94.510(b), 
whichever is earlier, except that the certificate is immediately 
suspended with respect to any failed engines as provided for in 
paragraph (a) of this section.
    (f) The Administrator may revoke a certificate of conformity for an 
engine family when the certificate has been suspended pursuant to 
paragraph (b) or (c) of this section if the remedy is one requiring a 
design change or changes to the engine and/or emission control system as 
described in the application for certification of the affected engine 
family.
    (g) Once a certificate has been suspended for a failed engine, as 
provided for in paragraph (a) of this section, the manufacturer must 
take the following actions before the certificate is reinstated for that 
failed engine:
    (1) Remedy the nonconformity;
    (2) Demonstrate that the engine conforms to applicable standards or 
family emission limits by retesting if applicable, the engine in 
accordance with this part; and
    (3) Submit a written report to the Administrator, after successful 
completion of testing on the failed engine, which contains a description 
of the remedy and test results for each engine in addition to other 
information that may be required by this part.
    (h) Once a certificate for a failed engine family has been suspended 
pursuant to paragraph (b) or (c) of this section, the manufacturer must 
take the following actions before the Administrator will consider 
reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the engines, describes the remedy, 
including a description of any quality control and/or quality assurance 
measures to be taken by the manufacturer to prevent future occurrences 
of the problem, and states the date on which the remedies will be 
implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with the regulations 
of this part by testing engines selected from normal production runs of 
that engine family. Such testing must comply with the provisions of this 
subpart. If the manufacturer elects to continue testing individual 
engines after suspension of a certificate, the certificate is reinstated 
for any engine actually determined to be in conformance with the

[[Page 645]]

applicable standards or family emission limits through testing in 
accordance with the applicable test procedures, provided that the 
Administrator has not revoked the certificate pursuant to paragraph (f) 
of this section.
    (i) Once the certificate has been revoked for an engine family, if 
the manufacturer desires to continue introduction into commerce of a 
modified version of that family, the following actions must be taken 
before the Administrator may issue a certificate for that modified 
family:
    (1) If the Administrator determines that the change(s) in engine 
design may have an effect on emission performance deterioration, the 
Administrator shall notify the manufacturer, within five working days 
after receipt of the report in paragraph (h)(1) of this section, whether 
subsequent testing under this subpart will be sufficient to evaluate the 
change or changes or whether additional testing will be required; and
    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer must demonstrate that the modified 
engine family does in fact conform with the regulations of this part by 
testing engines selected from normal production runs of that engine 
family. When both of these requirements are met, the Administrator shall 
reissue the certificate or issue a new certificate, as the case may be, 
to include that family. If this subsequent testing reveals failing data 
the revocation remains in effect.
    (j) At any time subsequent to an initial suspension of a certificate 
of conformity for a test engine pursuant to paragraph (a) of this 
section, but not later than 30 days (or such other period as may be 
allowed by the Administrator) after notification of the Administrator's 
decision to suspend or revoke a certificate of conformity in whole or in 
part pursuant to paragraph (b), (c), or (f) of this section, a 
manufacturer may request a hearing as to whether the tests have been 
properly conducted or any sampling methods have been properly applied.
    (k) Any suspension of a certificate of conformity under paragraphs 
(a),(b),(c) and (d) of this section:
    (1) Shall be made only after the manufacturer concerned has been 
offered an opportunity for a hearing conducted in accordance with 
Secs. 94.513, 94.514, and 94.515; and
    (2) Need not apply to engines no longer in the possession of the 
manufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section or voids a certificate of conformity 
under paragraph Sec. 94.215, and prior to the commencement of a hearing 
under Sec. 94.513, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend, revoke, or 
void the certificate was based on erroneous information, the 
Administrator shall reinstate the certificate.
    (m) To permit a manufacturer to avoid storing non-test engines while 
conducting subsequent testing of the noncomplying family, a manufacturer 
may request that the Administrator conditionally reinstate the 
certificate for that family. The Administrator may reinstate the 
certificate subject to the following condition: the manufacturer must 
commit to recall all engines of that family produced from the time the 
certificate is conditionally reinstated if the family fails subsequent 
testing and must commit to remedy any nonconformity at no expense to the 
owner.



Sec. 94.513  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator's decision 
to suspend or revoke a certificate or disputes the basis for an 
automatic suspension pursuant to Sec. 94.512(a), the manufacturer may 
request a public hearing.
    (b) The manufacturer's request shall be filed with the Administrator 
not later than 30 days after the Administrator's notification of his or 
her decision to suspend or revoke, unless otherwise specified by the 
Administrator. The manufacturer shall simultaneously serve two copies of 
this request upon the Designated Officer and file two copies with the 
Hearing Clerk of the Agency. Failure of the manufacturer to request a 
hearing within the time provided constitutes a waiver of the right

[[Page 646]]

to a hearing. Subsequent to the expiration of the period for requesting 
a hearing as of right, the Administrator may, in his or her discretion 
and for good cause shown, grant the manufacturer a hearing to contest 
the suspension or revocation.
    (c) A manufacturer shall include in the request for a public 
hearing:
    (1) A statement as to which configuration(s) within a family is to 
be the subject of the hearing;
    (2) A concise statement of the issues to be raised by the 
manufacturer at the hearing, except that in the case of the hearing 
requested under Sec. 94.512(j), the hearing is restricted to the 
following issues:
    (i) Whether tests have been properly conducted (specifically, 
whether the tests were conducted in accordance with applicable 
regulations under this part and whether test equipment was properly 
calibrated and functioning);
    (ii) Whether there exists a basis for distinguishing engines 
produced at plants other than the one from which engines were selected 
for testing which would invalidate the Administrator's decision under 
Sec. 94.512(c));
    (3) A statement specifying reasons why the manufacturer believes it 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the manufacturer's 
position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.



Sec. 94.514  Administrative procedures for public hearing.

    (a) The Presiding Officer shall be an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930).
    (b) The Judicial Officer shall be an officer or employee of the 
Agency appointed as a Judicial Officer by the Administrator, pursuant to 
this section, who shall meet the qualifications and perform functions as 
follows:
    (1) Qualifications. A Judicial Officer may be a permanent or 
temporary employee of the Agency who performs other duties for the 
Agency. The Judicial Officer shall not be employed by the Office of 
Enforcement or have any connection with the preparation or presentation 
of evidence for a hearing held pursuant to this subpart. The Judicial 
Officer shall be a graduate of an accredited law school and a member in 
good standing of a recognized Bar Association of any state or the 
District of Columbia.
    (2) Functions. The Administrator may consult with the Judicial 
Officer or delegate all or part of the Administrator's authority to act 
in a given case under this section to a Judicial Officer, provided that 
this delegation does not preclude the Judicial Officer from referring 
any motion or case to the Administrator when the Judicial Officer 
determines such referral to be appropriate.
    (c) For the purposes of this section, one or more Judicial Officers 
may be designated by the Administrator. As work requires, a Judicial 
Officer may be designated to act for the purposes of a particular case.
    (d)(1) In the case of a hearing requested under Sec. 94.512(j), when 
it clearly appears from the data and other information contained in the 
request for a hearing that no genuine and substantial question of fact 
or law exists with respect to the issues specified in Sec. 94.513(c)(2), 
the Administrator may enter an order denying the request for a hearing 
and reaffirming the original decision to suspend or revoke a certificate 
of conformity.
    (2) In the case of a hearing requested under Sec. 94.513 to 
challenge a suspension of a certificate of conformity for the reason(s) 
specified in Sec. 94.512(d), when it clearly appears from the data and 
other information contained in the request for the hearing that no 
genuine and substantial question of fact or law exists with respect to 
the issue of whether the refusal to comply with this subpart was caused 
by conditions and circumstances outside the control of the manufacturer, 
the Administrator may enter an order denying the request for a hearing 
and suspending the certificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of this 
section has the force and effect of a final decision of

[[Page 647]]

the Administrator, as issued pursuant to Sec. 94.516.
    (4) If the Administrator determines that a genuine and substantial 
question of fact or law does exist with respect to any of the issues 
referred to in paragraphs (d)(1) and (d)(2) of this section, the 
Administrator shall grant the request for a hearing and publish a notice 
of public hearing in the Federal Register or by such other means as the 
Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section and Sec. 94.513(c) must be filed with the Hearing Clerk of the 
Agency. Filing is considered timely if mailed, as determined by the 
postmark, to the Hearing Clerk within the time allowed by this section 
and Sec. 94.513(b). If filing is to be accomplished by mailing, the 
documents must be sent to the address set forth in the notice of public 
hearing referred to in paragraph (d)(4) of this section.
    (2) To the maximum extent possible, testimony will be presented in 
written form. Copies of written testimony will be served upon all 
parties as soon as practicable prior to the start of the hearing. A 
certificate of service will be provided on or accompany each document or 
paper filed with the Hearing Clerk. Documents to be served upon the 
Director of the Engine Programs and Compliance Division must be sent by 
registered mail to: Director, Engine Programs and Compliance Division 
6403-J, U.S. Environmental Protection Agency, 401 M St. SW., Washington, 
DC 20460. Service by registered mail is complete upon mailing.
    (f) Computation of time. (1) In computing any period of time 
prescribed or allowed by this section, except as otherwise provided, the 
day of the act or event from which the designated period of time begins 
to run is not included. Saturdays, Sundays, and federal legal holidays 
are included in computing the period allowed for the filing of any 
document or paper, except that when the period expires on a Saturday, 
Sunday, or federal legal holiday, the period is extended to include the 
next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act is computed from the time of service, except that 
when service is accomplished by mail, three days will be added to the 
prescribed period.
    (g) Consolidation. The Administrator or the Presiding Officer in his 
or her discretion may consolidate two or more proceedings to be held 
under this section for the purpose of resolving one or more issues 
whenever it appears that consolidation will expedite or simplify 
consideration of these issues. Consolidation does not affect the right 
of any party to raise issues that could have been raised if 
consolidation had not occurred.
    (h) Hearing date. To the extent possible hearings under Sec. 94.513 
will be scheduled to commence within 14 days of receipt of the request 
for a hearing.



Sec. 94.515  Hearing procedures.

    The procedures provided in 40 CFR 86.1014-84(i) through (s) apply 
for hearings requested pursuant to Sec. 94.513 regarding suspension, 
revocation, or voiding of a certificate of conformity.



Sec. 94.516  Appeal of hearing decision.

    The procedures provided in 40 CFR 86.1014-84 (t) through (aa) apply 
for appeals filed with respect to hearings held pursuant to Sec. 94.515.



Sec. 94.517  Treatment of confidential information.

    Except for information required by Sec. 94.508(e)(2) and quarterly 
emission test results described in Sec. 94.508(e), information submitted 
pursuant to this subpart shall be made available to the public by EPA, 
notwithstanding any claim of confidentiality made by the submitter. The 
provisions for treatment of confidential information described in 
Sec. 94.4 apply to the information required by Sec. 94.508(e)(2) and 
quarterly emission test results described in Sec. 94.508(e).

Subpart G--[Reserved]

[[Page 648]]



                      Subpart H--Recall Regulations



Sec. 94.701  Applicability.

    The requirements of this subpart are applicable to all engines 
subject to the provisions of this part.



Sec. 94.702  Definitions.

    The definitions in Subpart A of this part apply to this subpart.



Sec. 94.703  Applicability of 40 CFR part 85, subpart S.

    (a) Engines subject to provisions of this part are subject to recall 
regulations specified in 40 CFR part 85, subpart S, except for the items 
set forth in this section.
    (b) In 40 CFR 85.1801, section 216 of the Clean Air Act applies, 
rather than section 214 of the Act.
    (c) In 40 CFR 85.1802(a), section 213 of the Act applies, rather 
than section 202 of the Act.
    (d) In 40 CFR 85.1803(a) and 85.1805(a)(1) the reference to ``family 
emission limits'' as defined in this part 94 promulgated under section 
213 of the Act applies, rather than the reference to ``family 
particulate emission limits as defined in 40 CFR part 86 promulgated 
under section 202 of the Act''.
    (e) Throughout the subpart references to ``engines'' apply rather 
than references to ``vehicles or engines''.



             Subpart I--Importation of Nonconforming Engines



Sec. 94.801  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
importers of engines (and vessels containing engines) for which the 
Administrator has promulgated regulations under this part prescribing 
emission standards, that are offered for importation or imported into 
the United States, but which engines, at the time of importation or 
being offered for importation, are not covered by certificates of 
conformity issued under section 213 and section 206(a) of the Clean Air 
Act (that is, which are nonconforming engines as defined in Sec. 94.2), 
and this part. Compliance with regulations under this subpart does not 
relieve any person or entity from compliance with other applicable 
provisions of the Clean Air Act.
    (b) Regulations prescribing further procedures for the importation 
of engines into the Customs territory of the United States are set forth 
in U.S. Customs Service regulations (19 CFR chapter I).

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9787, Feb. 28, 2003]



Sec. 94.802  Definitions.

    The definitions of Subpart A of this part apply to this subpart.



Sec. 94.803  Admission.

    (a) A nonconforming engine offered for importation may be admitted 
into the United States pursuant to the provisions of this subpart. 
Subpart C of this part, including Sec. 94.222, describes how to certify 
engines installed on vessels before they are imported.
    (b) To obtain admission, the importer must submit to the 
Administrator a written request for approval containing the following:
    (1) Identification of the importer of the engine and the importer's 
address, telephone number, and taxpayer identification number;
    (2) Identification of the engine's owner, the owner's address, 
telephone number, and taxpayer identification number;
    (3) Identification of the engine including make, model, 
identification number, and original production year;
    (4) Information indicating the provision in this subpart under which 
the engine is to be imported, including a demonstration of how it 
qualifies for the requested exemption;
    (5) Identification of the place(s) where the engine is to be stored 
until EPA approval of the importer's application to the Administrator 
for final admission;
    (6) Authorization for EPA enforcement officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder; and
    (7) Such other information as is deemed necessary by the 
Administrator.



Sec. 94.804  Exemptions.

    (a) General provisions. (1) Unless otherwise specified, any person 
may apply

[[Page 649]]

for the exemptions allowed by this section.
    (2) Paragraph (b) of this section describes the provisions that 
apply to temporary exemptions. Paragraph (c) of this section describes 
provisions that apply to permanent exemptions.
    (3) Applications for exemption under this section shall be mailed to 
the Designated Officer.
    (b) Notwithstanding other requirements of this subpart, a 
nonconforming engine that qualifies for a temporary exemption under this 
paragraph (b) may be conditionally admitted into the United States if 
prior written approval for the conditional admission is obtained from 
the Administrator. Conditional admission is to be under bond. The 
Administrator may request that the U.S. Customs Service require a 
specific bond amount to ensure compliance with the requirements of the 
Act and this subpart. A written request for a temporary exemption from 
the Administrator shall contain the information required in Sec. 94.803. 
Noncompliance with the provisions of this paragraph (b) will be 
considered unlawful importation and may result in the forfeiture of the 
total amount of the bond, exportation of the engine, and/or imposition 
of civil penalties.
    (1) Exemption for repairs or alterations. A person may conditionally 
import under bond a nonconforming engine solely for purpose of repair(s) 
or alteration(s). The engine may not be operated in the United States 
other than for the sole purpose of repair or alteration or shipment to 
the point of repair or alteration and to the port of export. It may not 
be sold or leased in the United States and is to be exported upon 
completion of the repair(s) or alteration(s).
    (2) Testing exemption. A person may conditionally import under bond 
a nonconforming engine for testing, subject to the requirements of 
Sec. 94.905. A test engine may be operated in the United States provided 
that the operation is an integral part of the test. This exemption is 
limited to a period not exceeding one year from the date of importation 
unless a request is made by the appropriate importer, and subsequently 
granted by EPA, concerning the engine in accordance with Sec. 94.905 for 
a subsequent one-year period.
    (3) Display exemptions. A person may conditionally import under bond 
a nonconforming engine solely for display purposes, subject to both of 
the following requirements:
    (i) A display engine may be imported by any person for purposes 
related to a business or the public interest. Such purposes do not 
include collections normally inaccessible or unavailable to the public 
on a daily basis, display of an engine at a dealership, private use, or 
other purpose that the Administrator determines is not appropriate for 
display exemptions. A display engine may not be sold or leased in the 
United States and may not be operated in the United States except for 
the operation incident and necessary to the display purpose.
    (ii) A display exemption is granted for 12 months or for the 
duration of the display purpose, whichever is shorter. Extensions of up 
to 12 months each are available upon approval by the Administrator. In 
no circumstances, however, may the total period of exemption exceed 36 
months.
    (c) A nonconforming engine that qualifies for a permanent exemption 
under this paragraph (c) may be admitted into the United States if prior 
written approval is obtained from the Administrator. A written request 
for a permanent exemption from the Administrator shall contain the 
information required in Sec. 94.803. Noncompliance with the provisions 
of this paragraph (c) will be considered unlawful importation and may 
result in the exportation of the engine and/or imposition of civil 
penalties.
    (1) National security exemption. Notwithstanding any other 
requirement of this subpart, an engine may be permanently imported into 
the United States under the national security exemption found in 
Sec. 94.908.
    (2) Competition exemption. Notwithstanding any other requirement of 
this subpart, an engine may be permanently imported into the United 
States under the competition exemption found in Sec. 94.906(c).
    (3) Incomplete marine engine exemption. An engine that is intended 
to be modified prior to being placed into service

[[Page 650]]

as a marine engine may be imported in a nonconforming configuration, 
subject to the following provisions:
    (i) The modified engine must be covered by a valid marine engine 
certificate issued under this part prior to importation and held by a 
post-manufacture marinizer. (Note: Prior to certification, manufacturers 
and post-manufacture marinizers may import uncertified engines for 
testing, as specified in paragraph (b)(2) of this section.)
    (ii) The engine may not be placed into non-marine service prior to 
being installed in a vessel.
    (iii) The importer must obtain written approval from the 
Administrator prior to admission.
    (iv) The engine and engine container must be labeled as specified by 
the Administrator.
    (v) A manufacturer importing an engine under this exemption must 
modify the engine to comply with the requirements of this part.



Sec. 94.805  Prohibited acts; penalties.

    (a) The importation of an engine (including an engine incorporated 
in an imported marine vessel) which is not covered by a certificate of 
conformity other than in accordance with this subpart and the entry 
regulations of the U.S. Customs Service is prohibited. Failure to comply 
with this section is a violation of section 213(d) and section 203 of 
the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of an engine may not:
    (1) Operate the engine in the United States; or
    (2) Sell or lease or offer the engine for sale or lease.
    (c) An engine conditionally admitted pursuant to Sec. 94.804 and not 
otherwise permanently exempted or excluded by the end of the period of 
conditional admission, or within such additional time as the 
Administrator and the U.S. Customs Service may allow, is deemed to be 
unlawfully imported into the United States in violation of section 
213(d) and section 203 of the Act, unless the engine has been delivered 
to the U.S. Customs Service for export or other disposition under 
applicable Customs laws and regulations by the end of the period of 
conditional admission. An engine not so delivered is subject to seizure 
by the U.S. Customs Service.
    (d) An importer who violates section 213(d) and section 203 of the 
Act is subject to a civil penalty under section 205 of the Act and 
Sec. 94.1106. In addition to the penalty provided in the Act and 
Sec. 94.1106, where applicable, a person or entity who imports an engine 
under the exemption provisions of Sec. 94.804 and, who fails to deliver 
the engine to the U.S. Customs Service by the end of the period of 
conditional admission is liable for liquidated damages in the amount of 
the bond required by applicable Customs laws and regulations.



              Subpart J--Exclusion and Exemption Provisions



Sec. 94.901  Purpose and applicability.

    The provisions of this subpart identify excluded engines (i.e., 
engines not covered by the Act) and allow for the exemption of engines 
from certain provisions of this part. The applicability of the 
exclusions is described in Sec. 94.903, and the applicability of the 
exemption allowances is described in Secs. 94.904 through 94.909.



Sec. 94.902  Definitions.

    The definitions of Subpart A of this part apply to this subpart.



Sec. 94.903  Exclusions.

    (a) Upon written request with supporting documentation, EPA will 
make written determinations as to whether certain engines are excluded 
from applicability of this part. Any engines that are determined to be 
excluded are not subject to the regulations under this part. Requests to 
determine whether certain engines are excluded should be sent to the 
Designated Officer.
    (b) EPA will maintain a list of models of engines that have been 
determined to be excluded from coverage under this part. This list will 
be available to the public and may be obtained by writing to the address 
in paragraph (a) of this section.
    (c) In addition to the engines excluded in paragraph (a) of this 
section, certain engines are not subject to the

[[Page 651]]

requirements and prohibitions of this part because they are excluded 
from the definitions of ``marine engine'' in Sec. 94.2.



Sec. 94.904  Exemptions.

    (a) Except as specified otherwise in this subpart, the provisions of 
Secs. 94.904 through 94.911 exempt certain new engines from the 
standards, other requirements, and prohibitions of this part, except for 
the requirements of this subpart and the requirements of Sec. 94.1104. 
Additional requirements may apply for imported engines; these are 
described in subpart I of this part.
    (b)(1) Any person may request a testing exemption subject to the 
provisions of Sec. 94.905.
    (2) Any engine manufacturer may request a national security 
exemption subject to the provisions of Sec. 94.908.
    (3) Engines manufactured for export purposes are exempt without 
application, subject to the provisions of Sec. 94.909, except as 
otherwise specified by Sec. 94.909.
    (4) Manufacturer-owned engines are exempt without application, 
subject to the provisions of Sec. 94.906(a).
    (5) Display engines are exempt without application, subject to the 
provisions of Sec. 94.906(b). This does not apply to imported engines 
(see Sec. 94.804).
    (6) Engines used solely for competition are exempt, subject to the 
provisions of Sec. 94.906(c).

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9787, Feb. 28, 2003]



Sec. 94.905  Testing exemption.

    (a)(1) The Administrator may exempt from the standards and/or other 
requirements and prohibitions of this part new engines that are being 
used solely for the purpose of conducting a test program. Any person 
requesting an exemption for the purpose of conducting a test program 
must demonstrate the following:
    (i) That the proposed test program has a purpose which constitutes 
an appropriate basis for an exemption in accordance this section;
    (ii) That the proposed test program necessitates the granting of an 
exemption;
    (iii) That the proposed test program exhibits reasonableness in 
scope; and
    (iv) That the proposed test program exhibits a degree of oversight 
and control consonant with the purpose of the test program and EPA's 
monitoring requirements.
    (2) Paragraphs (b), (c), (d), and (e) of this section describe what 
constitutes a sufficient demonstration for each of the four elements 
identified in paragraphs (a)(1)(i) through (iv) of this section.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose would be research, investigations, studies, 
demonstrations, technology development, or training, but not national 
security. A concise statement of purpose is a required item of 
information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under Sec. 94.1103. In appropriate 
circumstances, time constraints may be a sufficient basis for necessity, 
but the cost of certification alone, in the absence of extraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of engines. 
In this regard, required items of information include:
    (1) An estimate of the program's duration; and
    (2) The maximum number of engines involved.
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the testing;
    (2) The location(s) of the testing;
    (3) The time or work duration of the testing;
    (4) The ownership arrangement with regard to the engines involved in 
the testing;
    (5) The intended final disposition of the engines;

[[Page 652]]

    (6) The manner in which the engine identification numbers will be 
identified, recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer of new engines may request a testing exemption to 
cover engines intended for use in test programs planned or anticipated 
over the course of a subsequent two-year period. Unless otherwise 
required by the Director, Engine Programs and Compliance Division, a 
manufacturer requesting such an exemption need only furnish the 
information required by paragraphs (a)(1) and (d)(2) of this section 
along with a description of the recordkeeping and control procedures 
that will be employed to assure that the engines are used for purposes 
consistent with paragraph (a) of this section.
    (g) For engines being used for the purpose of developing a 
fundamentally new emission control technology related either to an 
alternative fuel or an aftertreatment device, the Administrator may 
exempt the engine from some or all of the applicable standards of this 
part for the full useful life of the engine, subject to the provisions 
of paragraphs (a) through (f) of this section.



Sec. 94.906  Manufacturer-owned exemption, display exemption, and 
competition exemption.

    (a) Manufacturer-owned exemption. Any manufacturer-owned engine, as 
defined by Sec. 94.2, is exempt from Sec. 94.1103, without application, 
if the manufacturer complies with the following terms and conditions:
    (1) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed information on each exempted 
engine:
    (i) engine identification number;
    (ii) Use of the engine on exempt status; and
    (iii) Final disposition of any engine removed from exempt status.
    (2) The manufacturer must provide right of entry and access to these 
records to EPA Enforcement Officers as outlined in Sec. 94.208.
    (3) The manufacturer must permanently affix a label to each engine 
on exempt status, unless the requirement is waived or an alternate 
procedure is approved by the Director, Engine Programs and Compliance 
Division. This label should:
    (i) Be affixed in a readily visible portion of the engine;
    (ii) Be attached in such a manner that cannot be removed without 
destruction or defacement;
    (iii) State in the English language and in block letters and 
numerals of a color that contrasts with the background of the label, the 
following information:
    (A) The label heading ``Emission Control Information'';
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement, engine family identification, and model 
year of engine; or person of office to be contacted for further 
information about the engine;
    (D) The statement ``This engine is exempt from the prohibitions of 
40 CFR 94.1103.''
    (4) No provision of paragraph (a)(3) of this section prevents a 
manufacturer from including any other information it desires on the 
label.
    (5) The engine is not used in revenue-generating service, or sold.
    (b) Display exemption. An uncertified engine that is to be used 
solely for display purposes, and that will only be operated incident and 
necessary to the display purpose, and will not be sold unless an 
applicable certificate of conformity has been obtained for the engine, 
is exempt without request from the standards of this part. This does not 
apply to imported engines (see Sec. 94.804).
    (c) Competition exemption. The Administrator may exempt, upon 
request, engines that are intended by the manufacturer to be used solely 
for competition. Engines that are modified after they have been placed 
into service and are used solely for competition are exempt without 
request.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9787, Feb. 28, 2003]



Sec. 94.907  Engine dressing exemption.

    (a) This section applies to you if you are an engine manufacturer 
(this includes post-manufacture marinizers).
    (b) The only requirements or prohibitions from this part that apply 
to an

[[Page 653]]

engine that is exempt under this section are in this section.
    (c) The requirements and prohibitions of this part apply to all 
engines in the scope of Sec. 94.1 that do not qualify for the engine 
dressing exemption.
    (d) New Category 1 and Category 2 marine engines that meet all the 
following criteria are exempt under this section:
    (1) You must produce it by marinizing an engine covered by a valid 
certificate of conformity from one of the following programs:
    (i) Heavy-duty highway engines (40 CFR part 86).
    (ii) Land-based nonroad diesel engines (40 CFR part 89).
    (iii) Locomotive engines (40 CFR part 92).
    (2) The engine must have the label required under 40 CFR part 86, 
89, or 92.
    (3) You must not make any changes to the certified engine that could 
reasonably be expected to increase its emissions. For example, if you 
make any of the following changes to one of these engines, you do not 
qualify for the engine dressing exemption:
    (i) Changing any fuel system parameters from the certified 
configuration.
    (ii) Replacing an original turbocharger, except that small-volume 
manufacturers of recreational engines may replace an original 
turbocharger with one that matches the performance of the original 
turbocharger.
    (iii) Modify or design the marine engine cooling or aftercooling 
system so that temperatures or heat rejection rates are outside the 
original engine manufacturer's specified ranges.
    (4) You must make sure that fewer than 50 percent of the engine 
model's total sales, from all companies, are used in marine 
applications.
    (e) If you dress an engine under this exemption, you must do all of 
the following:
    (1) Make sure the original engine label will remain clearly visible 
after installation in the vessel.
    (2) Add a permanent supplemental label to the engine in a position 
where it will remain clearly visible after installation in the vessel. 
In your engine label, do the following:
    (i) Include the heading: ``Marine Engine Emission Control 
Information''.
    (ii) Include your full corporate name and trademark.
    (iii) State: ``This engine was marinized without affecting its 
emission controls.''
    (iv) State the date you finished marinizing the engine (month and 
year).
    (3) Send a signed letter to the Designated Officer by the end of 
each calendar year (or less often if we tell you) with all the following 
information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine models you expect to produce under this 
exemption in the coming year.
    (iii) State: ``We produce each listed engine model for marine 
application without making any changes that could increase its certified 
emission levels, as described in 40 CFR 94.907.''
    (f) In general you may use up your inventory of engines that are not 
certified to new marine emission standards if they were originally 
manufactured before the date of the new standards. However, stockpiling 
these engines is a violation of Sec. 94.1103(a)(1)(i)(A).
    (g) If your engines do not meet the criteria listed in paragraphs 
(d)(2) through (d)(4) of this section, they will be subject to the 
standards and prohibitions of this part. Marinization without a valid 
exemption or certificate of conformity would be a violation of 
Sec. 94.1103(a)(1) and/or the tampering prohibitions of the applicable 
land-based regulations (40 CFR part 86, 89, or 92).
    (h)(1) If you are the original manufacturer and marinizer of an 
exempted engine, you must send us emission test data on the appropriate 
marine duty cycles. You can include the data in your application for 
certification or in the letter described in paragraph (e)(3) of this 
section.
    (2) If you are the original manufacturer of an exempted engine that 
is marinized by a post-manufacture marinizer, you may be required to 
send us emission test data on the appropriate marine duty cycles. If 
such data

[[Page 654]]

are requested you will be allowed a reasonable amount of time to collect 
the data.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68347, Nov. 8, 2002; 68 
FR 9787, Feb. 28, 2003]



Sec. 94.908  National security exemption.

    (a)(1) Any marine engine, otherwise subject to this part, that is 
used in a vessel that exhibits substantial features ordinarily 
associated with military combat such as armor, permanently affixed 
weaponry, specialized electronic warfare systems, unique stealth 
performance requirements, and/or unique combat maneuverability 
requirements and which will be owned and/or used by an agency of the 
federal government with the responsibility for national defense, will be 
exempt from the regulations in this subpart for reasons of national 
security. No request for this exemption is necessary.
    (2) Manufacturers may request a national security exemption for any 
marine engine, otherwise subject to this part, which does not meet the 
conditions described in paragraph (a)(1) of this section. A manufacturer 
requesting a national security exemption must state the purpose for 
which the exemption is required and the request must be endorsed by an 
agency of the federal government charged with responsibility for 
national defense.
    (b) EPA will maintain a list of models of marine engines (and the 
vessels which use them) that have been granted a national security 
exemption under paragraph (a)(2) of this section. This list will be 
available to the public and may be obtained by writing to the Designated 
Officer.



Sec. 94.909  Export exemptions.

    (a) A new engine intended solely for export, and so labeled or 
tagged on the outside of any container and on the engine, is subject to 
the provisions of Sec. 94.1103, unless the importing country has new 
marine engine emission standards which differ from EPA standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards whatsoever is deemed to be a country having emission 
standards which differ from EPA standards.
    (c) It is a condition of any exemption for the purpose of export 
under paragraph (a) of this section, that such exemption is void ab 
initio with respect to a new engine intended solely for export, where 
such engine is sold, or offered for sale, to an ultimate purchaser or 
otherwise distributed or introduced into commerce in the United States 
for purposes other than export.



Sec. 94.910  Granting of exemptions.

    (a) If upon completion of the review of an exemption request made 
pursuant to Sec. 94.905 or Sec. 94.908, EPA determines it is appropriate 
to grant such an exemption, a memorandum of exemption is to be prepared 
and submitted to the person requesting the exemption. The memorandum is 
to set forth the basis for the exemption, its scope, and such terms and 
conditions as are deemed necessary. Such terms and conditions generally 
include, but are not limited to, agreements by the applicant to conduct 
the exempt activity in the manner described to EPA, create and maintain 
adequate records accessible to EPA at reasonable times, employ labels 
for the exempt engines setting forth the nature of the exemption, take 
appropriate measures to assure that the terms of the exemption are met, 
and advise EPA of the termination of the activity and the ultimate 
disposition of the engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
is deemed to cover any subject engine only to the extent that the 
specified terms and conditions are complied with. A breach of any term 
or condition causes the exemption to be void ab initio with respect to 
any engine. Consequently, the causing or the performing of an act 
prohibited under Sec. 94.1103(a)(1) or (a)(3), other than in strict 
conformity with all terms and conditions of this exemption, renders the 
person to whom the exemption is granted, and any other person to whom 
the provisions of Sec. 94.1103(a) are applicable, liable to suit under 
sections 204 and 205 of the Act.



Sec. 94.911  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/

[[Page 655]]

or the exemption request review procedure should be addressed to the 
Designated Officer.



Subpart K--Requirements Applicable to Vessel Manufacturers, Owners, and 
                                Operators

    Source: 68 FR 9787, Feb. 28, 2003, unless otherwise noted.



Sec. 94.1001  Applicability.

    The requirements of this subpart are applicable to manufacturers, 
owners, and operators of marine vessels that contain Category 3 engines 
subject to the provisions of subpart A of this part, except as otherwise 
specified.



Sec. 94.1002  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 94.1003  Production testing, in-use testing, and inspections.

    (a) [Reserved]
    (b) [Reserved]
    (c) Manufacturers, owners and operators must allow emission tests 
and inspections to be conducted and must provide reasonable assistance 
to perform such tests or inspections.



Sec. 94.1004  Maintenance, repair, adjustment, and recordkeeping.

    (a) Unless otherwise approved by the Administrator, all owners and 
operators of Category 3 engines subject to the provisions of this part 
shall ensure that all emission-related maintenance is performed, as 
specified in the maintenance instructions provided by the certifying 
manufacturer in compliance with Sec. 94.211.
    (b) Unless otherwise approved by the Administrator, all maintenance, 
repair, adjustment, and alteration of engines subject to the provisions 
of this part performed by any owner, operator or other maintenance 
provider that is not covered by paragraph (a) of this section shall be 
performed, using good engineering judgment, in such a manner that the 
engine continues (after the maintenance, repair, adjustment or 
alteration) to meet the emission standards it was certified as meeting 
prior to the need for service. Adjustments are limited to the range 
specified by the engine manufacturer in the approved application for 
certification.
    (c) An engine may not be adjusted or altered contrary to the 
requirements of Sec. 94.11 or Sec. 94.1004(b), except as allowed by 
Sec. 94.1103(b)(2). If such an adjustment or alteration occurs, the 
engine must be returned to a configuration allowed by this part within 
two hours of operation. Each two-hour period during which there is 
noncompliance is a separate violation. The following provisions apply to 
adjustments or alterations made under Sec. 94.1103(b)(2):
    (1) In the case of an engine that is adjusted or altered under 
Sec. 94.1103(b)(2)(i), there is no violation under this paragraph (c) 
for engine operation before completion of the repair or replacement 
procedure. The provisions of paragraph (c) introductory text apply to 
all operation following completion of the repair or replacement 
procedure.
    (2) In the case of an engine that is adjusted or altered under 
Sec. 94.1103(b)(2)(ii), there is no violation under this paragraph (c) 
if the engine operates for less than two hours following the conclusion 
of the emergency that prompted the adjustment or alteration before the 
emission-control system is restored to proper functioning. The 
provisions of paragraph (c) introductory text apply to all operation 
that occurs after this two-hour period.
    (d) The owner and operator of the engine shall maintain on board the 
vessel records of all maintenance, repair, and adjustment that could 
reasonably affect the emission performance of any Category 3 engine 
subject to the provision of this part. Owners and operators shall also 
maintain, on board the vessel, records regarding certification, 
parameter adjustment, and fuels used. For engines that are automatically 
adjusted electronically, all adjustments must be logged automatically. 
Owners and operators shall make these records available to EPA upon 
request. These records must include the following:
    (1) [Reserved]
    (2) The Technical File, Record Book of Engine Parameters, and bunker 
delivery notes that are required by the Annex VI Technical Code 
(incorporated by reference in Sec. 94.5).

[[Page 656]]

    (3) Specific descriptions of engine maintenance, repair, adjustment, 
and alteration (including rebuilding). The descriptions must include at 
least the date, time, and nature of the maintenance, repair, adjustment, 
or alteration and the position of the vessel when the maintenance, 
repair, adjustment, or alteration was made.
    (4) Emission-related maintenance instructions provided by the 
manufacturer.
    (e) For each marine vessel containing a Category 3 engine, the owner 
shall annually review the vessel's records and submit to EPA a signed 
statement certifying compliance during the preceding year with the 
requirements of this part that are applicable to owners and operators of 
such vessels. Alternately, if review of the vessel's records indicates 
that there has been one or more violations of the requirements of this 
part, the owner shall submit to EPA a signed statement specifying the 
noncompliance, including the nature of the noncompliance, the time of 
the noncompliance, and any efforts made to remedy the noncompliance. The 
statement of compliance (or noncompliance) required by this paragraph 
shall be signed by the executive with responsibility for marine 
activities of the owner. If the vessel is operated by a different 
business entity than the vessel owner, the reporting requirements of 
this paragraph (e) apply to both the owner and the operator. Compliance 
with these review and certification requirements by either the vessel 
owner or the vessel operator with respect to a compliance statement will 
be considered compliance with these requirements by both of these 
parties for that compliance statement. The executive(s) may authorize a 
captain or other primary operator to conduct this review and submit the 
certification, provided that the certification statement is accompanied 
by written authorization for that individual to submit such statements. 
The Administrator may waive the requirements of this paragraph when 
equivalent assurance of compliance is otherwise available.



      Subpart L--General Enforcement Provisions and Prohibited Acts



Sec. 94.1101  Applicability.

    The requirements of this subpart are applicable to all persons with 
respect to engines subject to the provisions of Subpart A of this part.



Sec. 94.1102  Definitions.

    The definitions of subpart A of this part apply to this subpart.



Sec. 94.1103  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1)(i)(A) In the case of a manufacturer of new engines, the sale, 
the offering for sale, the introduction into commerce, the delivery for 
introduction into commerce, or the distribution in commerce of any new 
engine that is subject to the standards of this part, unless such engine 
is covered by a certificate of conformity issued (and in effect) under 
regulations found in this part.
    (B) The manufacture of a engine for the purpose of an act listed in 
paragraph (a)(1)(i)(A) of this section unless such engine is covered by 
a certificate of conformity issued (and in effect) under regulations 
found in this part prior to its introduction into commerce.
    (ii) In the case of any person, except as provided in Subpart I of 
this part, the importation into the United States of any engine 
manufactured on or after the implementation date of the applicable 
emission limits for the relevant engine, unless such engine is covered 
by a certificate of conformity issued (and in effect) under regulations 
found in this part.
    (2)(i) For a person to fail or refuse to permit access to or copying 
of records or to fail to make reports or provide information required 
under this part.
    (ii) For a person to fail or refuse to permit entry, testing, or 
inspection authorized under this part.
    (iii) For a person to fail or refuse to perform tests, or to have 
tests performed as required by this part.
    (iv) For a person to fail to establish or maintain records as 
required under this part.

[[Page 657]]

    (v) For an owner or operator of a vessel using a Category 3 engine 
to refuse to allow the in-use testing described in Sec. 94.1003 to be 
performed.
    (vi) For a manufacturer, owner or operator of a Category 3 engine to 
fail to provide maintenance instructions as required by Sec. 94.211.
    (3)(i) For a person to remove or render inoperative a device or 
element of design installed on or in a engine in compliance with 
regulations under this part, or to set any adjustable parameter to a 
setting outside of the range specified by the manufacturer, as approved 
in the application for certification by the Administrator (except as 
allowed by Secs. 94.1003 and 94.1004).
    (ii) For a person to manufacture, sell or offer to sell, or install, 
a part or component intended for use with, or as part of, a engine, 
where a principal effect of the part or component is to bypass, defeat, 
or render inoperative a device or element of design installed on or in a 
engine in compliance with regulations issued under this part, and where 
the person knows or should know that the part or component is being 
offered for sale or installed for this use or put to such use.
    (iii) for a person to deviate from the provisions of Sec. 94.11 when 
rebuilding an engine (or rebuilding a portion of an engine or engine 
system).
    (4) For a manufacturer of a new engine subject to standards 
prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver for 
introduction into commerce, a new engine unless the manufacturer has 
complied with the requirements of Sec. 94.1107.
    (ii) To sell, offer for sale, or introduce or deliver for 
introduction into commerce, a new engine unless all required labels and 
tags are affixed to the engine in accordance with Sec. 94.212.
    (iii) To fail or refuse to comply with the requirements of 
Sec. 94.1108.
    (iv) Except as provided in Sec. 94.211, to provide directly or 
indirectly in any communication to the ultimate purchaser or a 
subsequent purchaser that the coverage of a warranty under the Act is 
conditioned upon use of a part, component, or system manufactured by the 
manufacturer or a person acting for the manufacturer or under its 
control, or conditioned upon service performed by such persons.
    (v) To fail or refuse to comply with the terms and conditions of the 
warranty under Sec. 94.1107.
    (5) For a manufacturer of marine vessels to distribute in commerce, 
sell, offer for sale, or deliver for introduction into commerce a new 
vessel containing an engine not covered by a certificate of conformity 
applicable for an engine model year the same as or later than the 
calendar year in which the manufacture of the new vessel is initiated. 
This prohibition covers improper installation in a manner such that the 
installed engine would not be covered by the engine manufacturer's 
certificate. Improper installation would include, but is not limited to, 
failure to follow the engine manufacturer's instructions related to 
engine cooling, exhaust aftertreatment, emission sampling ports, or any 
other emission-related component, parameter, or setting. In general, you 
may use up your normal inventory of engines not certified to new 
emission standards if they were built before the date of the new 
standards. However, we consider stockpiling of these engines to be a 
violation of paragraph (a)(1)(i)(A) of this section. (Note: For the 
purpose of this paragraph (a)(5), the manufacture of a vessel is 
initiated when the keel is laid, or the vessel is at a similar stage of 
construction.)
    (6) For any person to install a recreational marine engine in a 
vessel that is manufactured on or after the implementation date of the 
applicable standards and that is not a recreational vessel.
    (7)(i) For an owner or operator of a vessel using a Category 3 
engine to fail or refuse to ensure that an engine is properly adjusted 
as set forth in Sec. 94.1004.
    (ii) For an owner or operator of a vessel using a Category 3 to fail 
to maintain or repair an engine as set forth in Sec. 94.1004.
    (iii) For an owner or operator of a vessel using a Category 3 engine 
to operate an engine in violation of the requirements of 
Sec. 94.1004(c).
    (iv) For an owner or operator of a vessel using a Category 3 engine 
to fail

[[Page 658]]

to comply with any applicable provision in this part for recordkeeping, 
reporting, or submission of information to EPA, including the annual 
certification requirements of Sec. 94.1004.
    (b) For the purposes of enforcement of this part, the following 
apply:
    (1) Nothing in paragraph (a)(3) of this section is to be construed 
to require the use of any manufacturer's parts in maintaining or 
repairing a engine.
    (2)(i) Actions for the purpose of repair or replacement of a device 
or element of design or any other item are not considered prohibited 
acts under paragraph (a)(3)(i) of this section if the action is a 
necessary and temporary procedure, the device or element is replaced 
upon completion of the procedure, and the action results in the proper 
functioning of the device or element of design.
    (ii) Actions for emergency purposes are not considered prohibited 
acts under paragraph (a)(3)(i) of this section if the action is a 
necessary and temporary procedure and the device or element is replaced 
such that the proper functioning of the device or element of design is 
restored as soon as possible.
    (3) Where the Administrator determines that no engine that is 
certified to the requirements of this part is produced by any 
manufacturer with the appropriate physical or performance 
characteristics to repower a vessel, the Administrator may allow an 
engine manufacturer to introduce into commerce a replacement engine 
without complying with all of the otherwise applicable requirements of 
this part. Such engine shall not be subject to the prohibitions of 
paragraph (a)(1) of this section, provided that:
    (i) The engine requiring replacement is not certified or is 
certified to emission standards that are less stringent than those in 
effect when the replacement engine is built; and
    (ii) The engine manufacturer or its agent takes ownership and 
possession of the engine being replaced in partial exchange for the 
replacement engine; and
    (iii) The replacement engine is clearly labeled with the following 
language, or similar alternate language approved by the Administrator: 
``THIS ENGINE DOES NOT COMPLY WITH FEDERAL MARINE ENGINE EMISSION 
REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR ANY PURPOSE OTHER 
THAN AS A REPLACEMENT ENGINE FOR AN ENGINE MANUFACTURED PRIOR TO JANUARY 
1 [INSERT APPROPRIATE YEAR] IS A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY''; and
    (iv) In cases where an engine is to be imported for replacement 
purposes under the provisions of this paragraph (b)(3) of this section, 
the term ``engine manufacturer'' shall not apply to an individual or 
other entity that does not possess a current Certificate of Conformity 
issued by EPA under this part; and
    (v) Where the replacement engine is intended to replace an engine 
that is certified to emission standards that are less stringent than 
those in effect when the replacement engine is built, the replacement 
engine shall be identical in all material respects to a certified 
configuration of the same or later model year as the engine being 
replaced; and
    (vi) Engines sold pursuant to the provisions of this paragraph will 
neither generate nor use emission credits and will not be part of any 
accounting under the averaging, banking and trading program.

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68347, Nov. 8, 2002; 68 
FR 9788, Feb. 28, 2003]



Sec. 94.1104  General enforcement provisions.

    (a) Information collection provisions. (1)(i) Every manufacturer of 
new engines and other persons subject to the requirements of this part 
must establish and maintain records, perform tests, make reports and 
provide information the Administrator may reasonably require to 
determine whether the manufacturer or other person has acted or is 
acting in compliance with this part or to otherwise carry out the 
provisions of this part, and must, upon request of an officer or 
employee duly designated by the Administrator, permit the officer or 
employee at reasonable times to have access to and copy such records. 
The manufacturer shall comply in all respects with the requirements of 
subpart E of this part.

[[Page 659]]

    (ii) Every manufacturer or owner of engines exempted from the 
standards or requirements of this part must establish and maintain 
records, perform tests, make reports and provide information the 
Administrator may reasonably require regarding the emissions of such 
engines.
    (2) For purposes of enforcement of this part, an officer or employee 
duly designated by the Administrator, upon presenting appropriate 
credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of the 
manufacturer, or of any person whom the manufacturer engaged to perform 
any activity required under paragraph (a)(1) of this section, for the 
purposes of inspecting or observing any activity conducted pursuant to 
paragraph (a)(1) of this section; and
    (ii) To inspect records, files, papers, processes, controls, and 
facilities used in performing an activity required by paragraph (a)(1) 
of this section, by the manufacturer or by a person whom the 
manufacturer engaged to perform the activity.
    (b) Exemption provision. The Administrator may exempt a new engine 
from Sec. 94.1103 upon such terms and conditions as the Administrator 
may find necessary for the purpose of export, research, investigations, 
studies, demonstrations, or training, or for reasons of national 
security, or for other purposes allowed by subpart J of this part.
    (c) Importation provision. (1) A new engine, offered for importation 
or imported by a person in violation of Sec. 94.1103 is to be refused 
admission into the United States, but the Secretary of the Treasury and 
the Administrator may, by joint regulation, provide for deferring a 
final determination as to admission and authorizing the delivery of such 
a engine offered for import to the owner or consignee thereof upon such 
terms and conditions (including the furnishing of a bond) as may appear 
to them appropriate to insure that the engine will be brought into 
conformity with the standards, requirements, and limitations applicable 
to it under this part.
    (2) If a engine is finally refused admission under this paragraph 
(c), the Secretary of the Treasury shall cause disposition thereof in 
accordance with the customs laws unless it is exported, under 
regulations prescribed by the Secretary, within 90 days of the date of 
notice of the refusal or additional time as may be permitted pursuant to 
the Treasury regulations.
    (3) Disposition in accordance with the customs laws may not be made 
in such manner as may result, directly or indirectly, in the sale, to 
the ultimate consumer, of a new engine that fails to comply with 
applicable standards of the Administrator under this part.
    (d) Export provision. A new engine intended solely for export, and 
so labeled or tagged on the outside of the container if used and on the 
engine, shall be subject to the provisions of Sec. 94.1103, except that 
if the country that is to receive the engine has emission standards that 
differ from the standards prescribed under subpart A of this part, then 
the engine must comply with the standards of the country that is to 
receive the engine.
    (e) Recordkeeping. Except where specified otherwise, records 
required by this part must be kept for eight (8) years.



Sec. 94.1105  Injunction proceedings for prohibited acts.

    (a) The district courts of the United States have jurisdiction to 
restrain violations of Sec. 94.1103(a).
    (b) Actions to restrain violations of Sec. 94.1103(a) must be 
brought by and in the name of the United States. In an action, subpoenas 
for witnesses who are required to attend a district court in any 
district may run into any other district.



Sec. 94.1106  Penalties.

    This section specifies actions that are prohibited and the maximum 
civil penalties that we can assess for each violation. The maximum 
penalty values listed in paragraphs (a) and (c) of this section are 
shown for calendar year 2002. As described in paragraph (d) of this 
section, maximum penalty limits for later years are set forth in 40 CFR 
part 19.
    (a) Violations. A violation of the requirements of this subpart is a 
violation of the applicable provisions of the Act, including sections 
213(d) and 203,

[[Page 660]]

and is subject to the penalty provisions thereunder.
    (1) A person who violates Sec. 94.1103(a)(1), (a)(4), (a)(5), 
(a)(6), or (a)(7)(iv) or a manufacturer or dealer who violates 
Sec. 94.1103(a)(3) (i) or (iii) or Sec. 94.1103(a)(7) is subject to a 
civil penalty of not more than $31,500 for each violation.
    (2) A person other than a manufacturer or dealer who violates 
Sec. 94.1103(a)(3) (i) or (iii) or Sec. 94.1103(a)(7) (i), (ii), or 
(iii) or any person who violates Sec. 94.1103(a)(3)(ii) is subject to a 
civil penalty of not more than $3,150 for each violation.
    (3) A violation with respect to Sec. 94.1103(a)(1), (a)(3)(i), 
(a)(3)(iii), (a)(4), or (a)(5), (a)(7) constitutes a separate offense 
with respect to each engine.
    (4) A violation with respect to Sec. 94.1103(a)(3)(ii) constitutes a 
separate offense with respect to each part or component. Each day of a 
violation with respect to Sec. 94.1103(a)(5) or (a)(7)(iv) constitutes a 
separate offense.
    (5) Each two hour period of a violation with respect to 
Sec. 94.1103(a)(7)(iii) constitutes a separate offense. A violation of 
Sec. 94.1103(a)(7)(iii) lasting less than two hours constitutes a single 
offense.
    (b) Civil actions. The Administrator may commence a civil action to 
assess and recover any civil penalty under paragraph (a) of this 
section.
    (1) An action under this paragraph (b) may be brought in the 
district court of the United States for the district in which the 
defendant resides or has the Administrator's principal place of 
business, and the court has jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessed 
under this paragraph (b), the court is to take into account the gravity 
of the violation, the economic benefit or savings (if any) resulting 
from the violation, the size of the violator's business, the violator's 
history of compliance with Title II of the Act, action taken to remedy 
the violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are required to 
attend a district court in any district may run into any other district.
    (c) Administrative assessment of certain penalties. (1) 
Administrative penalty authority. Subject to 42 U.S.C. 7524(c), in lieu 
of commencing a civil action under paragraph (b) of this section, the 
Administrator may assess any civil penalty prescribed in paragraph (a) 
of this section, except that the maximum amount of penalty sought 
against each violator in a penalty assessment proceeding shall not 
exceed $250,000, unless the Administrator and the Attorney General 
jointly determine that a matter involving a larger penalty amount is 
appropriate for administrative penalty assessment. Any such 
determination by the Administrator and the Attorney General is not 
subject to judicial review. Assessment of a civil penalty shall be by an 
order made on the record after opportunity for a hearing held in 
accordance with the procedures found at part 22 of this chapter. The 
Administrator may compromise, or remit, with or without conditions, any 
administrative penalty which may be imposed under this section.
    (2) Determining amount. In determining the amount of any civil 
penalty assessed under this paragraph (c), the Administrator shall take 
into account the gravity of the violation, the economic benefit or 
savings (if any) resulting from the violation, the size of the 
violator's business, the violator's history of compliance with Title II 
of the Act, action taken to remedy the violation, the effect of the 
penalty on the violator's ability to continue in business, and such 
other matters as justice may require.
    (3) Effect of administrator's action. (i) Action by the 
Administrator under this paragraph (c) does not affect or limit the 
Administrator's authority to enforce any provisions of the Act; except 
that any violation with respect to which the Administrator has commenced 
and is diligently prosecuting an action under this paragraph (c), or for 
which the Administrator has issued a final order not subject to further 
judicial review and for which the violator has paid a penalty assessment 
under this paragraph shall not be the subject of a civil penalty action 
under paragraph (b) of this section.

[[Page 661]]

    (ii) No action by the Administrator under this paragraph (c) shall 
affect a person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this paragraph (c) is 
to become final 30 days after its issuance unless a petition for 
judicial review is filed under paragraph (c)(5) of this section.
    (5) Judicial review. A person against whom a civil penalty is 
assessed in accordance with this paragraph (c) may seek review of the 
assessment in the United States District Court for the District of 
Columbia or for the district in which the violation is alleged to have 
occurred, in which such person resides, or where the person's principal 
place of business is located, within the 30-day period beginning on the 
date a civil penalty order is issued. The person shall simultaneously 
send a copy of the filing by certified mail to the Administrator and the 
Attorney General. The Administrator shall file in the court within 30 
days a certified copy, or certified index, as appropriate, of the record 
on which the order was issued. The court is not to set aside or remand 
any order issued in accordance with the requirements of this paragraph 
(c) unless substantial evidence does not exist in the record, taken as a 
whole, to support the finding of a violation or unless the 
Administrator's assessment of the penalty constitutes an abuse of 
discretion, and the court is not to impose additional civil penalties 
unless the Administrator's assessment of the penalty constitutes an 
abuse of discretion. In any proceedings, the United States may seek to 
recover civil penalties assessed under this section.
    (6) Collection. (i) If any person fails to pay an assessment of a 
civil penalty imposed by the Administrator as provided in this part 
after the order making the assessment has become final or after a court 
in an action brought under paragraph (c)(5) of this section has entered 
a final judgment in favor of the Administrator, the Administrator shall 
request that the Attorney General bring a civil action in an appropriate 
district court to recover the amount assessed (plus interest at rates 
established pursuant to section 6621(a)(2) of the Internal Revenue Code 
of 1986 (26 U.S.C. 6621(a)(2)) from the date of the final order or the 
date of final judgment, as the case may be). In such an action, the 
validity, amount, and appropriateness of the penalty is not subject to 
review.
    (ii) A person who fails to pay on a timely basis the amount of an 
assessment of a civil penalty as described in paragraph (c)(6)(i) of 
this section shall be required to pay, in addition to that amount and 
interest, the United States' enforcement expenses, including attorney's 
fees and costs for collection proceedings, and a quarterly nonpayment 
penalty for each quarter during which the failure to pay persists. The 
nonpayment penalty is an amount equal to ten percent of the aggregate 
amount of that person's penalties and nonpayment penalties which are 
unpaid as of the beginning of such quarter.
    (d) The maximum penalty values listed in paragraphs (a) and (c) of 
this section are shown for calendar year 2002. Maximum penalty limits 
for later years may be adjusted based on the Consumer Price Index. The 
specific regulatory provisions for changing the maximum penalties, 
published in 40 CFR part 19, reference the applicable U.S. Code citation 
on which the prohibited action is based.

[64 FR 73331, Dec. 29, 1999, as amended at 68 FR 9789, Feb. 28, 2003]



Sec. 94.1107  Warranty provisions.

    (a) The manufacturer of each engine must warrant to the ultimate 
purchaser and each subsequent purchaser or owner that the engine is 
designed, built, and equipped so as to conform at the time of sale with 
applicable regulations under section 213 of the Act, and is free from 
defects in materials and workmanship which cause such engine to fail to 
conform with applicable regulations for its warranty period (as 
determined under Sec. 94.10).
    (b) For the purposes of this section, the owner of any engine 
warranted under this part is responsible for the proper maintenance of 
the engine. Proper maintenance includes replacement and/or service, as 
needed, at the owner's expense at a service establishment or facility of 
the owner's choosing, of all parts, items, or devices which were in 
general use with engines

[[Page 662]]

prior to 1999. For diesel engines, this would generally include 
replacement or cleaning of the fuel delivery and injection system.



Sec. 94.1108  In-use compliance provisions.

    (a) Effective with respect to engines subject to the requirements of 
this part:
    (1) If the Administrator determines that a substantial number of any 
class or category of engines, although properly maintained and used, do 
not conform to the regulations prescribed under section 213 of the Act 
when in actual use throughout their useful life period (as defined under 
Sec. 94.2), the Administrator shall immediately notify the manufacturer 
of such nonconformity and require the manufacturer to submit a plan for 
remedying the nonconformity of the engines with respect to which such 
notification is given.
    (i) The manufacturer's plan shall provide that the nonconformity of 
any such engines which are properly used and maintained will be remedied 
at the expense of the manufacturer.
    (ii) If the manufacturer disagrees with such determination of 
nonconformity and so advises the Administrator, the Administrator shall 
afford the manufacturer and other interested persons an opportunity to 
present their views and evidence in support thereof at a public hearing. 
Unless, as a result of such hearing, the Administrator withdraws such 
determination of nonconformity, the Administrator shall, within 60 days 
after the completion of such hearing, order the manufacturer to provide 
prompt notification of such nonconformity in accordance with paragraph 
(a)(2) of this section.
    (2) Any notification required to be given by the manufacturer under 
paragraph (a)(1) of this section with respect to any class or category 
of engines shall be given to ultimate purchasers, subsequent purchasers 
(if known), and dealers (as applicable) in such manner and containing 
such information as required in Subparts E and H of this part.
    (3)(i) The certifying manufacturer shall furnish with each new 
engine written instructions for the proper maintenance and use of the 
engine by the ultimate purchaser as required under Sec. 94.211.
    (ii) The instruction under paragraph (a)(3)(i) of this section must 
not include any condition on the ultimate purchaser's using, in 
connection with such engine, any component or service (other than a 
component or service provided without charge under the terms of the 
purchase agreement) which is identified by brand, trade, or corporate 
name. Such instructions also must not directly or indirectly distinguish 
between service performed by the franchised dealers of such 
manufacturer, or any other service establishments with which such 
manufacturer has a commercial relationship, and service performed by 
independent engine repair facilities with which such manufacturer has no 
commercial relationship.
    (iii) The prohibition of paragraph (a)(3)(ii) of this section may be 
waived by the Administrator if:
    (A) The manufacturer satisfies the Administrator that the engine 
will function properly only if the component or service so identified is 
used in connection with such engine; and
    (B) The Administrator finds that such a waiver is in the public 
interest.
    (iv) In addition, the manufacturer shall indicate by means of a 
label or tag permanently affixed to the engine that the engine is 
covered by a certificate of conformity issued for the purpose of 
assuring achievement of emission standards prescribed under section 213 
of the Act. This label or tag shall also contain information relating to 
control of emissions as prescribed under Sec. 94.212.
    (b) The manufacturer bears all cost obligation any dealer incurs as 
a result of a requirement imposed by paragraph (a) of this section. The 
transfer of any such cost obligation from a manufacturer to a dealer 
through franchise or other agreement is prohibited.
    (c) If a manufacturer includes in an advertisement a statement 
respecting the cost or value of emission control devices or systems, the 
manufacturer shall set forth in the statement the cost or value 
attributed to these devices or systems by the Secretary of Labor 
(through the Bureau of Labor Statistics). The Secretary of Labor,

[[Page 663]]

and his or her representatives, has the same access for this purpose to 
the books, documents, papers, and records of a manufacturer as the 
Comptroller General has to those of a recipient of assistance for 
purposes of section 311 of the Act.

     Appendix I to Part 94;--Emission-Related Engine Parameters and 
                             Specifications

I. Basic Engine Parameters--Reciprocating Engines.
    1. Compression ratio.
    2. Type of air aspiration (natural, Roots blown, supercharged, 
turbocharged).
    3. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    4. Camshaft timing.
    a. Valve opening--intake exhaust (degrees from TDC or BDC).
    b. Valve closing--intake exhaust (degrees from TDC or BDC).
    c. Valve overlap (degrees).
    5. Ports--two stroke engines (intake and/or exhaust).
    a. Flow area.
    b. Opening timing (degrees from TDC or BDC).
    c. Closing timing (degrees from TDC or BDC).
II. Intake Air System.
    1. Roots blower/supercharger/turbocharger calibration.
    2. Charge air cooling.
    a. Type (air-to-air; air-to-liquid).
    b. Type of liquid cooling (engine coolant, dedicated cooling 
system).
    c. Performance (charge air delivery temperature ( deg.F) at rated 
power and one other power level under ambient conditions of 80 deg.F and 
110 deg.F, and 3 minutes and 15 minutes after selecting rated power, and 
3 minutes and 5 minutes after selecting other power level).
    3. Temperature control system calibration.
    4. Maximum allowable inlet air restriction.
III. Fuel System.
    1. General.
    a. Engine idle speed.
    2. Fuel injection--compression ignition engines.
    a. Control parameters and calibrations.
    b. Transient enrichment system calibration.
    c. Air-fuel flow calibration.
    d. Altitude compensation system calibration.
    e. Operating pressure(s).
    f. Injector timing calibration.
IV. Engine Cooling System.
    1. Thermostat calibration.
V. Exhaust System.
    1. Maximum allowable back pressure.
VI. Exhaust Emission Control System.
    1. Air injection system.
    a. Control parameters and calibrations.
    b. Pump flow rate.
    2. EGR system.
    a. Control parameters and calibrations.
    b. EGR valve flow calibration.
    3. Catalytic converter system.
    a. Active surface area.
    b. Volume of catalyst.
    c. Conversion efficiency.
    4. Backpressure.
VII. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibrations.
VIII. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).



PART 95--MANDATORY PATENT LICENSES--Table of Contents




Sec.
95.1  Definitions.
95.2  Petition for mandatory license.
95.3  Findings prior to application to Attorney General.
95.4  Limitations on mandatory licenses.

    Authority: 42 U.S.C. 7609; Sec. 104, Pub. L. 103-182, 107 Stat. 
2057, 2064.

    Source: 59 FR 67638, Dec. 30, 1994, unless otherwise noted.



Sec. 95.1  Definitions.

    (a) As used in this part, all terms not defined in this section 
shall have the meaning given them by the Act.
    (b) Act means the Clean Air Act, as amended (42 U.S.C. Secs. 7401-
7671).
    (c) Agency means the Environmental Protection Agency.
    (d) Administrator means the Administrator of the Environmental 
Protection Agency.



Sec. 95.2  Petition for mandatory license.

    (a) Any party required to comply with sections 111, 112 or 202 of 
the Act (42 U.S.C. 7411, 7412 or 7521) may petition to the Administrator 
for a mandatory patent license pursuant to section 308 of the Act (42 
U.S.C. 7608), under a patent that the petitioner maintains is necessary 
to enable the petitioner to comply with Sections 111, 112 or 202 of the 
Act.

[[Page 664]]

    (b)(1) Each petition shall be signed by the petitioner and shall 
state the petitioner's name and address. If the petitioner is a 
corporation, the petition shall be signed by an authorized officer of 
the corporation, and the petition shall indicate the state of 
incorporation. Where the petitioner elects to be represented by counsel, 
a signed notice to that effect shall be included with the petition at 
the time of filing.
    (2) Each petition shall include a copy of the patent under which a 
mandatory patent license is sought. The petition shall identify all 
current owners of the patent and shall include a copy of all assignment 
documents relevant to the patent that are available from the United 
States Patent and Trademark Office.
    (3) Each petition must identify any person whose interest the 
petitioner believes may be affected by the grant of the license to which 
the petition is directed.
    (4) Each petition must contain a concise statement of all of the 
essential facts upon which it is based. No particular form of statement 
is required. Each petition shall be verified by the petitioner or by the 
person having the best knowledge of such facts. In the case of facts 
stated on information and belief, the source of such information and 
grounds of belief shall be given. The statement of facts shall include 
the following:
    (i) An identification of the provisions of the Act and/or 
regulations thereunder that the petitioner maintains petitioner will be 
able to comply with if the petitioner is granted the patent license that 
is the subject of the petition;
    (ii) An identification of the nature and purpose of the petitioner's 
intended use of the patent license;
    (iii) An explanation of the relationship between the patented 
technology and the activities to which petitioner proposes to apply the 
patented technology, including an estimate of the effect on such 
activities stemming from the grant or denial of the patent license;
    (iv) A summary of facts demonstrating that the patent under which a 
mandatory patent license is sought is being used or is intended for 
public or commercial use;
    (v) An explanation of why a mandatory patent license is necessary 
for the petitioner to comply with the requirements of sections 111, 112 
or 202 of the Act, and why the patented technology is not otherwise 
available;
    (vi) An explanation of why there are no other reasonable 
alternatives for accomplishing compliance with sections 111, 112 or 202 
of the Act;
    (vii) An explanation of why the unavailability of a mandatory patent 
license may result in a substantial lessening of competition or a 
tendency to create a monopoly in any line of commerce in any section of 
the United States;
    (viii) A summary of efforts made by the petitioner to obtain a 
patent license from the owner of the patent, including the terms and 
conditions of any patent license proposed by petitioner to the patent 
owner; and
    (ix) The terms, if any, on which the owner of the patent has 
proposed to grant the petitioner a patent license.
    (5) Each petition shall include a proposed patent license that 
states all of the terms and conditions that the petitioner proposes for 
the patent license.
    (6) Petitions shall be addressed to the Assistant Administrator for 
Air and Radiation, Mail Code 6101, U.S. Environmental Protection Agency, 
Washington, DC 20460.
    (c) Petitions that do not include all of the information required in 
paragraph (b) of this section shall be returned to the petitioner. The 
petitioner may supplement the petition and resubmit the petition.
    (d) If the Administrator, or the Administrator's designee, finds 
that the criteria in Sec. 95.3 are not met, or otherwise decides to deny 
the petition, a denial of the petition shall be sent to the petitioner, 
along with an explanation of the reasons for the denial.
    (e) If the Administrator, or the Administrator's designee, finds 
that the criteria in Sec. 95.3 are met and decides to apply to the 
Attorney General for a patent license under section 308 of the Act, 
notice of such application shall be given to the petitioner, along with 
a copy of the application sent to the Attorney General.

[[Page 665]]



Sec. 95.3  Findings prior to application to Attorney General.

    The Administrator, or the Administrator's designee, may apply to the 
Attorney General for a mandatory patent license pursuant to section 308 
of the Act (42 U.S.C. 7608) either in response to a petition under 
Sec. 95.2 or on the Administrator's or designee's own initiative, only 
after expressly finding that each one of the following mandatory 
criteria is met:
    (a) The application is for a patent license covering no more than 
one patent;
    (b) The party to whom the proposed patent license is to be granted 
has presented the Administrator or designee with evidence that such 
party has made reasonable efforts to obtain a patent license from the 
patent owner with terms similar to the license terms to be proposed in 
the application to the Attorney General;
    (c) The patent under which a patent license is sought in the 
application to the Attorney General is being used or is intended for 
public or commercial use;
    (d) The mandatory patent license is necessary for a party to comply 
with the requirements of sections 111, 112 or 202 of the Act (42 U.S.C. 
7411, 7412 or 7521);
    (e) The patented technology is not otherwise reasonably available, 
and there are no other reasonable alternatives for accomplishing 
compliance with sections 111, 112 or 202 of the Act (42 U.S.C. 7411, 
7412 or 7521); and
    (f) The unavailability of a mandatory patent license may result in a 
substantial lessening of competition or a tendency to create a monopoly 
in any line of commerce in any section of the United States.



Sec. 95.4  Limitations on mandatory licenses

    (a) If the Administrator, or the Administrator's designee, decides 
to apply to the Attorney General for a mandatory patent license in 
accordance with Sec. 95.3, the application shall include a proposed 
patent license with the following limitations:
    (1) The scope and duration of the patent license shall be limited to 
that necessary to permit the proposed licensee to comply with the 
requirements the Act;
    (2) The patent license shall be nonexclusive;
    (3) The patent license shall be non-assignable, except with that 
part of the enterprise or goodwill that enjoys the license;
    (4) The patent license shall be for use of the licensed technology 
in the United States only;
    (5) The patent license shall extend only to those uses necessary to 
enable the licensee to comply with sections 111, 112 or 202 of the Act 
(42 U.S.C. 7411, 7412 or 7521);
    (6) The patent license shall provide for termination, subject to 
adequate protections of the legitimate interests of the licensed party, 
when the circumstances that made the compulsory patent license necessary 
cease to exist and are unlikely to recur; and
    (7) The patent license shall provide for adequate remuneration that 
takes into account the economic value of the license.
    (b) The Administrator, or the Administrator's designee, may decide 
as appropriate to include additional conditions, terms or limitations on 
the scope of the patent license for which application is made to the 
Attorney General.



PART 96--NOX Budget Trading Program for State Implementation 
Plans--Table of Contents




   Subpart A--NOX Budget Trading Program General Provisions

Sec.
96.1  Purpose.
96.2  Definitions.
96.3  Measurements, abbreviations, and acronyms.
96.4  Applicability.
96.5  Retired unit exemption.
96.6  Standard requirements.
96.7  Computation of time.

 Subpart B--Authorized Account Representative for NOX Budget 
                                 Sources

96.10  Authorization and responsibilities of the NOX 
          authorized account representative.
96.11  Alternate NOX authorized account representative.

[[Page 666]]

96.12  Changing the NOX authorized account representative and 
          the alternate NOX authorized account 
          representative; changes in the owners and operators.
96.13  Account certificate of representation.
96.14  Objections concerning the NOX authorized account 
          representative.

                           Subpart C--Permits

96.20  General NOX Budget trading program permit 
          requirements.
96.21  Submission of NOX Budget permit applications.
96.22  Information requirements for NOX Budget permit 
          applications.
96.23  NOX Budget permit contents.
96.24  Effective date of initial NOX Budget permit.
96.25  NOX Budget permit revisions.

                   Subpart D--Compliance Certification

96.30  Compliance certification report.
96.31  Permitting authority's and Administrator's action on compliance 
          certifications.

             Subpart E--NOX Allowance Allocations

96.40  State trading program budget.
96.41  Timing requirements for NOX allowance allocations.
96.42  NOX allowance allocations.

           Subpart F--NOX Allowance Tracking System

96.50  NOX Allowance Tracking System accounts.
96.51  Establishment of accounts.
96.52  NOX Allowance Tracking System responsibilities of 
          NOX authorized account representative.
96.53  Recordation of NOX allowance allocations.
96.54  Compliance.
96.55  Banking.
96.56  Account error.
96.57  Closing of general accounts.

              Subpart G--NOX Allowance Transfers

96.60  Submission of NOX allowance transfers.
96.61  EPA recordation.
96.62  Notification.

                   Subpart H--Monitoring and Reporting

96.70  General requirements.
96.71  Initial certification and recertification procedures.
96.72  Out of control periods.
96.73  Notifications.
96.74  Recordkeeping and reporting.
96.75  Petitions.
96.76  Additional requirements to provide heat input data for 
          allocations purposes.

                   Subpart I--Individual Unit Opt-ins

96.80  Applicability.
96.81  General.
96.82  NOX authorized account representative.
96.83  Applying for NOX Budget opt-in permit.
96.84  Opt-in process.
96.85  NOX Budget opt-in permit contents.
96.86  Withdrawal from NOX Budget Trading Program.
96.87  Change in regulatory status.
96.88  NOX allowance allocations to opt-in units.

Subpart J--Mobile and Area Sources [Reserved]

    Authority: 42 U.S.C. 7401, 7403, 7410, and 7601.

    Source: 63 FR 57514, Oct. 27, 1998, unless otherwise noted.



   Subpart A--NOX Budget Trading Program General Provisions



Sec. 96.1  Purpose.

    This part establishes general provisions and the applicability, 
permitting, allowance, excess emissions, monitoring, and opt-in 
provisions for the NOX Budget Trading Program for State 
implementation plans as a means of mitigating the interstate transport 
of ozone and nitrogen oxides, an ozone precursor. The owner or operator 
of a unit, or any other person, shall comply with requirements of this 
part as a matter of federal law only to the extent a State that has 
jurisdiction over the unit incorporates by reference provisions of this 
part, or otherwise adopts such requirements of this part, and requires 
compliance, the State submits to the Administrator a State 
implementation plan including such adoption and such compliance 
requirement, and the Administrator approves the portion of the State 
implementation plan including such adoption and such compliance 
requirement. To the extent a State adopts requirements of this part, 
including at a minimum the requirements of subpart A (except for 
Sec. 96.4(b)), subparts B through D, subpart F (except for 
Sec. 96.55(c)), and subparts G and H of this part, the State authorizes

[[Page 667]]

the Administrator to assist the State in implementing the NOX 
Budget Trading Program by carrying out the functions set forth for the 
Administrator in such requirements.



Sec. 96.2  Definitions.

    The terms used in this part shall have the meanings set forth in 
this section as follows:
    Account certificate of representation means the completed and signed 
submission required by subpart B of this part for certifying the 
designation of a NOX authorized account representative for a 
NOX Budget source or a group of identified NOX 
Budget sources who is authorized to represent the owners and operators 
of such source or sources and of the NOX Budget units at such 
source or sources with regard to matters under the NOX Budget 
Trading Program.
    Account number means the identification number given by the 
Administrator to each NOX Allowance Tracking System account.
    Acid Rain emissions limitation means, as defined in Sec. 72.2 of 
this chapter, a limitation on emissions of sulfur dioxide or nitrogen 
oxides under the Acid Rain Program under title IV of the CAA.
    Administrator means the Administrator of the United States 
Environmental Protection Agency or the Administrator's duly authorized 
representative.
    Allocate or allocation means the determination by the permitting 
authority or the Administrator of the number of NOX 
allowances to be initially credited to a NOX Budget unit or 
an allocation set-aside.
    Automated data acquisition and handling system or DAHS means that 
component of the CEMS, or other emissions monitoring system approved for 
use under subpart H of this part, designed to interpret and convert 
individual output signals from pollutant concentration monitors, flow 
monitors, diluent gas monitors, and other component parts of the 
monitoring system to produce a continuous record of the measured 
parameters in the measurement units required by subpart H of this part.
    Boiler means an enclosed fossil or other fuel-fired combustion 
device used to produce heat and to transfer heat to recirculating water, 
steam, or other medium.
    CAA means the CAA, 42 U.S.C. 7401, et seq., as amended by Pub. L. 
No. 101-549 (November 15, 1990).
    Combined cycle system means a system comprised of one or more 
combustion turbines, heat recovery steam generators, and steam turbines 
configured to improve overall efficiency of electricity generation or 
steam production.
    Combustion turbine means an enclosed fossil or other fuel-fired 
device that is comprised of a compressor, a combustor, and a turbine, 
and in which the flue gas resulting from the combustion of fuel in the 
combustor passes through the turbine, rotating the turbine.
    Commence commercial operation means, with regard to a unit that 
serves a generator, to have begun to produce steam, gas, or other heated 
medium used to generate electricity for sale or use, including test 
generation. Except as provided in Sec. 96.5, for a unit that is a 
NOX Budget unit under Sec. 96.4 on the date the unit 
commences commercial operation, such date shall remain the unit's date 
of commencement of commercial operation even if the unit is subsequently 
modified, reconstructed, or repowered. Except as provided in Sec. 96.5 
or subpart I of this part, for a unit that is not a NOX 
Budget unit under Sec. 96.4 on the date the unit commences commercial 
operation, the date the unit becomes a NOX Budget unit under 
Sec. 96.4 shall be the unit's date of commencement of commercial 
operation.
    Commence operation means to have begun any mechanical, chemical, or 
electronic process, including, with regard to a unit, start-up of a 
unit's combustion chamber. Except as provided in Sec. 96.5, for a unit 
that is a NOX Budget unit under Sec. 96.4 on the date of 
commencement of operation, such date shall remain the unit's date of 
commencement of operation even if the unit is subsequently modified, 
reconstructed, or repowered. Except as provided in Sec. 96.5 or subpart 
I of this part, for a unit that is not a NOX Budget unit 
under Sec. 96.4 on the date of commencement of operation, the date the 
unit becomes a NOX Budget unit under

[[Page 668]]

Sec. 96.4 shall be the unit's date of commencement of operation.
    Common stack means a single flue through which emissions from two or 
more units are exhausted.
    Compliance account means a NOX Allowance Tracking System 
account, established by the Administrator for a NOX Budget 
unit under subpart F of this part, in which the NOX allowance 
allocations for the unit are initially recorded and in which are held 
NOX allowances available for use by the unit for a control 
period for the purpose of meeting the unit's NOX Budget 
emissions limitation.
    Compliance certification means a submission to the permitting 
authority or the Administrator, as appropriate, that is required under 
subpart D of this part to report a NOX Budget source's or a 
NOX Budget unit's compliance or noncompliance with this part 
and that is signed by the NOX authorized account 
representative in accordance with subpart B of this part.
    Continuous emission monitoring system or CEMS means the equipment 
required under subpart H of this part to sample, analyze, measure, and 
provide, by readings taken at least once every 15 minutes of the 
measured parameters, a permanent record of nitrogen oxides emissions, 
expressed in tons per hour for nitrogen oxides. The following systems 
are component parts included, consistent with part 75 of this chapter, 
in a continuous emission monitoring system:
    (1) Flow monitor;
    (2) Nitrogen oxides pollutant concentration monitors;
    (3) Diluent gas monitor (oxygen or carbon dioxide) when such 
monitoring is required by subpart H of this part;
    (4) A continuous moisture monitor when such monitoring is required 
by subpart H of this part; and
    (5) An automated data acquisition and handling system.
    Control period means the period beginning May 1 of a year and ending 
on September 30 of the same year, inclusive.
    Emissions means air pollutants exhausted from a unit or source into 
the atmosphere, as measured, recorded, and reported to the Administrator 
by the NOX authorized account representative and as 
determined by the Administrator in accordance with subpart H of this 
part.
    Energy Information Administration means the Energy Information 
Administration of the United States Department of Energy.
    Excess emissions means any tonnage of nitrogen oxides emitted by a 
NOX Budget unit during a control period that exceeds the 
NOX Budget emissions limitation for the unit.
    Fossil fuel means natural gas, petroleum, coal, or any form of 
solid, liquid, or gaseous fuel derived from such material.
    Fossil fuel-fired means, with regard to a unit:
    (1) The combustion of fossil fuel, alone or in combination with any 
other fuel, where fossil fuel actually combusted comprises more than 50 
percent of the annual heat input on a Btu basis during any year starting 
in 1995 or, if a unit had no heat input starting in 1995, during the 
last year of operation of the unit prior to 1995; or
    (2) The combustion of fossil fuel, alone or in combination with any 
other fuel, where fossil fuel is projected to comprise more than 50 
percent of the annual heat input on a Btu basis during any year; 
provided that the unit shall be ``fossil fuel-fired'' as of the date, 
during such year, on which the unit begins combusting fossil fuel.
    General account means a NOX Allowance Tracking System 
account, established under subpart F of this part, that is not a 
compliance account or an overdraft account.
    Generator means a device that produces electricity.
    Heat input means the product (in mmBtu/time) of the gross calorific 
value of the fuel (in Btu/lb) and the fuel feed rate into a combustion 
device (in mass of fuel/time), as measured, recorded, and reported to 
the Administrator by the NOX authorized account 
representative and as determined by the Administrator in accordance with 
subpart H of this part, and does not include the heat derived from 
preheated combustion air, recirculated flue gases, or exhaust from other 
sources.
    Life-of-the-unit, firm power contractual arrangement means a unit 
participation power sales agreement under which a

[[Page 669]]

utility or industrial customer reserves, or is entitled to receive, a 
specified amount or percentage of nameplate capacity and associated 
energy from any specified unit and pays its proportional amount of such 
unit's total costs, pursuant to a contract:
    (1) For the life of the unit;
    (2) For a cumulative term of no less than 30 years, including 
contracts that permit an election for early termination; or
    (3) For a period equal to or greater than 25 years or 70 percent of 
the economic useful life of the unit determined as of the time the unit 
is built, with option rights to purchase or release some portion of the 
nameplate capacity and associated energy generated by the unit at the 
end of the period.
    Maximum design heat input means the ability of a unit to combust a 
stated maximum amount of fuel per hour on a steady state basis, as 
determined by the physical design and physical characteristics of the 
unit.
    Maximum potential hourly heat input means an hourly heat input used 
for reporting purposes when a unit lacks certified monitors to report 
heat input. If the unit intends to use appendix D of part 75 of this 
chapter to report heat input, this value should be calculated, in 
accordance with part 75 of this chapter, using the maximum fuel flow 
rate and the maximum gross calorific value. If the unit intends to use a 
flow monitor and a diluent gas monitor, this value should be reported, 
in accordance with part 75 of this chapter, using the maximum potential 
flowrate and either the maximum carbon dioxide concentration (in percent 
CO2) or the minimum oxygen concentration (in percent 
O2).
    Maximum potential NOX emission rate means the emission 
rate of nitrogen oxides (in lb/mmBtu) calculated in accordance with 
section 3 of appendix F of part 75 of this chapter, using the maximum 
potential nitrogen oxides concentration as defined in section 2 of 
appendix A of part 75 of this chapter, and either the maximum oxygen 
concentration (in percent O2) or the minimum carbon dioxide 
concentration (in percent CO2), under all operating 
conditions of the unit except for unit start up, shutdown, and upsets.
    Maximum rated hourly heat input means a unit-specific maximum hourly 
heat input (mmBtu) which is the higher of the manufacturer's maximum 
rated hourly heat input or the highest observed hourly heat input.
    Monitoring system means any monitoring system that meets the 
requirements of subpart H of this part, including a continuous emissions 
monitoring system, an excepted monitoring system, or an alternative 
monitoring system.
    Most stringent State or Federal NOX emissions limitation 
means, with regard to a NOX Budget opt-in source, the lowest 
NOX emissions limitation (in terms of lb/mmBtu) that is 
applicable to the unit under State or Federal law, regardless of the 
averaging period to which the emissions limitation applies.
    Nameplate capacity means the maximum electrical generating output 
(in MWe) that a generator can sustain over a specified period of time 
when not restricted by seasonal or other deratings as measured in 
accordance with the United States Department of Energy standards.
    Non-title V permit means a federally enforceable permit administered 
by the permitting authority pursuant to the CAA and regulatory authority 
under the CAA, other than title V of the CAA and part 70 or 71 of this 
chapter.
    NOX allowance means an authorization by the permitting 
authority or the Administrator under the NOX Budget Trading 
Program to emit up to one ton of nitrogen oxides during the control 
period of the specified year or of any year thereafter.
    NOX allowance deduction or deduct NOX 
allowances means the permanent withdrawal of NOX allowances 
by the Administrator from a NOX Allowance Tracking System 
compliance account or overdraft account to account for the number of 
tons of NOX emissions from a NOX Budget unit for a 
control period, determined in accordance with subpart H of this part, or 
for any other allowance surrender obligation under this part.

[[Page 670]]

    NOX allowances held or hold NOX allowances 
means the NOX allowances recorded by the Administrator, or 
submitted to the Administrator for recordation, in accordance with 
subparts F and G of this part, in a NOX Allowance Tracking 
System account.
    NOX Allowance Tracking System means the system by which 
the Administrator records allocations, deductions, and transfers of 
NOX allowances under the NOX Budget Trading 
Program.
    NOX Allowance Tracking System account means an account in 
the NOX Allowance Tracking System established by the 
Administrator for purposes of recording the allocation, holding, 
transferring, or deducting of NOX allowances.
    NOX allowance transfer deadline means midnight of 
November 30 or, if November 30 is not a business day, midnight of the 
first business day thereafter and is the deadline by which 
NOX allowances may be submitted for recordation in a 
NOX Budget unit's compliance account, or the overdraft 
account of the source where the unit is located, in order to meet the 
unit's NOX Budget emissions limitation for the control period 
immediately preceding such deadline.
    NOX authorized account representative means, for a 
NOX Budget source or NOX Budget unit at the 
source, the natural person who is authorized by the owners and operators 
of the source and all NOX Budget units at the source, in 
accordance with subpart B of this part, to represent and legally bind 
each owner and operator in matters pertaining to the NOX 
Budget Trading Program or, for a general account, the natural person who 
is authorized, in accordance with subpart F of this part, to transfer or 
otherwise dispose of NOX allowances held in the general 
account.
    NOX Budget emissions limitation means, for a 
NOX Budget unit, the tonnage equivalent of the NOX 
allowances available for compliance deduction for the unit and for a 
control period under Sec. 96.54(a) and (b), adjusted by any deductions 
of such NOX allowances to account for actual utilization 
under Sec. 96.42(e) for the control period or to account for excess 
emissions for a prior control period under Sec. 96.54(d) or to account 
for withdrawal from the NOX Budget Program, or for a change 
in regulatory status, for a NOX Budget opt-in source under 
Sec. 96.86 or Sec. 96.87.
    NOX Budget opt-in permit means a NOX Budget 
permit covering a NOX Budget opt-in source.
    NOX Budget opt-in source means a unit that has been 
elected to become a NOX Budget unit under the NOX 
Budget Trading Program and whose NOX Budget opt-in permit has 
been issued and is in effect under subpart I of this part.
    NOX Budget permit means the legally binding and federally 
enforceable written document, or portion of such document, issued by the 
permitting authority under this part, including any permit revisions, 
specifying the NOX Budget Trading Program requirements 
applicable to a NOX Budget source, to each NOX 
Budget unit at the NOX Budget source, and to the owners and 
operators and the NOX authorized account representative of 
the NOX Budget source and each NOX Budget unit.
    NOX Budget source means a source that includes one or 
more NOX Budget units.
    NOX Budget Trading Program means a multi-state nitrogen 
oxides air pollution control and emission reduction program established 
in accordance with this part and pursuant to Sec. 51.121 of this 
chapter, as a means of mitigating the interstate transport of ozone and 
nitrogen oxides, an ozone precursor.
    NOX Budget unit means a unit that is subject to the 
NOX Budget Trading Program emissions limitation under 
Sec. 96.4 or Sec. 96.80.
    Operating means, with regard to a unit under Secs. 96.22(d)(2) and 
96.80, having documented heat input for more than 876 hours in the 6 
months immediately preceding the submission of an application for an 
initial NOX Budget permit under Sec. 96.83(a).
    Operator means any person who operates, controls, or supervises a 
NOX Budget unit, a NOX Budget source, or unit for 
which an application for a NOX Budget opt-in permit under 
Sec. 96.83 is submitted and not denied or withdrawn and shall include, 
but not be limited to, any holding company, utility system, or plant 
manager of such a unit or source.

[[Page 671]]

    Opt-in means to be elected to become a NOX Budget unit 
under the NOX Budget Trading Program through a final, 
effective NOX Budget opt-in permit under subpart I of this 
part.
    Overdraft account means the NOX Allowance Tracking System 
account, established by the Administrator under subpart F of this part, 
for each NOX Budget source where there are two or more 
NOX Budget units.
    Owner means any of the following persons:
    (1) Any holder of any portion of the legal or equitable title in a 
NOX Budget unit or in a unit for which an application for a 
NOX Budget opt-in permit under Sec. 96.83 is submitted and 
not denied or withdrawn; or
    (2) Any holder of a leasehold interest in a NOX Budget 
unit or in a unit for which an application for a NOX Budget 
opt-in permit under Sec. 96.83 is submitted and not denied or withdrawn; 
or
    (3) Any purchaser of power from a NOX Budget unit or from 
a unit for which an application for a NOX Budget opt-in 
permit under Sec. 96.83 is submitted and not denied or withdrawn under a 
life-of-the-unit, firm power contractual arrangement. However, unless 
expressly provided for in a leasehold agreement, owner shall not include 
a passive lessor, or a person who has an equitable interest through such 
lessor, whose rental payments are not based, either directly or 
indirectly, upon the revenues or income from the NOX Budget 
unit or the unit for which an application for a NOX Budget 
opt-in permit under Sec. 96.83 is submitted and not denied or withdrawn; 
or
    (4) With respect to any general account, any person who has an 
ownership interest with respect to the NOX allowances held in 
the general account and who is subject to the binding agreement for the 
NOX authorized account representative to represent that 
person's ownership interest with respect to NOX allowances.
    Permitting authority means the State air pollution control agency, 
local agency, other State agency, or other agency authorized by the 
Administrator to issue or revise permits to meet the requirements of the 
NOX Budget Trading Program in accordance with subpart C of 
this part.
    Receive or receipt of means, when referring to the permitting 
authority or the Administrator, to come into possession of a document, 
information, or correspondence (whether sent in writing or by authorized 
electronic transmission), as indicated in an official correspondence 
log, or by a notation made on the document, information, or 
correspondence, by the permitting authority or the Administrator in the 
regular course of business.
    Recordation, record, or recorded means, with regard to 
NOX allowances, the movement of NOX allowances by 
the Administrator from one NOX Allowance Tracking System 
account to another, for purposes of allocation, transfer, or deduction.
    Reference method means any direct test method of sampling and 
analyzing for an air pollutant as specified in appendix A of part 60 of 
this chapter.
    Serial number means, when referring to NOX allowances, 
the unique identification number assigned to each NOX 
allowance by the Administrator, under Sec. 96.53(c).
    Source means any governmental, institutional, commercial, or 
industrial structure, installation, plant, building, or facility that 
emits or has the potential to emit any regulated air pollutant under the 
CAA. For purposes of section 502(c) of the CAA, a ``source,'' including 
a ``source'' with multiple units, shall be considered a single 
``facility.''
    State means one of the 48 contiguous States and the District of 
Columbia specified in Sec. 51.121 of this chapter, or any non-federal 
authority in or including such States or the District of Columbia 
(including local agencies, and Statewide agencies) or any eligible 
Indian tribe in an area of such State or the District of Columbia, that 
adopts a NOX Budget Trading Program pursuant to Sec. 51.121 
of this chapter. To the extent a State incorporates by reference the 
provisions of this part, the term ``State'' shall mean the incorporating 
State. The term ``State'' shall have its conventional meaning where such 
meaning is clear from the context.
    State trading program budget means the total number of 
NOX tons apportioned to all NOX Budget units in a 
given State, in accordance with the

[[Page 672]]

NOX Budget Trading Program, for use in a given control 
period.
    Submit or serve means to send or transmit a document, information, 
or correspondence to the person specified in accordance with the 
applicable regulation:
    (1) In person;
    (2) By United States Postal Service; or
    (3) By other means of dispatch or transmission and delivery. 
Compliance with any ``submission,'' ``service,'' or ``mailing'' deadline 
shall be determined by the date of dispatch, transmission, or mailing 
and not the date of receipt.
    Title V operating permit means a permit issued under title V of the 
CAA and part 70 or part 71 of this chapter.
    Title V operating permit regulations means the regulations that the 
Administrator has approved or issued as meeting the requirements of 
title V of the CAA and part 70 or 71 of this chapter.
    Ton or tonnage means any ``short ton'' (i.e., 2,000 pounds). For the 
purpose of determining compliance with the NOX Budget 
emissions limitation, total tons for a control period shall be 
calculated as the sum of all recorded hourly emissions (or the tonnage 
equivalent of the recorded hourly emissions rates) in accordance with 
subpart H of this part, with any remaining fraction of a ton equal to or 
greater than 0.50 ton deemed to equal one ton and any fraction of a ton 
less than 0.50 ton deemed to equal zero tons.
    Unit means a fossil fuel-fired stationary boiler, combustion 
turbine, or combined cycle system.
    Unit load means the total (i.e., gross) output of a unit in any 
control period (or other specified time period) produced by combusting a 
given heat input of fuel, expressed in terms of:
    (1) The total electrical generation (MWe) produced by the unit, 
including generation for use within the plant; or
    (2) In the case of a unit that uses heat input for purposes other 
than electrical generation, the total steam pressure (psia) produced by 
the unit, including steam for use by the unit.
    Unit operating day means a calendar day in which a unit combusts any 
fuel.
    Unit operating hour or hour of unit operation means any hour (or 
fraction of an hour) during which a unit combusts any fuel.
    Utilization means the heat input (expressed in mmBtu/time) for a 
unit. The unit's total heat input for the control period in each year 
will be determined in accordance with part 75 of this chapter if the 
NOX Budget unit was otherwise subject to the requirements of 
part 75 of this chapter for the year, or will be based on the best 
available data reported to the Administrator for the unit if the unit 
was not otherwise subject to the requirements of part 75 of this chapter 
for the year.



Sec. 96.3  Measurements, abbreviations, and acronyms.

    Measurements, abbreviations, and acronyms used in this part are 
defined as follows:

Btu--British thermal unit.
hr--hour.
Kwh--kilowatt hour.
lb--pounds.
mmBtu--million Btu.
MWe--megawatt electrical.
ton--2000 pounds.
CO2--carbon dioxide.
NOX--nitrogen oxides.
O2--oxygen.



Sec. 96.4  Applicability.

    (a) The following units in a State shall be NOX Budget 
units, and any source that includes one or more such units shall be a 
NOX Budget source, subject to the requirements of this part:
    (1) Any unit that, any time on or after January 1, 1995, serves a 
generator with a nameplate capacity greater than 25 MWe and sells any 
amount of electricity; or
    (2) Any unit that is not a unit under paragraph (a) of this section 
and that has a maximum design heat input greater than 250 mmBtu/hr.
    (b) Notwithstanding paragraph (a) of this section, a unit under 
paragraph (a) of this section shall be subject only to the requirements 
of this paragraph (b) if the unit has a federally enforceable permit 
that meets the requirements of paragraph (b)(1) of this section and 
restricts the unit to burning only natural gas or fuel oil during a 
control period in 2003 or later and each control period thereafter and 
restricts the unit's operating hours during each such control

[[Page 673]]

period to the number of hours (determined in accordance with paragraph 
(b)(1)(ii) and (iii) of this section) that limits the unit's potential 
NOX mass emissions for the control period to 25 tons or less. 
Notwithstanding paragraph (a) of this section, starting with the 
effective date of such federally enforceable permit, the unit shall not 
be a NOX Budget unit.
    (1) For each control period under paragraph (b) of this section, the 
federally enforceable permit must:
    (i) Restrict the unit to burning only natural gas or fuel oil.
    (ii) Restrict the unit's operating hours to the number calculated by 
dividing 25 tons of potential NOX mass emissions by the 
unit's maximum potential hourly NOX mass emissions.
    (iii) Require that the unit's potential NOX mass 
emissions shall be calculated as follows:
    (A) Select the default NOX emission rate in Table 2 of 
Sec. 75.19 of this chapter that would otherwise be applicable assuming 
that the unit burns only the type of fuel (i.e., only natural gas or 
only fuel oil) that has the highest default NOX emission 
factor of any type of fuel that the unit is allowed to burn under the 
fuel use restriction in paragraph (b)(1)(i) of this section; and
    (B) Multiply the default NOX emission rate under 
paragraph (b)(1)(iii)(A) of this section by the unit's maximum rated 
hourly heat input. The owner or operator of the unit may petition the 
permitting authority to use a lower value for the unit's maximum rated 
hourly heat input than the value as defined under Sec. 96.2. The 
permitting authority may approve such lower value if the owner or 
operator demonstrates that the maximum hourly heat input specified by 
the manufacturer or the highest observed hourly heat input, or both, are 
not representative, and that such lower value is representative, of the 
unit's current capabilities because modifications have been made to the 
unit, limiting its capacity permanently.
    (iv) Require that the owner or operator of the unit shall retain at 
the source that includes the unit, for 5 years, records demonstrating 
that the operating hours restriction, the fuel use restriction, and the 
other requirements of the permit related to these restrictions were met.
    (v) Require that the owner or operator of the unit shall report the 
unit's hours of operation (treating any partial hour of operation as a 
whole hour of operation) during each control period to the permitting 
authority by November 1 of each year for which the unit is subject to 
the federally enforceable permit.
    (2) The permitting authority that issues the federally enforceable 
permit with the fuel use restriction under paragraph (b)(1)(i) and the 
operating hours restriction under paragraphs (b)(1)(ii) and (iii) of 
this section will notify the Administrator in writing of each unit under 
paragraph (a) of this section whose federally enforceable permit issued 
by the permitting authority includes such restrictions. The permitting 
authority will also notify the Administrator in writing of each unit 
under paragraph (a) of this section whose federally enforceable permit 
issued by the permitting authority is revised to remove any such 
restriction, whose federally enforceable permit issued by the permitting 
authority includes any such restriction that is no longer applicable, or 
which does not comply with any such restriction.
    (3) If, for any control period under paragraph (b) of this section, 
the fuel use restriction under paragraph (b)(1)(i) of this section or 
the operating hours restriction under paragraphs (b)(1)(ii) and (iii) of 
this section is removed from the unit's federally enforceable permit or 
otherwise becomes no longer applicable or if, for any such control 
period, the unit does not comply with the fuel use restriction under 
paragraph (b)(1)(i) of this section or the operating hours restriction 
under paragraphs (b)(1)(ii) and (iii) of this section, the unit shall be 
a NOX Budget unit, subject to the requirements of this part. 
Such unit shall be treated as commencing operation and, for a unit under 
paragraph (a)(1) of this section, commencing commercial operation on 
September 30 of the control period for which the fuel use restriction or 
the operating hours restriction is no longer applicable or during which 
the unit does not comply with the fuel use restriction or the operating 
hours restriction.

[[Page 674]]



Sec. 96.5  Retired unit exemption.

    (a) This section applies to any NOX Budget unit, other 
than a NOX Budget opt-in source, that is permanently retired.
    (b)(1) Any NOX Budget unit, other than a NOX 
Budget opt-in source, that is permanently retired shall be exempt from 
the NOX Budget Trading Program, except for the provisions of 
this section, Secs. 96.2, 96.3, 96.4, 96.7 and subparts E, F, and G of 
this part.
    (2) The exemption under paragraph (b)(1) of this section shall 
become effective the day on which the unit is permanently retired. 
Within 30 days of permanent retirement, the NOX authorized 
account representative (authorized in accordance with subpart B of this 
part) shall submit a statement to the permitting authority otherwise 
responsible for administering any NOX Budget permit for the 
unit. A copy of the statement shall be submitted to the Administrator. 
The statement shall state (in a format prescribed by the permitting 
authority) that the unit is permanently retired and will comply with the 
requirements of paragraph (c) of this section.
    (3) After receipt of the notice under paragraph (b)(2) of this 
section, the permitting authority will amend any permit covering the 
source at which the unit is located to add the provisions and 
requirements of the exemption under paragraphs (b)(1) and (c) of this 
section.
    (c) Special provisions. (1) A unit exempt under this section shall 
not emit any nitrogen oxides, starting on the date that the exemption 
takes effect. The owners and operators of the unit will be allocated 
allowances in accordance with subpart E of this part.
    (2)(i) A unit exempt under this section and located at a source that 
is required, or but for this exemption would be required, to have a 
title V operating permit shall not resume operation unless the 
NOX authorized account representative of the source submits a 
complete NOX Budget permit application under Sec. 96.22 for 
the unit not less than 18 months (or such lesser time provided under the 
permitting authority's title V operating permits regulations for final 
action on a permit application) prior to the later of May 1, 2003 or the 
date on which the unit is to first resume operation.
    (ii) A unit exempt under this section and located at a source that 
is required, or but for this exemption would be required, to have a non-
title V permit shall not resume operation unless the NOX 
authorized account representative of the source submits a complete 
NOX Budget permit application under Sec. 96.22 for the unit 
not less than 18 months (or such lesser time provided under the 
permitting authority's non-title V permits regulations for final action 
on a permit application) prior to the later of May 1, 2003 or the date 
on which the unit is to first resume operation.
    (3) The owners and operators and, to the extent applicable, the 
NOX authorized account representative of a unit exempt under 
this section shall comply with the requirements of the NOX 
Budget Trading Program concerning all periods for which the exemption is 
not in effect, even if such requirements arise, or must be complied 
with, after the exemption takes effect.
    (4) A unit that is exempt under this section is not eligible to be a 
NOX Budget opt-in source under subpart I of this part.
    (5) For a period of 5 years from the date the records are created, 
the owners and operators of a unit exempt under this section shall 
retain at the source that includes the unit, records demonstrating that 
the unit is permanently retired. The 5-year period for keeping records 
may be extended for cause, at any time prior to the end of the period, 
in writing by the permitting authority or the Administrator. The owners 
and operators bear the burden of proof that the unit is permanently 
retired.
    (6) Loss of exemption. (i) On the earlier of the following dates, a 
unit exempt under paragraph (b) of this section shall lose its 
exemption:
    (A) The date on which the NOX authorized account 
representative submits a NOX Budget permit application under 
paragraph (c)(2) of this section; or
    (B) The date on which the NOX authorized account 
representative is required under paragraph (c)(2) of this

[[Page 675]]

section to submit a NOX Budget permit application.
    (ii) For the purpose of applying monitoring requirements under 
subpart H of this part, a unit that loses its exemption under this 
section shall be treated as a unit that commences operation or 
commercial operation on the first date on which the unit resumes 
operation.



Sec. 96.6  Standard requirements.

    (a) Permit Requirements. (1) The NOX authorized account 
representative of each NOX Budget source required to have a 
federally enforceable permit and each NOX Budget unit 
required to have a federally enforceable permit at the source shall:
    (i) Submit to the permitting authority a complete NOX 
Budget permit application under Sec. 96.22 in accordance with the 
deadlines specified in Sec. 96.21(b) and (c);
    (ii) Submit in a timely manner any supplemental information that the 
permitting authority determines is necessary in order to review a 
NOX Budget permit application and issue or deny a 
NOX Budget permit.
    (2) The owners and operators of each NOX Budget source 
required to have a federally enforceable permit and each NOX 
Budget unit required to have a federally enforceable permit at the 
source shall have a NOX Budget permit issued by the 
permitting authority and operate the unit in compliance with such 
NOX Budget permit.
    (3) The owners and operators of a NOX Budget source that 
is not otherwise required to have a federally enforceable permit are not 
required to submit a NOX Budget permit application, and to 
have a NOX Budget permit, under subpart C of this part for 
such NOX Budget source.
    (b) Monitoring requirements. (1) The owners and operators and, to 
the extent applicable, the NOX authorized account 
representative of each NOX Budget source and each 
NOX Budget unit at the source shall comply with the 
monitoring requirements of subpart H of this part.
    (2) The emissions measurements recorded and reported in accordance 
with subpart H of this part shall be used to determine compliance by the 
unit with the NOX Budget emissions limitation under paragraph 
(c) of this section.
    (c) Nitrogen oxides requirements. (1) The owners and operators of 
each NOX Budget source and each NOX Budget unit at 
the source shall hold NOX allowances available for compliance 
deductions under Sec. 96.54, as of the NOX allowance transfer 
deadline, in the unit's compliance account and the source's overdraft 
account in an amount not less than the total NOX emissions 
for the control period from the unit, as determined in accordance with 
subpart H of this part, plus any amount necessary to account for actual 
utilization under Sec. 96.42(e) for the control period.
    (2) Each ton of nitrogen oxides emitted in excess of the 
NOX Budget emissions limitation shall constitute a separate 
violation of this part, the CAA, and applicable State law.
    (3) A NOX Budget unit shall be subject to the 
requirements under paragraph (c)(1) of this section starting on the 
later of May 1, 2003 or the date on which the unit commences operation.
    (4) NOX allowances shall be held in, deducted from, or 
transferred among NOX Allowance Tracking System accounts in 
accordance with subparts E, F, G, and I of this part.
    (5) A NOX allowance shall not be deducted, in order to 
comply with the requirements under paragraph (c)(1) of this section, for 
a control period in a year prior to the year for which the 
NOX allowance was allocated.
    (6) A NOX allowance allocated by the permitting authority 
or the Administrator under the NOX Budget Trading Program is 
a limited authorization to emit one ton of nitrogen oxides in accordance 
with the NOX Budget Trading Program. No provision of the 
NOX Budget Trading Program, the NOX Budget permit 
application, the NOX Budget permit, or an exemption under 
Sec. 96.5 and no provision of law shall be construed to limit the 
authority of the United States or the State to terminate or limit such 
authorization.
    (7) A NOX allowance allocated by the permitting authority 
or the Administrator under the NOX Budget Trading Program 
does not constitute a property right.
    (8) Upon recordation by the Administrator under subpart F, G, or I 
of this

[[Page 676]]

part, every allocation, transfer, or deduction of a NOX 
allowance to or from a NOX Budget unit's compliance account 
or the overdraft account of the source where the unit is located is 
deemed to amend automatically, and become a part of, any NOX 
Budget permit of the NOX Budget unit by operation of law 
without any further review.
    (d) Excess emissions requirements. (1) The owners and operators of a 
NOX Budget unit that has excess emissions in any control 
period shall:
    (i) Surrender the NOX allowances required for deduction 
under Sec. 96.54(d)(1); and
    (ii) Pay any fine, penalty, or assessment or comply with any other 
remedy imposed under Sec. 96.54(d)(3).
    (e) Recordkeeping and Reporting requirements. (1) Unless otherwise 
provided, the owners and operators of the NOX Budget source 
and each NOX Budget unit at the source shall keep on site at 
the source each of the following documents for a period of 5 years from 
the date the document is created. This period may be extended for cause, 
at any time prior to the end of 5 years, in writing by the permitting 
authority or the Administrator.
    (i) The account certificate of representation for the NOX 
authorized account representative for the source and each NOX 
Budget unit at the source and all documents that demonstrate the truth 
of the statements in the account certificate of representation, in 
accordance with Sec. 96.13; provided that the certificate and documents 
shall be retained on site at the source beyond such 5-year period until 
such documents are superseded because of the submission of a new account 
certificate of representation changing the NOX authorized 
account representative.
    (ii) All emissions monitoring information, in accordance with 
subpart H of this part; provided that to the extent that subpart H of 
this part provides for a 3-year period for recordkeeping, the 3-year 
period shall apply.
    (iii) Copies of all reports, compliance certifications, and other 
submissions and all records made or required under the NOX 
Budget Trading Program.
    (iv) Copies of all documents used to complete a NOX 
Budget permit application and any other submission under the 
NOX Budget Trading Program or to demonstrate compliance with 
the requirements of the NOX Budget Trading Program.
    (2) The NOX authorized account representative of a 
NOX Budget source and each NOX Budget unit at the 
source shall submit the reports and compliance certifications required 
under the NOX Budget Trading Program, including those under 
subparts D, H, or I of this part.
    (f) Liability. (1) Any person who knowingly violates any requirement 
or prohibition of the NOX Budget Trading Program, a 
NOX Budget permit, or an exemption under Sec. 96.5 shall be 
subject to enforcement pursuant to applicable State or Federal law.
    (2) Any person who knowingly makes a false material statement in any 
record, submission, or report under the NOX Budget Trading 
Program shall be subject to criminal enforcement pursuant to the 
applicable State or Federal law.
    (3) No permit revision shall excuse any violation of the 
requirements of the NOX Budget Trading Program that occurs 
prior to the date that the revision takes effect.
    (4) Each NOX Budget source and each NOX Budget 
unit shall meet the requirements of the NOX Budget Trading 
Program.
    (5) Any provision of the NOX Budget Trading Program that 
applies to a NOX Budget source (including a provision 
applicable to the NOX authorized account representative of a 
NOX Budget source) shall also apply to the owners and 
operators of such source and of the NOX Budget units at the 
source.
    (6) Any provision of the NOX Budget Trading Program that 
applies to a NOX Budget unit (including a provision 
applicable to the NOX authorized account representative of a 
NOX budget unit) shall also apply to the owners and operators 
of such unit. Except with regard to the requirements applicable to units 
with a common stack under subpart H of this part, the owners and 
operators and the NOX authorized account representative of 
one NOX Budget unit shall not be liable for any violation by 
any other NOX Budget unit of which they are not owners or 
operators

[[Page 677]]

or the NOX authorized account representative and that is 
located at a source of which they are not owners or operators or the 
NOX authorized account representative.
    (g) Effect on other authorities. No provision of the NOX 
Budget Trading Program, a NOX Budget permit application, a 
NOX Budget permit, or an exemption under Sec. 96.5 shall be 
construed as exempting or excluding the owners and operators and, to the 
extent applicable, the NOX authorized account representative 
of a NOX Budget source or NOX Budget unit from 
compliance with any other provision of the applicable, approved State 
implementation plan, a federally enforceable permit, or the CAA.



Sec. 96.7  Computation of time.

    (a) Unless otherwise stated, any time period scheduled, under the 
NOX Budget Trading Program, to begin on the occurrence of an 
act or event shall begin on the day the act or event occurs.
    (b) Unless otherwise stated, any time period scheduled, under the 
NOX Budget Trading Program, to begin before the occurrence of 
an act or event shall be computed so that the period ends the day before 
the act or event occurs.
    (c) Unless otherwise stated, if the final day of any time period, 
under the NOX Budget Trading Program, falls on a weekend or a 
State or Federal holiday, the time period shall be extended to the next 
business day.



    Subpart B--NOX Authorized Account Representative for 
                      NOX Budget Sources



Sec. 96.10  Authorization and responsibilities of the NOX 
authorized account representative.

    (a) Except as provided under Sec. 96.11, each NOX Budget 
source, including all NOX Budget units at the source, shall 
have one and only one NOX authorized account representative, 
with regard to all matters under the NOX Budget Trading 
Program concerning the source or any NOX Budget unit at the 
source.
    (b) The NOX authorized account representative of the 
NOX Budget source shall be selected by an agreement binding 
on the owners and operators of the source and all NOX Budget 
units at the source.
    (c) Upon receipt by the Administrator of a complete account 
certificate of representation under Sec. 96.13, the NOX 
authorized account representative of the source shall represent and, by 
his or her representations, actions, inactions, or submissions, legally 
bind each owner and operator of the NOX Budget source 
represented and each NOX Budget unit at the source in all 
matters pertaining to the NOX Budget Trading Program, not 
withstanding any agreement between the NOX authorized account 
representative and such owners and operators. The owners and operators 
shall be bound by any decision or order issued to the NOX 
authorized account representative by the permitting authority, the 
Administrator, or a court regarding the source or unit.
    (d) No NOX Budget permit shall be issued, and no 
NOX Allowance Tracking System account shall be established 
for a NOX Budget unit at a source, until the Administrator 
has received a complete account certificate of representation under 
Sec. 96.13 for a NOX authorized account representative of the 
source and the NOX Budget units at the source.
    (e)(1) Each submission under the NOX Budget Trading 
Program shall be submitted, signed, and certified by the NOX 
authorized account representative for each NOX Budget source 
on behalf of which the submission is made. Each such submission shall 
include the following certification statement by the NOX 
authorized account representative: ``I am authorized to make this 
submission on behalf of the owners and operators of the NOX 
Budget sources or NOX Budget units for which the submission 
is made. I certify under penalty of law that I have personally examined, 
and am familiar with, the statements and information submitted in this 
document and all its attachments. Based on my inquiry of those 
individuals with primary responsibility for obtaining the information, I 
certify that the statements and information are to the best of my 
knowledge and belief true, accurate, and complete. I am aware that there 
are significant penalties for

[[Page 678]]

submitting false statements and information or omitting required 
statements and information, including the possibility of fine or 
imprisonment.''
    (2) The permitting authority and the Administrator will accept or 
act on a submission made on behalf of owner or operators of a 
NOX Budget source or a NOX Budget unit only if the 
submission has been made, signed, and certified in accordance with 
paragraph (e)(1) of this section.



Sec. 96.11  Alternate NOX authorized account representative.

    (a) An account certificate of representation may designate one and 
only one alternate NOX authorized account representative who 
may act on behalf of the NOX authorized account 
representative. The agreement by which the alternate NOX 
authorized account representative is selected shall include a procedure 
for authorizing the alternate NOX authorized account 
representative to act in lieu of the NOX authorized account 
representative.
    (b) Upon receipt by the Administrator of a complete account 
certificate of representation under Sec. 96.13, any representation, 
action, inaction, or submission by the alternate NOX 
authorized account representative shall be deemed to be a 
representation, action, inaction, or submission by the NOX 
authorized account representative.
    (c) Except in this section and Secs. 96.10(a), 96.12, 96.13, and 
96.51, whenever the term ``NOX authorized account 
representative'' is used in this part, the term shall be construed to 
include the alternate NOX authorized account representative.




Sec. 96.12  Changing the NOX authorized account representative 
and the alternate NOX authorized account representative; changes 
in the 
          owners and operators.

    (a) Changing the NOX authorized account representative. 
The NOX authorized account representative may be changed at 
any time upon receipt by the Administrator of a superseding complete 
account certificate of representation under Sec. 96.13. Notwithstanding 
any such change, all representations, actions, inactions, and 
submissions by the previous NOX authorized account 
representative prior to the time and date when the Administrator 
receives the superseding account certificate of representation shall be 
binding on the new NOX authorized account representative and 
the owners and operators of the NOX Budget source and the 
NOX Budget units at the source.
    (b) Changing the alternate NOX authorized account 
representative. The alternate NOX authorized account 
representative may be changed at any time upon receipt by the 
Administrator of a superseding complete account certificate of 
representation under Sec. 96.13. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
alternate NOX authorized account representative prior to the 
time and date when the Administrator receives the superseding account 
certificate of representation shall be binding on the new alternate 
NOX authorized account representative and the owners and 
operators of the NOX Budget source and the NOX 
Budget units at the source.
    (c) Changes in the owners and operators. (1) In the event a new 
owner or operator of a NOX Budget source or a NOX 
Budget unit is not included in the list of owners and operators 
submitted in the account certificate of representation, such new owner 
or operator shall be deemed to be subject to and bound by the account 
certificate of representation, the representations, actions, inactions, 
and submissions of the NOX authorized account representative 
and any alternate NOX authorized account representative of 
the source or unit, and the decisions, orders, actions, and inactions of 
the permitting authority or the Administrator, as if the new owner or 
operator were included in such list.
    (2) Within 30 days following any change in the owners and operators 
of a NOX Budget source or a NOX Budget unit, 
including the addition of a new owner or operator, the NOX 
authorized account representative or alternate NOX authorized 
account representative shall submit a revision to the account 
certificate of representation amending the list of owners and operators 
to include the change.

[[Page 679]]



Sec. 96.13  Account certificate of representation.

    (a) A complete account certificate of representation for a 
NOX authorized account representative or an alternate 
NOX authorized account representative shall include the 
following elements in a format prescribed by the Administrator:
    (1) Identification of the NOX Budget source and each 
NOX Budget unit at the source for which the account 
certificate of representation is submitted.
    (2) The name, address, e-mail address (if any), telephone number, 
and facsimile transmission number (if any) of the NOX 
authorized account representative and any alternate NOX 
authorized account representative.
    (3) A list of the owners and operators of the NOX Budget 
source and of each NOX Budget unit at the source.
    (4) The following certification statement by the NOX 
authorized account representative and any alternate NOX 
authorized account representative: ``I certify that I was selected as 
the NOX authorized account representative or alternate 
NOX authorized account representative, as applicable, by an 
agreement binding on the owners and operators of the NOX 
Budget source and each NOX Budget unit at the source. I 
certify that I have all the necessary authority to carry out my duties 
and responsibilities under the NOX Budget Trading Program on 
behalf of the owners and operators of the NOX Budget source 
and of each NOX Budget unit at the source and that each such 
owner and operator shall be fully bound by my representations, actions, 
inactions, or submissions and by any decision or order issued to me by 
the permitting authority, the Administrator, or a court regarding the 
source or unit.''
    (5) The signature of the NOX authorized account 
representative and any alternate NOX authorized account 
representative and the dates signed.
    (b) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the account 
certificate of representation shall not be submitted to the permitting 
authority or the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.



Sec. 96.14  Objections concerning the NOX authorized account 
representative.

    (a) Once a complete account certificate of representation under 
Sec. 96.13 has been submitted and received, the permitting authority and 
the Administrator will rely on the account certificate of representation 
unless and until a superseding complete account certificate of 
representation under Sec. 96.13 is received by the Administrator.
    (b) Except as provided in Sec. 96.12(a) or (b), no objection or 
other communication submitted to the permitting authority or the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission of the NOX authorized account 
representative shall affect any representation, action, inaction, or 
submission of the NOX authorized account representative or 
the finality of any decision or order by the permitting authority or the 
Administrator under the NOX Budget Trading Program.
    (c) Neither the permitting authority nor the Administrator will 
adjudicate any private legal dispute concerning the authorization or any 
representation, action, inaction, or submission of any NOX 
authorized account representative, including private legal disputes 
concerning the proceeds of NOX allowance transfers.



                           Subpart C--Permits



Sec. 96.20  General NOX Budget trading program permit requirements.

    (a) For each NOX Budget source required to have a 
federally enforceable permit, such permit shall include a NOX 
Budget permit administered by the permitting authority.
    (1) For NOX Budget sources required to have a title V 
operating permit, the NOX Budget portion of the title V 
permit shall be administered in accordance with the permitting 
authority's title V operating permits regulations promulgated under part 
70 or 71 of this chapter, except as provided otherwise by this subpart 
or subpart I of this part. The applicable provisions of such title V 
operating permits regulations shall include, but are not limited to,

[[Page 680]]

those provisions addressing operating permit applications, operating 
permit application shield, operating permit duration, operating permit 
shield, operating permit issuance, operating permit revision and 
reopening, public participation, State review, and review by the 
Administrator.
    (2) For NOX Budget sources required to have a non-title V 
permit, the NOX Budget portion of the non-title V permit 
shall be administered in accordance with the permitting authority's 
regulations promulgated to administer non-title V permits, except as 
provided otherwise by this subpart or subpart I of this part. The 
applicable provisions of such non-title V permits regulations may 
include, but are not limited to, provisions addressing permit 
applications, permit application shield, permit duration, permit shield, 
permit issuance, permit revision and reopening, public participation, 
State review, and review by the Administrator.
    (b) Each NOX Budget permit (including a draft or proposed 
NOX Budget permit, if applicable) shall contain all 
applicable NOX Budget Trading Program requirements and shall 
be a complete and segregable portion of the permit under paragraph (a) 
of this section.



Sec. 96.21  Submission of NOX Budget permit applications.

    (a) Duty to apply. The NOX authorized account 
representative of any NOX Budget source required to have a 
federally enforceable permit shall submit to the permitting authority a 
complete NOX Budget permit application under Sec. 96.22 by 
the applicable deadline in paragraph (b) of this section.
    (b)(1) For NOX Budget sources required to have a title V 
operating permit:
    (i) For any source, with one or more NOX Budget units 
under Sec. 96.4 that commence operation before January 1, 2000, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec. 96.22 covering such 
NOX Budget units to the permitting authority at least 18 
months (or such lesser time provided under the permitting authority's 
title V operating permits regulations for final action on a permit 
application) before May 1, 2003.
    (ii) For any source, with any NOX Budget unit under 
Sec. 96.4 that commences operation on or after January 1, 2000, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec. 96.22 covering such 
NOX Budget unit to the permitting authority at least 18 
months (or such lesser time provided under the permitting authority's 
title V operating permits regulations for final action on a permit 
application) before the later of May 1, 2003 or the date on which the 
NOX Budget unit commences operation.
    (2) For NOX Budget sources required to have a non-title V 
permit:
    (i) For any source, with one or more NOX Budget units 
under Sec. 96.4 that commence operation before January 1, 2000, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec. 96.22 covering such 
NOX Budget units to the permitting authority at least 18 
months (or such lesser time provided under the permitting authority's 
non-title V permits regulations for final action on a permit 
application) before May 1, 2003.
    (ii) For any source, with any NOX Budget unit under 
Sec. 96.4 that commences operation on or after January 1, 2000, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec. 96.22 covering such 
NOX Budget unit to the permitting authority at least 18 
months (or such lesser time provided under the permitting authority's 
non-title V permits regulations for final action on a permit 
application) before the later of May 1, 2003 or the date on which the 
NOX Budget unit commences operation.
    (c) Duty to reapply. (1) For a NOX Budget source required 
to have a title V operating permit, the NOX authorized 
account representative shall submit a complete NOX Budget 
permit application under Sec. 96.22 for the NOX Budget source 
covering the NOX Budget units at the source in accordance 
with the permitting authority's title V operating permits regulations 
addressing operating permit renewal.
    (2) For a NOX Budget source required to have a non-title 
V permit, the NOX authorized account representative

[[Page 681]]

shall submit a complete NOX Budget permit application under 
Sec. 96.22 for the NOX Budget source covering the 
NOX Budget units at the source in accordance with the 
permitting authority's non-title V permits regulations addressing permit 
renewal.



Sec. 96.22  Information requirements for NOX Budget permit 
applications.

    A complete NOX Budget permit application shall include 
the following elements concerning the NOX Budget source for 
which the application is submitted, in a format prescribed by the 
permitting authority:
    (a) Identification of the NOX Budget source, including 
plant name and the ORIS (Office of Regulatory Information Systems) or 
facility code assigned to the source by the Energy Information 
Administration, if applicable;
    (b) Identification of each NOX Budget unit at the 
NOX Budget source and whether it is a NOX Budget 
unit under Sec. 96.4 or under subpart I of this part;
    (c) The standard requirements under Sec. 96.6; and
    (d) For each NOX Budget opt-in unit at the NOX 
Budget source, the following certification statements by the 
NOX authorized account representative:
    (1) ``I certify that each unit for which this permit application is 
submitted under subpart I of this part is not a NOX Budget 
unit under 40 CFR 96.4 and is not covered by a retired unit exemption 
under 40 CFR 96.5 that is in effect.''
    (2) If the application is for an initial NOX Budget opt-
in permit, ``I certify that each unit for which this permit application 
is submitted under subpart I is currently operating, as that term is 
defined under 40 CFR 96.2.''



Sec. 96.23  NOX Budget permit contents.

    (a) Each NOX Budget permit (including any draft or 
proposed NOX Budget permit, if applicable) will contain, in a 
format prescribed by the permitting authority, all elements required for 
a complete NOX Budget permit application under Sec. 96.22 as 
approved or adjusted by the permitting authority.
    (b) Each NOX Budget permit is deemed to incorporate 
automatically the definitions of terms under Sec. 96.2 and, upon 
recordation by the Administrator under subparts F, G, or I of this part, 
every allocation, transfer, or deduction of a NOX allowance 
to or from the compliance accounts of the NOX Budget units 
covered by the permit or the overdraft account of the NOX 
Budget source covered by the permit.



Sec. 96.24  Effective date of initial NOX Budget permit.

    The initial NOX Budget permit covering a NOX 
Budget unit for which a complete NOX Budget permit 
application is timely submitted under Sec. 96.21(b) shall become 
effective by the later of:
    (a) May 1, 2003;
    (b) May 1 of the year in which the NOX Budget unit 
commences operation, if the unit commences operation on or before May 1 
of that year;
    (c) The date on which the NOX Budget unit commences 
operation, if the unit commences operation during a control period; or
    (d) May 1 of the year following the year in which the NOX 
Budget unit commences operation, if the unit commences operation on or 
after October 1 of the year.



Sec. 96.25  NOX Budget permit revisions.

    (a) For a NOX Budget source with a title V operating 
permit, except as provided in Sec. 96.23(b), the permitting authority 
will revise the NOX Budget permit, as necessary, in 
accordance with the permitting authority's title V operating permits 
regulations addressing permit revisions.
    (b) For a NOX Budget source with a non-title V permit, 
except as provided in Sec. 96.23(b), the permitting authority will 
revise the NOX Budget permit, as necessary, in accordance 
with the permitting authority's non-title V permits regulations 
addressing permit revisions.



                   Subpart D--Compliance Certification



Sec. 96.30  Compliance certification report.

    (a) Applicability and deadline. For each control period in which one 
or more NOX Budget units at a source are subject to the 
NOX Budget emissions limitation, the NOX 
authorized account

[[Page 682]]

representative of the source shall submit to the permitting authority 
and the Administrator by November 30 of that year, a compliance 
certification report for each source covering all such units.
    (b) Contents of report. The NOX authorized account 
representative shall include in the compliance certification report 
under paragraph (a) of this section the following elements, in a format 
prescribed by the Administrator, concerning each unit at the source and 
subject to the NOX Budget emissions limitation for the 
control period covered by the report:
    (1) Identification of each NOX Budget unit;
    (2) At the NOX authorized account representative's 
option, the serial numbers of the NOX allowances that are to 
be deducted from each unit's compliance account under Sec. 96.54 for the 
control period;
    (3) At the NOX authorized account representative's 
option, for units sharing a common stack and having NOX 
emissions that are not monitored separately or apportioned in accordance 
with subpart H of this part, the percentage of allowances that is to be 
deducted from each unit's compliance account under Sec. 96.54(e); and
    (4) The compliance certification under paragraph (c) of this 
section.
    (c) Compliance certification. In the compliance certification report 
under paragraph (a) of this section, the NOX authorized 
account representative shall certify, based on reasonable inquiry of 
those persons with primary responsibility for operating the source and 
the NOX Budget units at the source in compliance with the 
NOX Budget Trading Program, whether each NOX 
Budget unit for which the compliance certification is submitted was 
operated during the calendar year covered by the report in compliance 
with the requirements of the NOX Budget Trading Program 
applicable to the unit, including:
    (1) Whether the unit was operated in compliance with the 
NOX Budget emissions limitation;
    (2) Whether the monitoring plan that governs the unit has been 
maintained to reflect the actual operation and monitoring of the unit, 
and contains all information necessary to attribute NOX 
emissions to the unit, in accordance with subpart H of this part;
    (3) Whether all the NOX emissions from the unit, or a 
group of units (including the unit) using a common stack, were monitored 
or accounted for through the missing data procedures and reported in the 
quarterly monitoring reports, including whether conditional data were 
reported in the quarterly reports in accordance with subpart H of this 
part. If conditional data were reported, the owner or operator shall 
indicate whether the status of all conditional data has been resolved 
and all necessary quarterly report resubmissions has been made;
    (4) Whether the facts that form the basis for certification under 
subpart H of this part of each monitor at the unit or a group of units 
(including the unit) using a common stack, or for using an excepted 
monitoring method or alternative monitoring method approved under 
subpart H of this part, if any, has changed; and
    (5) If a change is required to be reported under paragraph (c)(4) of 
this section, specify the nature of the change, the reason for the 
change, when the change occurred, and how the unit's compliance status 
was determined subsequent to the change, including what method was used 
to determine emissions when a change mandated the need for monitor 
recertification.



Sec. 96.31  Permitting authority's and Administrator's action on compliance 
certifications.

    (a) The permitting authority or the Administrator may review and 
conduct independent audits concerning any compliance certification or 
any other submission under the NOX Budget Trading Program and 
make appropriate adjustments of the information in the compliance 
certifications or other submissions.
    (b) The Administrator may deduct NOX allowances from or 
transfer NOX allowances to a unit's compliance account or a 
source's overdraft account based on the information in the compliance 
certifications or other submissions, as adjusted under paragraph (a) of 
this section.

[[Page 683]]



             Subpart E--NOX Allowance Allocations



Sec. 96.40  State trading program budget.

    The State trading program budget allocated by the permitting 
authority under Sec. 96.42 for a control period will equal the total 
number of tons of NOX emissions apportioned to the 
NOX Budget units under Sec. 96.4 in the State for the control 
period, as determined by the applicable, approved State implementation 
plan.



Sec. 96.41  Timing requirements for NOX allowance allocations.

    (a) By September 30, 1999, the permitting authority will submit to 
the Administrator the NOX allowance allocations, in 
accordance with Sec. 96.42, for the control periods in 2003, 2004, and 
2005.
    (b) By April 1, 2003 and April 1 of each year thereafter, the 
permitting authority will submit to the Administrator the NOX 
allowance allocations, in accordance with Sec. 96.42, for the control 
period in the year that is three years after the year of the applicable 
deadline for submission under this paragraph (b). If the permitting 
authority fails to submit to the Administrator the NOX 
allowance allocations in accordance with this paragraph (b), the 
Administrator will allocate, for the applicable control period, the same 
number of NOX allowances as were allocated for the preceding 
control period.
    (c) By April 1, 2004 and April 1 of each year thereafter, the 
permitting authority will submit to the Administrator the NOX 
allowance allocations, in accordance with Sec. 96.42, for any 
NOX allowances remaining in the allocation set-aside for the 
prior control period.



Sec. 96.42  NOX allowance allocations.

    (a)(1) The heat input (in mmBtu) used for calculating NOX 
allowance allocations for each NOX Budget unit under 
Sec. 96.4 will be:
    (i) For a NOX allowance allocation under Sec. 96.41(a), 
the average of the two highest amounts of the unit's heat input for the 
control periods in 1995, 1996, and 1997 if the unit is under 
Sec. 96.4(a)(1) or the control period in 1995 if the unit is under 
Sec. 96.4(a)(2); and
    (ii) For a NOX allowance allocation under Sec. 96.41(b), 
the unit's heat input for the control period in the year that is four 
years before the year for which the NOX allocation is being 
calculated.
    (2) The unit's total heat input for the control period in each year 
specified under paragraph (a)(1) of this section will be determined in 
accordance with part 75 of this chapter if the NOX Budget 
unit was otherwise subject to the requirements of part 75 of this 
chapter for the year, or will be based on the best available data 
reported to the permitting authority for the unit if the unit was not 
otherwise subject to the requirements of part 75 of this chapter for the 
year.
    (b) For each control period under Sec. 96.41, the permitting 
authority will allocate to all NOX Budget units under 
Sec. 96.4(a)(1) in the State that commenced operation before May 1 of 
the period used to calculate heat input under paragraph (a)(1) of this 
section, a total number of NOX allowances equal to 95 percent 
in 2003, 2004, and 2005, or 98 percent thereafter, of the tons of 
NOX emissions in the State trading program budget apportioned 
to electric generating units under Sec. 96.40 in accordance with the 
following procedures:
    (1) The permitting authority will allocate NOX allowances 
to each NOX Budget unit under Sec. 96.4(a)(1) in an amount 
equaling 0.15 lb/mmBtu multiplied by the heat input determined under 
paragraph (a) of this section, rounded to the nearest whole 
NOX allowance as appropriate.
    (2) If the initial total number of NOX allowances 
allocated to all NOX Budget units under Sec. 96.4(a)(1) in 
the State for a control period under paragraph (b)(1) of this section 
does not equal 95 percent in 2003, 2004, and 2005, or 98 percent 
thereafter, of the number of tons of NOX emissions in the 
State trading program budget apportioned to electric generating units, 
the permitting authority will adjust the total number of NOX 
allowances allocated to all such NOX Budget units for the 
control period under paragraph (b)(1) of this section so that the total 
number of NOX allowances allocated equals 95 percent in 2003, 
2004, and 2005, or 98 percent thereafter, of the number of tons of 
NOX emissions in the State trading program budget apportioned 
to electric generating units. This adjustment will

[[Page 684]]

be made by: multiplying each unit's allocation by 95 percent in 2003, 
2004, and 2005, or 98 percent thereafter, of the number of tons of 
NOX emissions in the State trading program budget apportioned 
to electric generating units divided by the total number of 
NOX allowances allocated under paragraph (b)(1) of this 
section, and rounding to the nearest whole NOX allowance as 
appropriate.
    (c) For each control period under Sec. 96.41, the permitting 
authority will allocate to all NOX Budget units under 
Sec. 96.4(a)(2) in the State that commenced operation before May 1 of 
the period used to calculate heat input under paragraph (a)(1) of this 
section, a total number of NOX allowances equal to 95 percent 
in 2003, 2004, and 2005, or 98 percent thereafter, of the tons of 
NOX emissions in the State trading program budget apportioned 
to non-electric generating units under Sec. 96.40 in accordance with the 
following procedures:
    (1) The permitting authority will allocate NOX allowances 
to each NOX Budget unit under Sec. 96.4(a)(2) in an amount 
equaling 0.17 lb/mmBtu multiplied by the heat input determined under 
paragraph (a) of this section, rounded to the nearest whole 
NOX allowance as appropriate.
    (2) If the initial total number of NOX allowances 
allocated to all NOX Budget units under Sec. 96.4(a)(2) in 
the State for a control period under paragraph (c)(1) of this section 
does not equal 95 percent in 2003, 2004, and 2005, or 98 percent 
thereafter, of the number of tons of NOX emissions in the 
State trading program budget apportioned to non-electric generating 
units, the permitting authority will adjust the total number of 
NOX allowances allocated to all such NOX Budget 
units for the control period under paragraph (c)(1) of this section so 
that the total number of NOX allowances allocated equals 95 
percent in 2003, 2004, and 2005, or 98 percent thereafter, of the number 
of tons of NOX emissions in the State trading program budget 
apportioned to non-electric generating units. This adjustment will be 
made by: multiplying each unit's allocation by 95 percent in 2003, 2004, 
and 2005, or 98 percent thereafter, of the number of tons of 
NOX emissions in the State trading program budget apportioned 
to non-electric generating units divided by the total number of 
NOX allowances allocated under paragraph (c)(1) of this 
section, and rounding to the nearest whole NOX allowance as 
appropriate.
    (d) For each control period under Sec. 96.41, the permitting 
authority will allocate NOX allowances to NOX 
Budget units under Sec. 96.4 in the State that commenced operation, or 
is projected to commence operation, on or after May 1 of the period used 
to calculate heat input under paragraph (a)(1) of this section, in 
accordance with the following procedures:
    (1) The permitting authority will establish one allocation set-aside 
for each control period. Each allocation set-aside will be allocated 
NOX allowances equal to 5 percent in 2003, 2004, and 2005, or 
2 percent thereafter, of the tons of NOX emissions in the 
State trading program budget under Sec. 96.40, rounded to the nearest 
whole NOX allowance as appropriate.
    (2) The NOX authorized account representative of a 
NOX Budget unit under paragraph (d) of this section may 
submit to the permitting authority a request, in writing or in a format 
specified by the permitting authority, to be allocated NOX 
allowances for no more than five consecutive control periods under 
Sec. 96.41, starting with the control period during which the 
NOX Budget unit commenced, or is projected to commence, 
operation and ending with the control period preceding the control 
period for which it will receive an allocation under paragraph (b) or 
(c) of this section. The NOX allowance allocation request 
must be submitted prior to May 1 of the first control period for which 
the NOX allowance allocation is requested and after the date 
on which the permitting authority issues a permit to construct the 
NOX Budget unit.
    (3) In a NOX allowance allocation request under paragraph 
(d)(2) of this section, the NOX authorized account 
representative for units under Sec. 96.4(a)(1) may request for a control 
period NOX allowances in an amount that does not exceed 0.15 
lb/mmBtu multiplied by the NOX Budget unit's maximum design 
heat input (in mmBtu/hr) multiplied by the number of hours remaining in 
the control period starting with the first

[[Page 685]]

day in the control period on which the unit operated or is projected to 
operate.
    (4) In a NOX allowance allocation request under paragraph 
(d)(2) of this section, the NOX authorized account 
representative for units under Sec. 96.4(a)(2) may request for a control 
period NOX allowances in an amount that does not exceed 0.17 
lb/mmBtu multiplied by the NOX Budget unit's maximum design 
heat input (in mmBtu/hr) multiplied by the number of hours remaining in 
the control period starting with the first day in the control period on 
which the unit operated or is projected to operate.
    (5) The permitting authority will review, and allocate 
NOX allowances pursuant to, each NOX allowance 
allocation request under paragraph (d)(2) of this section in the order 
that the request is received by the permitting authority.
    (i) Upon receipt of the NOX allowance allocation request, 
the permitting authority will determine whether, and will make any 
necessary adjustments to the request to ensure that, for units under 
Sec. 96.4(a)(1), the control period and the number of allowances 
specified are consistent with the requirements of paragraphs (d)(2) and 
(3) of this section and, for units under Sec. 96.4(a)(2), the control 
period and the number of allowances specified are consistent with the 
requirements of paragraphs (d)(2) and (4) of this section.
    (ii) If the allocation set-aside for the control period for which 
NOX allowances are requested has an amount of NOX 
allowances not less than the number requested (as adjusted under 
paragraph (d)(5)(i) of this section), the permitting authority will 
allocate the amount of the NOX allowances requested (as 
adjusted under paragraph (d)(5)(i) of this section) to the 
NOX Budget unit.
    (iii) If the allocation set-aside for the control period for which 
NOX allowances are requested has a smaller amount of 
NOX allowances than the number requested (as adjusted under 
paragraph (d)(5)(i) of this section), the permitting authority will deny 
in part the request and allocate only the remaining number of 
NOX allowances in the allocation set-aside to the 
NOX Budget unit.
    (iv) Once an allocation set-aside for a control period has been 
depleted of all NOX allowances, the permitting authority will 
deny, and will not allocate any NOX allowances pursuant to, 
any NOX allowance allocation request under which 
NOX allowances have not already been allocated for the 
control period.
    (6) Within 60 days of receipt of a NOX allowance 
allocation request, the permitting authority will take appropriate 
action under paragraph (d)(5) of this section and notify the 
NOX authorized account representative that submitted the 
request and the Administrator of the number of NOX allowances 
(if any) allocated for the control period to the NOX Budget 
unit.
    (e) For a NOX Budget unit that is allocated 
NOX allowances under paragraph (d) of this section for a 
control period, the Administrator will deduct NOX allowances 
under Sec. 96.54(b) or (e) to account for the actual utilization of the 
unit during the control period. The Administrator will calculate the 
number of NOX allowances to be deducted to account for the 
unit's actual utilization using the following formulas and rounding to 
the nearest whole NOX allowance as appropriate, provided that 
the number of NOX allowances to be deducted shall be zero if 
the number calculated is less than zero:

NOX allowances deducted for actual utilization for units 
    under Sec. 96.4(a)(1) = (Unit's NOX allowances allocated 
    for control period)-(Unit's actual control period utilization x 0.15 
    lb/mmBtu); and

NOX allowances deducted for actual utilization for units 
    under Sec. 96.4(a)(2) = (Unit's NOX allowances allocated 
    for control period)-(Unit's actual control period utilization x 0.17 
    lb/mmBtu)

Where:

``Unit's NOX allowances allocated for control period'' is the 
number of NOX allowances allocated to the unit for the 
control period under paragraph (d) of this section; and
``Unit's actual control period utilization'' is the utilization (in 
mmBtu), as defined in Sec. 96.2, of the unit during the control period.


[[Page 686]]


    (f) After making the deductions for compliance under Sec. 96.54(b) 
or (e) for a control period, the Administrator will notify the 
permitting authority whether any NOX allowances remain in the 
allocation set-aside for the control period. The permitting authority 
will allocate any such NOX allowances to the NOX 
Budget units in the State using the following formula and rounding to 
the nearest whole NOX allowance as appropriate:

Unit's share of NOX allowances remaining in allocation set-
    aside = Total NOX allowances remaining in allocation set-
    aside x (Unit's NOX allowance allocation / State trading 
    program budget excluding allocation set-aside)

Where:

``Total NOX allowances remaining in allocation set-aside'' is 
the total number of NOX allowances remaining in the 
allocation set-aside for the control period to which the allocation set-
aside applies;
``Unit's NOX allowance allocation'' is the number of 
NOX allowances allocated under paragraph (b) or (c) of this 
section to the unit for the control period to which the allocation set-
aside applies; and
``State trading program budget excluding allocation set-aside'' is the 
State trading program budget under Sec. 96.40 for the control period to 
which the allocation set-aside applies multiplied by 95 percent if the 
control period is in 2003, 2004, or 2005 or 98 percent if the control 
period is in any year thereafter, rounded to the nearest whole 
NOX allowance as appropriate.

[63 FR 57514, Oct. 27, 1998, as amended at 63 FR 71225, Dec. 24, 1998]



           Subpart F--NOX Allowance Tracking System



Sec. 96.50  NOX Allowance Tracking System accounts.

    (a) Nature and function of compliance accounts and overdraft 
accounts. Consistent with Sec. 96.51(a), the Administrator will 
establish one compliance account for each NOX Budget unit and 
one overdraft account for each source with one or more NOX 
Budget units. Allocations of NOX allowances pursuant to 
subpart E of this part or Sec. 96.88 and deductions or transfers of 
NOX allowances pursuant to Sec. 96.31, Sec. 96.54, 
Sec. 96.56, subpart G of this part, or subpart I of this part will be 
recorded in the compliance accounts or overdraft accounts in accordance 
with this subpart.
    (b) Nature and function of general accounts. Consistent with 
Sec. 96.51(b), the Administrator will establish, upon request, a general 
account for any person. Transfers of allowances pursuant to subpart G of 
this part will be recorded in the general account in accordance with 
this subpart.



Sec. 96.51  Establishment of accounts.

    (a) Compliance accounts and overdraft accounts. Upon receipt of a 
complete account certificate of representation under Sec. 96.13, the 
Administrator will establish:
    (1) A compliance account for each NOX Budget unit for 
which the account certificate of representation was submitted; and
    (2) An overdraft account for each source for which the account 
certificate of representation was submitted and that has two or more 
NOX Budget units.
    (b) General accounts. (1) Any person may apply to open a general 
account for the purpose of holding and transferring allowances. A 
complete application for a general account shall be submitted to the 
Administrator and shall include the following elements in a format 
prescribed by the Administrator:
    (i) Name, mailing address, e-mail address (if any), telephone 
number, and facsimile transmission number (if any) of the NOX 
authorized account representative and any alternate NOX 
authorized account representative;
    (ii) At the option of the NOX authorized account 
representative, organization name and type of organization;
    (iii) A list of all persons subject to a binding agreement for the 
NOX authorized account representative or any alternate 
NOX authorized account representative to represent their 
ownership interest with respect to the allowances held in the general 
account;
    (iv) The following certification statement by the NOX 
authorized account representative and any alternate NOX 
authorized account representative: ``I certify that I was selected as 
the NOX authorized account representative or the 
NOX alternate authorized account representative, as 
applicable, by an

[[Page 687]]

agreement that is binding on all persons who have an ownership interest 
with respect to allowances held in the general account. I certify that I 
have all the necessary authority to carry out my duties and 
responsibilities under the NOX Budget Trading Program on 
behalf of such persons and that each such person shall be fully bound by 
my representations, actions, inactions, or submissions and by any order 
or decision issued to me by the Administrator or a court regarding the 
general account.''
    (v) The signature of the NOX authorized account 
representative and any alternate NOX authorized account 
representative and the dates signed.
    (vi) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the account 
certificate of representation shall not be submitted to the permitting 
authority or the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.
    (2) Upon receipt by the Administrator of a complete application for 
a general account under paragraph (b)(1) of this section:
    (i) The Administrator will establish a general account for the 
person or persons for whom the application is submitted.
    (ii) The NOX authorized account representative and any 
alternate NOX authorized account representative for the 
general account shall represent and, by his or her representations, 
actions, inactions, or submissions, legally bind each person who has an 
ownership interest with respect to NOX allowances held in the 
general account in all matters pertaining to the NOX Budget 
Trading Program, not withstanding any agreement between the 
NOX authorized account representative or any alternate 
NOX authorized account representative and such person. Any 
such person shall be bound by any order or decision issued to the 
NOX authorized account representative or any alternate 
NOX authorized account representative by the Administrator or 
a court regarding the general account.
    (iii) Each submission concerning the general account shall be 
submitted, signed, and certified by the NOX authorized 
account representative or any alternate NOX authorized 
account representative for the persons having an ownership interest with 
respect to NOX allowances held in the general account. Each 
such submission shall include the following certification statement by 
the NOX authorized account representative or any alternate 
NOX authorized account representative any: ``I am authorized 
to make this submission on behalf of the persons having an ownership 
interest with respect to the NOX allowances held in the 
general account. I certify under penalty of law that I have personally 
examined, and am familiar with, the statements and information submitted 
in this document and all its attachments. Based on my inquiry of those 
individuals with primary responsibility for obtaining the information, I 
certify that the statements and information are to the best of my 
knowledge and belief true, accurate, and complete. I am aware that there 
are significant penalties for submitting false statements and 
information or omitting required statements and information, including 
the possibility of fine or imprisonment.''
    (iv) The Administrator will accept or act on a submission concerning 
the general account only if the submission has been made, signed, and 
certified in accordance with paragraph (b)(2)(iii) of this section.
    (3)(i) An application for a general account may designate one and 
only one NOX authorized account representative and one and 
only one alternate NOX authorized account representative who 
may act on behalf of the NOX authorized account 
representative. The agreement by which the alternate NOX 
authorized account representative is selected shall include a procedure 
for authorizing the alternate NOX authorized account 
representative to act in lieu of the NOX authorized account 
representative.
    (ii) Upon receipt by the Administrator of a complete application for 
a general account under paragraph (b)(1)

[[Page 688]]

of this section, any representation, action, inaction, or submission by 
any alternate NOX authorized account representative shall be 
deemed to be a representation, action, inaction, or submission by the 
NOX authorized account representative.
    (4)(i) The NOX authorized account representative for a 
general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous NOX authorized account representative prior to the 
time and date when the Administrator receives the superseding 
application for a general account shall be binding on the new 
NOX authorized account representative and the persons with an 
ownership interest with respect to the allowances in the general 
account.
    (ii) The alternate NOX authorized account representative 
for a general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous alternate NOX authorized account representative 
prior to the time and date when the Administrator receives the 
superseding application for a general account shall be binding on the 
new alternate NOX authorized account representative and the 
persons with an ownership interest with respect to the allowances in the 
general account.
    (iii)(A) In the event a new person having an ownership interest with 
respect to NOX allowances in the general account is not 
included in the list of such persons in the account certificate of 
representation, such new person shall be deemed to be subject to and 
bound by the account certificate of representation, the representation, 
actions, inactions, and submissions of the NOX authorized 
account representative and any alternate NOX authorized 
account representative of the source or unit, and the decisions, orders, 
actions, and inactions of the Administrator, as if the new person were 
included in such list.
    (B) Within 30 days following any change in the persons having an 
ownership interest with respect to NOX allowances in the 
general account, including the addition of persons, the NOX 
authorized account representative or any alternate NOX 
authorized account representative shall submit a revision to the 
application for a general account amending the list of persons having an 
ownership interest with respect to the NOX allowances in the 
general account to include the change.
    (5)(i) Once a complete application for a general account under 
paragraph (b)(1) of this section has been submitted and received, the 
Administrator will rely on the application unless and until a 
superseding complete application for a general account under paragraph 
(b)(1) of this section is received by the Administrator.
    (ii) Except as provided in paragraph (b)(4) of this section, no 
objection or other communication submitted to the Administrator 
concerning the authorization, or any representation, action, inaction, 
or submission of the NOX authorized account representative or 
any alternate NOX authorized account representative for a 
general account shall affect any representation, action, inaction, or 
submission of the NOX authorized account representative or 
any alternate NOX authorized account representative or the 
finality of any decision or order by the Administrator under the 
NOX Budget Trading Program.
    (iii) The Administrator will not adjudicate any private legal 
dispute concerning the authorization or any representation, action, 
inaction, or submission of the NOX authorized account 
representative or any alternate NOX authorized account 
representative for a general account, including private legal disputes 
concerning the proceeds of NOX allowance transfers.
    (c) Account identification. The Administrator will assign a unique 
identifying number to each account established under paragraph (a) or 
(b) of this section.

[[Page 689]]



Sec. 96.52  NOX Allowance Tracking System responsibilities of 
NOX authorized account representative.

    (a) Following the establishment of a NOX Allowance 
Tracking System account, all submissions to the Administrator pertaining 
to the account, including, but not limited to, submissions concerning 
the deduction or transfer of NOX allowances in the account, 
shall be made only by the NOX authorized account 
representative for the account.
    (b) Authorized account representative identification. The 
Administrator will assign a unique identifying number to each 
NOX authorized account representative.



Sec. 96.53  Recordation of NOX allowance allocations.

    (a) The Administrator will record the NOX allowances for 
2003 in the NOX Budget units' compliance accounts and the 
allocation set-asides, as allocated under subpart E of this part. The 
Administrator will also record the NOX allowances allocated 
under Sec. 96.88(a)(1) for each NOX Budget opt-in source in 
its compliance account.
    (b) Each year, after the Administrator has made all deductions from 
a NOX Budget unit's compliance account and the overdraft 
account pursuant to Sec. 96.54, the Administrator will record 
NOX allowances, as allocated to the unit under subpart E of 
this part or under Sec. 96.88(a)(2), in the compliance account for the 
year after the last year for which allowances were previously allocated 
to the compliance account. Each year, the Administrator will also record 
NOX allowances, as allocated under subpart E of this part, in 
the allocation set-aside for the year after the last year for which 
allowances were previously allocated to an allocation set-aside.
    (c) Serial numbers for allocated NOX allowances. When 
allocating NOX allowances to and recording them in an 
account, the Administrator will assign each NOX allowance a 
unique identification number that will include digits identifying the 
year for which the NOX allowance is allocated.



Sec. 96.54  Compliance.

    (a) NOX allowance transfer deadline. The NOX 
allowances are available to be deducted for compliance with a unit's 
NOX Budget emissions limitation for a control period in a 
given year only if the NOX allowances:
    (1) Were allocated for a control period in a prior year or the same 
year; and
    (2) Are held in the unit's compliance account, or the overdraft 
account of the source where the unit is located, as of the 
NOX allowance transfer deadline for that control period or 
are transferred into the compliance account or overdraft account by a 
NOX allowance transfer correctly submitted for recordation 
under Sec. 96.60 by the NOX allowance transfer deadline for 
that control period.
    (b) Deductions for compliance. (1) Following the recordation, in 
accordance with Sec. 96.61, of NOX allowance transfers 
submitted for recordation in the unit's compliance account or the 
overdraft account of the source where the unit is located by the 
NOX allowance transfer deadline for a control period, the 
Administrator will deduct NOX allowances available under 
paragraph (a) of this section to cover the unit's NOX 
emissions (as determined in accordance with subpart H of this part), or 
to account for actual utilization under Sec. 96.42(e), for the control 
period:
    (i) From the compliance account; and
    (ii) Only if no more NOX allowances available under 
paragraph (a) of this section remain in the compliance account, from the 
overdraft account. In deducting allowances for units at the source from 
the overdraft account, the Administrator will begin with the unit having 
the compliance account with the lowest NOX Allowance Tracking 
System account number and end with the unit having the compliance 
account with the highest NOX Allowance Tracking System 
account number (with account numbers sorted beginning with the left-most 
character and ending with the right-most character and the letter 
characters assigned values in alphabetical order and less than all 
numeric characters).
    (2) The Administrator will deduct NOX allowances first 
under paragraph

[[Page 690]]

(b)(1)(i) of this section and then under paragraph (b)(1)(ii) of this 
section:
    (i) Until the number of NOX allowances deducted for the 
control period equals the number of tons of NOX emissions, 
determined in accordance with subpart H of this part, from the unit for 
the control period for which compliance is being determined, plus the 
number of NOX allowances required for deduction to account 
for actual utilization under Sec. 96.42(e) for the control period; or
    (ii) Until no more NOX allowances available under 
paragraph (a) of this section remain in the respective account.
    (c)(1) Identification of NOX allowances by serial number. 
The NOX authorized account representative for each compliance 
account may identify by serial number the NOX allowances to 
be deducted from the unit's compliance account under paragraph (b), (d), 
or (e) of this section. Such identification shall be made in the 
compliance certification report submitted in accordance with Sec. 96.30.
    (2) First-in, first-out. The Administrator will deduct 
NOX allowances for a control period from the compliance 
account, in the absence of an identification or in the case of a partial 
identification of NOX allowances by serial number under 
paragraph (c)(1) of this section, or the overdraft account on a first-
in, first-out (FIFO) accounting basis in the following order:
    (i) Those NOX allowances that were allocated for the 
control period to the unit under subpart E or I of this part;
    (ii) Those NOX allowances that were allocated for the 
control period to any unit and transferred and recorded in the account 
pursuant to subpart G of this part, in order of their date of 
recordation;
    (iii) Those NOX allowances that were allocated for a 
prior control period to the unit under subpart E or I of this part; and
    (iv) Those NOX allowances that were allocated for a prior 
control period to any unit and transferred and recorded in the account 
pursuant to subpart G of this part, in order of their date of 
recordation.
    (d) Deductions for excess emissions. (1) After making the deductions 
for compliance under paragraph (b) of this section, the Administrator 
will deduct from the unit's compliance account or the overdraft account 
of the source where the unit is located a number of NOX 
allowances, allocated for a control period after the control period in 
which the unit has excess emissions, equal to three times the number of 
the unit's excess emissions.
    (2) If the compliance account or overdraft account does not contain 
sufficient NOX allowances, the Administrator will deduct the 
required number of NOX allowances, regardless of the control 
period for which they were allocated, whenever NOX allowances 
are recorded in either account.
    (3) Any allowance deduction required under paragraph (d) of this 
section shall not affect the liability of the owners and operators of 
the NOX Budget unit for any fine, penalty, or assessment, or 
their obligation to comply with any other remedy, for the same 
violation, as ordered under the CAA or applicable State law. The 
following guidelines will be followed in assessing fines, penalties or 
other obligations:
    (i) For purposes of determining the number of days of violation, if 
a NOX Budget unit has excess emissions for a control period, 
each day in the control period (153 days) constitutes a day in violation 
unless the owners and operators of the unit demonstrate that a lesser 
number of days should be considered.
    (ii) Each ton of excess emissions is a separate violation.
    (e) Deductions for units sharing a common stack. In the case of 
units sharing a common stack and having emissions that are not 
separately monitored or apportioned in accordance with subpart H of this 
part:
    (1) The NOX authorized account representative of the 
units may identify the percentage of NOX allowances to be 
deducted from each such unit's compliance account to cover the unit's 
share of NOX emissions from the common stack for a control 
period. Such identification shall be made in the compliance 
certification report submitted in accordance with Sec. 96.30.
    (2) Notwithstanding paragraph (b)(2)(i) of this section, the 
Administrator will deduct NOX allowances for

[[Page 691]]

each such unit until the number of NOX allowances deducted 
equals the unit's identified percentage (under paragraph (e)(1) of this 
section) of the number of tons of NOX emissions, as 
determined in accordance with subpart H of this part, from the common 
stack for the control period for which compliance is being determined 
or, if no percentage is identified, an equal percentage for each such 
unit, plus the number of allowances required for deduction to account 
for actual utilization under Sec. 96.42(e) for the control period.
    (f) The Administrator will record in the appropriate compliance 
account or overdraft account all deductions from such an account 
pursuant to paragraphs (b), (d), or (e) of this section.



Sec. 96.55  Banking.

    (a) NOX allowances may be banked for future use or 
transfer in a compliance account, an overdraft account, or a general 
account, as follows:
    (1) Any NOX allowance that is held in a compliance 
account, an overdraft account, or a general account will remain in such 
account unless and until the NOX allowance is deducted or 
transferred under Sec. 96.31, Sec. 96.54, Sec. 96.56, subpart G of this 
part, or subpart I of this part.
    (2) The Administrator will designate, as a ``banked'' NOX 
allowance, any NOX allowance that remains in a compliance 
account, an overdraft account, or a general account after the 
Administrator has made all deductions for a given control period from 
the compliance account or overdraft account pursuant to Sec. 96.54.
    (b) Each year starting in 2004, after the Administrator has 
completed the designation of banked NOX allowances under 
paragraph (a)(2) of this section and before May 1 of the year, the 
Administrator will determine the extent to which banked NOX 
allowances may be used for compliance in the control period for the 
current year, as follows:
    (1) The Administrator will determine the total number of banked 
NOX allowances held in compliance accounts, overdraft 
accounts, or general accounts.
    (2) If the total number of banked NOX allowances 
determined, under paragraph (b)(1) of this section, to be held in 
compliance accounts, overdraft accounts, or general accounts is less 
than or equal to 10% of the sum of the State trading program budgets for 
the control period for the States in which NOX Budget units 
are located, any banked NOX allowance may be deducted for 
compliance in accordance with Sec. 96.54.
    (3) If the total number of banked NOX allowances 
determined, under paragraph (b)(1) of this section, to be held in 
compliance accounts, overdraft accounts, or general accounts exceeds 10% 
of the sum of the State trading program budgets for the control period 
for the States in which NOX Budget units are located, any 
banked allowance may be deducted for compliance in accordance with 
Sec. 96.54, except as follows:
    (i) The Administrator will determine the following ratio: 0.10 
multiplied by the sum of the State trading program budgets for the 
control period for the States in which NOX Budget units are 
located and divided by the total number of banked NOX 
allowances determined, under paragraph (b)(1) of this section, to be 
held in compliance accounts, overdraft accounts, or general accounts.
    (ii) The Administrator will multiply the number of banked 
NOX allowances in each compliance account or overdraft 
account. The resulting product is the number of banked NOX 
allowances in the account that may be deducted for compliance in 
accordance with Sec. 96.54. Any banked NOX allowances in 
excess of the resulting product may be deducted for compliance in 
accordance with Sec. 96.54, except that, if such NOX 
allowances are used to make a deduction, two such NOX 
allowances must be deducted for each deduction of one NOX 
allowance required under Sec. 96.54.
    (c) Any NOX Budget unit may reduce its NOX 
emission rate in the 2001 or 2002 control period, the owner or operator 
of the unit may request early reduction credits, and the permitting 
authority may allocate NOX allowances in 2003 to the unit in 
accordance with the following requirements.
    (1) Each NOX Budget unit for which the owner or operator 
requests any early reduction credits under paragraph (c)(4) of this 
section shall monitor NOX emissions in accordance with

[[Page 692]]

subpart H of this part starting in the 2000 control period and for each 
control period for which such early reduction credits are requested. The 
unit's monitoring system availability shall be not less than 90 percent 
during the 2000 control period, and the unit must be in compliance with 
any applicable State or Federal emissions or emissions-related 
requirements.
    (2) NOX emission rate and heat input under paragraphs 
(c)(3) through (5) of this section shall be determined in accordance 
with subpart H of this part.
    (3) Each NOX Budget unit for which the owner or operator 
requests any early reduction credits under paragraph (c)(4) of this 
section shall reduce its NOX emission rate, for each control 
period for which early reduction credits are requested, to less than 
both 0.25 lb/mmBtu and 80 percent of the unit's NOX emission 
rate in the 2000 control period.
    (4) The NOX authorized account representative of a 
NOX Budget unit that meets the requirements of paragraphs 
(c)(1)and (3) of this section may submit to the permitting authority a 
request for early reduction credits for the unit based on NOX 
emission rate reductions made by the unit in the control period for 2001 
or 2002 in accordance with paragraph (c)(3) of this section.
    (i) In the early reduction credit request, the NOX 
authorized account may request early reduction credits for such control 
period in an amount equal to the unit's heat input for such control 
period multiplied by the difference between 0.25 lb/mmBtu and the unit's 
NOX emission rate for such control period, divided by 2000 
lb/ton, and rounded to the nearest ton.
    (ii) The early reduction credit request must be submitted, in a 
format specified by the permitting authority, by October 31 of the year 
in which the NOX emission rate reductions on which the 
request is based are made or such later date approved by the permitting 
authority.
    (5) The permitting authority will allocate NOX 
allowances, to NOX Budget units meeting the requirements of 
paragraphs (c)(1) and (3) of this section and covered by early reduction 
requests meeting the requirements of paragraph (c)(4)(ii) of this 
section, in accordance with the following procedures:
    (i) Upon receipt of each early reduction credit request, the 
permitting authority will accept the request only if the requirements of 
paragraphs (c)(1), (c)(3), and (c)(4)(ii) of this section are met and, 
if the request is accepted, will make any necessary adjustments to the 
request to ensure that the amount of the early reduction credits 
requested meets the requirement of paragraphs (c)(2) and (4) of this 
section.
    (ii) If the State's compliance supplement pool has an amount of 
NOX allowances not less than the number of early reduction 
credits in all accepted early reduction credit requests for 2001 and 
2002 (as adjusted under paragraph (c)(5)(i) of this section), the 
permitting authority will allocate to each NOX Budget unit 
covered by such accepted requests one allowance for each early reduction 
credit requested (as adjusted under paragraph (c)(5)(i) of this 
section).
    (iii) If the State's compliance supplement pool has a smaller amount 
of NOX allowances than the number of early reduction credits 
in all accepted early reduction credit requests for 2001 and 2002 (as 
adjusted under paragraph (c)(5)(i) of this section), the permitting 
authority will allocate NOX allowances to each NOX 
Budget unit covered by such accepted requests according to the following 
formula:

Unit's allocated early reduction credits = [(Unit's adjusted early 
    reduction credits) / (Total adjusted early reduction credits 
    requested by all units)]x(Available NOX allowances from 
    the State's compliance supplement pool)

where:

``Unit's adjusted early reduction credits'' is the number of early 
reduction credits for the unit for 2001 and 2002 in accepted early 
reduction credit requests, as adjusted under paragraph (c)(5)(i) of this 
section.
``Total adjusted early reduction credits requested by all units'' is the 
number of early reduction credits for all units for 2001 and 2002 in 
accepted early reduction credit requests, as adjusted under paragraph 
(c)(5)(i) of this section.

[[Page 693]]

``Available NOX allowances from the State's compliance 
supplement pool'' is the number of NOX allowances in the 
State's compliance supplement pool and available for early reduction 
credits for 2001 and 2002.

    (6) By May 1, 2003, the permitting authority will submit to the 
Administrator the allocations of NOX allowances determined 
under paragraph (c)(5) of this section. The Administrator will record 
such allocations to the extent that they are consistent with the 
requirements of paragraphs (c)(1) through (5) of this section.
    (7) NOX allowances recorded under paragraph (c)(6) of 
this section may be deducted for compliance under Sec. 96.54 for the 
control periods in 2003 or 2004. Notwithstanding paragraph (a) of this 
section, the Administrator will deduct as retired any NOX 
allowance that is recorded under paragraph (c)(6) of this section and is 
not deducted for compliance in accordance with Sec. 96.54 for the 
control period in 2003 or 2004.
    (8) NOX allowances recorded under paragraph (c)(6) of 
this section are treated as banked allowances in 2004 for the purposes 
of paragraphs (a) and (b) of this section.



Sec. 96.56  Account error.

    The Administrator may, at his or her sole discretion and on his or 
her own motion, correct any error in any NOX Allowance 
Tracking System account. Within 10 business days of making such 
correction, the Administrator will notify the NOX authorized 
account representative for the account.



Sec. 96.57  Closing of general accounts.

    (a) The NOX authorized account representative of a 
general account may instruct the Administrator to close the account by 
submitting a statement requesting deletion of the account from the 
NOX Allowance Tracking System and by correctly submitting for 
recordation under Sec. 96.60 an allowance transfer of all NOX 
allowances in the account to one or more other NOX Allowance 
Tracking System accounts.
    (b) If a general account shows no activity for a period of a year or 
more and does not contain any NOX allowances, the 
Administrator may notify the NOX authorized account 
representative for the account that the account will be closed and 
deleted from the NOX Allowance Tracking System following 20 
business days after the notice is sent. The account will be closed after 
the 20-day period unless before the end of the 20-day period the 
Administrator receives a correctly submitted transfer of NOX 
allowances into the account under Sec. 96.60 or a statement submitted by 
the NOX authorized account representative demonstrating to 
the satisfaction of the Administrator good cause as to why the account 
should not be closed.



              Subpart G--NOX Allowance Transfers



Sec. 96.60  Submission of NOX allowance transfers.

    The NOX authorized account representatives seeking 
recordation of a NOX allowance transfer shall submit the 
transfer to the Administrator. To be considered correctly submitted, the 
NOX allowance transfer shall include the following elements 
in a format specified by the Administrator:
    (a) The numbers identifying both the transferor and transferee 
accounts;
    (b) A specification by serial number of each NOX 
allowance to be transferred; and
    (c) The printed name and signature of the NOX authorized 
account representative of the transferor account and the date signed.



Sec. 96.61  EPA recordation.

    (a) Within 5 business days of receiving a NOX allowance 
transfer, except as provided in paragraph (b) of this section, the 
Administrator will record a NOX allowance transfer by moving 
each NOX allowance from the transferor account to the 
transferee account as specified by the request, provided that:
    (1) The transfer is correctly submitted under Sec. 96.60;
    (2) The transferor account includes each NOX allowance 
identified by serial number in the transfer; and
    (3) The transfer meets all other requirements of this part.
    (b) A NOX allowance transfer that is submitted for 
recordation following the NOX allowance transfer deadline and 
that includes any NOX allowances allocated for a control 
period prior to or

[[Page 694]]

the same as the control period to which the NOX allowance 
transfer deadline applies will not be recorded until after completion of 
the process of recordation of NOX allowance allocations in 
Sec. 96.53(b).
    (c) Where a NOX allowance transfer submitted for 
recordation fails to meet the requirements of paragraph (a) of this 
section, the Administrator will not record such transfer.



Sec. 96.62  Notification.

    (a) Notification of recordation. Within 5 business days of 
recordation of a NOX allowance transfer under Sec. 96.61, the 
Administrator will notify each party to the transfer. Notice will be 
given to the NOX authorized account representatives of both 
the transferror and transferee accounts.
    (b) Notification of non-recordation. Within 10 business days of 
receipt of a NOX allowance transfer that fails to meet the 
requirements of Sec. 96.61(a), the Administrator will notify the 
NOX authorized account representatives of both accounts 
subject to the transfer of:
    (1) A decision not to record the transfer, and (2) The reasons for 
such non-recordation.
    (c) Nothing in this section shall preclude the submission of a 
NOX allowance transfer for recordation following notification 
of non-recordation.



                   Subpart H--Monitoring and Reporting



Sec. 96.70  General requirements.

    The owners and operators, and to the extent applicable, the 
NOX authorized account representative of a NOX 
Budget unit, shall comply with the monitoring and reporting requirements 
as provided in this subpart and in subpart H of part 75 of this chapter. 
For purposes of complying with such requirements, the definitions in 
Sec. 96.2 and in Sec. 72.2 of this chapter shall apply, and the terms 
``affected unit,'' ``designated representative,'' and ``continuous 
emission monitoring system'' (or ``CEMS'') in part 75 of this chapter 
shall be replaced by the terms ``NOX Budget unit,'' 
``NOX authorized account representative,'' and ``continuous 
emission monitoring system'' (or ``CEMS''), respectively, as defined in 
Sec. 96.2.
    (a) Requirements for installation, certification, and data 
accounting. The owner or operator of each NOX Budget unit 
must meet the following requirements. These provisions also apply to a 
unit for which an application for a NOX Budget opt-in permit 
is submitted and not denied or withdrawn, as provided in subpart I of 
this part:
    (1) Install all monitoring systems required under this subpart for 
monitoring NOX mass. This includes all systems required to 
monitor NOX emission rate, NOX concentration, heat 
input, and flow, in accordance with Secs. 75.72 and 75.76.
    (2) Install all monitoring systems for monitoring heat input, if 
required under Sec. 96.76 for developing NOX allowance 
allocations.
    (3) Successfully complete all certification tests required under 
Sec. 96.71 and meet all other provisions of this subpart and part 75 of 
this chapter applicable to the monitoring systems under paragraphs 
(a)(1) and (2) of this section.
    (4) Record, and report data from the monitoring systems under 
paragraphs (a)(1) and (2) of this section.
    (b) Compliance dates. The owner or operator must meet the 
requirements of paragraphs (a)(1) through (a)(3) of this section on or 
before the following dates and must record and report data on and after 
the following dates:
    (1) NOX Budget units for which the owner or operator 
intends to apply for early reduction credits under Sec. 96.55(d) must 
comply with the requirements of this subpart by May 1, 2000.
    (2) Except for NOX Budget units under paragraph (b)(1) of 
this section, NOX Budget units under Sec. 96.4 that commence 
operation before January 1, 2002, must comply with the requirements of 
this subpart by May 1, 2002.
    (3) NOX Budget units under Sec. 96.4 that commence 
operation on or after January 1, 2002 and that report on an annual basis 
under Sec. 96.74(d) must comply with the requirements of this subpart by 
the later of the following dates:
    (i) May 1, 2002; or
    (ii) The earlier of:
    (A) 180 days after the date on which the unit commences operation 
or, (B) For units under Sec. 96.4(a)(1), 90 days

[[Page 695]]

after the date on which the unit commences commercial operation.
    (4) NOX Budget units under Sec. 96.4 that commence 
operation on or after January 1, 2002 and that report on a control 
season basis under Sec. 96.74(d) must comply with the requirements of 
this subpart by the later of the following dates:
    (i) The earlier of:
    (A) 180 days after the date on which the unit commences operation 
or,
    (B) For units under Sec. 96.4(a)(1), 90 days after the date on which 
the unit commences commercial operation.
    (ii) However, if the applicable deadline under paragraph (b)(4)(i) 
section does not occur during a control period, May 1; immediately 
following the date determined in accordance with paragraph (b)(4)(i) of 
this section.
    (5) For a NOX Budget unit with a new stack or flue for 
which construction is completed after the applicable deadline under 
paragraph ( b)(1), (b)(2) or (b)(3) of this section or subpart I of this 
part:
    (i) 90 days after the date on which emissions first exit to the 
atmosphere through the new stack or flue;
    (ii) However, if the unit reports on a control season basis under 
Sec. 96.74(d) and the applicable deadline under paragraph (b)(5)(i) of 
this section does not occur during the control period, May 1 immediately 
following the applicable deadline in paragraph (b)(5)(i) of this 
section.
    (6) For a unit for which an application for a NOX Budget 
opt in permit is submitted and not denied or withdrawn, the compliance 
dates specified under subpart I of this part.
    (c) Reporting data prior to initial certification. (1) The owner or 
operator of a NOX Budget unit that misses the certification 
deadline under paragraph (b)(1) of this section is not eligible to apply 
for early reduction credits. The owner or operator of the unit becomes 
subject to the certification deadline under paragraph (b)(2) of this 
section.
    (2) The owner or operator of a NOX Budget under 
paragraphs (b)(3) or (b)(4) of this section must determine, record and 
report NOX mass, heat input (if required for purposes of 
allocations) and any other values required to determine NOX 
Mass (e.g. NOX emission rate and heat input or NOX 
concentration and stack flow) using the provisions of Sec. 75.70(g) of 
this chapter, from the date and hour that the unit starts operating 
until all required certification tests are successfully completed.
    (d) Prohibitions. (1) No owner or operator of a NOX 
Budget unit or a non-NOX Budget unit monitored under 
Sec. 75.72(b)(2)(ii) shall use any alternative monitoring system, 
alternative reference method, or any other alternative for the required 
continuous emission monitoring system without having obtained prior 
written approval in accordance with Sec. 96.75.
    (2) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec. 75.72(b)(2)(ii) shall 
operate the unit so as to discharge, or allow to be discharged, 
NOX emissions to the atmosphere without accounting for all 
such emissions in accordance with the applicable provisions of this 
subpart and part 75 of this chapter except as provided for in Sec. 75.74 
of this chapter.
    (3) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec. 75.72(b)(2)(ii) shall 
disrupt the continuous emission monitoring system, any portion thereof, 
or any other approved emission monitoring method, and thereby avoid 
monitoring and recording NOX mass emissions discharged into 
the atmosphere, except for periods of recertification or periods when 
calibration, quality assurance testing, or maintenance is performed in 
accordance with the applicable provisions of this subpart and part 75 of 
this chapter except as provided for in Sec. 75.74 of this chapter.
    (4) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec. 75.72(b)(2)(ii) shall 
retire or permanently discontinue use of the continuous emission 
monitoring system, any component thereof, or any other approved emission 
monitoring system under this subpart, except under any one of the 
following circumstances:
    (i) During the period that the unit is covered by a retired unit 
exemption under Sec. 96.5 that is in effect;
    (ii) The owner or operator is monitoring emissions from the unit 
with another certified monitoring system approved, in accordance with 
the applicable provisions of this subpart and part

[[Page 696]]

75 of this chapter, by the permitting authority for use at that unit 
that provides emission data for the same pollutant or parameter as the 
retired or discontinued monitoring system; or
    (iii) The NOX authorized account representative submits 
notification of the date of certification testing of a replacement 
monitoring system in accordance with Sec. 96.71(b)(2).



Sec. 96.71  Initial certification and recertification procedures

    (a) The owner or operator of a NOX Budget unit that is 
subject to an Acid Rain emissions limitation shall comply with the 
initial certification and recertification procedures of part 75 of this 
chapter, except that:
    (1) If, prior to January 1, 1998, the Administrator approved a 
petition under Sec. 75.17(a) or (b) of this chapter for apportioning the 
NOX emission rate measured in a common stack or a petition 
under Sec. 75.66 of this chapter for an alternative to a requirement in 
Sec. 75.17 of this chapter, the NOX authorized account 
representative shall resubmit the petition to the Administrator under 
Sec. 96.75(a) to determine if the approval applies under the 
NOX Budget Trading Program.
    (2) For any additional CEMS required under the common stack 
provisions in Sec. 75.72 of this chapter, or for any NOX 
concentration CEMS used under the provisions of Sec. 75.71(a)(2) of this 
chapter, the owner or operator shall meet the requirements of paragraph 
(b) of this section.
    (b) The owner or operator of a NOX Budget unit that is 
not subject to an Acid Rain emissions limitation shall comply with the 
following initial certification and recertification procedures, except 
that the owner or operator of a unit that qualifies to use the low mass 
emissions excepted monitoring methodology under Sec. 75.19 shall also 
meet the requirements of paragraph (c) of this section and the owner or 
operator of a unit that qualifies to use an alternative monitoring 
system under subpart E of part 75 of this chapter shall also meet the 
requirements of paragraph (d) of this section. The owner or operator of 
a NOX Budget unit that is subject to an Acid Rain emissions 
limitation, but requires additional CEMS under the common stack 
provisions in Sec. 75.72 of this chapter, or that uses a NOX 
concentration CEMS under Sec. 75.71(a)(2) of this chapter also shall 
comply with the following initial certification and recertification 
procedures.
    (1) Requirements for initial certification. The owner or operator 
shall ensure that each monitoring system required by subpart H of part 
75 of this chapter (which includes the automated data acquisition and 
handling system) successfully completes all of the initial certification 
testing required under Sec. 75.20 of this chapter. The owner or operator 
shall ensure that all applicable certification tests are successfully 
completed by the deadlines specified in Sec. 96.70(b). In addition, 
whenever the owner or operator installs a monitoring system in order to 
meet the requirements of this part in a location where no such 
monitoring system was previously installed, initial certification 
according to Sec. 75.20 is required.
    (2) Requirements for recertification. Whenever the owner or operator 
makes a replacement, modification, or change in a certified monitoring 
system that the Administrator or the permitting authority determines 
significantly affects the ability of the system to accurately measure or 
record NOX mass emissions or heat input or to meet the 
requirements of Sec. 75.21 of this chapter or appendix B to part 75 of 
this chapter, the owner or operator shall recertify the monitoring 
system according to Sec. 75.20(b) of this chapter. Furthermore, whenever 
the owner or operator makes a replacement, modification, or change to 
the flue gas handling system or the unit's operation that the 
Administrator or the permitting authority determines to significantly 
change the flow or concentration profile, the owner or operator shall 
recertify the continuous emissions monitoring system according to 
Sec. 75.20(b) of this chapter. Examples of changes which require 
recertification include: replacement of the analyzer, change in location 
or orientation of the sampling probe or site, or changing of flow rate 
monitor polynomial coefficients.
    (3) Certification approval process for initial certifications and 
recertification. (i) Notification of certification. The NOX

[[Page 697]]

authorized account representative shall submit to the permitting 
authority, the appropriate EPA Regional Office and the permitting 
authority a written notice of the dates of certification in accordance 
with Sec. 96.73.
    (ii) Certification application. The NOX authorized 
account representative shall submit to the permitting authority a 
certification application for each monitoring system required under 
subpart H of part 75 of this chapter. A complete certification 
application shall include the information specified in subpart H of part 
75 of this chapter.
    (iii) Except for units using the low mass emission excepted 
methodology under Sec. 75.19 of this chapter, the provisional 
certification date for a monitor shall be determined using the 
procedures set forth in Sec. 75.20(a)(3) of this chapter. A 
provisionally certified monitor may be used under the NOX 
Budget Trading Program for a period not to exceed 120 days after receipt 
by the permitting authority of the complete certification application 
for the monitoring system or component thereof under paragraph 
(b)(3)(ii) of this section. Data measured and recorded by the 
provisionally certified monitoring system or component thereof, in 
accordance with the requirements of part 75 of this chapter, will be 
considered valid quality-assured data (retroactive to the date and time 
of provisional certification), provided that the permitting authority 
does not invalidate the provisional certification by issuing a notice of 
disapproval within 120 days of receipt of the complete certification 
application by the permitting authority.
    (iv) Certification application formal approval process. The 
permitting authority will issue a written notice of approval or 
disapproval of the certification application to the owner or operator 
within 120 days of receipt of the complete certification application 
under paragraph (b)(3)(ii) of this section. In the event the permitting 
authority does not issue such a notice within such 120-day period, each 
monitoring system which meets the applicable performance requirements of 
part 75 of this chapter and is included in the certification application 
will be deemed certified for use under the NOX Budget Trading 
Program.
    (A) Approval notice. If the certification application is complete 
and shows that each monitoring system meets the applicable performance 
requirements of part 75 of this chapter, then the permitting authority 
will issue a written notice of approval of the certification application 
within 120 days of receipt.
    (B) Incomplete application notice. A certification application will 
be considered complete when all of the applicable information required 
to be submitted under paragraph (b)(3)(ii) of this section has been 
received by the permitting authority. If the certification application 
is not complete, then the permitting authority will issue a written 
notice of incompleteness that sets a reasonable date by which the 
NOX authorized account representative must submit the 
additional information required to complete the certification 
application. If the NOX authorized account representative 
does not comply with the notice of incompleteness by the specified date, 
then the permitting authority may issue a notice of disapproval under 
paragraph (b)(3)(iv)(C) of this section.
    (C) Disapproval notice. If the certification application shows that 
any monitoring system or component thereof does not meet the performance 
requirements of this part, or if the certification application is 
incomplete and the requirement for disapproval under paragraph 
(b)(3)(iv)(B) of this section has been met, the permitting authority 
will issue a written notice of disapproval of the certification 
application. Upon issuance of such notice of disapproval, the 
provisional certification is invalidated by the permitting authority and 
the data measured and recorded by each uncertified monitoring system or 
component thereof shall not be considered valid quality-assured data 
beginning with the date and hour of provisional certification. The owner 
or operator shall follow the procedures for loss of certification in 
paragraph (b)(3)(v) of this section for each monitoring system or 
component thereof which is disapproved for initial certification.

[[Page 698]]

    (D) Audit decertification. The permitting authority may issue a 
notice of disapproval of the certification status of a monitor in 
accordance with Sec. 96.72(b).
    (v) Procedures for loss of certification. If the permitting 
authority issues a notice of disapproval of a certification application 
under paragraph (b)(3)(iv)(C) of this section or a notice of disapproval 
of certification status under paragraph (b)(3)(iv)(D) of this section, 
then:
    (A) The owner or operator shall substitute the following values, for 
each hour of unit operation during the period of invalid data beginning 
with the date and hour of provisional certification and continuing until 
the time, date, and hour specified under Sec. 75.20(a)(5)(i) of this 
chapter:
    (1) For units using or intending to monitor for NOX 
emission rate and heat input or for units using the low mass emission 
excepted methodology under Sec. 75.19 of this chapter, the maximum 
potential NOX emission rate and the maximum potential hourly 
heat input of the unit.
    (2) For units intending to monitor for NOX mass emissions 
using a NOX pollutant concentration monitor and a flow 
monitor, the maximum potential concentration of NOX and the 
maximum potential flow rate of the unit under section 2.1 of appendix A 
of part 75 of this chapter;
    (B) The NOX authorized account representative shall 
submit a notification of certification retest dates and a new 
certification application in accordance with paragraphs (b)(3)(i) and 
(ii) of this section; and
    (C) The owner or operator shall repeat all certification tests or 
other requirements that were failed by the monitoring system, as 
indicated in the permitting authority's notice of disapproval, no later 
than 30 unit operating days after the date of issuance of the notice of 
disapproval.
    (c) Initial certification and recertification procedures for low 
mass emission units using the excepted methodologies under Sec. 75.19 of 
this chapter. The owner or operator of a gas-fired or oil-fired unit 
using the low mass emissions excepted methodology under Sec. 75.19 of 
this chapter shall meet the applicable general operating requirements of 
Sec. 75.10 of this chapter, the applicable requirements of Sec. 75.19 of 
this chapter, and the applicable certification requirements of 
Sec. 96.71 of this chapter, except that the excepted methodology shall 
be deemed provisionally certified for use under the NOX 
Budget Trading Program, as of the following dates:
    (1) For units that are reporting on an annual basis under 
Sec. 96.74(d);
    (i) For a unit that has commences operation before its compliance 
deadline under Sec. 96.71(b), from January 1 of the year following 
submission of the certification application for approval to use the low 
mass emissions excepted methodology under Sec. 75.19 of this chapter 
until the completion of the period for the permitting authority review; 
or
    (ii) For a unit that commences operation after its compliance 
deadline under Sec. 96.71(b), the date of submission of the 
certification application for approval to use the low mass emissions 
excepted methodology under Sec. 75.19 of this chapter until the 
completion of the period for permitting authority review, or
    (2) For units that are reporting on a control period basis under 
Sec. 96.74(b)(3)(ii) of this part:
    (i) For a unit that commenced operation before its compliance 
deadline under Sec. 96.71(b), where the certification application is 
submitted before May 1, from May 1 of the year of the submission of the 
certification application for approval to use the low mass emissions 
excepted methodology under Sec. 75.19 of this chapter until the 
completion of the period for the permitting authority review; or
    (ii) For a unit that commenced operation before its compliance 
deadline under Sec. 96.71(b), where the certification application is 
submitted after May 1, from May 1 of the year following submission of 
the certification application for approval to use the low mass emissions 
excepted methodology under Sec. 75.19 of this chapter until the 
completion of the period for the permitting authority review; or
    (iii) For a unit that commences operation after its compliance 
deadline under Sec. 96.71(b), where the unit commences operation before 
May 1, from

[[Page 699]]

May 1 of the year that the unit commenced operation, until the 
completion of the period for the permitting authority's review.
    (iv) For a unit that has not operated after its compliance deadline 
under Sec. 96.71(b), where the certification application is submitted 
after May 1, but before October 1st, from the date of submission of a 
certification application for approval to use the low mass emissions 
excepted methodology under Sec. 75.19 of this chapter until the 
completion of the period for the permitting authority's review.
    (d) Certification/recertification procedures for alternative 
monitoring systems. The NOX authorized account representative 
representing the owner or operator of each unit applying to monitor 
using an alternative monitoring system approved by the Administrator 
and, if applicable, the permitting authority under subpart E of part 75 
of this chapter shall apply for certification to the permitting 
authority prior to use of the system under the NOX Trading 
Program. The NOX authorized account representative shall 
apply for recertification following a replacement, modification or 
change according to the procedures in paragraph (b) of this section. The 
owner or operator of an alternative monitoring system shall comply with 
the notification and application requirements for certification 
according to the procedures specified in paragraph (b)(3) of this 
section and Sec. 75.20(f) of this chapter .



Sec. 96.72  Out of control periods.

    (a) Whenever any monitoring system fails to meet the quality 
assurance requirements of appendix B of part 75 of this chapter, data 
shall be substituted using the applicable procedures in subpart D, 
appendix D, or appendix E of part 75 of this chapter.
    (b) Audit decertification. Whenever both an audit of a monitoring 
system and a review of the initial certification or recertification 
application reveal that any system or component should not have been 
certified or recertified because it did not meet a particular 
performance specification or other requirement under Sec. 96.71 or the 
applicable provisions of part 75 of this chapter, both at the time of 
the initial certification or recertification application submission and 
at the time of the audit, the permitting authority will issue a notice 
of disapproval of the certification status of such system or component. 
For the purposes of this paragraph, an audit shall be either a field 
audit or an audit of any information submitted to the permitting 
authority or the Administrator. By issuing the notice of disapproval, 
the permitting authority revokes prospectively the certification status 
of the system or component. The data measured and recorded by the system 
or component shall not be considered valid quality-assured data from the 
date of issuance of the notification of the revoked certification status 
until the date and time that the owner or operator completes 
subsequently approved initial certification or recertification tests. 
The owner or operator shall follow the initial certification or 
recertification procedures in Sec. 96.71 for each disapproved system.



Sec. 96.73  Notifications.

    The NOX authorized account representative for a 
NOX Budget unit shall submit written notice to the permitting 
authority and the Administrator in accordance with Sec. 75.61 of this 
chapter, except that if the unit is not subject to an Acid Rain 
emissions limitation, the notification is only required to be sent to 
the permitting authority.



Sec. 96.74  Recordkeeping and reporting.

    (a) General provisions. (1) The NOX authorized account 
representative shall comply with all recordkeeping and reporting 
requirements in this section and with the requirements of Sec. 96.10(e).
    (2) If the NOX authorized account representative for a 
NOX Budget unit subject to an Acid Rain Emission limitation 
who signed and certified any submission that is made under subpart F or 
G of part 75 of this chapter and which includes data and information 
required under this subpart or subpart H of part 75 of this chapter is 
not the same person as the designated representative or the alternative 
designated representative for the unit

[[Page 700]]

under part 72 of this chapter, the submission must also be signed by the 
designated representative or the alternative designated representative.
    (b) Monitoring plans. (1) The owner or operator of a unit subject to 
an Acid Rain emissions limitation shall comply with requirements of 
Sec. 75.62 of this chapter, except that the monitoring plan shall also 
include all of the information required by subpart H of part 75 of this 
chapter.
    (2) The owner or operator of a unit that is not subject to an Acid 
Rain emissions limitation shall comply with requirements of Sec. 75.62 
of this chapter, except that the monitoring plan is only required to 
include the information required by subpart H of part 75 of this 
chapter.
    (c) Certification applications. The NOX authorized 
account representative shall submit an application to the permitting 
authority within 45 days after completing all initial certification or 
recertification tests required under Sec. 96.71 including the 
information required under subpart H of part 75 of this chapter.
    (d) Quarterly reports. The NOX authorized account 
representative shall submit quarterly reports, as follows:
    (1) If a unit is subject to an Acid Rain emission limitation or if 
the owner or operator of the NOX budget unit chooses to meet 
the annual reporting requirements of this subpart H, the NOX 
authorized account representative shall submit a quarterly report for 
each calendar quarter beginning with:
    (i) For units that elect to comply with the early reduction credit 
provisions under Sec. 96.55 of this part, the calender quarter that 
includes the date of initial provisional certification under 
Sec. 96.71(b)(3)(iii). Data shall be reported from the date and hour 
corresponding to the date and hour of provisional certification; or
    (ii) For units commencing operation prior to May 1, 2002 that are 
not required to certify monitors by May 1, 2000 under Sec. 96.70(b)(1), 
the earlier of the calender quarter that includes the date of initial 
provisional certification under Sec. 96.71(b)(3)(iii) or, if the 
certification tests are not completed by May 1, 2002, the partial 
calender quarter from May 1, 2002 through June 30, 2002. Data shall be 
recorded and reported from the earlier of the date and hour 
corresponding to the date and hour of provisional certification or the 
first hour on May 1, 2002; or
    (iii) For a unit that commences operation after May 1, 2002, the 
calendar quarter in which the unit commences operation, Data shall be 
reported from the date and hour corresponding to when the unit commenced 
operation.
    (2) If a NOX budget unit is not subject to an Acid Rain 
emission limitation, then the NOX authorized account 
representative shall either:
    (i) Meet all of the requirements of part 75 related to monitoring 
and reporting NOX mass emissions during the entire year and 
meet the reporting deadlines specified in paragraph (d)(1) of this 
section; or
    (ii) Submit quarterly reports only for the periods from the earlier 
of May 1 or the date and hour that the owner or operator successfully 
completes all of the recertification tests required under 
Sec. 75.74(d)(3) through September 30 of each year in accordance with 
the provisions of Sec. 75.74(b) of this chapter. The NOX 
authorized account representative shall submit a quarterly report for 
each calendar quarter, beginning with:
    (A) For units that elect to comply with the early reduction credit 
provisions under Sec. 96.55, the calender quarter that includes the date 
of initial provisional certification under Sec. 96.71(b)(3)(iii). Data 
shall be reported from the date and hour corresponding to the date and 
hour of provisional certification; or
    (B) For units commencing operation prior to May 1, 2002 that are not 
required to certify monitors by May 1, 2000 under Sec. 96.70(b)(1), the 
earlier of the calender quarter that includes the date of initial 
provisional certification under Sec. 96.71(b)(3)(iii), or if the 
certification tests are not completed by May 1, 2002, the partial 
calender quarter from May 1, 2002 through June 30, 2002. Data shall be 
reported from the earlier of the date and hour corresponding to the date 
and hour of provisional certification or the first hour of May 1, 2002; 
or
    (C) For units that commence operation after May 1, 2002 during the 
control period, the calender quarter in

[[Page 701]]

which the unit commences operation. Data shall be reported from the date 
and hour corresponding to when the unit commenced operation; or
    (D) For units that commence operation after May 1, 2002 and before 
May 1 of the year in which the unit commences operation, the earlier of 
the calender quarter that includes the date of initial provisional 
certification under Sec. 96.71(b)(3)(iii) or, if the certification tests 
are not completed by May 1 of the year in which the unit commences 
operation, May 1 of the year in which the unit commences operation. Data 
shall be reported from the earlier of the date and hour corresponding to 
the date and hour of provisional certification or the first hour of May 
1 of the year after the unit commences operation.
    (E) For units that commence operation after May 1, 2002 and after 
September 30 of the year in which the unit commences operation, the 
earlier of the calender quarter that includes the date of initial 
provisional certification under Sec. 96.71(b)(3)(iii) or, if the 
certification tests are not completed by May 1 of the year after the 
unit commences operation, May 1 of the year after the unit commences 
operation. Data shall be reported from the earlier of the date and hour 
corresponding to the date and hour of provisional certification or the 
first hour of May 1 of the year after the unit commences operation.
    (3) The NOX authorized account representative shall 
submit each quarterly report to the Administrator within 30 days 
following the end of the calendar quarter covered by the report. 
Quarterly reports shall be submitted in the manner specified in subpart 
H of part 75 of this chapter and Sec. 75.64 of this chapter.
    (i) For units subject to an Acid Rain Emissions limitation, 
quarterly reports shall include all of the data and information required 
in subpart H of part 75 of this chapter for each NOX Budget 
unit (or group of units using a common stack) as well as information 
required in subpart G of part 75 of this chapter.
    (ii) For units not subject to an Acid Rain Emissions limitation, 
quarterly reports are only required to include all of the data and 
information required in subpart H of part 75 of this chapter for each 
NOX Budget unit (or group of units using a common stack).
    (4) Compliance certification. The NOX authorized account 
representative shall submit to the Administrator a compliance 
certification in support of each quarterly report based on reasonable 
inquiry of those persons with primary responsibility for ensuring that 
all of the unit's emissions are correctly and fully monitored. The 
certification shall state that:
    (i) The monitoring data submitted were recorded in accordance with 
the applicable requirements of this subpart and part 75 of this chapter, 
including the quality assurance procedures and specifications; and
    (ii) For a unit with add-on NOX emission controls and for 
all hours where data are substituted in accordance with Sec. 75.34(a)(1) 
of this chapter, the add-on emission controls were operating within the 
range of parameters listed in the monitoring plan and the substitute 
values do not systematically underestimate NOX emissions; and
    (iii) For a unit that is reporting on a control period basis under 
Sec. 96.74(d) the NOX emission rate and NOX 
concentration values substituted for missing data under subpart D of 
part 75 of this chapter are calculated using only values from a control 
period and do not systematically underestimate NOX emissions.



Sec. 96.75  Petitions.

    (a) The NOX authorized account representative of a 
NOX Budget unit that is subject to an Acid Rain emissions 
limitation may submit a petition under Sec. 75.66 of this chapter to the 
Administrator requesting approval to apply an alternative to any 
requirement of this subpart.
    (1) Application of an alternative to any requirement of this subpart 
is in accordance with this subpart only to the extent that the petition 
is approved by the Administrator, in consultation with the permitting 
authority.
    (2) Notwithstanding paragraph (a)(1) of this section, if the 
petition requests approval to apply an alternative to a requirement 
concerning any additional CEMS required under the common

[[Page 702]]

stack provisions of Sec. 75.72 of this chapter, the petition is governed 
by paragraph (b) of this section.
    (b) The NOX authorized account representative of a 
NOX Budget unit that is not subject to an Acid Rain emissions 
limitation may submit a petition under Sec. 75.66 of this chapter to the 
permitting authority and the Administrator requesting approval to apply 
an alternative to any requirement of this subpart.
    (1) The NOX authorized account representative of a 
NOX Budget unit that is subject to an Acid Rain emissions 
limitation may submit a petition under Sec. 75.66 of this chapter to the 
permitting authority and the Administrator requesting approval to apply 
an alternative to a requirement concerning any additional CEMS required 
under the common stack provisions of Sec. 75.72 of this chapter or a 
NOX concentration CEMS used under 75.71(a)(2) of this 
chapter.
    (2) Application of an alternative to any requirement of this subpart 
is in accordance with this subpart only to the extent the petition under 
paragraph (b) of this section is approved by both the permitting 
authority and the Administrator.



Sec. 96.76  Additional requirements to provide heat input data for 
allocations purposes.

    (a) The owner or operator of a unit that elects to monitor and 
report NOX Mass emissions using a NOX 
concentration system and a flow system shall also monitor and report 
heat input at the unit level using the procedures set forth in part 75 
of this chapter for any source located in a state developing source 
allocations based upon heat input.
    (b) The owner or operator of a unit that monitor and report 
NOX Mass emissions using a NOX concentration 
system and a flow system shall also monitor and report heat input at the 
unit level using the procedures set forth in part 75 of this chapter for 
any source that is applying for early reduction credits under 
Sec. 96.55.



                   Subpart I--Individual Unit Opt-ins



Sec. 96.80  Applicability.

    A unit that is in the State, is not a NOX Budget unit 
under Sec. 96.4, vents all of its emissions to a stack, and is 
operating, may qualify, under this subpart, to become a NOX 
Budget opt-in source. A unit that is a NOX Budget unit, is 
covered by a retired unit exemption under Sec. 96.5 that is in effect, 
or is not operating is not eligible to become a NOX Budget 
opt-in source.



Sec. 96.81  General.

    Except otherwise as provided in this part, a NOX Budget 
opt-in source shall be treated as a NOX Budget unit for 
purposes of applying subparts A through H of this part.



Sec. 96.82  NOX authorized account representative.

    A unit for which an application for a NOX Budget opt-in 
permit is submitted and not denied or withdrawn, or a NOX 
Budget opt-in source, located at the same source as one or more 
NOX Budget units, shall have the same NOX 
authorized account representative as such NOX Budget units.



Sec. 96.83  Applying for NOX Budget opt-in permit.

    (a) Applying for initial NOX Budget opt-in permit. In 
order to apply for an initial NOX Budget opt-in permit, the 
NOX authorized account representative of a unit qualified 
under Sec. 96.80 may submit to the permitting authority at any time, 
except as provided under Sec. 96.86(g):
    (1) A complete NOX Budget permit application under 
Sec. 96.22;
    (2) A monitoring plan submitted in accordance with subpart H of this 
part; and
    (3) A complete account certificate of representation under 
Sec. 96.13, if no NOX authorized account representative has 
been previously designated for the unit.
    (b) Duty to reapply. The NOX authorized account 
representative of a NOX Budget opt-in source shall submit a 
complete NOX Budget permit application under Sec. 96.22 to 
renew the NOX

[[Page 703]]

Budget opt-in permit in accordance with Sec. 96.21(c) and, if 
applicable, an updated monitoring plan in accordance with subpart H of 
this part.



Sec. 96.84  Opt-in process.

    The permitting authority will issue or deny a NOX Budget 
opt-in permit for a unit for which an initial application for a 
NOX Budget opt-in permit under Sec. 96.83 is submitted, in 
accordance with Sec. 96.20 and the following:
    (a) Interim review of monitoring plan. The permitting authority will 
determine, on an interim basis, the sufficiency of the monitoring plan 
accompanying the initial application for a NOX Budget opt-in 
permit under Sec. 96.83. A monitoring plan is sufficient, for purposes 
of interim review, if the plan appears to contain information 
demonstrating that the NOX emissions rate and heat input of 
the unit are monitored and reported in accordance with subpart H of this 
part. A determination of sufficiency shall not be construed as 
acceptance or approval of the unit's monitoring plan.
    (b) If the permitting authority determines that the unit's 
monitoring plan is sufficient under paragraph (a) of this section and 
after completion of monitoring system certification under subpart H of 
this part, the NOX emissions rate and the heat input of the 
unit shall be monitored and reported in accordance with subpart H of 
this part for one full control period during which monitoring system 
availability is not less than 90 percent and during which the unit is in 
full compliance with any applicable State or Federal emissions or 
emissions-related requirements. Solely for purposes of applying the 
requirements in the prior sentence, the unit shall be treated as a 
``NOX Budget unit'' prior to issuance of a NOX 
Budget opt-in permit covering the unit.
    (c) Based on the information monitored and reported under paragraph 
(b) of this section, the unit's baseline heat rate shall be calculated 
as the unit's total heat input (in mmBtu) for the control period and the 
unit's baseline NOX emissions rate shall be calculated as the 
unit's total NOX emissions (in lb) for the control period 
divided by the unit's baseline heat rate.
    (d) After calculating the baseline heat input and the baseline 
NOX emissions rate for the unit under paragraph (c) of this 
section, the permitting authority will serve a draft NOX 
Budget opt-in permit on the NOX authorized account 
representative of the unit.
    (e) Confirmation of intention to opt-in. Within 20 days after the 
issuance of the draft NOX Budget opt-in permit, the 
NOX authorized account representative of the unit must submit 
to the permitting authority a confirmation of the intention to opt in 
the unit or a withdrawal of the application for a NOX Budget 
opt-in permit under Sec. 96.83. The permitting authority will treat the 
failure to make a timely submission as a withdrawal of the 
NOX Budget opt-in permit application.
    (f) Issuance of draft NOX Budget opt-in permit. If the 
NOX authorized account representative confirms the intention 
to opt-in the unit under paragraph (e) of this section, the permitting 
authority will issue the draft NOX Budget opt-in permit in 
accordance with Sec. 96.20.
    (g) Notwithstanding paragraphs (a) through (f) of this section, if 
at any time before issuance of a draft NOX Budget opt-in 
permit for the unit, the permitting authority determines that the unit 
does not qualify as a NOX Budget opt-in source under 
Sec. 96.80, the permitting authority will issue a draft denial of a 
NOX Budget opt-in permit for the unit in accordance with 
Sec. 96.20.
    (h) Withdrawal of application for NOX Budget opt-in 
permit. A NOX authorized account representative of a unit may 
withdraw its application for a NOX Budget opt-in permit under 
Sec. 96.83 at any time prior to the issuance of the final NOX 
Budget opt-in permit. Once the application for a NOX Budget 
opt-in permit is withdrawn, a NOX authorized account 
representative wanting to reapply must submit a new application for a 
NOX Budget permit under Sec. 96.83.
    (i) Effective date. The effective date of the initial NOX 
Budget opt-in permit shall be May 1 of the first control period starting 
after the issuance of the initial NOX Budget opt-in permit by 
the permitting authority. The unit shall be a NOX Budget opt-
in source and a NOX Budget unit as of the effective date of 
the initial NOX Budget opt-in permit.

[[Page 704]]



Sec. 96.85  NOX Budget opt-in permit contents.

    (a) Each NOX Budget opt-in permit (including any draft or 
proposed NOX Budget opt-in permit, if applicable) will 
contain all elements required for a complete NOX Budget opt-
in permit application under Sec. 96.22 as approved or adjusted by the 
permitting authority.
    (b) Each NOX Budget opt-in permit is deemed to 
incorporate automatically the definitions of terms under Sec. 96.2 and, 
upon recordation by the Administrator under subpart F, G, or I of this 
part, every allocation, transfer, or deduction of NOX 
allowances to or from the compliance accounts of each NOX 
Budget opt-in source covered by the NOX Budget opt-in permit 
or the overdraft account of the NOX Budget source where the 
NOX Budget opt-in source is located.



Sec. 96.86  Withdrawal from NOX Budget Trading Program.

    (a) Requesting withdrawal. To withdraw from the NOX 
Budget Trading Program, the NOX authorized account 
representative of a NOX Budget opt-in source shall submit to 
the permitting authority a request to withdraw effective as of a 
specified date prior to May 1 or after September 30. The submission 
shall be made no later than 90 days prior to the requested effective 
date of withdrawal.
    (b) Conditions for withdrawal. Before a NOX Budget opt-in 
source covered by a request under paragraph (a) of this section may 
withdraw from the NOX Budget Trading Program and the 
NOX Budget opt-in permit may be terminated under paragraph 
(e) of this section, the following conditions must be met:
    (1) For the control period immediately before the withdrawal is to 
be effective, the NOX authorized account representative must 
submit or must have submitted to the permitting authority an annual 
compliance certification report in accordance with Sec. 96.30.
    (2) If the NOX Budget opt-in source has excess emissions 
for the control period immediately before the withdrawal is to be 
effective, the Administrator will deduct or has deducted from the 
NOX Budget opt-in source's compliance account, or the 
overdraft account of the NOX Budget source where the 
NOX Budget opt-in source is located, the full amount required 
under Sec. 96.54(d) for the control period.
    (3) After the requirements for withdrawal under paragraphs (b)(1) 
and (2) of this section are met, the Administrator will deduct from the 
NOX Budget opt-in source's compliance account, or the 
overdraft account of the NOX Budget source where the 
NOX Budget opt-in source is located, NOX 
allowances equal in number to and allocated for the same or a prior 
control period as any NOX allowances allocated to that source 
under Sec. 96.88 for any control period for which the withdrawal is to 
be effective. The Administrator will close the NOX Budget 
opt-in source's compliance account and will establish, and transfer any 
remaining allowances to, a new general account for the owners and 
operators of the NOX Budget opt-in source. The NOX 
authorized account representative for the NOX Budget opt-in 
source shall become the NOX authorized account representative 
for the general account.
    (c) A NOX Budget opt-in source that withdraws from the 
NOX Budget Trading Program shall comply with all requirements 
under the NOX Budget Trading Program concerning all years for 
which such NOX Budget opt-in source was a NOX 
Budget opt-in source, even if such requirements arise or must be 
complied with after the withdrawal takes effect.
    (d) Notification. (1) After the requirements for withdrawal under 
paragraphs (a) and (b) of this section are met (including deduction of 
the full amount of NOX allowances required), the permitting 
authority will issue a notification to the NOX authorized 
account representative of the NOX Budget opt-in source of the 
acceptance of the withdrawal of the NOX Budget opt-in source 
as of a specified effective date that is after such requirements have 
been met and that is prior to May 1 or after September 30.
    (2) If the requirements for withdrawal under paragraphs (a) and (b) 
of this section are not met, the permitting authority will issue a 
notification to the NOX authorized account representative of 
the NOX Budget opt-in source that the NOX Budget 
opt-in source's request to withdraw is denied.

[[Page 705]]

If the NOX Budget opt-in source's request to withdraw is 
denied, the NOX Budget opt-in source shall remain subject to 
the requirements for a NOX Budget opt-in source.
    (e) Permit amendment. After the permitting authority issues a 
notification under paragraph (d)(1) of this section that the 
requirements for withdrawal have been met, the permitting authority will 
revise the NOX Budget permit covering the NOX 
Budget opt-in source to terminate the NOX Budget opt-in 
permit as of the effective date specified under paragraph (d)(1) of this 
section. A NOX Budget opt-in source shall continue to be a 
NOX Budget opt-in source until the effective date of the 
termination.
    (f) Reapplication upon failure to meet conditions of withdrawal. If 
the permitting authority denies the NOX Budget opt-in 
source's request to withdraw, the NOX authorized account 
representative may submit another request to withdraw in accordance with 
paragraphs (a) and (b) of this section.
    (g) Ability to return to the NOX Budget Trading Program. 
Once a NOX Budget opt-in source withdraws from the 
NOX Budget Trading Program and its NOX Budget opt-
in permit is terminated under this section, the NOX authority 
account representative may not submit another application for a 
NOX Budget opt-in permit under Sec. 96.83 for the unit prior 
to the date that is 4 years after the date on which the terminated 
NOX Budget opt-in permit became effective.



Sec. 96.87  Change in regulatory status.

    (a) Notification. When a NOX Budget opt-in source becomes 
a NOX Budget unit under Sec. 96.4, the NOX 
authorized account representative shall notify in writing the permitting 
authority and the Administrator of such change in the NOX 
Budget opt-in source's regulatory status, within 30 days of such change.
    (b) Permitting authority's and Administrator's action. (1)(i) When 
the NOX Budget opt-in source becomes a NOX Budget 
unit under Sec. 96.4, the permitting authority will revise the 
NOX Budget opt-in source's NOX Budget opt-in 
permit to meet the requirements of a NOX Budget permit under 
Sec. 96.23 as of an effective date that is the date on which such 
NOX Budget opt-in source becomes a NOX Budget unit 
under Sec. 96.4.
    (ii)(A) The Administrator will deduct from the compliance account 
for the NOX Budget unit under paragraph (b)(1)(i) of this 
section, or the overdraft account of the NOX Budget source 
where the unit is located, NOX allowances equal in number to 
and allocated for the same or a prior control period as:
    (1) Any NOX allowances allocated to the NOX 
Budget unit (as a NOX Budget opt-in source) under Sec. 96.88 
for any control period after the last control period during which the 
unit's NOX Budget opt-in permit was effective; and
    (2) If the effective date of the NOX Budget permit 
revision under paragraph (b)(1)(i) of this section is during a control 
period, the NOX allowances allocated to the NOX 
Budget unit (as a NOX Budget opt-in source) under Sec. 96.88 
for the control period multiplied by the ratio of the number of days, in 
the control period, starting with the effective date of the permit 
revision under paragraph (b)(1)(i) of this section, divided by the total 
number of days in the control period.
    (B) The NOX authorized account representative shall 
ensure that the compliance account of the NOX Budget unit 
under paragraph (b)(1)(i) of this section, or the overdraft account of 
the NOX Budget source where the unit is located, includes the 
NOX allowances necessary for completion of the deduction 
under paragraph (b)(1)(ii)(A) of this section. If the compliance account 
or overdraft account does not contain sufficient NOX 
allowances, the Administrator will deduct the required number of 
NOX allowances, regardless of the control period for which 
they were allocated, whenever NOX allowances are recorded in 
either account.
    (iii)(A) For every control period during which the NOX 
Budget permit revised under paragraph (b)(1)(i) of this section is 
effective, the NOX Budget unit under paragraph (b)(1)(i) of 
this section will be treated, solely for purposes of NOX 
allowance allocations under Sec. 96.42, as a unit that commenced 
operation on the effective date of the NOX Budget permit 
revision under paragraph (b)(1)(i) of this section and

[[Page 706]]

will be allocated NOX allowances under Sec. 96.42.
    (B) Notwithstanding paragraph (b)(1)(iii)(A) of this section, if the 
effective date of the NOX Budget permit revision under 
paragraph (b)(1)(i) of this section is during a control period, the 
following number of NOX allowances will be allocated to the 
NOX Budget unit under paragraph (b)(1)(i) of this section 
under Sec. 96.42 for the control period: the number of NOX 
allowances otherwise allocated to the NOX Budget unit under 
Sec. 96.42 for the control period multiplied by the ratio of the number 
of days, in the control period, starting with the effective date of the 
permit revision under paragraph (b)(1)(i) of this section, divided by 
the total number of days in the control period.
    (2)(i) When the NOX authorized account representative of 
a NOX Budget opt-in source does not renew its NOX 
Budget opt-in permit under Sec. 96.83(b), the Administrator will deduct 
from the NOX Budget opt-in unit's compliance account, or the 
overdraft account of the NOX Budget source where the 
NOX Budget opt-in source is located, NOX 
allowances equal in number to and allocated for the same or a prior 
control period as any NOX allowances allocated to the 
NOX Budget opt-in source under Sec. 96.88 for any control 
period after the last control period for which the NOX Budget 
opt-in permit is effective. The NOX authorized account 
representative shall ensure that the NOX Budget opt-in 
source's compliance account or the overdraft account of the 
NOX Budget source where the NOX Budget opt-in 
source is located includes the NOX allowances necessary for 
completion of such deduction. If the compliance account or overdraft 
account does not contain sufficient NOX allowances, the 
Administrator will deduct the required number of NOX 
allowances, regardless of the control period for which they were 
allocated, whenever NOX allowances are recorded in either 
account.
    (ii) After the deduction under paragraph (b)(2)(i) of this section 
is completed, the Administrator will close the NOX Budget 
opt-in source's compliance account. If any NOX allowances 
remain in the compliance account after completion of such deduction and 
any deduction under Sec. 96.54, the Administrator will close the 
NOX Budget opt-in source's compliance account and will 
establish, and transfer any remaining allowances to, a new general 
account for the owners and operators of the NOX Budget opt-in 
source. The NOX authorized account representative for the 
NOX Budget opt-in source shall become the NOX 
authorized account representative for the general account.



Sec. 96.88  NOX allowance allocations to opt-in units.

    (a) NOX allowance allocation. (1) By December 31 
immediately before the first control period for which the NOX 
Budget opt-in permit is effective, the permitting authority will 
allocate NOX allowances to the NOX Budget opt-in 
source and submit to the Administrator the allocation for the control 
period in accordance with paragraph (b) of this section.
    (2) By no later than December 31, after the first control period for 
which the NOX Budget opt-in permit is in effect, and December 
31 of each year thereafter, the permitting authority will allocate 
NOX allowances to the NOX Budget opt-in source, 
and submit to the Administrator allocations for the next control period, 
in accordance with paragraph (b) of this section.
    (b) For each control period for which the NOX Budget opt-
in source has an approved NOX Budget opt-in permit, the 
NOX Budget opt-in source will be allocated NOX 
allowances in accordance with the following procedures:
    (1) The heat input (in mmBtu) used for calculating NOX 
allowance allocations will be the lesser of:
    (i) The NOX Budget opt-in source's baseline heat input 
determined pursuant to Sec. 96.84(c); or
    (ii) The NOX Budget opt-in source's heat input, as 
determined in accordance with subpart H of this part, for the control 
period in the year prior to the year of the control period for which the 
NOX allocations are being calculated.
    (2) The permitting authority will allocate NOX allowances 
to the NOX Budget opt-in source in an amount equaling the 
heat input (in mmBtu) determined under paragraph (b)(1) of this section 
multiplied by the lesser of:

[[Page 707]]

    (i) The NOX Budget opt-in source's baseline 
NOX emissions rate (in lb/mmBtu) determined pursuant to 
Sec. 96.84(c); or
    (ii) The most stringent State or Federal NOX emissions 
limitation applicable to the NOX Budget opt-in source during 
the control period.

Subpart J--Mobile and Area Sources [Reserved]



PART 97--FEDERAL NOX BUDGET TRADING PROGRAM--Table of Contents




   Subpart A--NOX Budget Trading Program General Provisions

Sec.
97.1  Purpose.
97.2  Definitions.
97.3  Measurements, abbreviations, and acronyms.
97.4  Applicability.
97.5  Retired unit exemption.
97.6  Standard requirements.
97.7  Computation of time.

    Subpart B--NOX Authorized Account Representative for 
                      NOX Budget Sources

97.10  Authorization and responsibilities of NOX authorized 
          account representative.
97.11  Alternate NOX authorized account representative.
97.12  Changing NOX authorized account representative and 
          alternate NOX authorized account representative; 
          changes in owners and operators.
97.13  Account certificate of representation.
97.14  Objections concerning NOX authorized account 
          representative.

                           Subpart C--Permits

97.20  General NOX Budget Trading Program permit 
          requirements.
97.21  Submission of NOX Budget permit applications.
97.22  Information requirements for NOX Budget permit 
          applications.
97.23  NOX Budget permit contents.
97.24  NOX Budget permit revisions.

                   Subpart D--Compliance Certification

97.30  Compliance certification report.
97.31  Administrator's action on compliance certifications.

             Subpart E--NOX Allowance Allocations

97.40  Trading program budget.
97.41  Timing requirements for NOX allowance allocations.
97.42  NOX allowance allocations.
97.43  Compliance supplement pool.

           Subpart F--NOX Allowance Tracking System

97.50  NOX Allowance Tracking System accounts.
97.51  Establishment of accounts.
97.52  NOX Allowance Tracking System responsibilities of 
          NOX authorized account representative.
97.53  Recordation of NOX allowance allocations.
97.54  Compliance.
97.55  Banking.
97.56  Account error.
97.57  Closing of general accounts.

              Subpart G--NOX Allowance Transfers

97.60  Submission of NOX allowance transfers.
97.61  EPA recordation.
97.62  Notification.

                   Subpart H--Monitoring and Reporting

97.70  General requirements.
97.71  Initial certification and recertification procedures.
97.72  Out of control periods.
97.73  Notifications.
97.74  Recordkeeping and reporting.
97.75  Petitions.
97.76  Additional requirements to provide heat input data.

                   Subpart I--Individual Unit Opt-ins

97.80  Applicability.
97.81  General.
97.82  NOX authorized account representative.
97.83  Applying for NOX Budget opt-in permit.
97.84  Opt-in process.
97.85  NOX Budget opt-in permit contents.
97.86  Withdrawal from NOX Budget Trading Program.
97.87  Change in regulatory status.
97.88  NOX allowance allocations to opt-in units.

Appendix A to Part 97--Final Section 126 Rule: EGU Allocations, 2003-
          2007
Appendix B to Part 97--Final Section 126 Rule: Non-EGU Allocations, 
          2003-2007
Appendix C to Part 97--Final Section 126 Rule: Trading Budget, 2003-2007
Appendix D to Part 97--Final Section 126 Rule: State Compliance 
          Supplement Pools for the Section 126 Final Rule (Tons)

    Authority: 42 U.S.C. 7401, 7403, 7426, and 7601.

    Source: 65 FR 2727, Jan. 18, 2000, unless otherwise noted.

[[Page 708]]



   Subpart A--NOX Budget Trading Program General Provisions



Sec. 97.1  Purpose.

    This part establishes general provisions and the applicability, 
permitting, allowance, excess emissions, monitoring, and opt-in 
provisions for the federal NOX Budget Trading Program, under 
section 126 of the CAA and Sec. 52.34 of this chapter, as a means of 
mitigating the interstate transport of ozone and nitrogen oxides, an 
ozone precursor.



Sec. 97.2  Definitions.

    The terms used in this part shall have the meanings set forth in 
this section as follows:
    Account number means the identification number given by the 
Administrator to each NOX Allowance Tracking System account.
    Acid Rain emissions limitation means, as defined in Sec. 72.2 of 
this chapter, a limitation on emissions of sulfur dioxide or nitrogen 
oxides under the Acid Rain Program under title IV of the Clean Air Act.
    Administrator means the Administrator of the United States 
Environmental Protection Agency or the Administrator's duly authorized 
representative.
    Allocate or allocation means, with regard to NOX 
allowances, the determination by the Administrator of the number of 
NOX allowances to be initially credited to a NOX 
Budget unit or an allocation set-aside.
    Automated data acquisition and handling system or DAHS means that 
component of the CEMS, or other emissions monitoring system approved for 
use under subpart H of this part, designed to interpret and convert 
individual output signals from pollutant concentration monitors, flow 
monitors, diluent gas monitors, and other component parts of the 
monitoring system to produce a continuous record of the measured 
parameters in the measurement units required by subpart H of this part.
    Boiler means an enclosed fossil or other fuel-fired combustion 
device used to produce heat and to transfer heat to recirculating water, 
steam, or other medium.
    Clean Air Act means the Clean Air Act, 42 U.S.C. 7401 et seq.
    Combined cycle system means a system comprised of one or more 
combustion turbines, heat recovery steam generators, and steam turbines 
configured to improve overall efficiency of electricity generation or 
steam production.
    Combustion turbine means an enclosed fossil or other fuel-fired 
device that is comprised of a compressor, a combustor, and a turbine, 
and in which the flue gas resulting from the combustion of fuel in the 
combustor passes through the turbine, rotating the turbine.
    Commence commercial operation means, with regard to a unit that 
serves a generator, to have begun to produce steam, gas, or other heated 
medium used to generate electricity for sale or use, including test 
generation. Except as provided in Sec. 97.4(b), Sec. 97.5, or subpart I 
of this part, for a unit that is a NOX Budget unit under 
Sec. 97.4(a) on the date the unit commences commercial operation, such 
date shall remain the unit's date of commencement of commercial 
operation even if the unit is subsequently modified, reconstructed, or 
repowered. Except as provided in Sec. 97.4(b), Sec. 97.5, or subpart I 
of this part, for a unit that is not a NOX Budget unit under 
Sec. 97.4(a) on the date the unit commences commercial operation, the 
date the unit becomes a NOX Budget unit under Sec. 97.4(a) 
shall be the unit's date of commencement of commercial operation.
    Commence operation means to have begun any mechanical, chemical, or 
electronic process, including, with regard to a unit, start-up of a 
unit's combustion chamber. Except as provided in Sec. 97.4(b), 
Sec. 97.5, or subpart I of this part for a unit that is a NOX 
Budget unit under Sec. 97.4(a) on the date of commencement of operation, 
such date shall remain the unit's date of commencement of operation even 
if the unit is subsequently modified, reconstructed, or repowered. 
Except as provided in Sec. 97.4(b), Sec. 97.5, or subpart I of this 
part, for a unit that is not a NOX Budget unit under 
Sec. 97.4(a) on the date of commencement of operation, the date the unit 
becomes a NOX Budget unit under Sec. 97.4(a) shall be the 
unit's date of commencement of operation.

[[Page 709]]

    Common stack means a single flue through which emissions from two or 
more units are exhausted.
    Compliance account means a NOX Allowance Tracking System 
account, established by the Administrator for a NOX Budget 
unit under subpart F of this part, in which the NOX allowance 
allocations for the unit are initially recorded and in which are held 
NOX allowances available for use by the unit for a control 
period for the purpose of meeting the unit's NOX Budget 
emissions limitation.
    Continuous emission monitoring system or CEMS means the equipment 
required under subpart H of this part to sample, analyze, measure, and 
provide, by readings taken at least once every 15 minutes of the 
measured parameters, a permanent record of nitrogen oxides emissions, 
expressed in tons per hour for nitrogen oxides. The following systems 
are component parts included, to the extent consistent with subpart H of 
this part and part 75 of this chapter, in a continuous emission 
monitoring system:
    (1) Flow monitor;
    (2) Nitrogen oxides pollutant concentration monitors;
    (3) Diluent gas monitor (oxygen or carbon dioxide);
    (4) A continuous moisture monitor; and
    (5) An automated data acquisition and handling system.
    Control period means the period beginning May 1 of a year and ending 
on September 30 of the same year, inclusive.
    Electricity for sale under firm contract to the grid means 
electricity for sale where the capacity involved is intended to be 
available at all times during the period covered by a guaranteed 
commitment to deliver, even under adverse conditions.
    Emissions means air pollutants exhausted from a unit or source into 
the atmosphere, as measured, recorded, and reported to the Administrator 
by the NOX authorized account representative and as 
determined by the Administrator in accordance with subpart H of this 
part.
    Energy Information Administration means the Energy Information 
Administration of the United States Department of Energy.
    Excess emissions means any tonnage of nitrogen oxides emitted by a 
NOX Budget unit during a control period that exceeds the 
NOX Budget emissions limitation for the unit.
    Fossil fuel means natural gas, petroleum, coal, or any form of 
solid, liquid, or gaseous fuel derived from such material.
    Fossil fuel fired means, with regard to a unit:
    (1) For units that commenced operation before January 1, 1996, the 
combination of fossil fuel, alone or in combination with any other fuel, 
where fossil fuel actually combusted comprises more than 50 percent of 
the annual heat input on a Btu basis during 1995, or, if a unit had no 
heat input in 1995, during the last year of operation of the unit prior 
to 1995;
    (2) For units that commenced operation on or after January 1, 1996 
and before January 1, 1997, the combination of fossil fuel, alone or in 
combination with any other fuel, where fossil fuel actually combusted 
comprises more than 50 percent of the annual heat input on a Btu basis 
during 1996; or
    (3) For units that commence operation on or after January 1, 1997:
    (i) The combination of fossil fuel, alone or in combination with any 
other fuel, where fossil fuel actually combusted comprises more than 50 
percent of the annual heat input on a Btu basis during any year; or
    (ii) The combination of fossil fuel, alone or in combination with 
any other fuel, where fossil fuel is projected to comprise more than 50 
percent of the annual heat input on a Btu basis during any year, 
provided that the unit shall be ``fossil fuel-fired'' as of the date, 
during such year, on which the unit begins combusting fossil fuel.
    General account means a NOX Allowance Tracking System 
account, established under subpart F of this part, that is not a 
compliance account or an overdraft account.
    Generator means a device that produces electricity.
    Heat input means, with regard to a specified period to time, the 
product (in mmBtu/time) of the gross calorific value of the fuel (in 
Btu/lb) divided by

[[Page 710]]

1,000,000 Btu/mmBtu and multiplied by the fuel feed rate into a 
combustion device (in lb of fuel/time), as measured, recorded, and 
reported to the Administrator by the NOX authorized account 
representative and as determined by the Administrator in accordance with 
subpart H of this part. Heat input does not include the heat derived 
from preheated combustion air, recirculated flue gases, or exhaust from 
other sources.
    Heat input rate means the amount of heat input (in mmBtu) divided by 
unit operating time (in hr) or, with regard to a specific fuel, the 
amount of heat input attributed to the fuel (in mmBtu) divided by the 
unit operating time (in hr) during which the unit combusts the fuel.
    Life-of-the-unit, firm power contractual arrangement means a unit 
participation power sales agreement under which a utility or industrial 
customer reserves, or is entitled to receive, a specified amount or 
percentage of nameplate capacity and associated energy from any 
specified unit and pays its proportional amount of such unit's total 
costs, pursuant to a contract:
    (1) For the life of the unit;
    (2) For a cumulative term of no less than 30 years, including 
contracts that permit an election for early termination; or
    (3) For a period equal to or greater than 25 years or 70 percent of 
the economic useful life of the unit determined as of the time the unit 
is built, with option rights to purchase or release some portion of the 
nameplate capacity and associated energy generated by the unit at the 
end of the period.
    Maximum design heat input means the ability of a unit to combust a 
stated maximum amount of fuel per hour (in mmBtu/hr) on a steady state 
basis, as determined by the physical design and physical characteristics 
of the unit.
    Maximum potential hourly heat input means an hourly heat input (in 
mmBtu/hr) used for reporting purposes when a unit lacks certified 
monitors to report heat input. If the unit intends to use appendix D of 
part 75 of this chapter to report heat input, this value should be 
calculated, in accordance with part 75 of this chapter, using the 
maximum fuel flow rate and the maximum gross calorific value. If the 
unit intends to use a flow monitor and a diluent gas monitor, this value 
should be reported, in accordance with part 75 of this chapter, using 
the maximum potential flowrate and either the maximum carbon dioxide 
concentration (in percent CO2) or the minimum oxygen 
concentration (in percent O2).
    Maximum potential NOX emission rate means the emission 
rate of nitrogen oxides (in lb/mmBtu) calculated in accordance with 
section 3 of appendix F of part 75 of this chapter, using the maximum 
potential concentration of NOX under section 2 of appendix A 
of part 75 of this chapter, and either the maximum oxygen concentration 
(in percent O2) or the minimum carbon dioxide concentration (in percent 
CO2), under all operating conditions of the unit except for 
unit start up, shutdown, and upsets.
    Maximum rated hourly heat input means a unit specific maximum hourly 
heat input (in mmBtu/hr) which is the higher of the manufacturer's 
maximum rated hourly heat input or the highest observed hourly heat 
input.
    Monitoring system means any monitoring system that meets the 
requirements of subpart H of this part, including a continuous emissions 
monitoring system, an excepted monitoring system, or an alternative 
monitoring system.
    Most stringent State or Federal NOX emissions limitation 
means, with regard to a NOX Budget opt-in unit, the lowest 
NOX emissions limitation (in lb/mmBtu) that is applicable to 
the unit under State or Federal law, regardless of the averaging period 
to which the emissions limitation applies.
    Nameplate capacity means the maximum electrical generating output 
(in MWe) that a generator can sustain over a specified period of time 
when not restricted by seasonal or other deratings as measured in 
accordance with the United States Department of Energy standards.
    Non-title V permit means a federally enforceable permit administered 
by the permitting authority pursuant to the Clean Air Act and regulatory 
authority under the Clean Air Act, other than

[[Page 711]]

title V of the Clean Air Act and part 70 or 71 of this chapter.
    NOX allowance means a limited authorization by the 
Administrator under the NOX Budget Trading Program to emit up 
to one ton of nitrogen oxides during the control period of the specified 
year or of any year thereafter, except as provided under Sec. 97.54(f). 
No provision of the NOX Budget Trading Program, the 
NOX Budget permit application, the NOX Budget 
permit, or an exemption under Sec. 97.4(b) or Sec. 97.5 and no provision 
of law shall be construed to limit the authority of the United States to 
terminate or limit such authorization, which does not constitute a 
property right. For purposes of all sections of this part except 
Sec. 97.41, Sec. 97.42, Sec. 97.43, or Sec. 97.88, ``NOX 
allowance'' also includes an authorization to emit up to one ton of 
nitrogen oxides during the control period of the specified year or of 
any year thereafter by the permitting authority or the Administrator in 
accordance with a State NOX Budget Trading Program 
established, and approved and administered by the Administrator, 
pursuant to Sec. 51.121 of this chapter.
    NOX allowance deduction or deduct NOX 
allowances means the permanent withdrawal of NOX allowances 
by the Administrator from a NOX Allowance Tracking System 
compliance account or overdraft account to account for the number of 
tons of NOX emissions from a NOX Budget unit for a 
control period, determined in accordance with subparts H and F of this 
part, or for any other NOX allowance withdrawal requirement 
under this part.
    NOX Allowance Tracking System means the system by which 
the Administrator records allocations, deductions, and transfers of 
NOX allowances under the NOX Budget Trading 
Program.
    NOX Allowance Tracking System account means an account in 
the NOX Allowance Tracking System established by the 
Administrator for purposes of recording the allocation, holding, 
transferring, or deducting of NOX allowances.
    NOX allowance transfer deadline means midnight of 
November 30 or, if November 30 is not a business day, midnight of the 
first business day thereafter and is the deadline by which 
NOX allowances must be submitted for recordation in a 
NOX Budget unit's compliance account, or the overdraft 
account of the source where the unit is located, in order to meet the 
unit's NOX Budget emissions limitation for the control period 
immediately preceding such deadline.
    NOX allowances held or hold NOX allowances 
means the NOX allowances recorded by the Administrator, or 
submitted to the Administrator for recordation, in accordance with 
subparts F and G of this part, in a NOX Allowance Tracking 
System account.
    NOX authorized account representative means, for a 
NOX Budget source or NOX Budget unit at the 
source, the natural person who is authorized by the owners and operators 
of the source and all NOX Budget units at the source, in 
accordance with subpart B of this part, to represent and legally bind 
each owner and operator in matters pertaining to the NOX 
Budget Trading Program or, for a general account, the natural person who 
is authorized, in accordance with subpart F of this part, to transfer or 
otherwise dispose of NOX allowances held in the general 
account.
    NOX Budget emissions limitation means, for a 
NOX Budget unit, the tonnage equivalent of the NOX 
allowances available for compliance deduction for the unit under 
Sec. 97.54(a), (b), (e), and (f) in a control period adjusted by 
deductions of such NOX allowances to account for actual heat 
input under Sec. 97.42(e) for the control period or to account for 
excess emissions for a prior control period under Sec. 97.54(d) or to 
account for withdrawal from the NOX Budget Trading Program, 
or for a change in regulatory status, of a NOX Budget opt-in 
unit under Sec. 97.86 or Sec. 97.87.
    NOX Budget opt-in permit means a NOX Budget 
permit covering a NOX Budget opt-in unit.
    NOX Budget opt-in unit means a unit that has been elected 
to become a NOX Budget unit under the NOX Budget 
Trading Program and whose NOX Budget opt-in permit has been 
issued and is in effect under subpart I of this part.

[[Page 712]]

    NOX Budget permit means the legally binding and federally 
enforceable written document, or portion of such document, issued by the 
permitting authority under this part, including any permit revisions, 
specifying the NOX Budget Trading Program requirements 
applicable to a NOX Budget source, to each NOX 
Budget unit at the NOX Budget source, and to the owners and 
operators and the NOX authorized account representative of 
the NOX Budget source and each NOX Budget unit.
    NOX Budget source means a source that includes one or 
more NOX Budget units.
    NOX Budget Trading Program means a multistate nitrogen 
oxides air pollution control and emission reduction program established 
by the Administrator in accordance with this part and pursuant to 
Sec. 52.34 of this chapter, as a means of mitigating the interstate 
transport of ozone and nitrogen oxides, an ozone precursor.
    NOX Budget unit means a unit that is subject to the 
NOX Budget Trading Program emissions limitation under 
Sec. 97.4(a) or Sec. 97.80.
    Operating means, with regard to a unit under Secs. 97.22(d)(2) and 
97.80, having documented heat input for more than 876 hours in the 6 
months immediately preceding the submission of an application for an 
initial NOX Budget permit under Sec. 97.83(a). The unit's 
documented heat input will be determined in accordance with part 75 of 
this chapter if the unit was otherwise subject to the requirements of 
part 75 of this chapter during that 6-month period or will be based on 
the best available data reported to the Administrator for the unit if 
the unit was not otherwise subject to the requirements of part 75 of 
this chapter during that 6-month period.
    Operator means any person who operates, controls, or supervises a 
NOX Budget unit, a NOX Budget source, or a unit 
for which an application for a NOX Budget opt-in permit under 
Sec. 97.83 is submitted and not denied or withdrawn and shall include, 
but not be limited to, any holding company, utility system, or plant 
manager of such a unit or source.
    Opt-in means to be elected to become a NOX Budget unit 
under the NOX Budget Trading Program through a final, 
effective NOX Budget opt-in permit under subpart I of this 
part.
    Overdraft account means the NOX Allowance Tracking System 
account, established by the Administrator under subpart F of this part, 
for each NOX Budget source where there are two or more 
NOX Budget units.
    Owner means any of the following persons:
    (1) Any holder of any portion of the legal or equitable title in a 
NOX Budget unit or in a unit for which an application for a 
NOX Budget opt-in permit under Sec. 97.83 is submitted and 
not denied or withdrawn; or
    (2) Any holder of a leasehold interest in a NOX Budget 
unit or in a unit for which an application for a NOX Budget 
opt-in permit under Sec. 97.83 is submitted and not denied or withdrawn; 
or
    (3) Any purchaser of power from a NOX Budget unit or from 
a unit for which an application for a NOX Budget opt-in 
permit under Sec. 97.83 is submitted and not denied or withdrawn under a 
life-of-the-unit, firm power contractual arrangement. However, unless 
expressly provided for in a leasehold agreement, owner shall not include 
a passive lessor, or a person who has an equitable interest through such 
lessor, whose rental payments are not based, either directly or 
indirectly, upon the revenues or income from the NOX Budget 
unit or the unit for which an application for a NOX Budget 
opt-in permit under Sec. 97.83 is submitted and not denied or withdrawn; 
or
    (4) With respect to any general account, any person who has an 
ownership interest with respect to the NOX allowances held in 
the general account and who is subject to the binding agreement for the 
NOX authorized account representative to represent that 
person's ownership interest with respect to NOX allowances.
    Percent monitor data availability means, for purposes of Sec. 97.43 
(a)(1) and Sec. 94.84(b), total unit operating hours for which quality-
assured data were recorded under subpart H of this part in a control 
period, divided by 3,672 hours per control period, and multiplied by 
100%.
    Permitting authority means the State air pollution control agency, 
local

[[Page 713]]

agency, other State agency, or other agency authorized by the 
Administrator to issue or revise permits to meet the requirements of the 
NOX Budget Trading Program in accordance with subpart C of 
this part.
    Potential electrical output capacity means 33 percent of a unit's 
maximum design heat input.
    Receive or receipt of means, when referring to the permitting 
authority or the Administrator, to come into possession of a document, 
information, or correspondence (whether sent in writing or by authorized 
electronic transmission), as indicated in an official correspondence 
log, or by a notation made on the document, information, or 
correspondence, by the permitting authority or the Administrator in the 
regular course of business.
    Recordation, record, or recorded means, with regard to 
NOX allowances, the movement of NOX allowances by 
the Administrator from one NOX Allowance Tracking System 
account to another, for purposes of allocation, transfer, or deduction.
    Reference method means any direct test method of sampling and 
analyzing for an air pollutant as specified in appendix A of part 60 of 
this chapter.
    Serial number means, when referring to NOX allowances, 
the unique identification number assigned to each NOX 
allowance by the Administrator, under Sec. 97.53(c).
    Source means any governmental, institutional, commercial, or 
industrial structure, installation, plant, building, or facility that 
emits or has the potential to emit any regulated air pollutant under the 
Clean Air Act. For purposes of section 502(c) of the Clean Air Act, a 
``source,'' including a ``source'' with multiple units, shall be 
considered a single ``facility.''
    State means one of the 48 contiguous States or a portion thereof or 
the District of Columbia that is specified in Sec. 52.34 of this chapter 
and in which are located units for which the Administrator makes an 
effective finding under Sec. 52.34 of this chapter.
    Submit or serve means to send or transmit a document, information, 
or correspondence to the person specified in accordance with the 
applicable regulation:
    (1) In person;
    (2) By United States Postal Service; or
    (3) By other means of dispatch or transmission and delivery. 
Compliance with any ``submission,'' ``service,'' or ``mailing'' deadline 
shall be determined by the date of dispatch, transmission, or mailing 
and not the date of receipt.
    Title V operating permit means a permit issued under title V of the 
Clean Air Act and part 70 or part 71 of this chapter.
    Title V operating permit regulations means the regulations that the 
Administrator has approved or issued as meeting the requirements of 
title V of the Clean Air Act and part 70 or 71 of this chapter.
    Ton or tonnage means any ``short ton'' (i.e., 2,000 pounds). For the 
purpose of determining compliance with the NOX Budget 
emissions limitation, total tons for a control period shall be 
calculated as the sum of all recorded hourly emissions (or the tonnage 
equivalent of the recorded hourly emissions rates) in accordance with 
subpart H of this part, with any remaining fraction of a ton equal to or 
greater than 0.50 ton deemed to equal one ton and any fraction of a ton 
less than 0.50 ton deemed to equal zero tons.
    Unit means a fossil fuel-fired stationary boiler, combustion 
turbine, or combined cycle system.
    Unit operating day means a calendar day in which a unit combusts any 
fuel.
    Unit operating hour or hour of unit operation means any hour (or 
fraction of an hour) during which a unit combusts any fuel.



Sec. 97.3  Measurements, abbreviations, and acronyms.

    Measurements, abbreviations, and acronyms used in this part are 
defined as follows:

Btu-British thermal unit.
CO2-carbon dioxide.
hr-hour.
kW-kilowatt electrical.
kWh-kilowatt hour.
lb-pounds.
mmBtu-million Btu.
MWe-megawatt electrical.
NOX-nitrogen oxides.
O2-oxygen.
ton-2000 pounds.

[[Page 714]]



Sec. 97.4  Applicability.

    (a) The following units in a State (as defined in Sec. 97.2) shall 
be NOX Budget units, and any source that includes one or more 
such units shall be a NOX Budget source, subject to the 
requirements of this part:
    (1)(i) For units that commenced operation before January 1, 1997, a 
unit serving during 1995 or 1996 a generator that had a nameplate 
capacity greater than 25 MWe and produced electricity for sale under a 
firm contract to the electric grid.
    (ii) For units that commenced operation on or after January 1, 1997 
and before January 1, 1999, a unit serving during 1997 or 1998 a 
generator that had a nameplate capacity greater than 25 MWe and produced 
electricity for sale under a firm contract to the electric grid.
    (iii) For units that commence operation on or after January 1, 1999, 
a unit serving at any time a generator that has a nameplate capacity 
greater than 25 MWe and produces electricity for sale.
    (2)(i) For units that commenced operation before January 1, 1997, a 
unit that has a maximum design heat input greater than 250 mmBtu/hr and 
that did not serve during 1995 or 1996 a generator producing electricity 
for sale under a firm contract to the electric grid.
    (ii) For units that commenced operation on or after January 1, 1997 
and before January 1, 1999, a unit that has a maximum design heat input 
greater than 250 mmBtu/hr and that did not serve during 1997 or 1998 a 
generator producing electricity for sale under a firm contract to the 
electric grid.
    (iii) For units that commence operation on or after January 1, 1999, 
a unit with a maximum design heat input greater than 250 mmBtu/hr that:
    (A) At no time serves a generator producing electricity for sale; or
    (B) At any time serves a generator producing electricity for sale, 
if any such generator has a nameplate capacity of 25 MWe or less and has 
the potential to use no more than 50 percent of the potential electrical 
output capacity of the unit.
    (b)(1) Notwithstanding paragraph (a) of this section, a unit under 
paragraph (a)(1) or (a)(2) of this section that has a federally 
enforceable permit that includes a NOX emission limitation 
restricting NOX emissions during a control period to 25 tons 
or less and that includes the special provisions in paragraph (b)(4) of 
this section shall be exempt from the requirements of the NOX 
Budget Trading Program, except for the provisions of this paragraph (b), 
Sec. 97.2, Sec. 97.3, Sec. 97.4(a), Sec. 97.7, and subparts E, F, and G 
of this part. The NOX emission limitation under this 
paragraph (b)(1) shall restrict NOX emissions during the 
control period by limiting unit operating hours. The restriction on unit 
operating hours shall be calculated by dividing 25 tons by the unit's 
maximum potential hourly NOX mass emissions, which shall 
equal the unit's maximum rated hourly heat input multiplied by the 
highest default NOX emission rate otherwise applicable to the 
unit under Sec. 75.19 of this chapter.
    (2) The exemption under paragraph (b)(1) of this section shall 
become effective as follows:
    (i) The exemption shall become effective on the date on which the 
NOX emission limitation and the special provisions in the 
permit under paragraph (b)(1) of this section become final; or
    (ii) If the NOX emission limitation and the special 
provisions in the permit under paragraph (b)(1) of this section become 
final during a control period and after the first date on which the unit 
operates during such control period, then the exemption shall become 
effective on May 1 of such control period, provided that such 
NOX emission limitation and the special provisions apply to 
the unit as of such first date of operation. If such NOX 
emission limitation and special provisions do not apply to the unit as 
of such first date of operation, then the exemption under paragraph 
(b)(1) of this section shall become effective on October 1 of the year 
during which such NOX emission limitation and the special 
provisions become final.
    (3) The permitting authority that issues a federally enforceable 
permit under paragraph (b)(1) of this section for a unit under paragraph 
(a)(1) or (a)(2) of this section will provide the Administrator written 
notice of the

[[Page 715]]

issuance of such permit and, upon request, a copy of the permit.
    (4) Special provisions. (i) A unit exempt under paragraph (b)(1) of 
this section shall comply with the restriction on unit operating hours 
described in paragraph (b)(1) of this section during the control period 
in each year.
    (ii) The Administrator will allocate NOX allowances to 
the unit under Secs. 97.41(a) through (c) and 97.42(a) through (c). For 
each control period for which the unit is allocated NOX 
allowances under Secs. 97.41(a) through (c) and 97.42(a) through (c):
    (A) The owners and operators of the unit must specify a general 
account, in which the Administrator will record the NOX 
allowances; and
    (B) After the Administrator records a NOX allowance 
allocations under Secs. 97.41(a) through (c) and 97.42(a) through (c), 
the Administrator will deduct, from the general account under paragraph 
(b)(4)(ii)(A) of this section, NOX allowances that are 
allocated for the same or a prior control period as the NOX 
allowances allocated to the unit under Secs. 97.41(a) through (c) and 
97.42(a) through (c) and that equal the NOX emission 
limitation (in tons of NOX) on which the unit's exemption 
under paragraph (b)(1) of this section is based. The NOX 
authorized account representative shall ensure that such general account 
contains the NOX allowances necessary for completion of such 
deduction.
    (iii) A unit exempt under this paragraph (b) shall report hours of 
unit operation during the control period in each year to the permitting 
authority by November 1 of that year.
    (iv) For a period of 5 years from the date the records are created, 
the owners and operators of a unit exempt under paragraph (b)(1) of this 
section shall retain, at the source that includes the unit, records 
demonstrating that the conditions of the federally enforceable permit 
under paragraph (b)(1) of this section were met, including the 
restriction on unit operating hours. The 5-year period for keeping 
records may be extended for cause, at any time prior to the end of the 
period, in writing by the permitting authority or the Administrator. The 
owners and operators bear the burden of proof that the unit met the 
restriction on unit operating hours.
    (v) The owners and operators and, to the extent applicable, the 
NOX authorized account representative of a unit exempt under 
paragraph (b)(1) of this section shall comply with the requirements of 
the NOX Budget Trading Program concerning all periods for 
which the exemption is not in effect, even if such requirements arise, 
or must be complied with, after the exemption takes effect.
    (vi) On the earlier of the following dates, a unit exempt under 
paragraph (b)(1) of this section shall lose its exemption:
    (A) The date on which the restriction on unit operating hours 
described in paragraph (b)(1) of this section is removed from the unit's 
federally enforceable permit or otherwise becomes no longer applicable 
to any control period starting in 2004; or
    (B) The first date on which the unit fails to comply, or with regard 
to which the owners and operators fail to meet their burden of proving 
that the unit is complying, with the restriction on unit operating hours 
described in paragraph (b)(1) of this section during any control period 
starting in 2004.
    (vii) A unit that loses its exemption in accordance with paragraph 
(b)(4)(vi) of this section shall be subject to the requirements of this 
part. For the purpose of applying permitting requirements under subpart 
C of this part, allocating allowances under subpart E of this part, and 
applying monitoring requirements under subpart H of this part, the unit 
shall be treated as commencing operation and, if the unit is covered by 
paragraph (a)(1) of this section, commencing commercial operation on the 
date the unit loses its exemption.
    (viii) A unit that is exempt under paragraph (b)(1) of this section 
is not eligible to be a NOX Budget opt-in unit under subpart 
I of this part.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]



Sec. 97.5  Retired unit exemption.

    (a) This section applies to any NOX Budget unit, other 
than a NOX Budget opt-in unit, that is permanently retired.

[[Page 716]]

    (b)(1) Any NOX Budget unit, other than a NOX 
Budget opt-in unit, that is permanently retired shall be exempt from the 
NOX Budget Trading Program, except for the provisions of this 
section, Sec. 97.2, Sec. 97.3, Sec. 97.4, Sec. 97.7, and subparts E, F, 
and G of this part.
    (2) The exemption under paragraph (b)(1) of this section shall 
become effective the day on which the unit is permanently retired. 
Within 30 days of permanent retirement, the NOX authorized 
account representative (authorized in accordance with subpart B of this 
part) shall submit a statement to the permitting authority otherwise 
responsible for administering any NOX Budget permit for the 
unit. The NOX authorized account representative shall submit 
a copy of the statement to the Administrator. The statement shall state, 
in a format prescribed by the permitting authority, that the unit is 
permanently retired and will comply with the requirements of paragraph 
(c) of this section.
    (3) After receipt of the notice under paragraph (b)(2) of this 
section, the permitting authority will amend any permit covering the 
source at which the unit is located to add the provisions and 
requirements of the exemption under paragraphs (b)(1) and (c) of this 
section.
    (c) Special provisions. (1) A unit exempt under this section shall 
not emit any nitrogen oxides, starting on the date that the exemption 
takes effect.
    (2) The Administrator will allocate NOX allowances under 
subpart E of this part to a unit exempt under this section. For each 
control period for which the unit is allocated one or more 
NOX allowances, the owners and operators of the unit shall 
specify a general account, in which the Administrator will record such 
NOX allowances.
    (3) For a period of 5 years from the date the records are created, 
the owners and operators of a unit exempt under this section shall 
retain at the source that includes the unit, records demonstrating that 
the unit is permanently retired. The 5-year period for keeping records 
may be extended for cause, at any time prior to the end of the period, 
in writing by the permitting authority or the Administrator. The owners 
and operators bear the burden of proof that the unit is permanently 
retired.
    (4) The owners and operators and, to the extent applicable, the 
NOX authorized account representative of a unit exempt under 
this section shall comply with the requirements of the NOX 
Budget Trading Program concerning all periods for which the exemption is 
not in effect, even if such requirements arise, or must be complied 
with, after the exemption takes effect.
    (5)(i) A unit exempt under this section and located at a source that 
is required, or but for this exemption would be required, to have a 
title V operating permit shall not resume operation unless the 
NOX authorized account representative of the source submits a 
complete NOX Budget permit application under Sec. 97.22 for 
the unit not less than 18 months (or such lesser time provided by the 
permitting authority) before the later of May 31, 2004 or the date on 
which the unit resumes operation.
    (ii) A unit exempt under this section and located at a source that 
is required, or but for this exemption would be required, to have a non-
title V permit shall not resume operation unless the NOX 
authorized account representative of the source submits a complete 
NOX Budget permit application under Sec. 97.22 for the unit 
not less than 18 months (or such lesser time provided by the permitting 
authority) before the later of May 31, 2004 or the date on which the 
unit is to first resume operation.
    (6) On the earlier of the following dates, a unit exempt under 
paragraph (b) of this section shall lose its exemption:
    (i) The date on which the NOX authorized account 
representative submits a NOX Budget permit application under 
paragraph (c)(5) of this section; or
    (ii) The date on which the NOX authorized account 
representative is required under paragraph (c)(5) of this section to 
submit a NOX Budget permit application.
    (7) For the purpose of applying monitoring requirements under 
subpart H of this part, a unit that loses its exemption under this 
section shall be treated as a unit that commences operation or

[[Page 717]]

commercial operation on the first date on which the unit resumes 
operation.
    (8) A unit that is exempt under this section is not eligible to be a 
NOX Budget opt-in unit under subpart I of this part.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]



Sec. 97.6  Standard requirements.

    (a) Permit requirements. (1) The NOX authorized account 
representative of each NOX Budget source required to have a 
federally enforceable permit and each NOX Budget unit 
required to have a federally enforceable permit at the source shall:
    (i) Submit to the permitting authority a complete NOX 
Budget permit application under Sec. 97.22 in accordance with the 
deadlines specified in Sec. 97.21(b) and (c);
    (ii) Submit in a timely manner any supplemental information that the 
permitting authority determines is necessary in order to review a 
NOX Budget permit application and issue or deny a 
NOX Budget permit.
    (2) The owners and operators of each NOX Budget source 
required to have a federally enforceable permit and each NOX 
Budget unit required to have a federally enforceable permit at the 
source shall have a NOX Budget permit issued by the 
permitting authority and operate the unit in compliance with such 
NOX Budget permit.
    (3) The owners and operators of a NOX Budget source that 
is not otherwise required to have a federally enforceable permit are not 
required to submit a NOX Budget permit application, and to 
have a NOX Budget permit, under subpart C of this part for 
such NOX Budget source.
    (b) Monitoring requirements. (1) The owners and operators and, to 
the extent applicable, the NOX authorized account 
representative of each NOX Budget source and each 
NOX Budget unit at the source shall comply with the 
monitoring requirements of subpart H of this part.
    (2) The emissions measurements recorded and reported in accordance 
with subpart H of this part shall be used to determine compliance by the 
unit with the NOX Budget emissions limitation under paragraph 
(c) of this section.
    (c) Nitrogen oxides requirements. (1) The owners and operators of 
each NOX Budget source and each NOX Budget unit at 
the source shall hold NOX allowances available for compliance 
deductions under Sec. 97.54(a), (b), (e), or (f) as of the 
NOX allowance transfer deadline, in the unit's compliance 
account and the source's overdraft account in an amount not less than 
the total NOX emissions for the control period from the unit, 
as determined in accordance with subpart H of this part, plus any amount 
necessary to account for actual heat input under Sec. 97.42(e) for the 
control period or to account for excess emissions for a prior control 
period under Sec. 97.54(d) or to account for withdrawal from the 
NOX Budget Trading Program, or a change in regulatory status, 
of a NOX Budget opt-in unit under Sec. 97.86 or Sec. 97.87.
    (2) Each ton of nitrogen oxides emitted in excess of the 
NOX Budget emissions limitation shall constitute a separate 
violation of this part, the Clean Air Act, and applicable State law.
    (3) A NOX Budget unit shall be subject to the 
requirements under paragraph (c)(1) of this section starting on the 
later of May 31, 2004 or the date on which the unit commences operation.
    (4) NOX allowances shall be held in, deducted from, or 
transferred among NOX Allowance Tracking System accounts in 
accordance with subparts E, F, G, and I of this part.
    (5) A NOX allowance shall not be deducted, in order to 
comply with the requirements under paragraph (c)(1) of this section, for 
a control period in a year prior to the year for which the 
NOX allowance was allocated.
    (6) A NOX allowance allocated by the Administrator under 
the NOX Budget Trading Program is a limited authorization to 
emit one ton of nitrogen oxides in accordance with the NOX 
Budget Trading Program. No provision of the NOX Budget 
Trading Program, the NOX Budget permit application, the 
NOX Budget permit, or an exemption under Sec. 97.4(b) or 
Sec. 97.5 and no provision of law shall be construed to limit the 
authority of the United States to terminate or limit such authorization.
    (7) A NOX allowance allocated by the Administrator under 
the NOX Budget

[[Page 718]]

Trading Program does not constitute a property right.
    (8) Upon recordation by the Administrator under subpart F or G of 
this part, every allocation, transfer, or deduction of a NOX 
allowance to or from a NOX Budget unit's compliance account 
or the overdraft account of the source where the unit is located is 
incorporated automatically in any NOX Budget permit of the 
NOX Budget unit.
    (d) Excess emissions requirements. (1) The owners and operators of a 
NOX Budget unit that has excess emissions in any control 
period shall:
    (i) Surrender the NOX allowances required for deduction 
under Sec. 97.54(d)(1); and
    (ii) Pay any fine, penalty, or assessment or comply with any other 
remedy imposed under Sec. 97.54(d)(3).
    (e) Recordkeeping and reporting requirements. (1) Unless otherwise 
provided, the owners and operators of the NOX Budget source 
and each NOX Budget unit at the source shall keep on site at 
the source each of the following documents for a period of 5 years from 
the date the document is created. This period may be extended for cause, 
at any time prior to the end of 5 years, in writing by the permitting 
authority or the Administrator.
    (i) The account certificate of representation under Sec. 97.13 for 
the NOX authorized account representative for the source and 
each NOX Budget unit at the source and all documents that 
demonstrate the truth of the statements in the account certificate of 
representation; provided that the certificate and documents shall be 
retained on site at the source beyond such 5-year period until such 
documents are superseded because of the submission of a new account 
certificate of representation under Sec. 97.13 changing the 
NOX authorized account representative.
    (ii) All emissions monitoring information, in accordance with 
subpart H of this part; provided that to the extent that subpart H of 
this part provides for a 3-year period for recordkeeping, the 3-year 
period shall apply.
    (iii) Copies of all reports, compliance certifications, and other 
submissions and all records made or required under the NOX 
Budget Trading Program.
    (iv) Copies of all documents used to complete a NOX 
Budget permit application and any other submission under the 
NOX Budget Trading Program or to demonstrate compliance with 
the requirements of the NOX Budget Trading Program.
    (2) The NOX authorized account representative of a 
NOX Budget source and each NOX Budget unit at the 
source shall submit the reports and compliance certifications required 
under the NOX Budget Trading Program, including those under 
subpart D, H, or I of this part.
    (f) Liability. (1) Any person who knowingly violates any requirement 
or prohibition of the NOX Budget Trading Program, a 
NOX Budget permit, or an exemption under Sec. 97.4(b) or 
Sec. 97.5 shall be subject to enforcement pursuant to applicable State 
or Federal law.
    (2) Any person who knowingly makes a false material statement in any 
record, submission, or report under the NOX Budget Trading 
Program shall be subject to criminal enforcement pursuant to the 
applicable State or Federal law.
    (3) No permit revision shall excuse any violation of the 
requirements of the NOX Budget Trading Program that occurs 
prior to the date that the revision takes effect.
    (4) Each NOX Budget source and each NOX Budget 
unit shall meet the requirements of the NOX Budget Trading 
Program.
    (5) Any provision of the NOX Budget Trading Program that 
applies to a NOX Budget source or the NOX 
authorized account representative of a NOX Budget source 
shall also apply to the owners and operators of such source and of the 
NOX Budget units at the source.
    (6) Any provision of the NOX Budget Trading Program that 
applies to a NOX Budget unit or the NOX authorized 
account representative of a NOX budget unit shall also apply 
to the owners and operators of such unit. Except with regard to the 
requirements applicable to units with a common stack under subpart H of 
this part, the owners and operators and the NOX authorized 
account representative of one NOX Budget unit shall not be 
liable for any violation by any other NOX Budget unit of 
which they are not owners or operators

[[Page 719]]

or the NOX authorized account representative and that is 
located at a source of which they are not owners or operators or the 
NOX authorized account representative.
    (g) Effect on other authorities. No provision of the NOX 
Budget Trading Program, a NOX Budget permit application, a 
NOX Budget permit, or an exemption under Sec. 97.4(b) or 
Sec. 97.5 shall be construed as exempting or excluding the owners and 
operators and, to the extent applicable, the NOX authorized 
account representative of a NOX Budget source or 
NOX Budget unit from compliance with any other provision of 
the applicable, approved State implementation plan, a federally 
enforceable permit, or the Clean Air Act.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]



Sec. 97.7  Computation of time.

    (a) Unless otherwise stated, any time period scheduled, under the 
NOX Budget Trading Program, to begin on the occurrence of an 
act or event shall begin on the day the act or event occurs.
    (b) Unless otherwise stated, any time period scheduled, under the 
NOX Budget Trading Program, to begin before the occurrence of 
an act or event shall be computed so that the period ends the day before 
the act or event occurs.
    (c) Unless otherwise stated, if the final day of any time period, 
under the NOX Budget Trading Program, falls on a weekend or a 
State or Federal holiday, the time period shall be extended to the next 
business day.



    Subpart B--NOX Authorized Account Representative for 
                      NOX Budget Sources



Sec. 97.10  Authorization and responsibilities of NOX authorized 
account representative.

    (a) Except as provided under Sec. 97.11, each NOX Budget 
source, including all NOX Budget units at the source, shall 
have one and only one NOX authorized account representative, 
with regard to all matters under the NOX Budget Trading 
Program concerning the source or any NOX Budget unit at the 
source.
    (b) The NOX authorized account representative of the 
NOX Budget source shall be selected by an agreement binding 
on the owners and operators of the source and all NOX Budget 
units at the source.
    (c) Upon receipt by the Administrator of a complete account 
certificate of representation under Sec. 97.13, the NOX 
authorized account representative of the source shall represent and, by 
his or her representations, actions, inactions, or submissions, legally 
bind each owner and operator of the NOX Budget source 
represented and each NOX Budget unit at the source in all 
matters pertaining to the NOX Budget Trading Program, not 
withstanding any agreement between the NOX authorized account 
representative and such owners and operators. The owners and operators 
shall be bound by any decision or order issued to the NOX 
authorized account representative by the permitting authority, the 
Administrator, or a court regarding the source or unit.
    (d) No NOX Budget permit shall be issued, and no 
NOX Allowance Tracking System account shall be established 
for a NOX Budget unit at a source, until the Administrator 
has received a complete account certificate of representation under 
Sec. 97.13 for a NOX authorized account representative of the 
source and the NOX Budget units at the source.
    (e) (1) Each submission under the NOX Budget Trading 
Program shall be submitted, signed, and certified by the NOX 
authorized account representative for each NOX Budget source 
on behalf of which the submission is made. Each such submission shall 
include the following certification statement by the NOX 
authorized account representative: ``I am authorized to make this 
submission on behalf of the owners and operators of the NOX 
Budget sources or NOX Budget units for which the submission 
is made. I certify under penalty of law that I have personally examined, 
and am familiar with, the statements and information submitted in this 
document and all its attachments. Based on my inquiry of those 
individuals with primary responsibility for obtaining the information, I 
certify that the statements and information are to the

[[Page 720]]

best of my knowledge and belief true, accurate, and complete. I am aware 
that there are significant penalties for submitting false statements and 
information or omitting required statements and information, including 
the possibility of fine or imprisonment.''
    (2) The permitting authority and the Administrator will accept or 
act on a submission made on behalf of owner or operators of a 
NOX Budget source or a NOX Budget unit only if the 
submission has been made, signed, and certified in accordance with 
paragraph (e)(1) of this section.



Sec. 97.11  Alternate NOX authorized account representative.

    (a) An account certificate of representation may designate one and 
only one alternate NOX authorized account representative who 
may act on behalf of the NOX authorized account 
representative. The agreement by which the alternate NOX 
authorized account representative is selected shall include a procedure 
for authorizing the alternate NOX authorized account 
representative to act in lieuof the NOX authorized account 
representative.
    (b) Upon receipt by the Administrator of a complete account 
certificate of representation under Sec. 97.13, any representation, 
action, inaction, or submission by the alternate NOX 
authorized account representative shall be deemed to be a 
representation, action, inaction, or submission by the NOX 
authorized account representative.
    (c) Except in this section and Secs. 97.10(a), 97.12, 97.13, and 
97.51, whenever the term ``NOX authorized account 
representative'' is used in this part, the term shall be construed to 
include the alternate NOX authorized account representative.




Sec. 97.12  Changing NOX authorized account representative and 
alternate NOX authorized account representative; changes in 
owners and 
          operators.

    (a) Changing NOX authorized account representative. The 
NOX authorized account representative may be changed at any 
time upon receipt by the Administrator of a superseding complete account 
certificate of representation under Sec. 97.13. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous NOX authorized account representative prior to the 
time and date when the Administrator receives the superseding account 
certificate of representation shall be binding on the new NOX 
authorized account representative and the owners and operators of the 
NOX Budget source and the NOX Budget units at the 
source.
    (b) Changing alternate NOX authorized account 
representative. The alternate NOX authorized account 
representative may be changed at any time upon receipt by the 
Administrator of a superseding complete account certificate of 
representation under Sec. 97.13. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
alternate NOX authorized account representative prior to the 
time and date when the Administrator receives the superseding account 
certificate of representation shall be binding on the new alternate 
NOX authorized account representative and the owners and 
operators of the NOX Budget source and the NOX 
Budget units at the source.
    (c) Changes in owners and operators. (1) In the event a new owner or 
operator of a NOX Budget source or a NOX Budget 
unit is not included in the list of owners and operators submitted in 
the account certificate of representation under Sec. 97.13, such new 
owner or operator shall be deemed to be subject to and bound by the 
account certificate of representation, the representations, actions, 
inactions, and submissions of the NOX authorized account 
representative and any alternate NOX authorized account 
representative of the source or unit, and the decisions, orders, 
actions, and inactions of the permitting authority or the Administrator, 
as if the new owner or operator were included in such list.
    (2) Within 30 days following any change in the owners and operators 
of a NOX Budget source or a NOX Budget unit, 
including the addition of a new owner or operator, the NOX 
authorized account representative or alternate NOX authorized 
account representative shall submit a revision to the account 
certificate of representation under Sec. 97.13 amending the list of 
owners and operators to include the change.

[[Page 721]]



Sec. 97.13  Account certificate of representation.

    (a) A complete account certificate of representation for a 
NOX authorized account representative or an alternate 
NOX authorized account representative shall include the 
following elements in a format prescribed by the Administrator:
    (1) Identification of the NOX Budget source and each 
NOX Budget unit at the source for which the account 
certificate of representation is submitted.
    (2) The name, address, e-mail address (if any), telephone number, 
and facsimile transmission number (if any) of the NOX 
authorized account representative and any alternate NOX 
authorized account representative.
    (3) A list of the owners and operators of the NOX Budget 
source and of each NOX Budget unit at the source.
    (4) The following certification statement by the NOX 
authorized account representative and any alternate NOX 
authorized account representative: ``I certify that I was selected as 
the NOX authorized account representative or alternate 
NOX authorized account representative, as applicable, by an 
agreement binding on the owners and operators of the NOX 
Budget source and each NOX Budget unit at the source. I 
certify that I have all the necessary authority to carry out my duties 
and responsibilities under the NOX Budget Trading Program on 
behalf of the owners and operators of the NOX Budget source 
and of each NOX Budget unit at the source and that each such 
owner and operator shall be fully bound by my representations, actions, 
inactions, or submissions and by any decision or order issued to me by 
the permitting authority, the Administrator, or a court regarding the 
source or unit.''
    (5) The signature of the NOX authorized account 
representative and any alternate NOX authorized account 
representative and the dates signed.
    (b) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the account 
certificate of representation shall not be submitted to the permitting 
authority or the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.



Sec. 97.14  Objections concerning NOX authorized account 
representative.

    (a) Once a complete account certificate of representation under 
Sec. 97.13 has been submitted and received, the permitting authority and 
the Administrator will rely on the account certificate of representation 
unless and until a superseding complete account certificate of 
representation under Sec. 97.13 is received by the Administrator.
    (b) Except as provided in Sec. 97.12 (a) or (b), no objection or 
other communication submitted to the permitting authority or the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission of the NOX authorized account 
representative shall affect any representation, action, inaction, or 
submission of the NOX authorized account representative or 
the finality of any decision or order by the permitting authority or the 
Administrator under the NOX Budget Trading Program.
    (c) Neither the permitting authority nor the Administrator will 
adjudicate any private legal dispute concerning the authorization or any 
representation, action, inaction, or submission of any NOX 
authorized account representative, including private legal disputes 
concerning the proceeds of NOX allowance transfers.



                           Subpart C--Permits



Sec. 97.20  General NOX Budget Trading Program permit requirements.

    (a) For each NOX Budget source required to have a 
federally enforceable permit, such permit shall include a NOX 
Budget permit administered by the permitting authority for the federally 
enforceable permit.
    (1) For NOX Budget sources required to have a title V 
operating permit, the NOX Budget portion of the title V 
permit shall be administered in accordance with the permitting 
authority's title V operating permits regulations promulgated under part 
70 or 71 of this chapter, except as provided otherwise by this subpart 
or subpart I of this part.

[[Page 722]]

    (2) For NOX Budget sources required to have a non-title V 
permit, the NOX Budget portion of the non-title V permit 
shall be administered in accordance with the permitting authority's 
regulations promulgated to administer non-title V permits, except as 
provided otherwise by this subpart or subpart I of this part.
    (b) Each NOX Budget permit shall contain all applicable 
NOX Budget Trading Program requirements and shall be a 
complete and segregable portion of the permit under paragraph (a) of 
this section.



Sec. 97.21  Submission of NOX Budget permit applications.

    (a) Duty to apply. The NOX authorized account 
representative of any NOX Budget source required to have a 
federally enforceable permit shall submit to the permitting authority a 
complete NOX Budget permit application under Sec. 97.22 by 
the applicable deadline in paragraph (b) of this section.
    (b)(1) For NOX Budget sources required to have a title V 
operating permit:
    (i) For any source, with one or more NOX Budget units 
under Sec. 97.4(a) that commence operation before January 1, 2001, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec. 97.22 covering such 
NOX Budget units to the permitting authority at least 18 
months (or such lesser time provided by the permitting authority) before 
May 31, 2004.
    (ii) For any source, with any NOX Budget unit under 
Sec. 97.4(a) that commences operation on or after January 1, 2001, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec. 97.22 covering such 
NOX Budget unit to the permitting authority at least 18 
months (or such lesser time provided by the permitting authority) before 
the later of May 31, 2004 or the date on which the NOX Budget 
unit commences operation.
    (2) For NOX Budget sources required to have a non-title V 
permit:
    (i) For any source, with one or more NOX Budget units 
under Sec. 97.4(a) that commence operation before January 1, 2001, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec. 97.22 covering such 
NOX Budget units to the permitting authority at least 18 
months (or such lesser time provided by the permitting authority) before 
May 31, 2004.
    (ii) For any source, with any NOX Budget unit under 
Sec. 97.4(a) that commences operation on or after January 1, 2001, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec. 97.22 covering such 
NOX Budget unit to the permitting authority at least 18 
months (or such lesser time provided by the permitting authority) before 
the later of May 31, 2004 or the date on which the NOX Budget 
unit commences operation.
    (c) Duty to reapply. (1) For a NOX Budget source required 
to have a title V operating permit, the NOX authorized 
account representative shall submit a complete NOX Budget 
permit application under Sec. 97.22 for the NOX Budget source 
covering the NOX Budget units at the source in accordance 
with the permitting authority's title V operating permits regulations 
addressing operating permit renewal.
    (2) For a NOX Budget source required to have a non-title 
V permit, the NOX authorized account representative shall 
submit a complete NOX Budget permit application under 
Sec. 97.22 for the NOX Budget source covering the 
NOX Budget units at the source in accordance with the 
permitting authority's non-title V permits regulations addressing permit 
renewal.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]



Sec. 97.22  Information requirements for NOX Budget permit 
applications.

    A complete NOX Budget permit application shall include 
the following elements concerning the NOX Budget source for 
which the application is submitted, in a format prescribed by the 
permitting authority:
    (a) Identification of the NOX Budget source, including 
plant name and the ORIS (Office of Regulatory Information Systems) or 
facility code assigned to the source by the Energy Information 
Administration, if applicable;

[[Page 723]]

    (b) Identification of each NOX Budget unit at the 
NOX Budget source and whether it is a NOX Budget 
unit under Sec. 97.4(a) or under subpart I of this part;
    (c) The standard requirements under Sec. 97.6; and
    (d) For each NOX Budget opt-in unit at the NOX 
Budget source, the following certification statements by the 
NOX authorized account representative:
    (1) ``I certify that each unit for which this permit application is 
submitted under subpart I of this part is not a NOX Budget 
unit under 40 CFR 97.4(a) and is not covered by an exemption under 40 
CFR 97.4(b) or 97.5 that is in effect.''
    (2) If the application is for an initial NOX Budget opt-
in permit, ``I certify that each unit for which this permit application 
is submitted under subpart I of 40 CFR part 97 is operating, as that 
term is defined under 40 CFR 97.2.''



Sec. 97.23  NOX Budget permit contents.

    (a) Each NOX Budget permit will contain, in a format 
prescribed by the permitting authority, all elements required for a 
complete NOX Budget permit application under Sec. 97.22.
    (b) Each NOX Budget permit is deemed to incorporate 
automatically the definitions of terms under Sec. 97.2 and, upon 
recordation by the Administrator under subpart F or G of this part, 
every allocation, transfer, or deduction of a NOX allowance 
to or from the compliance accounts of the NOX Budget units 
covered by the permit or the overdraft account of the NOX 
Budget source covered by the permit.



Sec. 97.24  NOX Budget permit revisions.

    (a) For a NOX Budget source with a title V operating 
permit, except as provided in Sec. 97.23(b), the permitting authority 
will revise the NOX Budget permit, as necessary, in 
accordance with the permitting authority's title V operating permits 
regulations addressing permit revisions.
    (b) For a NOX Budget source with a non-title V permit, 
except as provided in Sec. 97.23(b), the permitting authority will 
revise the NOX Budget permit, as necessary, in accordance 
with the permitting authority's non-title V permits regulations 
addressing permit revisions.



                   Subpart D--Compliance Certification



Sec. 97.30  Compliance certification report.

    (a) Applicability and deadline. For each control period in which one 
or more NOX Budget units at a source are subject to the 
NOX Budget emissions limitation, the NOX 
authorized account representative of the source shall submit to the 
permitting authority and the Administrator by November 30 of that year, 
a compliance certification report for each source covering all such 
units.
    (b) Contents of report. The NOX authorized account 
representative shall include in the compliance certification report 
under paragraph (a) of this section the following elements, in a format 
prescribed by the Administrator, concerning each unit at the source and 
subject to the NOX Budget emissions limitation for the 
control period covered by the report:
    (1) Identification of each NOX Budget unit;
    (2) At the NOX authorized account representative's 
option, the serial numbers of the NOX allowances that are to 
be deducted from each unit's compliance account under Sec. 97.54 for the 
control period;
    (3) At the NOX authorized account representative's 
option, for units sharing a common stack and having NOX 
emissions that are not monitored separately or apportioned in accordance 
with subpart H of this part, the percentage of allowances that is to be 
deducted from each unit's compliance account under Sec. 97.54(e); and
    (4) The compliance certification under paragraph (c) of this 
section.
    (c) Compliance certification. In the compliance certification report 
under paragraph (a) of this section, the NOX authorized 
account representative shall certify, based on reasonable inquiry of 
those persons with primary responsibility for operating the source and 
the NOX Budget units at the source in compliance with the 
NOX Budget Trading Program, whether each NOX 
Budget unit for which the compliance certification is submitted was 
operated during the calendar year covered by

[[Page 724]]

the report in compliance with the requirements of the NOX 
Budget Trading Program applicable to the unit, including:
    (1) Whether the unit was operated in compliance with the 
NOX Budget emissions limitation;
    (2) Whether the monitoring plan that governs the unit has been 
maintained to reflect the actual operation and monitoring of the unit 
and contains all information necessary to attribute NOX 
emissions to the unit, in accordance with subpart H of this part;
    (3) Whether all the NOX emissions from the unit, or a 
group of units (including the unit) using a common stack, were monitored 
or accounted for through the missing data procedures and reported in the 
quarterly monitoring reports, including whether conditional data were 
reported in the quarterly reports in accordance with subpart H of this 
part. If conditional data were reported, the owner or operator shall 
indicate whether the status of all conditional data has been resolved 
and all necessary quarterly report resubmissions have been made;
    (4) Whether the facts that form the basis for certification under 
subpart H of this part of each monitor at the unit or a group of units 
(including the unit) using a common stack, or for using an excepted 
monitoring method or alternative monitoring method approved under 
subpart H of this part, if any, have changed; and
    (5) If a change is required to be reported under paragraph (c)(4) of 
this section, specify the nature of the change, the reason for the 
change, when the change occurred, and how the unit's compliance status 
was determined subsequent to the change, including what method was used 
to determine emissions when a change mandated the need for monitor 
recertification.



Sec. 97.31  Administrator's action on compliance certifications.

    (a) The Administrator may review and conduct independent audits 
concerning any compliance certification or any other submission under 
the NOX Budget Trading Program and make appropriate 
adjustments of the information in the compliance certifications or other 
submissions.
    (b) The Administrator may deduct NOX allowances from or 
transfer NOX allowances to a unit's compliance account or a 
source's overdraft account based on the information in the compliance 
certifications or other submissions, as adjusted under paragraph (a) of 
this section.



             Subpart E--NOX Allowance Allocations



Sec. 97.40  Trading program budget.

    In accordance with Secs. 97.41 and 97.42, the Administrator will 
allocate to the NOX Budget units under Sec. 97.4(a) in a 
State, for each control period specified in Sec. 97.41, a total number 
of NOX allowances equal to the trading program budget for the 
State, as set forth in appendix C of this part, less the sum of the 
NOX emission limitations (in tons) for each unit exempt under 
Sec. 97.4(b) that is not allocated any NOX allowances under 
Sec. 97.42 (b) or (c) for the control period and whose NOX 
emission limitation (in tons of NOX) is not included in the 
amount calculated under Sec. 97.42(d)(5)(ii)(B) for the control period.



Sec. 97.41  Timing requirements for NOX allowance allocations.

    (a) The NOX allowance allocations, determined in 
accordance with Secs. 97.42(a) through (c), for the control periods in 
2004 through 2007 are set forth in appendices A and B of this part.
    (b) By April 1, 2005, the Administrator will determine by order the 
NOX allowance allocations, in accordance with Secs. 97.42 (a) 
through (c), for the control periods in 2008 through 2012.
    (c) By April 1, 2010, by April 1 of 2015, and thereafter by April 1 
of the year that is 5 years after the last year for which NOX 
allowances allocations are determined, the Administrator will determine 
by order the NOX allowance allocations, in accordance with 
Secs. 97.42(a) through (c), for the control periods in the years that 
are 3, 4, 5, 6, and 7 years after the applicable deadline under this 
paragraph (c).
    (d) By April 1, 2004 and April 1 of each year thereafter, the 
Administrator will determine by order the NOX allowance

[[Page 725]]

allocations, in accordance with Sec. 97.42(d), for the control period in 
the year of the applicable deadline under this paragraph (d).
    (e) The Administrator will make available to the public each 
determination of NOX allowance allocations under paragraph 
(b), (c), or (d) of this section and will provide an opportunity for 
submission of objections to the determination. Objections shall be 
limited to addressing whether the determination is in accordance with 
Sec. 97.42. Based on any such objections, the Administrator will adjust 
each determination to the extent necessary to ensure that it is in 
accordance with Sec. 97.42.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]



Sec. 97.42  NOX allowance allocations.

    (a)(1) The heat input (in mmBtu) used for calculating NOX 
allowance allocations for each NOX Budget unit under 
Sec. 97.4(a) will be:
    (i) For a NOX allowance allocation under Sec. 97.41(a):
    (A) For a unit under Sec. 97.4(a)(1), the average of the two highest 
amounts of the unit's heat input for the control periods in 1995 through 
1998; or
    (B) For a unit under Sec. 97.4(a)(2), the control period in 1995 or, 
if the Administrator determines that reasonably reliable data are 
available for control periods in 1996 through 1998, the average of the 
two highest amounts of the unit's heat input for the control periods in 
1995 through 1998.
    (ii) For a NOX allowance allocation under Sec. 97.41(b), 
the unit's average heat input for the control periods in 2002 through 
2004.
    (iii) For a NOX allowance allocation under Sec. 97.41(c), 
the unit's average heat input for the control period in the years that 
are 4, 5, 6, 7, and 8 years before the first year for which the 
allocation is being calculated.
    (2) The unit's heat input for the control period in each year 
specified under paragraph (a)(1) of this section will be determined in 
accordance with part 75 of this chapter. Notwithstanding the first 
sentence of this paragraph (a)(2):
    (i) For a NOX allowance allocation under Sec. 97.41(a), 
such heat input will be determined using the best available data 
reported to the Administrator for the unit if the unit was not otherwise 
subject to the requirements of part 75 of this chapter for the control 
period.
    (ii) For a NOX allowance allocation under Sec. 97.41(b) 
or (c) for a unit exempt under Sec. 97.4(b), such heat input shall be 
treated as zero if the unit is exempt under Sec. 97.4(b) during the 
control period.
    (b) For each group of control periods specified in Sec. 97.41(a) 
through (c), the Administrator will allocate to all NOX 
Budget units in a given State under Sec. 97.4(a)(1) that commenced 
operation before May 1, 1997 for allocations under Sec. 97.41(a), May 1, 
2003 for allocations under Sec. 97.41(b), and May 1 of the year 5 years 
before the first year for which the allocation under Sec. 97.41(c) is 
being calculated, a total number of NOX allowances equal to 
95 percent of the portion of the State's trading program budget under 
Sec. 97.40 covering such units. The Administrator will allocate in 
accordance with the following procedures:
    (1) The Administrator will allocate NOX allowances to 
each NOX Budget unit under Sec. 97.4(a)(1) for each control 
period in an amount equaling 0.15 lb/mmBtu multiplied by the heat input 
determined under paragraph (a) of this section, divided by 2,000 lb/ton, 
and rounded to the nearest whole number of NOX allowances as 
appropriate.
    (2) If the initial total number of NOX allowances 
allocated to all NOX Budget units under Sec. 97.4(a)(1) in 
the State for a control period under paragraph (b)(1) of this section 
does not equal 95 percent of the portion of the State's trading program 
budget under Sec. 97.40 covering such units, the Administrator will 
adjust the total number of NOX allowances allocated to all 
such NOX Budget units for the control period under paragraph 
(b)(1) of this section so that the total number of NOX 
allowances allocated equals 95 percent of such portion of the State's 
trading program budget. This adjustment will be made by: multiplying 
each unit's allocation by 95 percent of such portion of the State's 
trading program budget; dividing by the total number of NOX 
allowances allocated under paragraph (b)(1) of this section for the 
control period; and rounding to the nearest whole

[[Page 726]]

number of NOX allowances as appropriate.
    (c) For each group of control periods specified in Sec. 97.41(a) 
through (c), the Administrator will allocate to all NOX 
Budget units in a given State under Sec. 97.4(a)(2) that commenced 
operation before May 1, 1997 for allocations under Sec. 97.41(a), May 1, 
2003 for allocations under Sec. 97.41(b), and May 1 of the year 5 years 
before the first year for which the allocation under Sec. 97.41(c) is 
being calculated, a total number of NOX allowances equal to 
95 percent of the portion of the State's trading program budget under 
Sec. 97.40 covering such units. The Administrator will allocate in 
accordance with the following procedures:
    (1) The Administrator will allocate NOX allowances to 
each NOX Budget unit under Sec. 97.4(a)(2) for each control 
period in an amount equaling 0.17 lb/mmBtu multiplied by the heat input 
determined under paragraph (a) of this section, divided by 2,000 lb/ton, 
and rounded to the nearest whole number of NOX allowances as 
appropriate.
    (2) If the initial total number of NOX allowances 
allocated to all NOX Budget units under Sec. 97.4(a)(2) in 
the State for a control period under paragraph (c)(1) of this section 
does not equal 95 percent of the portion of the State's trading program 
budget under Sec. 97.40 covering such units, the Administrator will 
adjust the total number of NOX allowances allocated to all 
such NOX Budget units for the control period under paragraph 
(a)(1) of this section so that the total number of NOX 
allowances allocated equals 95 percent of the portion of the State's 
trading program budget under Sec. 97.40 covering such units. This 
adjustment will be made by: multiplying each unit's allocation by 95 
percent of the portion of the State's trading program budget under 
Sec. 97.40 covering such units; dividing by the total number of 
NOX allowances allocated under paragraph (c)(1) of this 
section for the control period; and rounding to the nearest whole number 
of NOX allowances as appropriate.
    (d) For each control period specified in Sec. 97.41(d), the 
Administrator will allocate NOX allowances to NOX 
Budget units in a given State under Sec. 97.4(a) (except for units 
exempt under Sec. 97.4(b)) that commence operation, or are projected to 
commence operation, on or after: May 1, 1997 (for control periods under 
Sec. 97.41(a)); May 1, 2003, (for control periods under Sec. 97.41(b)); 
and May 1 of the year 5 years before the beginning of the group of 5 
years that includes the control period (for control periods under 
Sec. 97.41(c)). The Administrator will make the allocations under this 
paragraph (d) in accordance with the following procedures:
    (1) The Administrator will establish one allocation set-aside for 
each control period. Each allocation set-aside will be allocated 
NOX allowances equal to 5 percent of the tons of 
NOX emission in the State's trading program budget under 
Sec. 97.40, rounded to the nearest whole number of NOX 
allowances as appropriate.
    (2) The NOX authorized account representative of a 
NOX Budget unit specified in this paragraph (d) may submit to 
the Administrator a request, in a format specified by the Administrator, 
to be allocated NOX allowances for the control period. The 
NOX allowance allocation request must be received by the 
Administrator on or after the date on which the State permitting 
authority issues a permit to construct the unit and by January 1 before 
the control period for which NOX allowances are requested.
    (3) In a NOX allowance allocation request under paragraph 
(d)(2) of this section, the NOX authorized account 
representative for a NOX Budget unit under Sec. 97.4(a)(1) 
may request for the control period NOX allowances in an 
amount that does not exceed the lesser of:
    (i) 0.15 lb/mmBtu multiplied by the unit's maximum design heat 
input, multiplied by the lesser of 3,672 hours or the number of hours 
remaining in the control period starting with the day in the control 
period on which the unit commences operation or is projected to commence 
operation, divided by 2,000 lb/ton, and rounded to the nearest whole 
number of NOX allowances as appropriate; or
    (ii) The unit's most stringent State or Federal NOX 
emission limitation multiplied by the unit's maximum design heat input, 
multiplied by the lesser of 3,672 hours or the number of hours

[[Page 727]]

remaining in the control period starting with the day in the control 
period on which the unit commences operation or is projected to commence 
operation, divided by 2,000 lb/ton, and rounded to the nearest whole 
number of NOX allowances as appropriate.
    (4) In a NOX allowance allocation request under paragraph 
(d)(2) of this section, the NOX authorized account 
representative for a NOX Budget unit under Sec. 97.4(a)(2) 
may request for a control period NOX allowances in an amount 
that does not exceed the lesser of:
    (i) 0.17 lb/mmBtu multiplied by the unit's maximum design heat 
input, multiplied by the lesser of 3,672 hours or the number of hours 
remaining in the control period starting with the day in the control 
period on which the unit commences operation or is projected to commence 
operation, divided by 2,000 lb/ton, and rounded to the nearest whole 
number of NOX allowances as appropriate; or
    (ii) The unit's most stringent State or Federal NOX 
emission limitation multiplied by the unit's maximum design heat input, 
multiplied by the lesser of 3,672 hours or the number of hours remaining 
in the control period starting with the day in the control period on 
which the unit commences operation or is projected to commence 
operation, divided by 2,000 lb/ton, and rounded to the nearest whole 
number of NOX allowances as appropriate.
    (5) The Administrator will review each NOX allowance 
allocation request submitted in accordance with paragraph (d)(2) of this 
section and will allocate NOX allowances pursuant to such 
request as follows:
    (i) Upon receipt of the NOX allowance allocation request, 
the Administrator will make any necessary adjustments to the request to 
ensure that the requirements of paragraphs (d) introductory text, 
(d)(2), (d)(3), and (d)(4) are met.
    (ii) The Administrator will determine the following amounts:
    (A) The sum of the NOX allowances requested (as adjusted 
under paragraph (d)(5)(i) of this section) in all NOX 
allowance allocation requests under paragraph (d)(2) of this section for 
the control period; and
    (B) For units exempt under Sec. 97.4(b) in the State that commenced 
operation, or are projected to commence operation, on or after May 1, 
1997 (for control periods under Sec. 97.41(a)); May 1, 2003, (for 
control periods under Sec. 97.41(b)); and May 1 of the year 5 years 
before beginning of the group of 5 years that includes the control 
period (for control periods under Sec. 97.41(c)), the sum of the 
NOX emission limitations (in tons of NOX) on which 
each unit's exemption under Sec. 97.4(b) is based.
    (iii) If the number of NOX allowances in the allocation 
set-aside for the control period less the amount under paragraph 
(d)(5)(ii)(B) of this section is not less than the amount determined 
under paragraph (d)(5)(ii)(A) of this section, the Administrator will 
allocate the amount of the NOX allowances requested (as 
adjusted under paragraph (d)(5)(i) of this section) to the 
NOX Budget unit for which the allocation request was 
submitted.
    (iv) If the number of NOX allowances in the allocation 
set-aside for the control period less the amount under paragraph 
(d)(5)(ii)(B) of this section is less than the amount determined under 
paragraph (d)(5)(ii)(A) of this section, the Administrator will 
allocate, to the NOX Budget unit for which the allocation 
request was submitted, the amount of NOX allowances requested 
(as adjusted under paragraph (d)(5)(i) of this section) multiplied by 
the number of NOX allowances in the allocation set-aside for 
the control period less the amount determined under paragraph 
(d)(5)(ii)(B) of this section, divided by the amount determined under 
paragraph (d)(5)(ii)(A) of this section, and rounded to the nearest 
whole number of NOX allowances as appropriate.
    (e)(1) For a NOX Budget unit that is allocated 
NOX allowances under paragraph (d) of this section for a 
control period, the Administrator will deduct NOX allowances 
under Sec. 97.54(b), (e), or (f) to account for the actual heat input of 
the unit during the control period. The Administrator will calculate the 
number of NOX allowances to be deducted to account for the 
unit's actual heat input using the following formulas and rounding to 
the nearest whole number of NOX allowance as appropriate, 
provided that the number of

[[Page 728]]

NOX allowances to be deducted shall be zero if the number 
calculated is less than zero:

NOX allowances deducted for actual heat input for a unit 
under Sec. 97.4(a)(1) = Unit's NOX allowances allocated for 
control period-(Unit's actual control period heat inputx0.15 lb/mmBtu x 
2,000 lb/ton); and NOX allowances deducted for actual heat 
input for a unit under Sec. 97.4(a)(2) = Unit's NOX 
allowances allocated for control period-(Unit's actual control period 
heat input x 0.17 lb/mmBtu x 2,000 lb/ton)

Where:

    ``Unit's NOX allowances allocated for control period'' is 
the number of NOX allowances allocated to the unit for the 
control period under paragraph (d) of this section; and
    ``Unit's actual control period heat input'' is the heat input (in 
mmBtu) of the unit during the control period.

    (2) The Administrator will transfer any NOX allowances 
deducted under paragraph (c)(1) of this section to the allocation set-
aside for the control period for which they were allocated.
    (f) After making the deductions for compliance under Sec. 97.54(b), 
(e), or (f) for a control period, the Administrator will determine 
whether any NOX allowances remain in the allocation set-aside 
for the control period. The Administrator will allocate any such 
NOX allowances to the NOX Budget units in the 
State using the following formula and rounding to the nearest whole 
number of NOX allowances as appropriate:

Unit's share of NOX allowances remaining in allocation set-
aside = Total NOX allowances remaining in allocation set-
aside x (Unit's NOX allowance allocation / State's trading 
program budget excluding allocation set-aside)

Where:

    ``Total NOX allowances remaining in allocation set-
aside'' is the total number of NOX allowances remaining in 
the allocation set-aside for the control period;
    ``Unit's NOX allowance allocation'' is the number of 
NOX allowances allocated under paragraph (b) or (c) of this 
section to the unit for the control period to which the allocation set-
aside applies; and
    ``State's trading program budget excluding allocation set-aside'' is 
the State's trading program budget under Sec. 97.40 for the control 
period to which the allocation set-aside applies multiplied by 95 
percent, rounded to the nearest whole number of NOX 
allowances as appropriate.

    (g) If the Administrator determines that NOX allowances 
were allocated under paragraph (b), (c), or (d) of this section for a 
control period and the recipient of the allocation is not actually a 
NOX Budget unit under Sec. 97.4(a), the Administrator will 
notify the NOX authorized account representative and then 
will act in accordance with the following procedures:
    (1)(i) The Administrator will not record such NOX 
allowances for the control period in an account under Sec. 97.53;
    (ii) If the Administrator already recorded such NOX 
allowances for the control period in an account under Sec. 97.53 and if 
the Administrator makes such determination before making all deductions 
pursuant to Sec. 97.54 (except deductions pursuant to Sec. 97.54(d)(2)) 
for the control period, then the Administrator will deduct from the 
account NOX allowances equal in number to and allocated for 
the same or a prior control period as the NOX allowances 
allocated to such recipient for the control period. The NOX 
authorized account representative shall ensure that the account contains 
the NOX allowances necessary for completion of such 
deduction. If account does not contain the necessary NOX 
allowances, the Administrator will deduct the required number of 
NOX allowances, regardless of the control period for which 
they were allocated, whenever NOX allowances are recorded in 
the account; or
    (iii) If the Administrator already recorded such NOX 
allowances for the control period in an account under Sec. 97.53 and if 
the Administrator makes such determination after making all deductions 
pursuant to Sec. 97.54 (except deductions pursuant to Sec. 97.54(d)(2)) 
for the control period, then the Administrator will apply paragraph 
(g)(1)(ii) of this section to any subsequent control period for which 
NOX allowances were allocated to such recipient.
    (2) The Administrator will transfer the NOX allowances 
that are not recorded, or that are deducted, pursuant

[[Page 729]]

to paragraph (g)(1) of this section to an allocation set-aside for the 
State in which such source is located.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]



Sec. 97.43  Compliance Supplement Pool.

    (a) For any NOX Budget unit that reduces its 
NOX emission rate in the 2001 through 2003 control period, 
the owners and operators may request early reduction credits in 
accordance with the following requirements:
    (1) Each NOX Budget unit for which the owners and 
operators intend to request, or request, any early reduction credits in 
accordance with paragraph (a)(4) of this section shall monitor and 
report NOX emissions in accordance with subpart H of this 
part starting in the 2000 control period and for each control period for 
which such early reduction credits are requested. The unit's percent 
monitor data availability shall not be less than 90 percent during the 
2000 control period, and the unit must be in full compliance with any 
applicable State or Federal NOX emission control requirements 
during 2000 through 2002.
    (2) NOX emission rate and heat input under paragraphs 
(a)(3) and (4) of this section shall be determined in accordance with 
subpart H of this part.
    (3) Each NOX Budget unit for which the owners and 
operators intend to request, or request, any early reduction credits 
under paragraph (a)(4) of this section shall reduce its NOX 
emission rate, for each control period for which early reduction credits 
are requested, to less than both 0.25 lb/mmBtu and 80 percent of the 
unit's NOX emission rate in the 2000 control period.
    (4) The NOX authorized account representative of a 
NOX Budget unit that meets the requirements of paragraphs (a) 
(1) and (3) of this section may submit to the Administrator a request 
for early reduction credits for the unit based on NOX 
emission rate reductions made by the unit in the control period for 2001 
through 2003.
    (i) In the early reduction credit request, the NOX 
authorized account may request early reduction credits for such control 
period in an amount equal to the unit's heat input for such control 
period multiplied by the difference between 0.25 lb/mmBtu and the unit's 
NOX emission rate for such control period, divided by 2000 
lb/ton, and rounded to the nearest whole number of tons.
    (ii) The early reduction credit request must be submitted, in a 
format specified by the Administrator, by February 1, 2004.
    (b) For any NOX Budget unit that is subject to the Ozone 
Transport Commission NOX Budget Program under title I of the 
Clean Air Act, the owners and operators may request early reduction 
credits in accordance with the following requirements:
    (1) The NOX authorized account representative of the unit 
may submit to the Administrator a request for early reduction credits in 
an amount equal to the amount of banked allowances under the Ozone 
Transport Commission NOX Budget Program that were allocated 
for the control period in 2001 through 2003 and are held by the unit, in 
accordance with the Ozone Transport Commission NOX Budget 
Program, as of the date of submission of the request. During the entire 
control period in 2001 through 2003 for which the allowances were 
allocated, the unit must have monitored and reported NOX 
emissions in accordance with part 75 (except for subpart H) of this 
chapter and the Guidance for Implementation of Emission Monitoring 
Requirements for the NOX Budget Program (January 28, 1997).
    (2) The early reduction credit request under paragraph (b)(1) must 
be submitted, in a format specified by the Administrator, by February 1, 
2004.
    (3) The NOX authorized account representative of the unit 
shall not submit a request for early reduction credits under paragraph 
(b)(1) of this section for banked allowances under the Ozone Transport 
Commission NOX Budget Program that were allocated for any 
control period during which the unit made NOX emission 
reductions for which he or she submits a request for early reduction 
credits under paragraph (a) of this section for the unit.
    (c) The Administrator will review each early reduction credit 
request submitted in accordance with paragraph (a) or (b) of this 
section and will allocate NOX allowances to NOX 
Budget

[[Page 730]]

units in a given State and covered by such request as follows:
    (1) Upon receipt of each early reduction credit request, the 
Administrator will make any necessary adjustments to the request to 
ensure that the amount of the early reduction credits requested meets 
the requirements of paragraph (a) or (b) of this section.
    (2) After February 1, 2004, the Administrator will make available to 
the public a statement of the total number of early reduction credits 
requested by NOX Budget units in the State.
    (3) If the State's compliance supplement pool set forth in appendix 
D of this part has a number of NOX allowances not less than 
the amount of early reduction credits in all early reduction credit 
requests under paragraph (a) or (b) of this section for 2001 through 
2003 (as adjusted under paragraph (c)(1) of this section) submitted by 
February 1, 2004, the Administrator will allocate to each NOX 
Budget unit covered by such requests one allowance for each early 
reduction credit requested (as adjusted under paragraph (c)(1) of this 
section).
    (4) If the State's compliance supplement pool set forth in appendix 
D of this part has a smaller number of NOX allowances than 
the amount of early reduction credits in all early reduction credit 
requests under paragraph (a) or (b) of this section for 2001 through 
2003 (as adjusted under paragraph (c)(1) of this section) submitted by 
February 1, 2004, the Administrator will allocate NOX 
allowances to each NOX Budget unit covered by such requests 
according to the following formula and rounding to the nearest whole 
number of NOX allowances as appropriate:

Unit's allocation for early reduction credits = Unit's adjusted early 
reduction credits x (State's compliance supplement pool / Total adjusted 
early reduction credits for all units)

Where:

    ``Unit's allocation for early reduction credits'' is the number of 
NOX allowances allocated to the unit for early reduction 
credits.
    ``Unit's adjusted early reduction credits'' is the amount of early 
reduction credits requested for the unit for 2001 and 2002 in early 
reduction credit requests under paragraph (a) or (b) of this section, as 
adjusted under paragraph (c)(1) of this section.
    ``State's compliance supplement pool'' is the number of 
NOX allowances in the State's compliance supplement pool set 
forth in appendix D of this part.
    ``Total adjusted early reduction credits for all units'' is the 
amount of early reduction credits requested for all units for 2001 and 
2002 in early reduction credit requests under paragraph (a) or (b) of 
this section, as adjusted under paragraph (c)(1) of this section.

    (5) By April 1, 2004, the Administrator will determine by order the 
allocations under paragraph (c)(3) or (4) of this section. The 
Administrator will make available to the public each determination of 
NOX allowance allocations and will provide an opportunity for 
submission of objections to the determination. Objections shall be 
limited to addressing whether the determination is in accordance with 
paragraph (c)(1), (3), or (4) of this section. Based on any such 
objections, the Administrator will adjust each determination to the 
extent necessary to ensure that it is in accordance with paragraph 
(c)(1), (3), or (4) of this section.
    (6) By May 1, 2004, the Administrator will record the allocations 
under paragraph (c)(3) or (4) of this section.
    (7) NOX allowances recorded under paragraph (c)(6) of 
this section may be deducted for compliance under Sec. 97.54 for the 
control period in 2004 or 2005. Notwithstanding Sec. 97.55(a), the 
Administrator will deduct as retired any NOX allowance that 
is recorded under paragraph (c)(6) of this section and that is not 
deducted for compliance under Sec. 97.54 for the control period in 2003 
or 2004.
    (8) NOX allowances recorded under paragraph (c)(6) of 
this section are treated as banked allowances in 2005 for the purposes 
of Secs. 97.54(f) and 97.55(b).

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]



           Subpart F--NOX Allowance Tracking System



Sec. 97.50  NOX Allowance Tracking System accounts.

    (a) Nature and function of compliance accounts and overdraft 
accounts. Consistent with Sec. 97.51(a), the Administrator will 
establish one compliance account for each NOX Budget unit and

[[Page 731]]

one overdraft account for each source with two or more NOX 
Budget units. Allocations of NOX allowances pursuant to 
subpart E of this part or Sec. 97.88, and deductions or transfers of 
NOX allowances pursuant to Sec. 97.31, Sec. 96.54, 
Sec. 96.56, subpart G of this part, or subpart I of this part will be 
recorded in compliance accounts or overdraft accounts in accordance with 
this subpart.
    (b) Nature and function of general accounts. Consistent with 
Sec. 97.51(b), the Administrator will establish, upon request, a general 
account for any person. Allocations of NOX allowances 
pursuant to Sec. 97.4(b)(4)(ii) or Sec. 97.5(c)(2) and transfers of 
allowances pursuant to subpart G of this part will be recorded in 
general accounts in accordance with this subpart.



Sec. 97.51  Establishment of accounts.

    (a) Compliance accounts and overdraft accounts. Upon receipt of a 
complete account certificate of representation under Sec. 97.13, the 
Administrator will establish:
    (1) A compliance account for each NOX Budget unit for 
which the account certificate of representation was submitted; and
    (2) An overdraft account for each source for which the account 
certificate of representation was submitted and that has two or more 
NOX Budget units.
    (b) General accounts.--(1) Application for general account. (i) Any 
person may apply to open a general account for the purpose of holding 
and transferring allowances. An application for a general account may 
designate one and only one NOX authorized account 
representative and one and only one alternate NOX authorized 
account representative who may act on behalf of the NOX 
authorized account representative. The agreement by which the alternate 
NOX authorized account representative is selected shall 
include a procedure for authorizing the alternate NOX 
authorized account representative to act in lieu of the NOX 
authorized account representative. A complete application for a general 
account shall be submitted to the Administrator and shall include the 
following elements in a format prescribed by the Administrator:
    (A) Name, mailing address, e-mail address (if any), telephone 
number, and facsimile transmission number (if any) of the NOX 
authorized account representative and any alternate NOX 
authorized account representative;
    (B) At the option of the NOX authorized account 
representative, organization name and type of organization;
    (C) A list of all persons subject to a binding agreement for the 
NOX authorized account representative and any alternate 
NOX authorized account representative to represent their 
ownership interest with respect to the allowances held in the general 
account;
    (D) The following certification statement by the NOX 
authorized account representative and any alternate NOX 
authorized account representative: ``I certify that I was selected as 
the NOX authorized account representative or the 
NOX alternate authorized account representative, as 
applicable, by an agreement that is binding on all persons who have an 
ownership interest with respect to allowances held in the general 
account. I certify that I have all the necessary authority to carry out 
my duties and responsibilities under the NOX Budget Trading 
Program on behalf of such persons and that each such person shall be 
fully bound by my representations, actions, inactions, or submissions 
and by any order or decision issued to me by the Administrator or a 
court regarding the general account.;''
    (E) The signature of the NOX authorized account 
representative and any alternate NOX authorized account 
representative and the dates signed.
    (ii) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the application for 
a general account shall not be submitted to the permitting authority or 
the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.
    (2) Authorization of NOX authorized account 
representative. Upon receipt by the Administrator of a complete 
application for a general account under paragraph (b)(1) of this 
section:

[[Page 732]]

    (i) The Administrator will establish a general account for the 
person or persons for whom the application is submitted.
    (ii) The NOX authorized account representative and any 
alternate NOX authorized account representative for the 
general account shall represent and, by his or her representations, 
actions, inactions, or submissions, legally bind each person who has an 
ownership interest with respect to NOX allowances held in the 
general account in all matters pertaining to the NOX Budget 
Trading Program, not withstanding any agreement between the 
NOX authorized account representative or any alternate 
NOX authorized account representative and such person. Any 
such person shall be bound by any order or decision issued to the 
NOX authorized account representative or any alternate 
NOX authorized account representative by the Administrator or 
a court regarding the general account.
    (iii) Any representation, action, inaction, or submission by any 
alternate NOX authorized account representative shall be 
deemed to be a representation, action, inaction, or submission by the 
NOX authorized account representative.
    (iv) Each submission concerning the general account shall be 
submitted, signed, and certified by the NOX authorized 
account representative or any alternate NOX authorized 
account representative for the persons having an ownership interest with 
respect to NOX allowances held in the general account. Each 
such submission shall include the following certification statement by 
the NOX authorized account representative or any alternate 
NOX authorizing account representative: ``I am authorized to 
make this submission on behalf of the persons having an ownership 
interest with respect to the NOX allowances held in the 
general account. I certify under penalty of law that I have personally 
examined, and am familiar with, the statements and information submitted 
in this document and all its attachments. Based on my inquiry of those 
individuals with primary responsibility for obtaining the information, I 
certify that the statements and information are to the best of my 
knowledge and belief true, accurate, and complete. I am aware that there 
are significant penalties for submitting false statements and 
information or omitting required statements and information, including 
the possibility of fine or imprisonment.''
    (v) The Administrator will accept or act on a submission concerning 
the general account only if the submission has been made, signed, and 
certified in accordance with paragraph (b)(2)(iv) of this section.
    (3) Changing NOX authorized account representative and 
alternate NOX authorized account representative; changes in 
persons with ownership interest. (i) The NOX authorized 
account representative for a general account may be changed at any time 
upon receipt by the Administrator of a superseding complete application 
for a general account under paragraph (b)(1) of this section. 
Notwithstanding any such change, all representations, actions, 
inactions, and submissions by the previous NOX authorized 
account representative prior to the time and date when the Administrator 
receives the superseding application for a general account shall be 
binding on the new NOX authorized account representative and 
the persons with an ownership interest with respect to the 
NOX allowances in the general account.
    (ii) The alternate NOX authorized account representative 
for a general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous alternate NOX authorized account representative 
prior to the time and date when the Administrator receives the 
superseding application for a general account shall be binding on the 
new alternate NOX authorized account representative and the 
persons with an ownership interest with respect to the NOX 
allowances in the general account.
    (iii)(A) In the event a new person having an ownership interest with 
respect to NOX allowances in the general account is not 
included in the list of such persons in the account certificate of 
representation, such new person shall be deemed to be subject to and

[[Page 733]]

bound by the account certificate of representation, the representation, 
actions, inactions, and submissions of the NOX authorized 
account representative and any alternate NOX authorized 
account representative of the source or unit, and the decisions, orders, 
actions, and inactions of the Administrator, as if the new person were 
included in such list.
    (B) Within 30 days following any change in the persons having an 
ownership interest with respect to NOX allowances in the 
general account, including the addition of persons, the NOX 
authorized account representative or any alternate NOX 
authorized account representative shall submit a revision to the 
application for a general account amending the list of persons having an 
ownership interest with respect to the NOX allowances in the 
general account to include the change.
    (4) Objections concerning NOX authorized account 
representative. (i) Once a complete application for a general account 
under paragraph (b)(1) of this section has been submitted and received, 
the Administrator will rely on the application unless and until a 
superseding complete application for a general account under paragraph 
(b)(1) of this section is received by the Administrator.
    (ii) Except as provided in paragraph (b)(3)(i) or (ii) of this 
section, no objection or other communication submitted to the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission of the NOX authorized account 
representative or any alternative NOX authorized account 
representative for a general account shall affect any representation, 
action, inaction, or submission of the NOX authorized account 
representative or any alternative NOX authorized account 
representative or the finality of any decision or order by the 
Administrator under the NOX Budget Trading Program.
    (iii) The Administrator will not adjudicate any private legal 
dispute concerning the authorization or any representation, action, 
inaction, or submission of the NOX authorized account 
representative or any alternative NOX authorized account 
representative for a general account, including private legal disputes 
concerning the proceeds of NOX allowance transfers.
    (c) Account identification. The Administrator will assign a unique 
identifying number to each account established under paragraph (a) or 
(b) of this section.



Sec. 97.52  NOX Allowance Tracking System responsibilities of 
NOX authorized account representative.

    (a) Following the establishment of a NOX Allowance 
Tracking System account, all submissions to the Administrator pertaining 
to the account, including, but not limited to, submissions concerning 
the deduction or transfer of NOX allowances in the account, 
shall be made only by the NOX authorized account 
representative for the account.
    (b) Authorized account representative identification. The 
Administrator will assign a unique identifying number to each 
NOX authorized account representative.



Sec. 97.53  Recordation of NOX allowance allocations.

    (a) The Administrator will record the NOX allowances for 
2004 for a NOX Budget unit allocated under subpart E of this 
part in the unit's compliance account, except for NOX 
allowances under Sec. 97.4(b)(4)(ii) or Sec. 97.5(c)(2), which will be 
recorded in the general account specified by the owners and operators of 
the unit. The Administrator will record NOX allowances for 
2004 for a NOX Budget opt-in unit in the unit's compliance 
account as allocated under Sec. 97.88(a).
    (b) By May 1, 2003, the Administrator will record the NOX 
allowances for 2005 for a NOX Budget unit allocated under 
subpart E of this part in the unit's compliance account, except for 
NOX allowances under Sec. 97.4(b)(4)(ii) or Sec. 97.5(c)(2), 
which will be recorded in the general account specified by the owners 
and operators of the unit. The Administrator will record NOX 
allowances for 2005 for a NOX Budget opt-in unit in the 
unit's compliance account as allocated under Sec. 97.88(a).
    (c) By May 1, 2003, the Administrator will record the NOX 
allowances for 2006 for a NOX Budget unit allocated under 
subpart E of this part in the unit's

[[Page 734]]

compliance account, except for NOX allowances under 
Sec. 97.4(b)(4)(ii) or Sec. 97.5(c)(2), which will be recorded in the 
general account specified by the owners and operators of the unit. The 
Administrator will record NOX allowances for 2006 for a 
NOX Budget opt-in unit in the unit's compliance account as 
allocated under Sec. 97.88(a).
    (d) By May 1, 2004, the Administrator will record the NOX 
allowances for 2007 for a NOX Budget unit allocated under 
subpart E of this part in the unit's compliance account, except for 
NOX allowances under Sec. 97.4(b)(4)(ii) or Sec. 97.5(c)(2), 
which will be recorded in the general account specified by the owners 
and operators of the unit. The Administrator will record NOX 
allowances for 2007 for a NOX Budget opt-in unit in the 
unit's compliance account as allocated under Sec. 97.88(a).
    (e) Each year starting with 2005, after the Administrator has made 
all deductions from a NOX Budget unit's compliance account 
and the overdraft account pursuant to Sec. 97.54 (except deductions 
pursuant to Sec. 97.54(d)(2)), the Administrator will record:
    (1) NOX allowances, in the compliance account, as 
allocated to the unit under subpart E of this part for the third year 
after the year of the control period for which such deductions were or 
could have been made;
    (2) NOX allowances, in the general account specified by 
the owners and operators of the unit, as allocated under 
Sec. 97.4(b)(4)(ii) or Sec. 97.5(c)(2) for the third year after the year 
of the control period for which such deductions are or could have been 
made; and
    (3) NOX allowances, in the compliance account, as 
allocated to the unit under Sec. 97.88(a).
    (f) Serial numbers for allocated NOX allowances. When 
allocating NOX allowances to a NOX Budget unit and 
recording them in an account, the Administrator will assign each 
NOX allowance a unique identification number that will 
include digits identifying the year for which the NOX 
allowance is allocated.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21530, Apr. 30, 2002]



Sec. 97.54  Compliance.

    (a) NOX allowance transfer deadline. The NOX 
allowances are available to be deducted for compliance with a unit's 
NOX Budget emissions limitation for a control period in a 
given year only if the NOX allowances:
    (1) Were allocated for a control period in a prior year or the same 
year; and
    (2) Are held in the unit's compliance account, or the overdraft 
account of the source where the unit is located, as of the 
NOX allowance transfer deadline for that control period or 
are transferred into the compliance account or overdraft account by a 
NOX allowance transfer correctly submitted for recordation 
under Sec. 97.60 by the NOX allowance transfer deadline for 
that control period.
    (b) Deductions for compliance. (1) Following the recordation, in 
accordance with Sec. 97.61, of NOX allowance transfers 
submitted for recordation in the unit's compliance account or the 
overdraft account of the source where the unit is located by the 
NOX allowance transfer deadline for a control period, the 
Administrator will deduct NOX allowances available under 
paragraph (a) of this section to cover the unit's NOX 
emissions (as determined in accordance with subpart H of this part), or 
to account for actual heat input under Sec. 97.42(e), for the control 
period:
    (i) From the compliance account; and
    (ii) Only if no more NOX allowances available under 
paragraph (a) of this section remain in the compliance account, from the 
overdraft account. In deducting allowances for units at the source from 
the overdraft account, the Administrator will begin with the unit having 
the compliance account with the lowest account number and end with the 
unit having the compliance account with the highest account number (with 
account numbers sorted beginning with the left-most character and ending 
with the right-most character and the letter characters assigned values 
in alphabetical order and less than all numeric characters).
    (2) The Administrator will deduct NOX allowances first 
under paragraph (b)(1)(i) of this section and then under paragraph 
(b)(1)(ii) of this section:
    (i) Until the number of NOX allowances deducted for the 
control period equals the number of tons of NOX emissions, 
determined in accordance with

[[Page 735]]

subpart H of this part, from the unit for the control period for which 
compliance is being determined, plus the number of NOX 
allowances required for deduction to account for actual heat input under 
Sec. 97.42(e) for the control period; or
    (ii) Until no more NOX allowances available under 
paragraph (a) of this section remain in the respective account.
    (c)(1) Identification of NOX allowances by serial number. 
The NOX authorized account representative for each compliance 
account may identify by serial number the NOX allowances to 
be deducted from the unit's compliance account under paragraph (b), (d), 
(e), or (f) of this section. Such identification shall be made in the 
compliance certification report submitted in accordance with Sec. 97.30.
    (2) First-in, first-out. The Administrator will deduct 
NOX allowances for a control period from the compliance 
account, in the absence of an identification or in the case of a partial 
identification of NOX allowances by serial number under 
paragraph (c)(1) of this section, or the overdraft account on a first-
in, first-out (FIFO) accounting basis in the following order:
    (i) Those NOX allowances that were allocated for the 
control period to the unit under subpart E or I of this part;
    (ii) Those NOX allowances that were allocated for the 
control period to any unit and transferred and recorded in the account 
pursuant to subpart G of this part, in order of their date of 
recordation;
    (iii) Those NOX allowances that were allocated for a 
prior control period to the unit under subpart E or I of this part; and
    (iv) Those NOX allowances that were allocated for a prior 
control period to any unit and transferred and recorded in the account 
pursuant to subpart G of this part, in order of their date of 
recordation.
    (d) Deductions for excess emissions. (1) After making the deductions 
for compliance under paragraph (b) of this section, the Administrator 
will deduct from the unit's compliance account or the overdraft account 
of the source where the unit is located a number of NOX 
allowances, allocated for a control period after the control period in 
which the unit has excess emissions, equal to three times the number of 
the unit's excess emissions.
    (2) If the compliance account or overdraft account does not contain 
sufficient NOX allowances, the Administrator will deduct the 
required number of NOX allowances, regardless of the control 
period for which they were allocated, whenever NOX allowances 
are recorded in either account.
    (3) Any allowance deduction required under paragraph (d) of this 
section shall not affect the liability of the owners and operators of 
the NOX Budget unit for any fine, penalty, or assessment, or 
their obligation to comply with any other remedy, for the same 
violation, as ordered under the Clean Air Act or applicable State law. 
The following guidelines will be followed in assessing fines, penalties 
or other obligations:
    (i) For purposes of determining the number of days of violation, if 
a NOX Budget unit has excess emissions for a control period, 
each day in the control period (153 days) constitutes a day in violation 
unless the owners and operators of the unit demonstrate that a lesser 
number of days should be considered.
    (ii) Each ton of excess emissions is a separate violation.
    (e) Deductions for units sharing a common stack. In the case of 
units sharing a common stack and having emissions that are not 
separately monitored or apportioned in accordance with subpart H of this 
part:
    (1) The NOX authorized account representative of the 
units may identify the percentage of NOX allowances to be 
deducted from each such unit's compliance account to cover the unit's 
share of NOX emissions from the common stack for a control 
period. Such identification shall be made in the compliance 
certification report submitted in accordance with Sec. 97.30.
    (2) Notwithstanding paragraph (b)(2)(i) of this section, the 
Administrator will deduct NOX allowances for each such unit 
until the number of NOX allowances deducted equals the unit's 
identified percentage under paragraph (e)(1) of this section or, if no 
percentage is identified, an equal percentage

[[Page 736]]

for each unit multiplied by the number of tons of NOX 
emissions, as determined in accordance with subpart H of this part, from 
the common stack for the control period for which compliance is being 
determined. In addition to the deductions under the first sentence of 
this paragraph (e)(1), the Administrator will deduct NOX 
allowances for each such unit until the number of NOX 
allowances deducted equals the number of NOX allowances 
required to account for actual heat input under Sec. 97.42(e) for the 
unit for the control period.
    (f) Deduction of banked allowances. Each year starting in 2006, 
after the Administrator has completed the designation of banked 
NOX allowances under Sec. 97.55(b) and before May 1 of the 
year, the Administrator will determine the extent to which banked 
NOX allowances otherwise available under paragraph (a) of 
this section are available for compliance in the control period for the 
current year, as follows:
    (1) The Administrator will determine the total number of banked 
NOX allowances held in compliance accounts, overdraft 
accounts, or general accounts.
    (2) If the total number of banked NOX allowances 
determined, under paragraph (f)(1) of this section, to be held in 
compliance accounts, overdraft accounts, or general accounts is less 
than or equal to 10 percent of the sum of the trading program budgets 
under Sec. 97.40 for all States for the control period, any banked 
NOX allowance may be deducted for compliance in accordance 
with paragraphs (a) through (e) of this section.
    (3) If the total number of banked NOX allowances 
determined, under paragraph (f)(1) of this section, to be held in 
compliance accounts, overdraft accounts, or general accounts exceeds 10 
percent of the sum of the trading program budgets under Sec. 97.40 for 
all States for the control period, any banked allowance may be deducted 
for compliance in accordance with paragraphs (a) through (e) of this 
section, except as follows:
    (i) The Administrator will determine the following ratio: 0.10 
multiplied by the sum of the trading program budgets under Sec. 97.40 
for all States for the control period and divided by the total number of 
banked NOX allowances determined, under paragraph (f)(1) of 
this section, to be held in compliance accounts, overdraft accounts, or 
general accounts.
    (ii) The Administrator will multiply the number of banked 
NOX allowances in each compliance account or overdraft 
account by the ratio determined under paragraph (f)(3)(i) of this 
section. The resulting product is the number of banked NOX 
allowances in the account that may be deducted for compliance in 
accordance with paragraphs (a) through (e) of this section. Any banked 
NOX allowances in excess of the resulting product may be 
deducted for compliance in accordance with paragraphs (a) through (e) of 
this section, except that, if such NOX allowances are used to 
make a deduction under paragraph (b) or (e) of this section, two (rather 
than one) such NOX allowances shall authorize up to one ton 
of NOX emissions during the control period and must be 
deducted for each deduction of one NOX allowance required 
under paragraph (b) or (e) of this section.
    (g) Recordation of deductions. The Administrator will record in the 
appropriate compliance account or overdraft account all deductions from 
such an account pursuant to paragraph (b), (d), (e), or (f) of this 
section.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21530, Apr. 30, 2002]



Sec. 97.55  Banking.

    NOX allowances may be banked for future use or transfer 
in a compliance account, an overdraft account, or a general account, as 
follows:
    (a) Any NOX allowance that is held in a compliance 
account, an overdraft account, or a general account will remain in such 
account unless and until the NOX allowance is deducted or 
transferred under Sec. 97.31, Sec. 97.54, Sec. 97.56, or subpart G or I 
of this part.
    (b) The Administrator will designate, as a ``banked'' NOX 
allowance, any NOX allowance that remains in a compliance 
account, an overdraft account, or a general account after the 
Administrator has made all deductions for a

[[Page 737]]

given control period from the compliance account or overdraft account 
pursuant to Sec. 97.54 (except deductions pursuant to Sec. 97.54(d)(2)) 
and that was allocated for that control period or a control period in a 
prior year.



Sec. 97.56  Account error.

    The Administrator may, at his or her sole discretion and on his or 
her own motion, correct any error in any NOX Allowance 
Tracking System account. Within 10 business days of making such 
correction, the Administrator will notify the NOX authorized 
account representative for the account.



Sec. 97.57  Closing of general accounts.

    (a) The NOX authorized account representative of a 
general account may instruct the Administrator to close the account by 
submitting a statement requesting deletion of the account from the 
NOX Allowance Tracking System and by correctly submitting for 
recordation under Sec. 97.60 an allowance transfer of all NOX 
allowances in the account to one or more other NOX Allowance 
Tracking System accounts.
    (b) If a general account shows no activity for a period of a year or 
more and does not contain any NOX allowances, the 
Administrator may notify the NOX authorized account 
representative for the account that the account will be closed and 
deleted from the NOX Allowance Tracking System following 20 
business days after the notice is sent. The account will be closed after 
the 20-day period unless before the end of the 20-day period the 
Administrator receives a correctly submitted transfer of NOX 
allowances into the account under Sec. 97.60 or a statement submitted by 
the NOX authorized account representative demonstrating to 
the satisfaction of the Administrator good cause as to why the account 
should not be closed.



              Subpart G--NOX Allowance Transfers



Sec. 97.60  Submission of NOX allowance transfers.

    The NOX authorized account representatives seeking 
recordation of a NOX allowance transfer shall submit the 
transfer to the Administrator. To be considered correctly submitted, the 
NOX allowance transfer shall include the following elements 
in a format specified by the Administrator:
    (a) The numbers identifying both the transferor and transferee 
accounts;
    (b) A specification by serial number of each NOX 
allowance to be transferred; and
    (c) The printed name and signature of the NOX authorized 
account representative of the transferor account and the date signed.



Sec. 97.61  EPA recordation.

    (a) Within 5 business days of receiving a NOX allowance 
transfer, except as provided in paragraph (b) of this section, the 
Administrator will record a NOX allowance transfer by moving 
each NOX allowance from the transferor account to the 
transferee account as specified by the request, provided that:
    (1) The transfer is correctly submitted under Sec. 97.60; and
    (2) The transferor account includes each NOX allowance 
identified by serial number in the transfer.
    (b) A NOX allowance transfer that is submitted for 
recordation following the NOX allowance transfer deadline and 
that includes any NOX allowances allocated for a control 
period in a prior year or the same year as the NOX allowance 
transfer deadline will not be recorded until after the Administrator 
completes the recordation of NOX allowance allocations under 
Sec. 97.53 for the control period in the same year as the NOX 
allowance transfer deadline.
    (c) Where a NOX allowance transfer submitted for 
recordation fails to meet the requirements of paragraph (a) of this 
section, the Administrator will not record such transfer.



Sec. 97.62  Notification.

    (a) Notification of recordation. Within 5 business days of 
recordation of a NOX allowance transfer under Sec. 97.61, the 
Administrator will notify the NOX authorized account 
representatives of both the transferor and transferee accounts.
    (b) Notification of non-recordation. Within 10 business days of 
receipt of a NOX allowance transfer that fails to meet the 
requirements of Sec. 97.61(a), the

[[Page 738]]

Administrator will notify the NOX authorized account 
representatives of both accounts subject to the transfer of:
    (1) A decision not to record the transfer; and
    (2) The reasons for such non-recordation.
    (c) Nothing in this section shall preclude the submission of a 
NOX allowance transfer for recordation following notification 
of non-recordation.



                   Subpart H--Monitoring and Reporting



Sec. 97.70  General requirements.

    The owners and operators, and to the extent applicable, the 
NOX authorized account representative of a NOX 
Budget unit, shall comply with the monitoring, recordkeeping, and 
reporting requirements as provided in this subpart and in subpart H of 
part 75 of this chapter. For purposes of complying with such 
requirements, the definitions in Sec. 97.2 and in Sec. 72.2 of this 
chapter shall apply, and the terms ``affected unit,'' ``designated 
representative,'' and ``continuous emission monitoring system'' (or 
``CEMS'') in part 75 of this chapter shall be deemed to refer to the 
terms ``NOX Budget unit,'' ``NOX authorized 
account representative,'' and ``continuous emission monitoring system'' 
(or ``CEMS'') respectively, as defined in Sec. 97.2. The owner or 
operator of a unit that is not a NOX Budget unit but that is 
monitored under Sec. 75.72(b)(2)(ii) of this chapter shall comply with 
the monitoring, recordkeeping, and reporting requirements for a 
NOX Budget unit under this part.
    (a) Requirements for installation, certification, and data 
accounting. The owner or operator of each NOX Budget unit 
shall meet the following requirements. These provisions shall also apply 
to a unit for which an application for a NOX Budget opt-in 
permit is submitted and not denied or withdrawn, as provided in subpart 
I of this part:
    (1) Install all monitoring systems required under this subpart for 
monitoring NOX mass emissions. This includes all systems 
required to monitor NOX emission rate, NOX 
concentration, heat input rate, and stack flow rate, in accordance with 
Secs. 75.72 and 75.76 of this chapter.
    (2) Install all monitoring systems for monitoring heat input rate.
    (3) Successfully complete all certification tests required under 
Sec. 97.71 and meet all other requirements of this subpart and part 75 
of this chapter applicable to the monitoring systems under paragraphs 
(a)(1) and (2) of this section.
    (4) Record, report, and quality-assure the data from the monitoring 
systems under paragraphs (a)(1) and (2) of this section.
    (b) Compliance deadlines. The owner or operator shall meet the 
certification and other requirements of paragraphs (a)(1) through (a)(3) 
of this section on or before the following dates. The owner or operator 
shall record, report and quality-assure the data from the monitoring 
systems under paragraphs (a)(1) and (a)(2) of this section on and after 
the following dates.
    (1) For the owner or operator of a NOX Budget unit for 
which the owner or operator intends to apply for early reduction credits 
under Sec. 97.43, by May 1, 2001. If the owner or operator of a 
NOX Budget unit fails to meet this deadline, he or she is not 
eligible to apply for early reduction credits and is subject to the 
deadline under paragraph (b)(2) of this section.
    (2) For the owner or operator of a NOX Budget unit under 
Sec. 97.4(a) that commences operation before January 1, 2003 and that is 
not subject to or does not meet the deadline under paragraph (b)(1) of 
this section, by May 1, 2003.
    (3) For the owner or operator of a NOX Budget unit under 
Sec. 97.4(a)(1) that commences operation on or after January 1, 2003 and 
that reports on an annual basis under Sec. 97.74(d) by the later of the 
following dates:
    (i) May 1, 2003; or
    (ii) 90 days after the date on which the unit commences commercial 
operation.
    (4) For the owner or operator of a NOX Budget unit under 
Sec. 97.4(a)(1) that commences operation on or after January 1, 2003 and 
that reports on a control period basis under Sec. 97.74(d)(2)(ii), by no 
later than 90 days after the date on which the unit commences commercial 
operation, provided that this date is

[[Page 739]]

during a control period. If this date does not occur during a control 
period, the applicable deadline is May 1 immediately following this 
date.
    (5) For the owner or operator of a NOX Budget unit under 
Sec. 97.4(a)(2) that commences operation on or after January 1, 2003 and 
that reports on an annual basis under Sec. 97.74(d), by the later of the 
following dates:
    (i) May 1, 2003; or
    (ii) 180 days after the date on which the unit commences operation.
    (6) For the owner or operator of a NOX Budget unit under 
Sec. 97.4(a)(2) that commences operation on or after January 1, 2003 and 
that report on a control period basis under Sec. 97.74(d)(2)(ii), by 180 
days after the date on which the unit commences operation, provided that 
this date is during a control period. If this date does not occur during 
a control period, the applicable deadline is May 1 immediately following 
this date.
    (7) For the owner or operator of a NOX Budget unit that 
has a new stack or flue for which construction is completed after the 
applicable deadline under paragraph (b)(1), (b)(2), (b)(3), (b)(4), 
(b)(5), or (b)(6) of this section or under subpart I of this part and 
that reports on an annual basis under Sec. 97.74(d), by 90 days after 
the date on which emissions first exit to the atmosphere through the new 
stack or flue.
    (8) For the owner or operator of a NOX Budget unit that 
has a new stack or flue for which construction is completed after the 
applicable deadline under paragraph (b)(1), (b)(2), (b)(3), (b)(4), 
(b)(5), or (b)(6) of this section or under subpart I of this part and 
that reports on a control period basis under Sec. 97.74(d)(2)(ii), by 90 
days after the date on which emissions first exit to the atmosphere 
through the new stack or flue, provided that this date is during a 
control period. If this date does not occur during the control period, 
the applicable deadline is May 1 immediately following this date.
    (9) For the owner or operator of a unit for which an application for 
a NOX Budget opt-in permit is submitted and not denied or 
withdrawn, by the date specified under subpart I of this part.
    (c) Reporting data prior to initial certification. The owner or 
operator of a NOX Budget unit under paragraph (b)(3), (b)(4), 
(b)(5), or (b)(6) of this section shall determine, record and report 
NOX mass emissions, heat input rate, and any other values 
required to determine NOX mass emissions (e.g., 
NOX emission rate and heat input rate, or NOX 
concentration and stack flow rate) in accordance with Sec. 75.70(g) of 
this chapter, from the date and hour that the unit starts operating 
until the date and hour on which the continuous emission monitoring 
system, excepted monitoring system under appendix D or E of part 75 of 
this chapter, or excepted monitoring methodology under Sec. 75.19 of 
this chapter is provisionally certified.
    (d) Prohibitions. (1) No owner or operator of a NOX 
Budget unit shall use any alternative monitoring system, alternative 
reference method, or any other alternative for the required continuous 
emission monitoring system without having obtained prior written 
approval in accordance with Sec. 97.75.
    (2) No owner or operator of a NOX Budget unit shall 
operate the unit so as to discharge, or allow to be discharged, 
NOX emissions to the atmosphere without accounting for all 
such emissions in accordance with the applicable provisions of this 
subpart and part 75 of this chapter, except as provided in Sec. 75.74 of 
this chapter.
    (3) No owner or operator of a NOX Budget unit shall 
disrupt the continuous emission monitoring system, any portion thereof, 
or any other approved emission monitoring method, and thereby avoid 
monitoring and recording NOX mass emissions discharged into 
the atmosphere, except for periods of recertification or periods when 
calibration, quality assurance testing, or maintenance is performed in 
accordance with the applicable provisions of this subpart and part 75 of 
this chapter or except as provided in Sec. 75.74 of this chapter.
    (4) No owner or operator of a NOX Budget unit shall 
retire or permanently discontinue use of the continuous emission 
monitoring system, any component thereof, or any other approved emission 
monitoring system under this subpart, except under any one of the 
following circumstances:

[[Page 740]]

    (i) During the period that the unit is covered by an exemption under 
Sec. 97.4(b) or Sec. 97.5 that is in effect;
    (ii) The owner or operator is monitoring emissions from the unit 
with another certified monitoring system approved, in accordance with 
the applicable provisions of this subpart and part 75 of this chapter, 
by the permitting authority for use at that unit that provides emission 
data for the same pollutant or parameter as the retired or discontinued 
monitoring system; or
    (iii) The NOX authorized account representative submits 
notification of the date of certification testing of a replacement 
monitoring system for the retired or discontinued monitoring system in 
accordance with Sec. 97.71(b)(2).

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21530, Apr. 30, 2002]



Sec. 97.71  Initial certification and recertification procedures.

    (a) The owner or operator of a NOX Budget unit that is 
subject to an Acid Rain emissions limitation shall comply with the 
initial certification and recertification procedures of part 75 of this 
chapter, except that:
    (1) If, prior to January 1, 1998, the Administrator approved a 
petition under Sec. 75.17(a) or (b) of this chapter for apportioning the 
NOX emission rate measured in a common stack or a petition 
under Sec. 75.66 of this chapter for an alternative to a requirement in 
Sec. 75.17 of this chapter, the NOX authorized account 
representative shall resubmit the petition to the Administrator under 
Sec. 97.75(a) to determine if the approval applies under the 
NOX Budget Trading Program.
    (2) For any additional CEMS required under the common stack 
provisions in Sec. 75.72 of this chapter or for any NOX 
concentration CEMS used under the provisions of Sec. 75.71(a)(2) of this 
chapter, the owner or operator shall meet the requirements of paragraph 
(b) of this section.
    (b) The owner or operator of a NOX Budget unit that is 
not subject to an Acid Rain emissions limitation shall comply with the 
following initial certification and recertification procedures. The 
owner or operator of such a unit that qualifies to use the low mass 
emissions excepted monitoring methodology under Sec. 75.19 of this 
chapter or that qualifies to use an alternative monitoring system under 
subpart E of part 75 of this chapter shall comply with the following 
procedures, as modified by paragraph (c) or (d) of this section. The 
owner or operator of a NOX Budget unit that is subject to an 
Acid Rain emissions limitation and that requires additional CEMS under 
the common stack provisions in Sec. 75.72 of this chapter or uses a 
NOX concentration CEMS under Sec. 75.71(a)(2) of this chapter 
shall comply with the following procedures.
    (1) Requirements for initial certification. The owner or operator 
shall ensure that each monitoring system required by subpart H of part 
75 of this chapter (which includes the automated data acquisition and 
handling system) successfully completes all of the initial certification 
testing required under Sec. 75.20 of this chapter by the applicable 
deadline in Sec. 97.70(b). In addition, whenever the owner or operator 
installs a monitoring system in order to meet the requirements of this 
part in a location where no such monitoring system was previously 
installed, initial certification in accordance with Sec. 75.20 of this 
chapter is required.
    (2) Requirements for recertification. Whenever the owner or operator 
makes a replacement, modification, or change in a certified monitoring 
system that may significantly affect the ability of the system to 
accurately measure or record NOX mass emissions or heat input 
rate or to meet the requirements of Sec. 75.21 of this chapter or 
appendix B to part 75 of this chapter, the owner or operator shall 
recertify the monitoring system in accordance with Sec. 75.20(b) of this 
chapter. Furthermore, whenever the owner or operator makes a 
replacement, modification, or change to the flue gas handling system or 
the unit's operation that may significantly change the stack flow or 
concentration profile, the owner or operator shall recertify the 
continuous emissions monitoring system in accordance with Sec. 75.20(b) 
of this chapter. Examples of changes that require recertification 
include: replacement of the analyzer, complete replacement of an 
existing

[[Page 741]]

continuous emission monitoring system, or change in location or 
orientation of the sampling probe or site.
    (3) Certification approval process for initial certification and 
recertification--(i) Notification of certification. The NOX 
authorized account representative shall submit to the Administrator, the 
appropriate EPA Regional Office and the permitting authority written 
notice of the dates of certification in accordance with Sec. 97.73.
    (ii) Certification application. The NOX authorized 
account representative shall submit to the Administrator, the 
appropriate EPA Regional Office and the permitting authority a 
certification application for each monitoring system required under 
subpart H of part 75 of this chapter. A complete certification 
application shall include the information specified in subpart H of part 
75 of this chapter.
    (iii) Except for units using the low mass emission excepted 
methodology under Sec. 75.19 of this chapter, the provisional 
certification date for a monitor shall be determined in accordance with 
Sec. 75.20(a)(3) of this chapter. A provisionally certified monitor may 
be used under the NOX Budget Trading Program for a period not 
to exceed 120 days after receipt by the Administrator of the complete 
certification application for the monitoring system or component thereof 
under paragraph (b)(3)(ii) of this section. Data measured and recorded 
by the provisionally certified monitoring system or component thereof, 
in accordance with the requirements of part 75 of this chapter, will be 
considered valid quality-assured data (retroactive to the date and time 
of provisional certification), provided that the Administrator does not 
invalidate the provisional certification by issuing a notice of 
disapproval within 120 days of receipt of the complete certification 
application by the Administrator.
    (iv) Certification application formal approval process. The 
Administrator will issue a written notice of approval or disapproval of 
the certification application to the owner or operator within 120 days 
of receipt of the complete certification application under paragraph 
(b)(3)(ii) of this section. In the event the Administrator does not 
issue such a notice within such 120-day period, each monitoring system 
that meets the applicable performance requirements of part 75 of this 
chapter and is included in the certification application will be deemed 
certified for use under the NOX Budget Trading Program.
    (A) Approval notice. If the certification application is complete 
and shows that each monitoring system meets the applicable performance 
requirements of part 75 of this chapter, then the Administrator will 
issue a written notice of approval of the certification application 
within 120 days of receipt.
    (B) Incomplete application notice. A certification application will 
be considered complete when all of the applicable information required 
to be submitted under paragraph (b)(3)(ii) of this section has been 
received by the Administrator. If the certification application is not 
complete, then the Administrator will issue a written notice of 
incompleteness that sets a reasonable date by which the NOX 
authorized account representative must submit the additional information 
required to complete the certification application. If the 
NOX authorized account representative does not comply with 
the notice of incompleteness by the specified date, then the 
Administrator may issue a notice of disapproval under paragraph 
(b)(3)(iv)(C) of this section. The 120-day review period shall not begin 
prior to receipt of a complete certification application.
    (C) Disapproval notice. If the certification application shows that 
any monitoring system or component thereof does not meet the performance 
requirements of this part, or if the certification application is 
incomplete and the requirement for disapproval under paragraph 
(b)(3)(iv)(B) of this section has been met, then the Administrator will 
issue a written notice of disapproval of the certification application. 
Upon issuance of such notice of disapproval, the provisional 
certification is invalidated by the Administrator and the data measured 
and recorded by each uncertified monitoring system or component thereof 
shall not be considered valid quality-assured data beginning with the 
date and hour of provisional certification (as defined

[[Page 742]]

under Sec. 75.20(a)(3) of this chapter). The owner or operator shall 
follow the procedures for loss of certification in paragraph (b)(3)(v) 
of this section for each monitoring system or component thereof that is 
disapproved for initial certification.
    (D) Audit decertification. The Administrator may issue a notice of 
disapproval of the certification status of a monitor in accordance with 
Sec. 97.72(b).
    (v) Procedures for loss of certification. If the Administrator 
issues a notice of disapproval of a certification application under 
paragraph (b)(3)(iv)(C) of this section or a notice of disapproval of 
certification status under paragraph (b)(3)(iv)(D) of this section, 
then:
    (A) The owner or operator shall substitute the following values, for 
each hour of unit operation during the period of invalid data specified 
under Sec. 75.20(a)(4)(iii), Sec. 75.20(b)(5), Sec. 75.20(h)(4), or 
Sec. 75.21(e) and continuing until the date and hour specified under 
Sec. 75.20(a)(5)(i) of this chapter:
    (1) For units that the owner or operator intends to monitor or 
monitors for NOX emission rate and heat input rate or intends 
to determine or determines NOX mass emissions using the low 
mass emission excepted methodology under Sec. 75.19 of this chapter, the 
maximum potential NOX emission rate and the maximum potential 
hourly heat input of the unit; and
    (2) For units that the owner or operator intends to monitor or 
monitors for NOX mass emissions using a NOX 
pollutant concentration monitor and a flow monitor, the maximum 
potential concentration of NOX and the maximum potential flow 
rate of the unit under section 2 of appendix A of part 75 of this 
chapter.
    (B) The NOX authorized account representative shall 
submit a notification of certification retest dates and a new 
certification application in accordance with paragraphs (b)(3)(i) and 
(ii) of this section.
    (C) The owner or operator shall repeat all certification tests or 
other requirements that were failed by the monitoring system, as 
indicated in the Administrator's notice of disapproval, no later than 30 
unit operating days after the date of issuance of the notice of 
disapproval.
    (c) Initial certification and recertification procedures for low 
mass emission units using the excepted methodologies under Sec. 75.19 of 
this chapter. The owner or operator of a gas-fired or oil-fired unit 
using the low mass emissions excepted methodology under Sec. 75.19 of 
this chapter and not subject to an Acid Rain emissions limitation shall 
meet the applicable general operating requirements of Sec. 75.10 of this 
chapter and the applicable requirements of Sec. 75.19 of this chapter. 
The owner or operator of such a unit shall also meet the applicable 
certification and recertification procedures of paragraph (b) of this 
section, except that the excepted methodology shall be deemed 
provisionally certified for use under the NOX Budget Trading 
Program as of the following dates:
    (i) For a unit that does not have monitoring equipment initially 
certified or recertified for the NOX Budget Trading Program 
as of the date on which the NOX authorized account 
representative submits the certification application under Sec. 75.19 of 
this chapter for the unit, starting on the date of such submission until 
the completion of the period for the Administrator's review.
    (ii) For a unit that has monitoring equipment initially certified or 
recertified for the NOX Budget Trading Program as of the date 
on which the NOX authorized account representative submits 
the certification application under Sec. 75.19 of this chapter for the 
unit and that reports data on an annual basis under Sec. 97.74(d), 
starting January 1 of the year after the year of such submission until 
the completion of the period for the Administrator's review.
    (iii) For a unit that has monitoring equipment initially certified 
or recertified for the NOX Budget Trading Program as of the 
date on which the NOX Authorized Account Representative 
submits the certification application under Sec. 75.19 of this chapter 
for the unit and that reports on a control season basis under 
Sec. 97.74(d), starting May 1 of the control period after the year of 
such submission until the completion of the period for the 
Administrator's review.
    (d) Certification/recertification procedures for alternative 
monitoring systems.

[[Page 743]]

The NOX authorized account representative of each unit not 
subject to an Acid Rain emissions limitation for which the owner or 
operator intends to use an alternative monitoring system approved by the 
Administrator under subpart E of part 75 of this chapter shall comply 
with the applicable certification procedures of paragraph (b) of this 
section before using the system under the NOX Budget Trading 
Program. The NOX authorized account representative shall also 
comply with the applicable recertification procedures of paragraph (b) 
of this section. Section 75.20(f) of this chapter shall apply to such 
alternative monitoring system.



Sec. 97.72  Out of control periods.

    (a) Whenever any monitoring system fails to meet the quality 
assurance or data validation requirements of part 75 of this chapter, 
data shall be substituted using the applicable procedures in subpart D, 
appendix D, or appendix E of part 75 of this chapter.
    (b) Audit decertification. Whenever both an audit of a monitoring 
system and a review of the initial certification or recertification 
application reveal that any system or component should not have been 
certified or recertified because it did not meet a particular 
performance specification or other requirement under Sec. 97.71 or the 
applicable provisions of part 75 of this chapter, both at the time of 
the initial certification or recertification application submission and 
at the time of the audit, the Administrator will issue a notice of 
disapproval of the certification status of such system or component. For 
the purposes of this paragraph, an audit shall be either a field audit 
or an audit of any information submitted to the permitting authority or 
the Administrator. By issuing the notice of disapproval, the 
Administrator revokes prospectively the certification status of the 
system or component. The data measured and recorded by the system or 
component shall not be considered valid quality-assured data from the 
date of issuance of the notification of the revoked certification status 
until the date and time that the owner or operator completes 
subsequently approved initial certification or recertification tests for 
the system or component.



Sec. 97.73  Notifications.

    (a) The NOX authorized account representative for a 
NOX Budget unit shall submit written notice to the 
Administrator, the appropriate EPA Regional Office, and the permitting 
authority in accordance with Sec. 75.61 of this chapter.
    (b) For any unit that does not have an Acid Rain emissions 
limitation, the permitting authority may waive the requirement to notify 
the permitting authority in paragraph (a) of this section.



Sec. 97.74  Recordkeeping and reporting.

    (a) General provisions. (1) The NOX authorized account 
representative shall comply with all recordkeeping and reporting 
requirements in this section and with the requirements of 
Sec. 97.10(e)(1).
    (2) If the NOX authorized account representative for a 
NOX Budget unit subject to an Acid Rain emission limitation 
who signed and certified any submission that is made under subpart F or 
G of part 75 of this chapter and that includes data and information 
required under this subpart or subpart H of part 75 of this chapter is 
not the same person as the designated representative or the alternative 
designated representative for the unit under part 72 of this chapter, 
then the submission must also be signed by the designated representative 
or the alternative designated representative.
    (b) Monitoring plans. (1) The owner or operator of a unit subject to 
an Acid Rain emissions limitation shall comply with requirements of 
Sec. 75.62 of this chapter, except that the monitoring plan shall also 
include all of the information required by subpart H of part 75 of this 
chapter.
    (2) The owner or operator of a unit that is not subject to an Acid 
Rain emissions limitation shall comply with requirements of Sec. 75.62 
of this chapter, except that the monitoring plan is only required to 
include the information required by subpart H of part 75 of this 
chapter.
    (c) Certification applications. The NOX authorized 
account representative

[[Page 744]]

shall submit an application to the Administrator, the appropriate EPA 
Regional Office, and the permitting authority within 45 days after 
completing all initial certification or recertification tests required 
under Sec. 97.71 including the information required under subpart H of 
part 75 of this chapter.
    (d) Quarterly reports. The NOX authorized account 
representative shall submit quarterly reports, as follows:
    (1) If a unit is subject to an Acid Rain emission limitation or if 
the owner or operator of the NOX budget unit chooses to meet 
the annual reporting requirements of this subpart H, the NOX 
authorized account representative shall submit a quarterly report for 
each calendar quarter beginning with:
    (i) For a unit for which the owner or operator intends to apply or 
applies for the early reduction credits under Sec. 97.43, the calendar 
quarter that includes the date of initial provisional certification 
under Sec. 97.71(b)(3)(iii) or Sec. 97.71(c). Data shall be recorded and 
reported from the date and hour corresponding to the date and hour of 
provisional certification; or
    (ii) For a unit that commences operation on or before May 1, 2003 
and that is not subject to paragraph (d)(1)(i) of this section, the 
earlier of the calender quarter that includes the date of initial 
provisional certification under Sec. 97.71(b)(3)(iii) or Sec. 97.71(c) 
or, if the certification tests are not completed by May 1, 2003, the 
calendar quarter covering May 1, 2003 through June 30, 2003. Data shall 
be recorded and reported from the earlier of the date and hour 
corresponding to the date and hour of provisional certification or the 
first hour on May 1, 2003; or
    (iii) For a unit that commences operation after May 1, 2003, the 
calendar quarter in which the unit commences operation. Data shall be 
recorded and reported from the date and hour corresponding to when the 
unit commences operation.
    (2) If a NOX budget unit is not subject to an Acid Rain 
emission limitation, then the NOX authorized account 
representative shall either:
    (i) Meet all of the requirements of part 75 related to monitoring 
and reporting NOX mass emissions during the entire year and 
meet the deadlines specified in paragraph (d)(1) of this section; or
    (ii) Submit quarterly reports covering the period May 1 through 
September 30 of each year and including the data described in 
Sec. 75.74(c)(6) of this chapter. The NOX authorized account 
representative shall submit such quarterly reports, beginning with:
    (A) For a unit for which the owner or operator intends to apply or 
applies for early reduction credits under Sec. 97.43, the calendar 
quarter that includes the date of initial provisional certification 
under Sec. 97.71(b)(3)(iii) or Sec. 97.71(c). Data shall be recorded and 
reported from the date and hour corresponding to the date and hour of 
provisional certification; or
    (B) For a unit that commences operation on or before May 1, 2003 and 
that is not subject to paragraph (d)(2)(i) of this section, the calendar 
quarter covering May 1, 2003 through June 30, 2003. Data shall be 
recorded and reported from the earlier of the date and hour 
corresponding to the date and hour of initial provisional certification 
under Sec. 97.71(b)(3)(iii) or Sec. 97.71(c) or the first hour of May 1, 
2003; or
    (C) For a unit that commences operation after May 1, 2003 and during 
a control period, the calendar quarter in which the unit commences 
operation. Data shall be reported from the date and hour corresponding 
to when the unit commences operation; or
    (D) For a unit that commences operation after May 1, 2003 and not 
during a control period, the calendar quarter covering the first control 
period after the unit commences operation. Data shall be recorded and 
reported from the earlier of the date and hour corresponding to the date 
and hour of initial provisional certification under 
Sec. 97.71(b)(3)(iii) or Sec. 97.71(c) or the first hour of May 1 of the 
first control period after the unit commences operation.
    (3) The NOX authorized account representative shall 
submit each quarterly report to the Administrator within 30 days 
following the end of the calendar quarter covered by the report. 
Quarterly reports shall be submitted in the manner specified in subpart 
H of part 75 of this chapter and Sec. 75.64 of this chapter.

[[Page 745]]

    (i) For units subject to an Acid Rain emissions limitation, 
quarterly reports shall include all of the data and information required 
in subpart H of part 75 of this chapter for each NOX Budget 
unit (or group of units using a common stack) and the data and 
information required in subpart G of part 75 of this chapter.
    (ii) For units not subject to an Acid Rain emissions limitation, 
quarterly reports are only required to include all of the data and 
information required in subpart H of part 75 of this chapter for each 
NOX Budget unit (or group of units using a common stack).
    (4) Compliance certification. The NOX authorized account 
representative shall submit to the Administrator a compliance 
certification in support of each quarterly report based on reasonable 
inquiry of those persons with primary responsibility for ensuring that 
all of the unit's emissions are correctly and fully monitored. The 
certification shall state that:
    (i) The monitoring data submitted were recorded in accordance with 
the applicable requirements of this subpart and part 75 of this chapter, 
including the quality assurance procedures and specifications;
    (ii) For a unit with add-on NOX emission controls and for 
all hours where data are substituted in accordance with Sec. 75.34(a)(1) 
of this chapter, the add-on emission controls were operating within the 
range of parameters listed in the quality assurance/quality control 
program under appendix B of part 75 of this chapter and the substitute 
values do not systematically underestimate NOX emissions; and
    (iii) For a unit that is reporting on a control period basis under 
paragraph (d)(2)(ii) of this section, the NOX emission rate 
and NOX concentration values substituted for missing data 
under subpart D of part 75 of this chapter are calculated using only 
values from a control period and do not systematically underestimate 
NOX emissions.

[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21530, Apr. 30, 2002]



Sec. 97.75  Petitions.

    (a) The NOX authorized account representative of a 
NOX Budget unit may submit a petition under Sec. 75.66 of 
this chapter to the Administrator requesting approval to apply an 
alternative to any requirement of this subpart.
    (b) Application of an alternative to any requirement of this subpart 
is in accordance with this subpart only to the extent that the petition 
is approved by the Administrator under Sec. 75.66 of this chapter.



Sec. 97.76  Additional requirements to provide heat input data.

    The owner or operator of a NOX Budget unit that monitors 
and reports NOX mass emissions using a NOX 
concentration system and a flow system shall also monitor and report 
heat input rate at the unit level using the procedures set forth in part 
75 of this chapter.



                   Subpart I--Individual Unit Opt-ins.



Sec. 97.80  Applicability.

    A unit that is in a State (as defined in Sec. 97.2), is not a 
NOX Budget unit under Sec. 97.4(a), is not a unit exempt 
under Sec. 97.4(b), vents all of its emissions to a stack, and is 
operating, may qualify to be a NOX Budget opt-in unit under 
this subpart. A unit that is a NOX Budget unit under 
Sec. 97.4(a), is covered by an exemption under Sec. 97.4(b) or Sec. 97.5 
that is in effect, or is not operating is not eligible to be a 
NOX Budget opt-in unit.



Sec. 97.81  General.

    Except otherwise as provided in this part, a NOX Budget 
opt-in unit shall be treated as a NOX Budget unit for 
purposes of applying subparts A through H of this part.



Sec. 97.82  NOX authorized account representative.

    A unit for which an application for a NOX Budget opt-in 
permit is submitted, or a NOX Budget opt-in unit, located at 
the same source as one or more NOX Budget units, shall have 
the same NOX authorized account representative as such 
NOX Budget units.



Sec. 97.83  Applying for NOX Budget opt-in permit.

    (a) Applying for initial NOX Budget opt-in permit. In 
order to apply for an initial NOX Budget opt-in permit, the 
NOX

[[Page 746]]

authorized account representative of a unit qualified under Sec. 97.80 
may submit to the Administrator and the permitting authority at any 
time, except as provided under Sec. 97.86(g):
    (1) A complete NOX Budget permit application under 
Sec. 97.22;
    (2) A monitoring plan submitted in accordance with subpart H of this 
part; and
    (3) A complete account certificate of representation under 
Sec. 97.13, if no NOX authorized account representative has 
been previously designated for the unit.
    (b) Duty to reapply. Unless the NOX Budget opt-in permit 
is terminated or revised under Sec. 97.86(e) or Sec. 97.87(b)(1)(i), the 
NOX authorized account representative of a NOX 
Budget opt-in unit shall submit to the Administrator and permitting 
authority a complete NOX Budget permit application under 
Sec. 97.22 to renew the NOX Budget opt-in permit in 
accordance with Sec. 97.21(c) and, if applicable, an updated monitoring 
plan in accordance with subpart H of this part.



Sec. 97.84  Opt-in process.

    The permitting authority will issue or deny an initial 
NOX Budget opt-in permit for a unit for which an application 
for a NOX Budget opt-in permit under Sec. 97.83 is submitted, 
in accordance with Sec. 97.20 and the following:
    (a) Interim review of monitoring plan. The Administrator will 
determine, on an interim basis, the sufficiency of the monitoring plan 
accompanying the initial application for a NOX Budget opt-in 
permit under Sec. 97.83. A monitoring plan is sufficient, for purposes 
of interim review, if the plan appears to contain information 
demonstrating that the NOX emissions rate and heat input rate 
of the unit are monitored and reported in accordance with subpart H of 
this part. A determination of sufficiency shall not be construed as 
acceptance or approval of the unit's monitoring plan.
    (b) If the Administrator determines that the unit's monitoring plan 
is sufficient under paragraph (a) of this section and after completion 
of monitoring system certification under subpart H of this part, the 
NOX emissions rate and the heat input of the unit shall be 
monitored and reported in accordance with subpart H of this part for one 
full control period during which percent monitor data availability is 
not less than 90 percent and during which the unit is in full compliance 
with any applicable State or Federal emissions or emissions-related 
requirements. Solely for purposes of applying the requirements in the 
prior sentence, the unit shall be treated as a ``NOX Budget 
unit'' prior to issuance of a NOX Budget opt-in permit 
covering the unit.
    (c) Based on the information monitored and reported under paragraph 
(b) of this section, the Administrator will calculate the unit's 
baseline heat input, which will equal the unit's total heat input (in 
mmBtu) for the control period, and the unit's baseline NOX 
emissions rate, which will equal the unit's total NOX mass 
emissions (in lb) for the control period divided by the unit's baseline 
heat input.
    (d) Issuance of draft NOX Budget opt-in permit for public 
comment. The permitting authority will issue a draft NOX 
Budget opt-in permit for public comment in accordance with Sec. 97.20.
    (e) Not withstanding paragraphs (a) through (d) of this section, if 
at any time before issuance of a draft NOX Budget opt-in 
permit for public comment for the unit, the Administrator or the 
permitting authority determines that the unit does not qualify as a 
NOX Budget opt-in unit under Sec. 97.80, the permitting 
authority will issue a draft denial of a NOX Budget opt-in 
permit for public comment for the unit in accordance with Sec. 97.20.
    (f) Withdrawal of application for NOX Budget opt-in 
permit. A NOX authorized account representative of a unit may 
withdraw its application for an initial NOX Budget opt-in 
permit under Sec. 97.83 at any time prior to the issuance of the initial 
NOX Budget opt-in permit. Once the application for a 
NOX Budget opt-in permit is withdrawn, a NOX 
authorized account representative wanting to reapply must submit a new 
application for an initial NOX Budget permit under 
Sec. 97.83.
    (g) The unit shall be a NOX Budget opt-in unit and a 
NOX Budget unit starting May 1 of the first control period 
starting after the issuance of the initial NOX Budget opt-in 
permit by the permitting authority.

[[Page 747]]



Sec. 97.85  NOX Budget opt-in permit contents.

    (a) Each NOX Budget opt-in permit will contain all 
elements required for a complete NOX Budget opt-in permit 
application under Sec. 97.22.
    (b) Each NOX Budget opt-in permit is deemed to 
incorporate automatically the definitions of terms under Sec. 97.2 and, 
upon recordation by the Administrator under subpart F or G of this part, 
every allocation, transfer, or deduction of NOX allowances to 
or from the compliance accounts of each NOX Budget opt-in 
unit covered by the NOX Budget opt-in permit or the overdraft 
account of the NOX Budget source where the NOX 
Budget opt-in unit is located.



Sec. 97.86  Withdrawal from NOX Budget Trading Program.

    (a) Requesting withdrawal. To withdraw from the NOX 
Budget Trading Program, the NOX authorized account 
representative of a NOX Budget opt-in unit shall submit to 
the Administrator and the permitting authority a request to withdraw 
effective as of a specified date prior to May 1 or after September 30. 
The submission shall be made no later than 90 days prior to the 
requested effective date of withdrawal.
    (b) Conditions for withdrawal. Before a NOX Budget opt-in 
unit covered by a request under paragraph (a) of this section may 
withdraw from the NOX Budget Trading Program and the 
NOX Budget opt-in permit may be terminated under paragraph 
(e) of this section, the following conditions must be met:
    (1) For the control period immediately before the withdrawal is to 
be effective, the NOX authorized account representative must 
submit or must have submitted to the Administrator and the permitting 
authority an annual compliance certification report in accordance with 
Sec. 97.30.
    (2) If the NOX Budget opt-in unit has excess emissions 
for the control period immediately before the withdrawal is to be 
effective, the Administrator will deduct or has deducted from the 
NOX Budget opt-in unit's compliance account, or the overdraft 
account of the NOX Budget source where the NOX 
Budget opt-in unit is located, the full amount required under 
Sec. 97.54(d) for the control period.
    (3) After the requirements for withdrawal under paragraphs (b)(1) 
and (2) of this section are met, the Administrator will deduct from the 
NOX Budget opt-in unit's compliance account, or the overdraft 
account of the NOX Budget source where the NOX 
Budget opt-in unit is located, NOX allowances equal in number 
to and allocated for the same or a prior control period as any 
NOX allowances allocated to that source under Sec. 97.88 for 
any control period for which the withdrawal is to be effective. The 
Administrator will close the NOX Budget opt-in unit's 
compliance account and transfer any remaining allowances to a general 
account specified by the owners and operators of the NOX 
Budget opt-in unit.
    (c) A NOX Budget opt-in unit that withdraws from the 
NOX Budget Trading Program shall comply with all requirements 
under the NOX Budget Trading Program concerning all years for 
which such NOX Budget opt-in unit was a NOX Budget 
opt-in unit, even if such requirements arise or must be complied with 
after the withdrawal takes effect.
    (d) Notification. (1) After the requirements for withdrawal under 
paragraphs (a) and (b) of this section are met (including deduction of 
the full amount of NOX allowances required), the 
Administrator will issue a notification to the permitting authority and 
the NOX authorized account representative of the 
NOX Budget opt-in unit of the acceptance of the withdrawal of 
the NOX Budget opt-in unit as of a specified effective date 
that is after such requirements have been met and that is prior to May 1 
or after September 30.
    (2) If the requirements for withdrawal under paragraphs (a) and (b) 
of this section are not met, the Administrator will issue a notification 
to the permitting authority and the NOX authorized account 
representative of the NOX Budget opt-in unit that the request 
to withdraw is denied. If the NOX Budget opt-in unit's 
request to withdraw is denied, the NOX Budget opt-in unit 
shall remain subject to the requirements for a NOX Budget 
opt-in unit.

[[Page 748]]

    (e) Permit revision. After the Administrator issues a notification 
under paragraph (d)(1) of this section that the requirements for 
withdrawal have been met, the permitting authority will revise the 
NOX Budget permit covering the NOX Budget opt-in 
unit to terminate the NOX Budget opt-in permit as of the 
effective date specified under paragraph (d)(1) of this section. A 
NOX Budget opt-in unit shall continue to be a NOX 
Budget opt-in unit until the effective date of the termination.
    (f) Reapplication upon failure to meet conditions of withdrawal. If 
the Administrator denies the request to withdraw the NOX 
Budget opt-in unit, the NOX authorized account representative 
may submit another request to withdraw in accordance with paragraphs (a) 
and (b) of this section.
    (g) Ability to return to the NOX Budget Trading Program. 
Once a NOX Budget opt-in unit withdraws from the 
NOX Budget Trading Program and its NOX Budget opt-
in permit is terminated under paragraph (e) of this section, the 
NOX authorized account representative may not submit another 
application for a NOX Budget opt-in permit under Sec. 97.83 
for the unit prior to the date that is 4 years after the date on which 
the terminated NOX Budget opt-in permit became effective.



Sec. 97.87  Change in regulatory status.

    (a) Notification. When a NOX Budget opt-in unit becomes a 
NOX Budget unit under Sec. 97.4(a), the NOX 
authorized account representative shall notify in writing the permitting 
authority and the Administrator of such change in the NOX 
Budget opt-in unit's regulatory status, within 30 days of such change.
    (b) Permitting authority's and Administrator's action. (1)(i) When 
the NOX Budget opt-in unit becomes a NOX Budget 
unit under Sec. 97.4(a), the permitting authority will revise the 
NOX Budget opt-in unit's NOX Budget opt-in permit 
to meet the requirements of a NOX Budget permit under 
Sec. 97.23 as of an effective date that is the date on which such 
NOX Budget opt-in unit becomes a NOX Budget unit 
under Sec. 97.4(a).
    (ii)(A) The Administrator will deduct from the compliance account 
for the NOX Budget unit under paragraph (b)(1)(i) of this 
section, or the overdraft account of the NOX Budget source 
where the unit is located, NOX allowances equal in number to 
and allocated for the same or a prior control period as:
    (1) Any NOX allowances allocated to the NOX 
Budget unit (as a NOX Budget opt-in unit) under Sec. 97.88 
for any control period after the last control period during which the 
unit's NOX Budget opt-in permit was effective; and
    (2) If the effective date of the NOX Budget permit 
revision under paragraph (b)(1)(i) of this section is during a control 
period, the NOX allowances allocated to the NOX 
Budget unit (as a NOX Budget opt-in unit) under Sec. 97.88 
for the control period multiplied by the number of days in the control 
period starting with the effective date of the permit revision under 
paragraph (b)(1)(i) of this section, divided by the total number of days 
in the control period, and rounded to the nearest whole number of 
NOX allowances as appropriate.
    (B) The NOX authorized account representative shall 
ensure that the compliance account of the NOX Budget unit 
under paragraph (b)(1)(i) of this section, or the overdraft account of 
the NOX Budget source where the unit is located, contains the 
NOX allowances necessary for completion of the deduction 
under paragraph (b)(1)(ii)(A) of this section. If the compliance account 
or overdraft account does not contain the necessary NOX 
allowances, the Administrator will deduct the required number of 
NOX allowances, regardless of the control period for which 
they were allocated, whenever NOX allowances are recorded in 
either account.
    (iii)(A) For every control period during which the NOX 
Budget permit revised under paragraph (b)(1)(i) of this section is in 
effect, the NOX Budget unit under paragraph (b)(1)(i) of this 
section will be treated, solely for purposes of NOX allowance 
allocations under Sec. 97.42, as a unit that commenced operation on the 
effective date of the NOX Budget permit revision under 
paragraph (b)(1)(i) of this section and will be allocated NOX 
allowances under Sec. 97.42. The unit's deadline under

[[Page 749]]

Sec. 97.84(b) for meeting monitoring requirements in accordance with 
subpart H of this part shall not changed by the change in the unit's 
regulatory status or by the revision of the NOX Budget permit 
under paragraph (b)(1)(i) of this section.
    (B) Notwithstanding paragraph (b)(1)(iii)(A) of this section, if the 
effective date of the NOX Budget permit revision under 
paragraph (b)(1)(i) of this section is during a control period, the 
following number of NOX allowances will be allocated to the 
NOX Budget unit under paragraph (b)(1)(i) of this section 
under Sec. 97.42 for the control period: the number of NOX 
allowances otherwise allocated to the NOX Budget unit under 
Sec. 97.42 for the control period multiplied by the number of days in 
the control period starting with the effective date of the permit 
revision under paragraph (b)(1)(i) of this section, divided by the total 
number of days in the control period, and rounded to the nearest whole 
number of NOX allowances as appropriate.
    (2)(i) When the NOX authorized account representative of 
a NOX Budget opt-in unit does not renew its NOX 
Budget opt-in permit under Sec. 97.83(b), the Administrator will deduct 
from the NOX Budget opt-in unit's compliance account, or the 
overdraft account of the NOX Budget source where the 
NOX Budget opt-in unit is located, NOX allowances 
equal in number to and allocated for the same or a prior control period 
as any NOX allowances allocated to the NOX Budget 
opt-in unit under Sec. 97.88 for any control period after the last 
control period for which the NOX Budget opt-in permit is 
effective. The NOX authorized account representative shall 
ensure that the NOX Budget opt-in unit's compliance account 
or the overdraft account of the NOX Budget source where the 
NOX Budget opt-in unit is located contains the NOX 
allowances necessary for completion of such deduction. If the compliance 
account or overdraft account does not contain the necessary 
NOX allowances, the Administrator will deduct the required 
number of NOX allowances, regardless of the control period 
for which they were allocated, whenever NOX allowances are 
recorded in either account.
    (ii) After the deduction under paragraph (b)(2)(i) of this section 
is completed, the Administrator will close the NOX Budget 
opt-in unit's compliance account. If any NOX allowances 
remain in the compliance account after completion of such deduction and 
any deduction under Sec. 97.54, the Administrator will close the 
NOX Budget opt-in unit's compliance account and transfer any 
remaining allowances to a general account specified by the owners and 
operators of the NOX Budget opt-in unit.



Sec. 97.88  NOX allowance allocations to opt-in units.

    (a) NOX allotment allocation. (1) By April 1 immediately 
before the first control period for which the NOX Budget opt-
in permit is effective, the Administrator will determine by order the 
NOX allowance allocations for the NOX Budget opt-
in unit for the control period in accordance with paragraph (b) of this 
section.
    (2) By no later than April 1, after the first control period for 
which the NOX Budget opt-in permit is in effect, and April 1 
of each year thereafter, the Administrator will determine by order the 
NOX allowance allocations for the NOX Budget opt-
in unit for the next control period, in accordance with paragraph (b) of 
this section.
    (3) The Administrator will make available to the public each 
determination of NOX allowance allocations under paragraph 
(a)(1) or (2) of this section and will provide an opportunity for 
submission of objections to the determination. Objections shall be 
limited to addressing whether the determination is in accordance with 
paragraph (b) of this section. Based on any such objections, the 
Administrator will adjust each determination to the extent necessary to 
ensure that it is in accordance with paragraph (b) of this section.
    (b) For each control period for which the NOX Budget opt-
in unit has an approved NOX Budget opt-in permit, the 
NOX Budget opt-in unit will be allocated NOX 
allowances in accordance with the following procedures:
    (1) The heat input (in mmBtu) used for calculating NOX 
allowance allocations will be the lesser of:

[[Page 750]]

    (i) The unit's baseline heat input determined pursuant to 
Sec. 97.84(c); or
    (ii) The unit's heat input, as determined in accordance with subpart 
H of this part, for the control period in the year prior to the year of 
the control period for which the NOX allocations are being 
calculated.
    (2) The Administrator will allocate NOX allowances to the 
unit in an amount equaling the heat input determined under paragraph 
(b)(1) of this section multiplied by the lesser of the unit's baseline 
NOX emissions rate determined under Sec. 97.84(c) or the most 
stringent State or federal NOX emissions limitation 
applicable to the unit during the control period, divided by 2,000 lb/
ton, and rounded to the nearest whole number of NOX 
allowances as appropriate.

  Appendix A to Part 97--Final Section 126 Rule: EGU Allocations, 2004-
                                  2007

----------------------------------------------------------------------------------------------------------------
                                                                                                  NOX allocation
           ST                         Plant                Plant--id            Point--id            for EGUs
----------------------------------------------------------------------------------------------------------------
DC......................  BENNING.....................             603  15                                    80
DC......................  BENNING.....................             603  16                                   117
DE......................  CHRISTIANA SUB..............             591  11                                     5
DE......................  CHRISTIANA SUB..............             591  14                                     5
DE......................  DELAWARE CITY...............           52193  B4                                   141
DE......................  DELAWARE CITY...............           52193  ST--1                                155
DE......................  DELAWARE CITY...............           52193  ST--2                                159
DE......................  DELAWARE CITY...............           52193  ST--3                                158
DE......................  EDGE MOOR...................             593  3                                    234
DE......................  EDGE MOOR...................             593  4                                    401
DE......................  EDGE MOOR...................             593  5                                    602
DE......................  HAY ROAD....................            7153  **3                                  184
DE......................  HAY ROAD....................            7153  --1                                  235
DE......................  HAY ROAD....................            7153  --2                                  207
DE......................  INDIAN RIVER................             594  1                                    187
DE......................  INDIAN RIVER................             594  2                                    194
DE......................  INDIAN RIVER................             594  3                                    369
DE......................  INDIAN RIVER................             594  4                                    729
DE......................  MCKEE RUN...................             599  3                                    119
DE......................  VAN SANT STATION............            7318  **11                                   7
IN......................  ANDERSON....................            7336  --ACT1                                 5
IN......................  ANDERSON....................            7336  --ACT2                                 5
IN......................  CLIFTY CREEK................             983  1                                    558
IN......................  CLIFTY CREEK................             983  2                                    543
IN......................  CLIFTY CREEK................             983  3                                    564
IN......................  CLIFTY CREEK................             983  4                                    525
IN......................  CLIFTY CREEK................             983  5                                    561
IN......................  CLIFTY CREEK................             983  6                                    509
IN......................  CONNERSVILLE................            1002  1                                      1
IN......................  CONNERSVILLE................            1002  2                                      1
IN......................  GALLAGHER...................            1008  1                                    290
IN......................  GALLAGHER...................            1008  2                                    276
IN......................  GALLAGHER...................            1008  3                                    347
IN......................  GALLAGHER...................            1008  4                                    329
IN......................  NOBLESVILLE.................            1007  1                                     48
IN......................  NOBLESVILLE.................            1007  2                                     45
IN......................  NOBLESVILLE.................            1007  3                                     45
IN......................  RICHMOND....................            7335  --RCT1                                 5
IN......................  RICHMOND....................            7335  --RCT2                                 5
IN......................  TANNERS CREEK...............             988  U1                                   297
IN......................  TANNERS CREEK...............             988  U2                                   235
IN......................  TANNERS CREEK...............             988  U3                                   387
IN......................  TANNERS CREEK...............             988  U4                                   906
IN......................  WHITEWATER VALLEY...........            1040  1                                     74
IN......................  WHITEWATER VALLEY...........            1040  2                                    173
KY......................  BIG SANDY...................            1353  BSU1                                 565
KY......................  BIG SANDY...................            1353  BSU2                               1,741
KY......................  CANE RUN....................            1363  4                                    397
KY......................  CANE RUN....................            1363  5                                    332
KY......................  CANE RUN....................            1363  6                                    430
KY......................  COOPER......................            1384  1                                    183
KY......................  COOPER......................            1384  2                                    367
KY......................  DALE........................            1385  3                                    161
KY......................  DALE........................            1385  4                                    158
KY......................  E W BROWN...................            1355  1                                    193

[[Page 751]]

 
KY......................  E W BROWN...................            1355  10                                    37
KY......................  E W BROWN...................            1355  2                                    317
KY......................  E W BROWN...................            1355  3                                    863
KY......................  E W BROWN...................            1355  8                                     34
KY......................  E W BROWN...................            1355  9                                     34
KY......................  E.W. BROWN..................            1355  11                                    21
KY......................  EAST BEND...................            6018  2                                  1,413
KY......................  GHENT.......................            1356  1                                  1,232
KY......................  GHENT.......................            1356  2                                  1,081
KY......................  GHENT.......................            1356  3                                  1,104
KY......................  GHENT.......................            1356  4                                  1,132
KY......................  H L SPURLOCK................            6041  1                                    697
KY......................  H L SPURLOCK................            6041  2                                  1,589
KY......................  MILL CREEK..................            1364  1                                    528
KY......................  MILL CREEK..................            1364  2                                    600
KY......................  MILL CREEK..................            1364  3                                    941
KY......................  MILL CREEK..................            1364  4                                  1,096
KY......................  PADDY'S RUN.................            1366  12                                     8
KY......................  PINEVILLE...................            1360  3                                     67
KY......................  TRIMBLE COUNTY..............            6071  1                                  1,221
KY......................  TYRONE......................            1361  1                                      3
KY......................  TYRONE......................            1361  2                                      3
KY......................  TYRONE......................            1361  3                                      3
KY......................  TYRONE......................            1361  4                                      3
KY......................  TYRONE......................            1361  5                                    117
MD......................  BRANDON SHORES..............             602  1                                  1,827
MD......................  BRANDON SHORES..............             602  2                                  1,713
MD......................  C P CRANE...................            1552  1                                    434
MD......................  C P CRANE...................            1552  2                                    463
MD......................  CHALK POINT.................            1571  --GT2                                  1
MD......................  CHALK POINT.................            1571  --GT3                                 36
MD......................  CHALK POINT.................            1571  --GT4                                 39
MD......................  CHALK POINT.................            1571  --GT5                                 55
MD......................  CHALK POINT.................            1571  --GT6                                 60
MD......................  CHALK POINT.................            1571  --SGT1                                24
MD......................  CHALK POINT.................            1571  1                                    833
MD......................  CHALK POINT.................            1571  2                                    861
MD......................  CHALK POINT.................            1571  3                                    585
MD......................  CHALK POINT.................            1571  4                                    522
MD......................  DICKERSON...................            1572  --GT2                                 36
MD......................  DICKERSON...................            1572  --GT3                                 66
MD......................  DICKERSON...................            1572  1                                    447
MD......................  DICKERSON...................            1572  2                                    441
MD......................  DICKERSON...................            1572  3                                    481
MD......................  GOULD STREET................            1553  3                                     81
MD......................  HERBERT A WAGNER............            1554  1                                    134
MD......................  HERBERT A WAGNER............            1554  2                                    399
MD......................  HERBERT A WAGNER............            1554  3                                    723
MD......................  HERBERT A WAGNER............            1554  4                                    301
MD......................  MORGANTOWN..................            1573  --GT3                                  9
MD......................  MORGANTOWN..................            1573  --GT4                                  9
MD......................  MORGANTOWN..................            1573  --GT5                                  9
MD......................  MORGANTOWN..................            1573  --GT6                                  8
MD......................  MORGANTOWN..................            1573  1                                  1,151
MD......................  MORGANTOWN..................            1573  2                                  1,375
MD......................  PANDA BRANDYWINE............           54832  1                                     95
MD......................  PANDA BRANDYWINE............           54832  2                                     84
MD......................  PERRYMAN....................            1556  **51                                  56
MD......................  PERRYMAN....................            1556  --GT1                                  8
MD......................  PERRYMAN....................            1556  --GT2                                  9
MD......................  PERRYMAN....................            1556  --GT3                                  6
MD......................  PERRYMAN....................            1556  --GT4                                 10
MD......................  R P SMITH...................            1570  11                                   143
MD......................  R P SMITH...................            1570  9                                     11
MD......................  RIVERSIDE...................            1559  --GT6                                 11
MD......................  RIVERSIDE...................            1559  4                                     40
MD......................  VIENNA......................            1564  8                                    169
MD......................  WESTPORT....................            1560  --GT5                                 28
MI......................  ADA COGEN LTD...............           10819  CA--Ltd                               23
MI......................  BELLE RIVER.................            6034  1                                  1,589
MI......................  BELLE RIVER.................            6034  2                                  1,672
MI......................  DAN E KARN..................            1702  1                                    552
MI......................  DAN E KARN..................            1702  2                                    530

[[Page 752]]

 
MI......................  DAN E KARN..................            1702  3                                    288
MI......................  DAN E KARN..................            1702  4                                    310
MI......................  ECKERT STATION..............            1831  1                                     52
MI......................  ECKERT STATION..............            1831  2                                     47
MI......................  ECKERT STATION..............            1831  3                                     65
MI......................  ECKERT STATION..............            1831  4                                    116
MI......................  ECKERT STATION..............            1831  5                                    154
MI......................  ECKERT STATION..............            1831  6                                    131
MI......................  ENDICOTT GENERATING STATION.            4259  1                                     98
MI......................  ERICKSON....................            1832  1                                    381
MI......................  GREENWOOD...................            6035  1                                    373
MI......................  HANCOCK.....................            1730  5                                      3
MI......................  HANCOCK.....................            1730  6                                      3
MI......................  HARBOR BEACH................            1731  1                                     97
MI......................  J C WEADOCK.................            1720  7                                    346
MI......................  J C WEADOCK.................            1720  8                                    342
MI......................  J R WHITING.................            1723  1                                    225
MI......................  J R WHITING.................            1723  2                                    204
MI......................  J R WHITING.................            1723  3                                    249
MI......................  JAMES DE YOUNG..............            1830  5                                     69
MI......................  MARYSVILLE..................            1732  10                                    22
MI......................  MARYSVILLE..................            1732  11                                    16
MI......................  MARYSVILLE..................            1732  12                                    17
MI......................  MARYSVILLE..................            1732  9                                     17
MI......................  MIDLAND COGENERATION VENTURE           10745  003                                  269
MI......................  MIDLAND COGENERATION VENTURE           10745  004                                  276
MI......................  MIDLAND COGENERATION VENTURE           10745  005                                  271
MI......................  MIDLAND COGENERATION VENTURE           10745  006                                  273
MI......................  MIDLAND COGENERATION VENTURE           10745  007                                  280
MI......................  MIDLAND COGENERATION VENTURE           10745  008                                  277
MI......................  MIDLAND COGENERATION VENTURE           10745  009                                  273
MI......................  MIDLAND COGENERATION VENTURE           10745  010                                  271
MI......................  MIDLAND COGENERATION VENTURE           10745  011                                  274
MI......................  MIDLAND COGENERATION VENTURE           10745  012                                  269
MI......................  MIDLAND COGENERATION VENTURE           10745  013                                  275
MI......................  MIDLAND COGENERATION VENTURE           10745  014                                  269
MI......................  MISTERSKY...................            1822  5                                     33
MI......................  MISTERSKY...................            1822  6                                    155
MI......................  MISTERSKY...................            1822  7                                     98
MI......................  MONROE......................            1733  1                                  1,902
MI......................  MONROE......................            1733  2                                  1,555
MI......................  MONROE......................            1733  3                                  1,574
MI......................  MONROE......................            1733  4                                  1,822
MI......................  RIVER ROUGE.................            1740  1                                      0
MI......................  RIVER ROUGE.................            1740  2                                    627
MI......................  RIVER ROUGE.................            1740  3                                    652
MI......................  ROUGE POWERHOUSE 1.           10272  1                                    232
MI......................  ST CLAIR....................            1743  1                                    339
MI......................  ST CLAIR....................            1743  2                                    304
MI......................  ST CLAIR....................            1743  3                                    351
MI......................  ST CLAIR....................            1743  4                                    349
MI......................  ST CLAIR....................            1743  5                                      0
MI......................  ST CLAIR....................            1743  6                                    646
MI......................  ST CLAIR....................            1743  7                                    733
MI......................  TRENTON CHANNEL.............            1745  16                                   132
MI......................  TRENTON CHANNEL.............            1745  17                                   124
MI......................  TRENTON CHANNEL.............            1745  18                                   130
MI......................  TRENTON CHANNEL.............            1745  19                                   126
MI......................  TRENTON CHANNEL.............            1745  9A                                   968
MI......................  WYANDOTTE...................            1866  5                                      8
MI......................  WYANDOTTE...................            1866  7                                     81
MI......................  WYANDOTTE...................            1866  8                                     36
NC......................  ASHEVILLE...................            2706  1                                    491
NC......................  ASHEVILLE...................            2706  2                                    479
NC......................  BELEWS CREEK................            8042  1                                  2,306
NC......................  BELEWS CREEK................            8042  2                                  2,688
NC......................  BUCK........................            2720  5                                     59
NC......................  BUCK........................            2720  6                                     65
NC......................  BUCK........................            2720  7                                     69
NC......................  BUCK........................            2720  8                                    284
NC......................  BUCK........................            2720  9                                    300
NC......................  BUTLER WARNER GEN PL........            1016  --1                                   40
NC......................  BUTLER WARNER GEN PL........            1016  --2                                   40

[[Page 753]]

 
NC......................  BUTLER WARNER GEN PL........            1016  --3                                   40
NC......................  BUTLER WARNER GEN PL........            1016  --6                                   42
NC......................  BUTLER WARNER GEN PL........            1016  --7                                   40
NC......................  BUTLER WARNER GEN PL........            1016  --8                                   40
NC......................  BUTLER WARNER GEN PL........            1016  --9                                  103
NC......................  CAPE FEAR...................            2708  5                                    255
NC......................  CAPE FEAR...................            2708  6                                    361
NC......................  CLIFFSIDE...................            2721  1                                     67
NC......................  CLIFFSIDE...................            2721  2                                     73
NC......................  CLIFFSIDE...................            2721  3                                     95
NC......................  CLIFFSIDE...................            2721  4                                    107
NC......................  CLIFFSIDE...................            2721  5                                  1,180
NC......................  COGENTRIX-ROCKY MOUNT.......           50468  ST--unt                              303
NC......................  COGENTRIX ELIZABETHTOWN.....           10380  ST--OWN                              111
NC......................  COGENTRIX KENANSVILLE.......           10381  ST--LLE                              102
NC......................  COGENTRIX LUMBERTON.........           10382  ST--TON                              111
NC......................  COGENTRIX ROXBORO...........           10379  ST--ORO                              166
NC......................  COGENTRIX SOUTHPORT.........           10378  ST--ORT                              335
NC......................  DAN RIVER...................            2723  1                                    117
NC......................  DAN RIVER...................            2723  2                                    128
NC......................  DAN RIVER...................            2723  3                                    271
NC......................  G G ALLEN...................            2718  1                                    311
NC......................  G G ALLEN...................            2718  2                                    316
NC......................  G G ALLEN...................            2718  3                                    525
NC......................  G G ALLEN...................            2718  4                                    470
NC......................  G G ALLEN...................            2718  5                                    514
NC......................  L V SUTTON..................            2713  1                                    162
NC......................  L V SUTTON..................            2713  2                                    176
NC......................  L V SUTTON..................            2713  3                                    717
NC......................  L V SUTTON..................            2713  CT2B                                   2
NC......................  LEE.........................            2709  1                                    129
NC......................  LEE.........................            2709  2                                    142
NC......................  LEE.........................            2709  3                                    414
NC......................  LEE.........................            2709  CT4                                    1
NC......................  LINCOLN.....................            7277  1                                     33
NC......................  LINCOLN.....................            7277  10                                    31
NC......................  LINCOLN.....................            7277  11                                    33
NC......................  LINCOLN.....................            7277  12                                    31
NC......................  LINCOLN.....................            7277  13                                    26
NC......................  LINCOLN.....................            7277  14                                    26
NC......................  LINCOLN.....................            7277  15                                    25
NC......................  LINCOLN.....................            7277  16                                    25
NC......................  LINCOLN.....................            7277  2                                     33
NC......................  LINCOLN.....................            7277  3                                     31
NC......................  LINCOLN.....................            7277  4                                     31
NC......................  LINCOLN.....................            7277  5                                     29
NC......................  LINCOLN.....................            7277  6                                     30
NC......................  LINCOLN.....................            7277  7                                     24
NC......................  LINCOLN.....................            7277  8                                     25
NC......................  LINCOLN.....................            7277  9                                     32
NC......................  MARSHALL....................            2727  1                                    899
NC......................  MARSHALL....................            2727  2                                    940
NC......................  MARSHALL....................            2727  3                                  1,588
NC......................  MARSHALL....................            2727  4                                  1,570
NC......................  MAYO........................            6250  1A                                   893
NC......................  MAYO........................            6250  1B                                   875
NC......................  PANDA-ROSEMARY..............           50555  CT--ary                               62
NC......................  PANDA-ROSEMARY..............           50555  CW--ary                               47
NC......................  RIVERBEND...................            2732  10                                   266
NC......................  RIVERBEND...................            2732  7                                    193
NC......................  RIVERBEND...................            2732  8                                    200
NC......................  RIVERBEND...................            2732  9                                    253
NC......................  ROANOKE VALLEY..............           50254  1                                    440
NC......................  ROANOKE VALLEY..............           50254  2                                    140
NC......................  ROXBORO.....................            2712  1                                    766
NC......................  ROXBORO.....................            2712  2                                  1,426
NC......................  ROXBORO.....................            2712  3A                                   792
NC......................  ROXBORO.....................            2712  3B                                   785
NC......................  ROXBORO.....................            2712  4A                                   778
NC......................  ROXBORO.....................            2712  4B                                   733
NC......................  TOBACCOVILLE................           50221  1                                     53
NC......................  TOBACCOVILLE................           50221  2                                     53
NC......................  TOBACCOVILLE................           50221  3                                     53

[[Page 754]]

 
NC......................  TOBACCOVILLE................           50221  4                                     53
NC......................  UNC--CHAPEL HILL............           54276  ST--ill                               14
NC......................  W H WEATHERSPOON............            2716  1                                     76
NC......................  W H WEATHERSPOON............            2716  2                                     86
NC......................  W H WEATHERSPOON............            2716  3                                    161
NC......................  W H WEATHERSPOON............            2716  CT-1                                   4
NC......................  W H WEATHERSPOON............            2716  CT-2                                   3
NC......................  W H WEATHERSPOON............            2716  CT-3                                   2
NC......................  W H WEATHERSPOON............            2716  CT-4                                   4
NJ......................  B L ENGLAND.................            2378  1                                    353
NJ......................  B L ENGLAND.................            2378  2                                    417
NJ......................  B L ENGLAND.................            2378  3                                    114
NJ......................  BAYONNE.....................           50497  1                                    139
NJ......................  BAYONNE.....................           50497  2                                    143
NJ......................  BAYONNE.....................           50497  3                                    140
NJ......................  BERGEN......................            2398  1101                                 152
NJ......................  BERGEN......................            2398  1201                                 157
NJ......................  BERGEN......................            2398  1301                                 155
NJ......................  BERGEN......................            2398  1401                                 152
NJ......................  BURLINGTON..................            2399  101                                   30
NJ......................  BURLINGTON..................            2399  102                                   34
NJ......................  BURLINGTON..................            2399  103                                   39
NJ......................  BURLINGTON..................            2399  104                                   47
NJ......................  BURLINGTON..................            2399  11-1                                   2
NJ......................  BURLINGTON..................            2399  11-2                                   2
NJ......................  BURLINGTON..................            2399  11-3                                   2
NJ......................  BURLINGTON..................            2399  11-4                                   2
NJ......................  BURLINGTON..................            2399  7                                     17
NJ......................  BURLINGTON..................            2399  9-1                                    4
NJ......................  BURLINGTON..................            2399  9-2                                    4
NJ......................  BURLINGTON..................            2399  9-3                                    4
NJ......................  BURLINGTON..................            2399  9-4                                    4
NJ......................  CAMDEN......................           10751  1                                    378
NJ......................  CARLL'S CORNER STATION......            2379  1                                      2
NJ......................  CARLL'S CORNER STATION......            2379  2                                     16
NJ......................  CARNEYS POINT (CCLP) NUG....           10566  ST--NUG                              527
NJ......................  CEDAR STATION...............            2380  1E&W                                   5
NJ......................  CUMBERLAND..................            5083  --GT1                                 40
NJ......................  DEEPWATER...................            2384  1                                     49
NJ......................  DEEPWATER...................            2384  4                                      5
NJ......................  DEEPWATER...................            2384  6                                     42
NJ......................  DEEPWATER...................            2384  8                                    195
NJ......................  EDISON......................            2400  1-1A&B                                 3
NJ......................  EDISON......................            2400  1-2A&B                                 3
NJ......................  EDISON......................            2400  1-3A&B                                 3
NJ......................  EDISON......................            2400  1-4A&B                                 3
NJ......................  EDISON......................            2400  2-1A&B                                 7
NJ......................  EDISON......................            2400  2-2A&B                                 7
NJ......................  EDISON......................            2400  2-3A&B                                 7
NJ......................  EDISON......................            2400  2-4A&B                                 7
NJ......................  EDISON......................            2400  3-1A&B                                 7
NJ......................  EDISON......................            2400  3-2A&B                                 7
NJ......................  EDISON......................            2400  3-3A&B                                 7
NJ......................  EDISON......................            2400  3-4A&B                                 7
NJ......................  ESSEX.......................            2401  10-1A&B                               10
NJ......................  ESSEX.......................            2401  10-2A&B                               10
NJ......................  ESSEX.......................            2401  10-3A&B                               10
NJ......................  ESSEX.......................            2401  10-4A&B                               10
NJ......................  ESSEX.......................            2401  11-1A&B                               11
NJ......................  ESSEX.......................            2401  11-2A&B                               11
NJ......................  ESSEX.......................            2401  11-3A&B                               11
NJ......................  ESSEX.......................            2401  11-4A&B                               11
NJ......................  ESSEX.......................            2401  12-1A&B                               13
NJ......................  ESSEX.......................            2401  12-2A&B                               13
NJ......................  ESSEX.......................            2401  12-3A&B                               13
NJ......................  ESSEX.......................            2401  12-4A&B                               13
NJ......................  ESSEX.......................            2401  9                                     66
NJ......................  FORKED RIVER................            7138  --1                                   17
NJ......................  FORKED RIVER................            7138  --2                                   17
NJ......................  GILBERT.....................            2393  03                                    47
NJ......................  GILBERT.....................            2393  04                                    64
NJ......................  GILBERT.....................            2393  05                                    63
NJ......................  GILBERT.....................            2393  06                                    61

[[Page 755]]

 
NJ......................  GILBERT.....................            2393  07                                    63
NJ......................  GILBERT.....................            2393  1                                      4
NJ......................  GILBERT.....................            2393  2                                      4
NJ......................  GILBERT.....................            2393  CT-9                                  61
NJ......................  HUDSON......................            2403  1                                    175
NJ......................  HUDSON......................            2403  2                                    884
NJ......................  HUDSON......................            2403  3                                      3
NJ......................  KEARNY......................            2404  10                                    26
NJ......................  KEARNY......................            2404  11                                    34
NJ......................  KEARNY......................            2404  12-1                                   8
NJ......................  KEARNY......................            2404  12-2                                   8
NJ......................  KEARNY......................            2404  12-3                                   8
NJ......................  KEARNY......................            2404  12-4                                   8
NJ......................  KEARNY......................            2404  7                                     35
NJ......................  KEARNY......................            2404  8                                     16
NJ......................  LINDEN......................            2406  11                                    16
NJ......................  LINDEN......................            2406  12                                    11
NJ......................  LINDEN......................            2406  13                                    20
NJ......................  LINDEN......................            2406  2                                     52
NJ......................  LINDEN......................            2406  6                                      2
NJ......................  LINDEN......................            2406  7                                     60
NJ......................  LINDEN......................            2406  8                                     70
NJ......................  LINDEN COGEN................           50006  100                                  276
NJ......................  LINDEN COGEN................           50006  200                                  280
NJ......................  LINDEN COGEN................           50006  300                                  274
NJ......................  LINDEN COGEN................           50006  400                                  272
NJ......................  LINDEN COGEN................           50006  500                                  278
NJ......................  LOGAN GENERATING PLANT......           10043  1                                    424
NJ......................  MERCER......................            2408  1                                    489
NJ......................  MERCER......................            2408  2                                    558
NJ......................  MICKELTON...................            8008  1                                     28
NJ......................  MIDDLE ST...................            2382  3                                      4
NJ......................  MILFORD POWER LP............           10616  1                                     44
NJ......................  MOBIL NUG...................            n114  CT--NUG                               40
NJ......................  NEWARK BAY COGEN............           50385  1                                      9
NJ......................  NEWARK BAY COGEN............           50385  2                                      9
NJ......................  NORTH JERSEY ENERGY                    10308  1                                     19
                           ASSOCIATES.
NJ......................  NORTH JERSEY ENERGY                    10308  2                                     19
                           ASSOCIATES.
NJ......................  O'BRIEN (NEWARK)                       50797  1                                      8
                           COGENERATION, INC..
NJ......................  O'BRIEN (PARLIN)                       50799  1                                      8
                           COGENERATION, INC..
NJ......................  O'BRIEN (PARLIN)                       50799  2                                      8
                           COGENERATION, INC..
NJ......................  PEDRICKTOWN COGEN...........           10099  1                                     13
NJ......................  PRIME ENERGY LP.............           50852  1                                    178
NJ......................  SALEM.......................            2410  3A&B                                   3
NJ......................  SAYREVILLE..................            2390  07                                    40
NJ......................  SAYREVILLE..................            2390  08                                    51
NJ......................  SAYREVILLE..................            2390  C-1                                   16
NJ......................  SAYREVILLE..................            2390  C-2                                   13
NJ......................  SAYREVILLE..................            2390  C-3                                   11
NJ......................  SAYREVILLE..................            2390  C-4                                   13
NJ......................  SEWAREN.....................            2411  1                                     42
NJ......................  SEWAREN.....................            2411  2                                     45
NJ......................  SEWAREN.....................            2411  3                                     58
NJ......................  SEWAREN.....................            2411  4                                     91
NJ......................  SEWAREN.....................            2411  6                                      2
NJ......................  SHERMAN.....................            7288  CT-1                                  37
NJ......................  VINELAND VCLP NUG...........           54807  GT--NUG                               40
NJ......................  WERNER......................            2385  04                                    14
NJ......................  WERNER......................            2385  C-1                                    7
NJ......................  WERNER......................            2385  C-2                                    6
NJ......................  WERNER......................            2385  C-3                                    7
NJ......................  WERNER......................            2385  C-4                                    7
NJ......................  WEST STAT...................            6776  1                                     10
NY......................  59TH STREET.................            2503  114                                   41
NY......................  59TH STREET.................            2503  115                                   32
NY......................  74TH STREET.................            2504  120                                   70
NY......................  74TH STREET.................            2504  121                                   80
NY......................  74TH STREET.................            2504  122                                   65
NY......................  ARTHUR KILL.................            2490  20                                   524
NY......................  ARTHUR KILL.................            2490  30                                   380
NY......................  ASTORIA.....................            8906  30                                   557
NY......................  ASTORIA.....................            8906  40                                   505
NY......................  ASTORIA.....................            8906  50                                   561

[[Page 756]]

 
NY......................  ASTORIA.....................            8906  GT2-1                                  9
NY......................  ASTORIA.....................            8906  GT2-2                                  9
NY......................  ASTORIA.....................            8906  GT2-3                                  9
NY......................  ASTORIA.....................            8906  GT2-4                                  9
NY......................  ASTORIA.....................            8906  GT3-1                                  9
NY......................  ASTORIA.....................            8906  GT3-2                                  9
NY......................  ASTORIA.....................            8906  GT3-3                                  9
NY......................  ASTORIA.....................            8906  GT3-4                                  9
NY......................  ASTORIA.....................            8906  GT4-1                                  9
NY......................  ASTORIA.....................            8906  GT4-2                                  9
NY......................  ASTORIA.....................            8906  GT4-3                                  9
NY......................  ASTORIA.....................            8906  GT4-4                                  9
NY......................  BOWLINE POINT...............            2625  1                                    749
NY......................  BOWLINE POINT...............            2625  2                                    566
NY......................  BROOKLYN NAVY YARD..........           54914  1                                    239
NY......................  BROOKLYN NAVY YARD..........           54914  2                                    220
NY......................  CHARLES POLETTI.............            2491  001                                  883
NY......................  DANSKAMMER..................            2480  1                                     34
NY......................  DANSKAMMER..................            2480  2                                     45
NY......................  DANSKAMMER..................            2480  3                                    229
NY......................  DANSKAMMER..................            2480  4                                    449
NY......................  EF BARRETT..................            2511  10                                   285
NY......................  EF BARRETT..................            2511  20                                   287
NY......................  EAST RIVER..................            2493  50                                    33
NY......................  EAST RIVER..................            2493  60                                   319
NY......................  EAST RIVER..................            2493  70                                   113
NY......................  FAR ROCKAWAY................            2513  40                                   138
NY......................  GLENWOOD....................            2514  40                                   151
NY......................  GLENWOOD....................            2514  50                                   124
NY......................  GLENWOOD....................            2514  U00020                                 1
NY......................  GLENWOOD....................            2514  U00021                                 1
NY......................  HUDSON AVENUE...............            2496  100                                  162
NY......................  LOVETT......................            2629  3                                     74
NY......................  LOVETT......................            2629  4                                    304
NY......................  LOVETT......................            2629  5                                    380
NY......................  NISSEQUOGUE COGEN PARTNERS..            4931  1                                     86
NY......................  NORTHPORT...................            2516  1                                    343
NY......................  NORTHPORT...................            2516  2                                    533
NY......................  NORTHPORT...................            2516  3                                    375
NY......................  NORTHPORT...................            2516  4                                    582
NY......................  O&R HILLBURN GT.............            2628  1                                      2
NY......................  O&R SHOEMAKER GT............            2632  1                                     10
NY......................  PORT JEFFERSON..............            2517  3                                    270
NY......................  PORT JEFFERSON..............            2517  4                                    253
NY......................  RAVENSWOOD..................            2500  10                                   299
NY......................  RAVENSWOOD..................            2500  20                                   363
NY......................  RAVENSWOOD..................            2500  30                                 1,360
NY......................  RAVENSWOOD..................            2500  GT2-1                                  3
NY......................  RAVENSWOOD..................            2500  GT2-2                                  3
NY......................  RAVENSWOOD..................            2500  GT2-3                                  3
NY......................  RAVENSWOOD..................            2500  GT2-4                                  3
NY......................  RAVENSWOOD..................            2500  GT3-1                                  3
NY......................  RAVENSWOOD..................            2500  GT3-2                                  3
NY......................  RAVENSWOOD..................            2500  GT3-3                                  3
NY......................  RAVENSWOOD..................            2500  GT3-4                                  3
NY......................  RICHARD M FLYNN.............            7314  NA1                                  246
NY......................  RICHARD M FLYNN.............            7314  NA2                                   25
NY......................  ROSETON.....................            8006  1                                    479
NY......................  ROSETON.....................            8006  2                                    595
NY......................  TRIGEN-NDEC.................           52056  4                                    105
NY......................  WADING RIVER................            7146  1                                      8
NY......................  WADING RIVER................            7146  2                                      8
NY......................  WADING RIVER................            7146  3                                      8
NY......................  WADING RIVER................            7146  UGT013                                 1
NY......................  WATERSIDE...................            2502  61                                    84
NY......................  WATERSIDE...................            2502  62                                    91
NY......................  WATERSIDE...................            2502  80                                   208
NY......................  WATERSIDE...................            2502  90                                   208
NY......................  WEST BABYLON................            2521  1                                      2
OH......................  ASHTABULA...................            2835  10                                    75
OH......................  ASHTABULA...................            2835  11                                    80
OH......................  ASHTABULA...................            2835  7                                    333
OH......................  ASHTABULA...................            2835  8                                     70

[[Page 757]]

 
OH......................  ASHTABULA...................            2835  9                                     66
OH......................  AVON LAKE...................            2836  10                                   139
OH......................  AVON LAKE...................            2836  12                                 1,040
OH......................  AVON LAKE...................            2836  9                                     41
OH......................  AVON LAKE...................            2836  CT10                                   3
OH......................  BAY SHORE...................            2878  1                                    208
OH......................  BAY SHORE...................            2878  2                                    229
OH......................  BAY SHORE...................            2878  3                                    213
OH......................  BAY SHORE...................            2878  4                                    330
OH......................  CARDINAL....................            2828  1                                  1,030
OH......................  CARDINAL....................            2828  2                                  1,083
OH......................  CARDINAL....................            2828  3                                  1,079
OH......................  CONESVILLE..................            2840  1                                    214
OH......................  CONESVILLE..................            2840  2                                    203
OH......................  CONESVILLE..................            2840  3                                    212
OH......................  CONESVILLE..................            2840  4                                  1,119
OH......................  CONESVILLE..................            2840  5                                    731
OH......................  CONESVILLE..................            2840  6                                    736
OH......................  DICKS CREEK.................            2831  1                                      7
OH......................  EASTLAKE....................            2837  1                                    214
OH......................  EASTLAKE....................            2837  2                                    230
OH......................  EASTLAKE....................            2837  3                                    251
OH......................  EASTLAKE....................            2837  4                                    371
OH......................  EASTLAKE....................            2837  5                                    974
OH......................  EASTLAKE....................            2837  6                                      1
OH......................  EDGEWATER...................            2857  13                                    65
OH......................  EDGEWATER...................            2857  A                                      1
OH......................  EDGEWATER...................            2857  B                                      1
OH......................  FRANK M TAIT................            2847  GT1                                   23
OH......................  FRANK M TAIT................            2847  GT2                                   25
OH......................  GEN J M GAVIN...............            8102  1                                  2,744
OH......................  GEN J M GAVIN...............            8102  2                                  2,981
OH......................  HAMILTON....................            2917  9                                    110
OH......................  J M STUART..................            2850  1                                  1,054
OH......................  J M STUART..................            2850  2                                  1,228
OH......................  J M STUART..................            2850  3                                  1,074
OH......................  J M STUART..................            2850  4                                  1,106
OH......................  KILLEN STATION..............            6031  2                                  1,706
OH......................  KYGER CREEK.................            2876  1                                    471
OH......................  KYGER CREEK.................            2876  2                                    471
OH......................  KYGER CREEK.................            2876  3                                    478
OH......................  KYGER CREEK.................            2876  4                                    465
OH......................  KYGER CREEK.................            2876  5                                    455
OH......................  LAKE SHORE..................            2838  18                                   195
OH......................  MAD RIVER...................            2860  A                                      2
OH......................  MAD RIVER...................            2860  B                                      2
OH......................  MIAMI FORT..................            2832  5-1                                   35
OH......................  MIAMI FORT..................            2832  5-2                                   35
OH......................  MIAMI FORT..................            2832  6                                    398
OH......................  MIAMI FORT..................            2832  7                                  1,044
OH......................  MIAMI FORT..................            2832  8                                  1,015
OH......................  MIAMI FORT..................            2832  CT2                                    1
OH......................  MUSKINGUM RIVER.............            2872  1                                    309
OH......................  MUSKINGUM RIVER.............            2872  2                                    316
OH......................  MUSKINGUM RIVER.............            2872  3                                    347
OH......................  MUSKINGUM RIVER.............            2872  4                                    349
OH......................  MUSKINGUM RIVER.............            2872  5                                  1,105
OH......................  NILES.......................            2861  1                                    212
OH......................  NILES.......................            2861  2                                    160
OH......................  NILES.......................            2861  A                                      2
OH......................  O H HUTCHINGS...............            2848  H-1                                   24
OH......................  O H HUTCHING................            2848  H-2                                   37
OH......................  O H HUTCHINGS...............            2848  H-3                                   64
OH......................  O H HUTCHINGS...............            2848  H-4                                   68
OH......................  O H HUTCHINGS...............            2848  H-5                                   62
OH......................  O H HUTCHINGS...............            2848  H-6                                   69
OH......................  O H HUTCHINGS...............            2848  H-7                                    1
OH......................  PICWAY......................            2843  9                                    141
OH......................  R E BURGER..................            2864  1                                      0
OH......................  R E BURGER..................            2864  2                                      0
OH......................  R E BURGER..................            2864  3                                      0
OH......................  R E BURGER..................            2864  4                                      0
OH......................  R E BURGER..................            2864  5                                     14

[[Page 758]]

 
OH......................  R E BURGER..................            2864  6                                     13
OH......................  R E BURGER..................            2864  7                                    337
OH......................  R E BURGER..................            2864  8                                    274
OH......................  RICHARD GORSUCH.............            7286  1                                    146
OH......................  RICHARD GORSUCH.............            7286  2                                    138
OH......................  RICHARD GORSUCH.............            7286  3                                    144
OH......................  RICHARD GORSUCH.............            7286  4                                    146
OH......................  W H SAMMIS..................            2866  1                                    402
OH......................  W H SAMMIS..................            2866  2                                    418
OH......................  W H SAMMIS..................            2866  3                                    400
OH......................  W H SAMMIS..................            2866  4                                    415
OH......................  W H SAMMIS..................            2866  5                                    631
OH......................  W H SAMMIS..................            2866  6                                  1,221
OH......................  W H SAMMIS..................            2866  7                                  1,259
OH......................  W H ZIMMER..................            6019  1                                  2,918
OH......................  WALTER C BECKJORD...........            2830  1                                    167
OH......................  WALTER C BECKJORD...........            2830  2                                    198
OH......................  WALTER C BECKJORD...........            2830  3                                    281
OH......................  WALTER C BECKJORD...........            2830  4                                    347
OH......................  WALTER C BECKJORD...........            2830  5                                    481
OH......................  WALTER C BECKJORD...........            2830  6                                    850
OH......................  WALTER C BECKJORD...........            2830  CT1                                    3
OH......................  WALTER C BECKJORD...........            2830  CT2                                    3
OH......................  WALTER C BECKJORD...........            2830  CT3                                    4
OH......................  WALTER C BECKJORD...........            2830  CT4                                    2
OH......................  WEST LORAIN.................            2869  1A                                     0
OH......................  WEST LORAIN.................            2869  1B                                     0
OH......................  WOODSDALE...................            7158  --GT1                                 30
OH......................  WOODSDALE...................            7158  --GT2                                 30
OH......................  WOODSDALE...................            7158  --GT3                                 39
OH......................  WOODSDALE...................            7158  --GT4                                 37
OH......................  WOODSDALE...................            7158  --GT5                                 40
OH......................  WOODSDALE...................            7158  --GT6                                 39
PA......................  AES BEAVER VALLEY...........           10676  032                                  144
PA......................  AES BEAVER VALLEY...........           10676  033                                  131
PA......................  AES BEAVER VALLEY...........           10676  034                                  133
PA......................  AES BEAVER VALLEY...........           10676  035                                   67
PA......................  ARMSTRONG...................            3178  1                                    363
PA......................  ARMSTRONG...................            3178  2                                    383
PA......................  BRUCE MANSFIELD.............            6094  1                                  1,657
PA......................  BRUCE MANSFIELD.............            6094  2                                  1,672
PA......................  BRUCE MANSFIELD.............            6094  3                                  1,636
PA......................  BRUNNER ISLAND..............            3140  1                                    568
PA......................  BRUNNER ISLAND..............            3140  2                                    718
PA......................  BRUNNER ISLAND..............            3140  3                                  1,539
PA......................  BRUNOT ISLAND...............            3096  2A                                     0
PA......................  BRUNOT ISLAND...............            3096  2B                                     0
PA......................  BRUNOT ISLAND...............            3096  3                                      0
PA......................  CAMBRIA COGEN...............           10641  1                                    155
PA......................  CAMBRIA COGEN...............           10641  2                                    161
PA......................  CHESWICK....................            8226  1                                  1,119
PA......................  COLVER POWER PROJECT........           10143  1                                    291
PA......................  CONEMAUGH...................            3118  1                                  2,167
PA......................  CONEMAUGH...................            3118  2                                  1,995
PA......................  CROMBY......................            3159  1                                    377
PA......................  CROMBY......................            3159  2                                    201
PA......................  DELAWARE....................            3160  71                                    61
PA......................  DELAWARE....................            3160  81                                    56
PA......................  EBENSBURG POWER.............           10603  1                                    191
PA......................  EDDYSTONE...................            3161  1                                    565
PA......................  EDDYSTONE...................            3161  2                                    636
PA......................  EDDYSTONE...................            3161  3                                    207
PA......................  EDDYSTONE...................            3161  4                                    237
PA......................  ELRAMA......................            3098  1                                    214
PA......................  ELRAMA......................            3098  2                                    209
PA......................  ELRAMA......................            3098  3                                    208
PA......................  ELRAMA......................            3098  4                                    428
PA......................  FOSTER WHEELER MT. CARMEL...           10343  AB--NUG                              152
PA......................  GILBERTON POWER NUG.........          010113  AB--NUG                              273
PA......................  GPU GENCO WAYNE.............            3134  1                                      8
PA......................  HATFIELD'S FERRY............            3179  1                                  1,155
PA......................  HATFIELD'S FERRY............            3179  2                                  1,029
PA......................  HATFIELD'S FERRY............            3179  3                                  1,087

[[Page 759]]

 
PA......................  HOLTWOOD....................            3145  17                                   246
PA......................  HOMER CITY..................            3122  1                                  1,471
PA......................  HOMER CITY..................            3122  2                                  1,553
PA......................  HOMER CITY..................            3122  3                                  1,437
PA......................  HUNLOCK PWR STATION.........            3176  6                                    131
PA......................  KEYSTONE....................            3136  1                                  2,154
PA......................  KEYSTONE....................            3136  2                                  2,133
PA......................  KIMBERLY-CLARK..............            3157  10                                   211
PA......................  MARTINS CREEK...............            3148  1                                    314
PA......................  MARTINS CREEK...............            3148  2                                    293
PA......................  MARTINS CREEK...............            3148  3                                    543
PA......................  MARTINS CREEK...............            3148  4                                    500
PA......................  MITCHELL....................            3181  1                                     10
PA......................  MITCHELL....................            3181  2                                      6
PA......................  MITCHELL....................            3181  3                                      9
PA......................  MITCHELL....................            3181  33                                   556
PA......................  MONTOUR.....................            3149  1                                  1,560
PA......................  MONTOUR.....................            3149  2                                  1,673
PA......................  MOUNTAIN....................            3111  1                                      5
PA......................  MOUNTAIN....................            3111  2                                      5
PA......................  NEW CASTLE..................            3138  3                                    190
PA......................  NEW CASTLE..................            3138  4                                    195
PA......................  NEW CASTLE..................            3138  5                                    245
PA......................  NORCON POWER PARTNERS LP....           54571  1                                    103
PA......................  NORCON POWER PARTNERS LP....           54571  2                                    109
PA......................  NORTHAMPTION GENERATING.....           50888  1                                    291
PA......................  NORTHEASTERN POWER..........           50039  ........................             188
PA......................  PANTHER CREEK...............           50776  1                                    134
PA......................  PANTHER CREEK...............           50776  2                                    130
PA......................  PECO ENERGY CROYDEN.........            8012  11                                    11
PA......................  PECO ENERGY CROYDEN.........            8012  12                                     9
PA......................  PECO ENERGY CROYDEN.........            8012  21                                     5
PA......................  PECO ENERGY CROYDEN.........            8012  22                                    11
PA......................  PECO ENERGY CROYDEN.........            8012  31                                    13
PA......................  PECO ENERGY CROYDEN.........            8012  32                                     6
PA......................  PECO ENERGY CROYDEN.........            8012  41                                    11
PA......................  PECO ENERGY CROYDEN.........            8012  42                                     9
PA......................  PECO ENERGY RICHMOND........            3168  91                                    10
PA......................  PECO ENERGY RICHMOND........            3168  92                                     9
PA......................  PHILLIPS POWER STATION......            3099  3                                      0
PA......................  PHILLIPS POWER STATION......            3099  4                                      0
PA......................  PHILLIPS POWER STATION......            3099  5                                      0
PA......................  PHILLIPS POWER STATION......            3099  6                                      0
PA......................  PINEY CREEK.................           54144  1                                    102
PA......................  PORTLAND....................            3113  --5                                   48
PA......................  PORTLAND....................            3113  1                                    266
PA......................  PORTLAND....................            3113  2                                    412
PA......................  SCHUYLKILL..................            3169  1                                     84
PA......................  SCHUYLKILL ENERGY RESOURCES.          880010  1                                    289
PA......................  SCHUYLKILL STATION (TURBI...           50607  AB--NUG                              701
PA......................  SCRUBGRASS GENERATING PLANT.           50974  1                                    124
PA......................  SCRUBGRASS GENERATING PLANT.           50974  2                                    123
PA......................  SEWARD......................            3130  12                                    64
PA......................  SEWARD......................            3130  14                                    72
PA......................  SEWARD......................            3130  15                                   355
PA......................  SHAWVILLE...................            3131  1                                    295
PA......................  SHAWVILLE...................            3131  2                                    294
PA......................  SHAWVILLE...................            3131  3                                    380
PA......................  SHAWVILLE...................            3131  4                                    392
PA......................  SUNBURY.....................            3152  1A                                   134
PA......................  SUNBURY.....................            3152  1B                                   122
PA......................  SUNBURY.....................            3152  2A                                   130
PA......................  SUNBURY.....................            3152  2B                                   134
PA......................  SUNBURY.....................            3152  3                                    263
PA......................  SUNBURY.....................            3152  4                                    302
PA......................  TITUS.......................            3115  1                                    161
PA......................  TITUS.......................            3115  2                                    152
PA......................  TITUS.......................            3115  3                                    151
PA......................  TOLNA.......................            3116  1                                      3
PA......................  TOLNA.......................            3116  2                                      4
PA......................  TRIGEN ENERGY SANSOM........          880006  1                                     12
PA......................  TRIGEN ENERGY SANSOM........          880006  2                                     10
PA......................  TRIGEN ENERGY SANSOM........          880006  3                                      5

[[Page 760]]

 
PA......................  TRIGEN ENERGY SANSOM........          880006  4                                      6
PA......................  WARREN......................            3132  1                                     47
PA......................  WARREN......................            3132  2                                     32
PA......................  WARREN......................            3132  3                                     40
PA......................  WARREN......................            3132  4                                     42
PA......................  WARREN......................            3132  CT1                                   14
PA......................  WESTWOOD ENERGY PROPERTIE...           50611  031                                   98
PA......................  WHEELABRATOR FRACKVILLE E...           50879  GEN1                                 161
PA......................  WILLIAMS GEN--HAZELTON......           10870  HRSG                                  16
PA......................  WILLIAMS GEN--HAZELTON......           10870  TURBN                                141
VA......................  BELLMEADE...................            7696  1                                     76
VA......................  BELLMEADE...................            7696  2                                     88
VA......................  BREMO BLUFF.................            3796  3                                    137
VA......................  BREMO BLUFF.................            3796  4                                    386
VA......................  CHESAPEAKE..................            3803  1                                    298
VA......................  CHESAPEAKE..................            3803  2                                    308
VA......................  CHESAPEAKE..................            3803  3                                    370
VA......................  CHESAPEAKE..................            3803  4                                    571
VA......................  CHESAPEAKE CORP.............           10017  ST--rp.                               59
VA......................  CHESTERFIELD................            3797  --8                                  263
VA......................  CHESTERFIELD................            3797  3                                    232
VA......................  CHESTERFIELD................            3797  4                                    389
VA......................  CHESTERFIELD................            3797  5                                    769
VA......................  CHESTERFIELD................            3797  6                                  1,348
VA......................  CHESTERFIELD................            3797  7                                    316
VA......................  CLINCH RIVER................            3775  1                                    548
VA......................  CLINCH RIVER................            3775  2                                    520
VA......................  CLINCH RIVER................            3775  3                                    575
VA......................  CLOVER......................            7213  1                                  1,033
VA......................  CLOVER......................            7213  2                                  1,118
VA......................  COGENTRIX--HOPEWELL.........           10377  ST--ell                              327
VA......................  COGENTRIX--PORTSMOUTH.......           10071  ST--uth                              356
VA......................  COGENTRIX RICHMOND 1........           54081  ST--d 1                              299
VA......................  COGENTRIX RICHMOND 2........           54081  ST--d 2                              209
VA......................  COMMONWEALTH ATLANTIC LP....           52087  GT--LP                                35
VA......................  DARBYTOWN...................            7212  --1                                   29
VA......................  DARBYTOWN...................            7212  --2                                   28
VA......................  DARBYTOWN...................            7212  --3                                   30
VA......................  DARBYTOWN...................            7212  --4                                   29
VA......................  DOSWELL 1..........           52019  CA--1                        46
VA......................  DOSWELL 1..........           52019  CT--1                        94
VA......................  DOSWELL 2..........           52019  CA--2                        46
VA......................  DOSWELL 2..........           52019  CT--2                        94
VA......................  GLEN LYN....................            3776  51                                   101
VA......................  GLEN LYN....................            3776  52                                   110
VA......................  GLEN LYN....................            3776  6                                    487
VA......................  GORDONSVILLE 1..............           54844  CA--e 1                               16
VA......................  GORDONSVILLE 1..............           54844  CT--e 1                               33
VA......................  GORDONSVILLE 2..............           54844  CA--Xe 2                              17
VA......................  GORDONSVILLE 2..............           54844  CT--e 2                               34
VA......................  GRAVEL NECK.................            7032  --3                                   21
VA......................  GRAVEL NECK.................            7032  --X4                                  24
VA......................  GRAVEL NECK.................            7032  --5                                   14
VA......................  GRAVEL NECK.................            7032  --6                                   18
VA......................  HOPEWELL COGEN, INC.........           10633  CT--nc.                   102 OW
VA......................  HOPEWELL COGEN, INC.........           10633  CW--nc.                               53
VA......................  LG&E-WESTMORELAND ALTAVISTA.           10773  1                                     18
VA......................  LG&E-WESTMORELAND ALTAVISTA.           10773  2                                     18
VA......................  LG&E-WESTMORELAND HOPEWELL..           10771  1                                     17
VA......................  LG&E-WESTMORELAND HOPEWELL..           10771  2                                     16
VA......................  LG&E-WESTMORELAND                      10774  1                                     23
                           SOUTHAMPTON.
VA......................  LG&E-WESTMORELAND                      10774  2                                     29
                           SOUTHAMPTON.
VA......................  MECKLENBURG.................           52007  ST--urg                              234
VA......................  POSSUM POINT................            3804  3                                    221
VA......................  POSSUM POINT................            3804  4                                    528
VA......................  POSSUM POINT................            3804  5                                    322
VA......................  POTOMAC RIVER...............            3788  1                                    203
VA......................  POTOMAC RIVER...............            3788  2                                    139
VA......................  POTOMAC RIVER...............            3788  3                                    232
VA......................  POTOMAC RIVER...............            3788  4                                    223
VA......................  POTOMAC RIVER...............            3788  5                                    222
VA......................  SEI BIRCHWOOD...............              12  1                                    305
VA......................  TASLEY......................            3785  10                                     6

[[Page 761]]

 
VA......................  YORKTOWN....................            3809  1                                    386
VA......................  YORKTOWN....................            3809  2                                    419
VA......................  YORKTOWN....................            3809  3                                    764
WV......................  ALBRIGHT....................            3942  1                                     76
WV......................  ALBRIGHT....................            3942  2                                     71
WV......................  ALBRIGHT....................            3942  3                                    241
WV......................  FORT MARTIN.................            3943  1                                    887
WV......................  FORT MARTIN.................            3943  2                                    868
WV......................  GRANT TOWN..................           10151  ST--own                              156
WV......................  HARRISON....................            3944  1                                  1,385
WV......................  HARRISON....................            3944  2                                  1,444
WV......................  HARRISON....................            3944  3                                  1,505
WV......................  JOHN E AMOS.................            3935  1                                  1,254
WV......................  JOHN E AMOS.................            3935  2                                  1,198
WV......................  JOHN E AMOS.................            3935  3                                  1,859
WV......................  KAMMER......................            3947  1                                    399
WV......................  KAMMER......................            3947  2                                    418
WV......................  KAMMER......................            3947  3                                    447
WV......................  KANAWHA RIVER...............            3936  1                                    336
WV......................  KANAWHA RIVER...............            3936  2                                    323
WV......................  MITCHELL....................            3948  1                                  1,288
WV......................  MITCHELL....................            3948  2                                  1,191
WV......................  MORGANTOWN ENERGY ASSOCIATES              27  1                                     80
WV......................  MORGANTOWN ENERGY ASSOCIATES              27  2                                     80
WV......................  MOUNTAINEER (1301)..........            6264  1                                  1,952
WV......................  MT STORM....................            3954  1                                  1,048
WV......................  MT STORM....................            3954  2                                  1,127
WV......................  MT STORM....................            3954  3                                  1,236
WV......................  NORTH BRANCH................            7537  1A                                    51
WV......................  NORTH BRANCH................            7537  1B                                    53
WV......................  PHIL SPORN..................            3938  11                                   239
WV......................  PHIL SPORN..................            3938  21                                   215
WV......................  PHIL SPORN..................            3938  31                                   239
WV......................  PHIL SPORN..................            3938  41                                   230
WV......................  PHIL SPORN..................            3938  51                                   708
WV......................  PLEASANTS...................            6004  1                                  1,296
WV......................  PLEASANTS...................            6004  2                                  1,165
WV......................  RIVESVILLE..................            3945  7                                     38
WV......................  RIVESVILLE..................            3945  8                                     88
WV......................  WILLOW ISLAND...............            3946  1                                     79
WV......................  WILLOW ISLAND...............            3946  2                                    246
----------------------------------------------------------------------------------------------------------------

[65 FR 2727, Jan. 18, 2000, as amended at 66 FR 48575, Sept. 21, 2001]
         Appendix B to Part 97--Final Section 126 Rule: Non-EGU 
                        Allocations, 2004-2007

----------------------------------------------------------------------------------------------------------------
                                                                                                         NOX
                                                                                                      allocation
    State             County                 Plant                Plant ID            Point ID         for non-
                                                                                                         EGUs
----------------------------------------------------------------------------------------------------------------
DC..........  Washington...........  GSA CENTRAL HEATING    0025                 003                           0
                                      PLANT.
DC..........  Washington...........  GSA CENTRAL HEATING    0025                 004                           0
                                      PLANT.
DC..........  Washington...........  GSA CENTRAL HEATING    0025                 005                           0
                                      PLANT.
DC..........  Washington...........  GSA CENTRAL HEATING    0025                 006                           0
                                      PLANT.
DC..........  Washington...........  GSA WEST HEATING       0024                 003                          13
                                      PLANT.
DC..........  Washington...........  GSA WEST HEATING       0024                 005                          12
                                      PLANT.
DE..........  Kent.................  KRAFT FOODS INC......  0007                 001                           0
DE..........  New Castle...........  MOTIVA ENTERPRISES     0016                 002                         102
                                      (FORMERLY STAR
                                      ENTERPRISE, DELAWARE
                                      CITY PLANT).
DE..........  New Castle...........  MOTIVA ENTERPRISES     0016                 012                         118
                                      (FORMERLY STAR
                                      ENTERPRISE, DELAWARE
                                      CITY PLANT).
KY..........  Boyd.................  ASHLAND OIL INC......  0004                 061                          23
KY..........  Lawrence.............  KENTUCKY POWER CO....  0003                 004                           0
MD..........  Baltimore............  BETHLEHEM STEEL......  0147                 016                          75
MD..........  Baltimore............  BETHLEHEM STEEL......  0147                 017                          75
MD..........  Baltimore............  BETHLEHEM STEEL......  0147                 018                          75
MD..........  Baltimore............  BETHLEHEM STEEL......  0147                 019                          75
MD..........  Allegany.............   WESTVACO............  0011                 001                         289

[[Page 762]]

 
MD..........  Allegany.............   WESTVACO............  0011                 002                         373
MI..........  Wayne................  DETROIT EDISON CO....  B2810                0003                         31
MI..........  Midland..............  DOW CHEMICAL USA.....  A4033                0401                          6
MI..........  Midland..............  DOW CHEMICAL USA.....  A4033                0402                          0
MI..........  Wayne................  DSC LTD..............  B3680                0006                         30
MI..........  Genesee..............  GENERAL MOTORS CORP..  A1178                0501                         63
MI..........  Genesee..............  GENERAL MOTORS CORP..  A1178                0502                         47
MI..........  Oakland..............  GENERAL MOTORS CORP..  B4031                0506                         22
MI..........  Genesee..............  GENERAL MOTORS CORP..  A1178                0507                         20
MI..........  Oakland..............  GENERAL MOTORS CORP..  B4032                0510                          4
MI..........  Kalamazoo............  GEORGIA PACIFIC CORP.  B4209                0005                          6
MI..........  Kalamazoo............  JAMES RIVER PAPER CO   B1678                0003                         90
                                      INC.
MI..........  Wayne................  MARATHON OIL COMPANY.  A9831                0001                        109
MI..........  Allegan..............  MENASHA CORP.........  A0023                0024                         71
MI..........  Allegan..............  MENASHA CORP.........  A0023                0025                         69
MI..........  Ingham...............  MICHIGAN STATE         K3249                0053                        110
                                      UNIVERSITY.
MI..........  Ingham...............  MICHIGAN STATE         K3249                0054                        118
                                      UNIVERSITY.
MI..........  Ingham...............  MICHIGAN STATE         K3249                0055                         77
                                      UNIVERSITY.
MI..........  Ingham...............  MICHIGAN STATE         K3249                0056                         73
                                      UNIVERSITY.
MI..........  Washtenaw............  THE REGENTS OF THE     M0675                0001                         40
                                      UNIVERSITY OF
                                      MICHIGAN.
MI..........  Washtenaw............  THE REGENTS OF THE     M0675                0002                         37
                                      UNIVERSITY OF
                                      MICHIGAN.
MI..........  Oakland..............  WILLIAM BEAUMONT       G5067                0010                          0
                                      HOSPITAL.
MI..........  Oakland..............  WILLIAM BEAUMONT       G5067                0011                          0
                                      HOSPITAL.
NC..........  Haywood..............  BLUE RIDGE PAPER       0159                 005                         129
                                      PRODUCTS INC.
NC..........  Haywood..............  CHAMPION INT CORP....  0159                 001                          98
NC..........  Haywood..............  CHAMPION INT CORP....  0159                 002                          88
NC..........  Haywood..............  CHAMPION INT CORP....  0159                 003                         200
NC..........  Haywood..............   CHAMPION INT CORP...  0159                 004                         176
NC..........  Halifax..............  CHAMPION               0007                 001                         340
                                      INTERNATIONAL CORP.
                                      ROANOKE RAP.
NC..........  Guilford.............  CONE MILLS CORP--      0863                 004                          50
                                      WHITE OAK PLANT.
NC..........  Cabarrus.............  FIELDCREST--CANNON     0006                 001                          77
                                      PLT 1 KANNAPOLIS.
NC..........  Columbus.............  INTERNATIONAL PAPER:   0036                 003                          90
                                      RIEGELWOOD.
NC..........  Columbus.............  INTERNATIONAL PAPER:   0036                 004                         228
                                      RIEGELWOOD.
NC..........  Martin...............  WEYERHAEUSER PAPER     0069                 001                         265
                                      CO. PLYMOUTH.
NC..........  Craven...............  WEYERHAUSER COMPANY    0104                 005                         205
                                      NEW BERN MILL.
NC..........  Craven...............  WEYERHAEUSER COMPANY   0104                 006                          72
                                      NEW BERN MILL.
NC..........  Martin...............  WEYERHAEUSER COMPANY   0069                 009                          25
                                      PLYMOUTH.
NJ..........  Middlesex............  BALL--INCON GLASS      15035                001                          46
                                      PACKAGING.
NJ..........  Hudson...............  BEST FOODS CPC         10003                003                          27
                                      INTERNATIONAL I.
NJ..........  Middlesex............  CHEVRON U.S.A., INC..  15023                001                          17
NJ..........  Middlesex............  CHEVRON U.S.A., INC..  15023                043                          55
NJ..........  Gloucester...........  COASTAL EAGLE POINT    55004                001                           3
                                      OIL COMPAN.
NJ..........  Gloucester...........  COASTAL EAGLE POINT    55004                038                          11
                                      OIL COMPAN.
NJ..........  Gloucester...........  COASTAL EAGLE POINT    55004                039                          11
                                      OIL COMPAN.
NJ..........  Gloucester...........  COASTAL EAGLE POINT    55004                040                          11
                                      OIL COMPAN.
NJ..........  Gloucester...........  COASTAL EAGLE POINT    55004                064                          38
                                      OIL COMPAN.
NJ..........  Gloucester...........  COASTAL EAGLE POINT    55004                123                          37
                                      OIL COMPAN.
NJ..........  Middlesex............  DEGUSSA CORPORATION-   15305                009                          15
                                      METZ DIVIS.
NJ..........  Union................  EXXON CORPORATION....  40003                001                          57
NJ..........  Union................  EXXON CORPORATION....  40003                007                          22
NJ..........  Union................  EXXON CORPORATION....  40003                014                          98
NJ..........  Union................  EXXON CORPORATION....  40003                015                          14
NJ..........  Middlesex............  HERCULES INCORPORATED  15017                001                          38
NJ..........  Middlesex............  HERCULES INCORPORATED  15017                002                          37
NJ..........  Warren...............  HOFFMAN LAROCHE INC..  85010                034                          45
NJ..........  Mercer...............  HOMASCTE COMPANY.....  60018                001                         290
NJ..........  Mercer...............  HOMASCTE COMPANY.....  60018                002                         312
NJ..........  Passaic..............  INTERNATIONAL VEILING  30098                001                          22
                                      CORPORAT.
NJ..........  Bergen...............  MALT PRODUCTS          00322                001                          27
                                      CORPORATION.
NJ..........  Atlantic.............  MARINA ASSOCIATES....  70009                001                         330
NJ..........  Atlantic.............  MARINA ASSOCIATES....  70009                002                         329
NJ..........  Atlantic.............  MARINA ASSOCIATES....  70009                003                         990
NJ..........  Union................  MERCK & CO., INC.....  40009                001                          66
NJ..........  Union................  MERCK & CO., INC.....  40009                002                          61
NJ..........  Union................  MERCK & CO., INC.....  40009                003                          56

[[Page 763]]

 
NJ..........  Union................  MERCK & CO., INC.....  40009                004                          75
NJ..........  Union................  MERCK & CO., INC.....  40009                005                          89
NJ..........  Union................  MERCK & CO., INC.....  40009                006                         103
NJ..........  Gloucester...........  MOBIL OIL CORPORATION  55006                001                          54
NJ..........  Gloucester...........  MOBIL OIL CORPORATION  55006                002                          54
NJ..........  Gloucester...........  MOBIL OIL CORPORATION  55006                003                          54
NJ..........  Gloucester...........  MOBIL OIL CORPORATION  55006                004                          49
NJ..........  Gloucester...........  MOBIL OIL CORPORATION  55006                005                          16
NJ..........  Gloucester...........  MOBIL OIL CORPORATION  55006                006                         105
NJ..........  Gloucester...........  MOBIL OIL CORPORATION  55006                027                           0
NJ..........  Gloucester...........  MOBIL OIL CORPORATION  55006                270                          14
NJ..........  Monmouth.............  NESTLE CO., INC., THE  20004                006                          13
NJ..........  Monmouth.............  NESTLE CO., INC., THE  20004                007                          13
NJ..........  Middlesex............  NEW JERSEY STEEL       15076                001                          18
                                      CORPORATION.
NJ..........  Gloucester...........  PETROLEUM RECYCLING,   55180                020                         169
                                      INC.
NJ..........  Atlantic.............  SCOTT PAPER COMPANY..  70011                002                          89
NJ..........  Atlantic.............  SCOTT PAPER COMPANY..  70011                003                          75
NJ..........  Atlantic.............  SCOTT PAPER COMPANY..  70011                004                          99
NJ..........  Mercer...............  STONY BROOK REGIONAL   60248                001                          55
                                      SEWERAGE.
NJ..........  Mercer...............  STONY BROOK REGIONAL   60248                002                          55
                                      SEWERAGE.
NY..........  Kings................  HUDSON AVENUE........  2496                 B71                          19
NY..........  Kings................  HUDSON AVENUE........  2496                 B72                          19
NY..........  Kings................  HUDSON AVENUE........  2496                 B81                          19
NY..........  Kings................  HUDSON AVENUE........  2496                 B82                          19
NY..........  Queens...............  RAVENSWOOD-A-HOUSE...  CE03                 B01                          15
NY..........  Queens...............  RAVENSWOOD-A-HOUSE...  CE03                 B02                          15
NY..........  Queens...............  RAVENSWOOD-A-HOUSE...  CE03                 B03                          21
NY..........  Queens...............  RAVENSWOOD-A-HOUSE...  CE03                 B04                          21
OH..........  Butler...............  AK STEEL (FORMERLY     1409010006           P009                         66
                                      ARMCO STEEL CO.).
OH..........  Butler...............  AK STEEL (FORMERLY     1409010006           P010                         66
                                      ARMCO STEEL CO.).
OH..........  Butler...............  AK STEEL (FORMERLY     1409010006           P011                         66
                                      ARMCO STEEL CO.).
OH..........  Butler...............  AK STEEL (FORMERLY     1409010006           P012                         66
                                      ARMCO STEEL CO.).
OH..........  Stark................  ASHLAND PETROLEUM      1576000301           B015                         18
                                      COMPANY.
OH..........  Lucas................  BP OIL COMPANY,        0448020007           B004                         39
                                      TOLEDO REFINERY.
OH..........  Lucas................  BP OIL COMPANY,        0448020007           B020                        102
                                      TOLEDO REFINERY.
OH..........  Montgomery...........  CARGILL INCORPORATED.  0857041124           B004                        133
OH..........  Montgomery...........  CARGILL INCORPORATED.  0857041124           B006                          1
OH..........  Butler...............  CHAMPION               1409040212           B010                        267
                                      INTERNATIONAL CORP.
OH..........  Summit...............  GOODYEAR TIRE &        1677010193           B001                        101
                                      RUBBER COMPANY.
OH..........  Summit...............  GOODYEAR TIRE &        1677010193           B002                        108
                                      RUBBER COMPANY.
OH..........  Hamilton.............  HENKEL CORP.--EMERY    1431070035           B027                        209
                                      GROUP.
OH..........  Cuyahoga.............  LTV STEEL COMPANY,     1318001613           B001                        139
                                      INC.
OH..........  Cuyahoga.............  LTV STEEL COMPANY,     1318001613           B002                        150
                                      INC.
OH..........  Cuyahoga.............  LTV STEEL COMPANY,     1318001613           B003                        159
                                      INC.
OH..........  Cuyahoga.............  LTV STEEL COMPANY,     1318001613           B004                        158
                                      INC.
OH..........  Cuyahoga.............  LTV STEEL COMPANY,     1318001613           B007                        155
                                      INC.
OH..........  Cuyahoga.............  LTV STEEL COMPANY,     1318001613           B905                         14
                                      INC.
OH..........  Ross.................  MEAD CORPORATION.....  0671010028           B001                        185
OH..........  Ross.................  MEAD CORPORATION.....  0671010028           B002                        208
OH..........  Ross.................  MEAD CORPORATION.....  0671010028           B003                        251
OH..........  Scioto...............  NEW BOSTON COKE CORP.  0773010004           B008                         20
OH..........  Scioto...............  NEW BOSTON COKE CORP.  0773010004           B009                         15
OH..........  Hamilton.............  PROCTER & GAMBLE CO..  1431390903           B021                         72
OH..........  Hamilton.............  PROCTER & GAMBLE CO..  1431390903           B022                        296
OH..........  Lorain...............  REPUBLIC ENGINEERED    0247080229           B013                        159
                                      STEELS, INC.
                                      (FORMERLY USS/KOBE
                                      STEEL--LORAIN WORKS).
OH..........  Lawrence.............  SOUTH POINT ETHANOL..  0744000009           B003                        107
OH..........  Lawrence.............  SOUTH POINT ETHANOL..  0744000009           B004                        107
OH..........  Lawrence.............  SOUTH POINT ETHANOL..  0744000009           B007                        107
OH..........  Lucas................  SUN REFINING &         0448010246           B044                         47
                                      MARKETING CO, TOLEDO
                                      REF.
OH..........  Lucas................  SUN REFINING &         0448010246           B046                         34
                                      MARKETING CO, TOLEDO
                                      REF.
OH..........  Lucas................  SUN REFINING &         0448010246           B047                         18
                                      MARKETING CO, TOLEDO
                                      REF.
OH..........  Trumbull.............  W C I STEEL, INC.....  0278000463           B001                        113
OH..........  Trumbull.............  W C I STEEL, INC.....  0278000463           B004                        142

[[Page 764]]

 
PA..........  Northampton..........  BETHLEHEM STEEL CORP.  0048                 041                         100
PA..........  Northampton..........  BETHLEHEM STEEL CORP.  0048                 042                          66
PA..........  Northampton..........  BETHLEHEM STEEL CORP.  0048                 067                         165
PA..........  Armstrong............  BMG ASPHALT CO.......  0004                 101                           0
PA..........  Erie.................  GENERAL ELECTRIC.....  0009                 032                          16
PA..........  York.................  GLATFELTER, P. H. CO.  0016                 031                           0
PA..........  York.................  GLATFELTER, P. H. CO.  0016                 034                         137
PA..........  York.................  GLATFELTER, P. H. CO.  0016                 035                         112
PA..........  York.................  GLATFELTER, P. H. CO.  0016                 036                         211
PA..........  Clinton..............  INTERNATIONAL PAPER:   0008                 033                         101
                                      LOCKHAVEN.
PA..........  Clinton..............  INTERNATIONAL PAPER:   0008                 034                          90
                                      LOCKHAVEN.
PA..........  Delaware.............  KIMBERLY CLARK         0016                 034                           1
                                      (FORMERLY SCOTT
                                      PAPER CO.).
PA..........  Delaware.............  KIMBERLY CLARK         0016                 035                         345
                                      (FORMERLY SCOTT
                                      PAPER CO.).
PA..........  Allegheny............  LTV STEEL COMPANY--    0022                 015                          25
                                      PITTSBURGH WORKS.
PA..........  Allegheny............  LTV STEEL COMPANY--    0022                 017                          15
                                      PITTSBURGH WORKS.
PA..........  Allegheny............  LTV STEEL COMPANY--    0022                 019                          29
                                      PITTSBURGH WORKS.
PA..........  Allegheny............  LTV STEEL COMPANY--    0022                 021                          55
                                      PITTSBURGH WORKS.
PA..........  Montgomery...........  MERCK SHARP & DOHME..  0028                 039                         126
PA..........  Westmoreland.........  MONESSEN INC.........  0007                 031                           0
PA..........  Bucks................  PECO.................  0055                 043                          15
PA..........  Bucks................  PECO.................  0055                 045                          32
PA..........  Bucks................  PECO.................  0055                 044                          77
PA..........  Wyoming..............  PROCTER & GAMBLE CO..  0009                 035                         187
PA..........  Allegheny............  SHENANGO IRON & COKE   0050                 006                          18
                                      WORKS.
PA..........  Allegheny............  SHENANGO IRON & COKE   0050                 009                          15
                                      WORKS.
PA..........  Delaware.............  SUN REFINING &         0025                 089                         102
                                      MARKETING CO.
PA..........  Delaware.............  SUN REFINING &         0025                 090                         163
                                      MARKETING CO.
PA..........  Philadelphia.........  SUN REFINING AND       1501                 020                          49
                                      MARKETING 1 O.
PA..........  Philadelphia.........  SUN REFINING AND       1501                 021                          83
                                      MARKETING 1 O.
PA..........  Philadelphia.........  SUN REFINING AND       1501                 022                         105
                                      MARKETING 1 O.
PA..........  Philadelphia.........  SUN REFINING AND       1501                 023                         127
                                      MARKETING 1 O.
PA..........  Philadelphia.........  SUNOCO (FORMERLY       1551                 052                          86
                                      ALLIED CHEMICAL
                                      CORP).
PA..........  Perry................  TEXAS EASTERN GAS      0001                 031                           0
                                      PIPELINE COMPANY.
PA..........  Berks................  TEXAS EASTERN GAS      0087                 031                          98
                                      PIPELINE COMPANY.
PA..........  Delaware.............  TOSCO REFINING         0030                 032                          71
                                      (FORMERLY BP OIL,
                                      INC.).
PA..........  Delaware.............  TOSCO REFINING         0030                 033                          80
                                      (FORMERLY BP OIL,
                                      INC.).
PA..........  Philadelphia.........  U.S. NAVAL BASE......  9702                 016                           0
PA..........  Philadelphia.........  U.S. NAVAL BASE......  9702                 017                           1
PA..........  Philadelphia.........  U.S. NAVAL BASE......  9702                 098                           0
PA..........  Philadelphia.........  U.S. NAVAL BASE......  9702                 099                           0
PA..........  Elk..................  WILLAMETTE INDUSTRIES  0005                 040                          90
                                      (FORMERLY PENNTECH
                                      PAPERS, INC.
PA..........  Elk..................  WILLAMETTE INDUSTRIES  0005                 041                          89
                                      (FORMERLY PENNTECH
                                      PAPERS, INC.
PA..........  Beaver...............  ZINC CORPORATION OF    0032                 034                         176
                                      AMERICA.
PA..........  Beaver...............  ZINC CORPORATION OF    0032                 035                         180
                                      AMERICA.
VA..........  Hopewell.............  ALLIED-SIGNAL INC....  0026                 002                         499
VA..........  York.................  AMOCO OIL CO.........  0004                 001                          25
VA..........  Giles................  CELANESE ACETATE LLC   0004                 007                         148
                                      (FORMERLY HOECHST
                                      CELANESE CORP).
VA..........  Giles................   CELANESE ACETATE LLC  0004                 014                          56
                                      (FORMERLY HOECHST
                                      CELANESE CORP).
VA..........  Pittsylvania.........  DAN RIVER INC.         0002                 003                          49
                                      (SCHOOLFIELD DIV).
VA..........  Bedford..............  GEORGIA-PACIFIC--BIG   0003                 002                          86
                                      ISLAND MILL.
VA..........  Isle Of Wight........  INTERNATIONAL PAPER--  0006                 003                         272
                                      FRANKLIN (FORMERLY
                                      UNION CAMP CORP/FINE
                                      PAPER DIV).
VA..........  Hopewell.............  JAMES RIVER            0055                 001                         511
                                      COGENERATION (COGE.
VA..........  Hopewell.............  JAMES RIVER            0055                 002                         512
                                      COGENERATION (COGE.
VA..........  King William.........  ST. LAURENT PAPER      0001                 003                         253
                                      PRODUCTS CORP..
VA..........  Alleghany............  WESTVACO CORP........  0003                 001                         253

[[Page 765]]

 
VA..........  Alleghany............  WESTVACO CORP........  0003                 002                         130
VA..........  Alleghany............  WESTVACO CORP........  0003                 003                         195
VA..........  Alleghany............  WESTVACO CORP........  0003                 004                         373
VA..........  Alleghany............  WESTVACO CORP........  0003                 005                         170
VA..........  Alleghany............  WESTVACO CORP........  0003                 011                         105
WV..........  Kanawha..............  AVENTIS CROPSCIENCE..  00007                010                         113
WV..........  Kanawha..............  AVENTIS CROPSCIENCE..  00007                011                         102
WV..........  Kanawha..............  AVENTIS CROPSCIENCE..  00007                012                         105
WV..........  Kanawha..............  DUPONT--BELLE........  00001                612                          54
WV..........  Fayette..............  ELKEM METALS COMPANY   00001                006                         116
                                      L.P.--ALLOY P PLANT.
WV..........  Marshall.............  PPG INDUSTRIES, INC..  00002                001                         195
WV..........  Marshall.............  PPG INDUSTRIES, INC..  00002                003                         419
WV..........  Kanawha..............  RHONE-POLUENC........  00007                070                           8
WV..........  Kanawha..............  RHONE-POLUENC........  00007                071                          73
WV..........  Kanawha..............  RHONE-POLUENC........  00007                080                           7
WV..........  Kanawha..............  RHONE-POLUENC........  00007                081                          66
WV..........  Kanawha..............  RHONE-POLUENC........  00007                090                           8
WV..........  Kanawha..............  RHONE-POLUENC........  00007                091                          68
WV..........  Kanawha..............  UNION CARBIDE--SOUTH   00003                0B6                          66
                                      CHARLESTON PLANT.
WV..........  Kanawha..............  UNION CARBIDE--SOUTH   0003                 0B6                          92
                                      CHARLESTON PLANT.
WV..........  Kanawha..............  UNION CARBIDE--SOUTH   0003                 0B7                          45
                                      CHARLESTON PLANT.
WV..........  Hancock..............  WEIRTON STEEL          00001                030                          31
                                      CORPORATION.
WV..........  Hancock..............  WEIRTON STEEL          00001                088                          30
                                      CORPORATION.
WV..........  Hancock..............  WEIRTON STEEL          00001                089                           2
                                      CORPORATION.
WV..........  Hancock..............  WEIRTON STEEL          00001                090                         110
                                      CORPORATION.
WV..........  Hancock..............  WEIRTON STEEL          00001                091                         253
                                      CORPORATION.
WV..........  Hancock..............  WEIRTON STEEL          00001                092                         208
                                      CORPORATION.
WV..........  Hancock..............  WEIRTON STEEL          00001                093                         200
                                      CORPORATION.
----------------------------------------------------------------------------------------------------------------

[65 FR 2727, Jan. 18, 2000, as amended at 66 FR 48576, Sept. 21, 2001]
         Appendix C to Part 97--Final Section 126 Rule: Trading 
                                Budget

----------------------------------------------------------------------------------------------------------------
                               ST                                    F126-EGU        F126-NEGU         Total
----------------------------------------------------------------------------------------------------------------
DC..............................................................             207              26             233
DE..............................................................           4,306             232           4,538
IN..............................................................           7,088              82           7,170
KY..............................................................          19,654              53          19,707
MD..............................................................          14,519           1,013          15,532
MI..............................................................          25,689           2,166          27,855
NC..............................................................          31,212           2,329          33,541
NJ..............................................................           9,716           4,838          14,554
NY..............................................................          16,081             156          16,237
OH..............................................................          45,432           4,103          49,535
PA..............................................................          47,224           3,619          50,843
VA..............................................................          17,091           4,104          21,195
WV..............................................................          26,859           2,184          29,043
                                                                 -----------------------------------------------
    Total.......................................................         265,078          24,905         289,983
----------------------------------------------------------------------------------------------------------------

          Appendix D to Part 97--Final Section 126 Rule: State 
      Compliance supplement pools for the Section 126 Final Rule 
                                (Tons)

------------------------------------------------------------------------
                                                            Compliance
                          State                             supplement
                                                               pool
------------------------------------------------------------------------
Delaware................................................             168
District of Columbia....................................               0
Indiana.................................................           2,454
Kentucky................................................           7,314
Maryland................................................           3,882

[[Page 766]]

 
Michigan................................................           9,398
New Jersey..............................................           1,550
New York................................................           1,379
North Carolina..........................................          10,737
Ohio....................................................          22,301
Pennsylvania............................................          15,763
Virginia................................................           5,504
West Virginia...........................................          16,709
                                                         ---------------
    Total...............................................          97,159
------------------------------------------------------------------------

                         PARTS 98-99 [RESERVED]


[[Page 767]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 769]]

            Material Approved for Incorporation by Reference

                      (Revised as of July 1, 2003)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


40 CFR (PARTS 87 TO 99)

ENVIRONMENTAL PROTECTION AGENCY
                                                                  40 CFR


American National Standards Institute

  25 West 43rd Street, Fourth floor, New York, NY 
  10036
ANSI B109.1-1992, Diaphragm Type Gas Displacement                 92.117
  Meters.


American Society for Testing and Materials

  100 Barr Harbor Drive, West Conshohocken, PA 
  19428-2959; Telephone: (610) 832-9585, FAX: 
  (610) 832-9555
ASTM D 86-93 Standard Test Method for Distillation       90.7; Part 90, 
  of Petroleum Products.                           Appendix A to Subpart 
                                                      D, Table 3; 91.6; 
                                                    Part 91, Appendix A 
                                                            to Subpart D
ASTM D 86-95, Standard Test Method for                            92.113
  Distillation of Petroleum Products.
ASTM D 86-97, Standard Test Method for                   89.6; Part 86, 
  Distillation of Petroleum Products at            Appendix A to Subpart 
  Atmospheric Pressure.                                                D
ASTM D 86-01, Standard Test Method for                      94.5; 94.108
  Distillation of Petroleum Products at 
  Atmospheric Pressure.
ASTM D 93-94, Standard Test Methods for Flash                     92.113
  Point by Pensky-Martens Closed Cup Tester.
ASTM D 93-97, Standard Test Methods for Flash            89.6; Part 89, 
  Point by Pensky-Martens Closed Cup Tester.       Appendix A to Subpart 
                                                                       D
ASTM D 93-02, Standard Test Methods for Flash               94.5; 94.108
  Point by Pensky-Martens Closed Cup Tester.
ASTM D 129-95, Standard Test Method for Sulfur in        89.6; Part 89, 
  Petroleum Products (General Bomb Method).        Appendix A to Subpart 
                                                                       D
ASTM D 129-00, Standard Test Method for Sulfur in           94.5; 94.108
  Petroleum Products (General Bomb Method).
ASTM D 287-92, Standard Test Method for API              89.6; Part 89, 
  Gravity of Crude Petroleum and Petroleum         Appendix A to Subpart 
  Products (Hydrometer Method).                                D; 92.113
ASTM D 287-92 (Reapproved 2000), Standard Test              94.5; 94.108
Method for API Gravity of Crude Petroleum and 
[[Page 770]]roducts (Hydrometer Method).

ASTM D 323-90, Standard Test Method for Vapor            91.6; Part 91, 
  Pressure of Petroleum Products (Reid Method).    Appendix A to Subpart 
                                                                       D
ASTM D 445-94, Standard Test Method for Kinematic                 92.113
  Viscosity of Transparent and Opaque Liquids (the 
  Calculation of Dynamic Viscosity).
ASTM D445-97, Standard Test Method for Kinematic         89.6; Part 89, 
  Viscosity of Transparent and Opaque Liquids (the Appendix A to Subpart 
  Calculation of Dynamic Viscosity).                                   D
ASTM D445-01, Standard Test Method for Kinematic            94.5; 94.108
  Viscosity of Transparent and Opaque Liquids (the 
  Calculation of Dynamic Viscosity).
ASTM D 613-95, Standard Test Method for Cetane           89.6; Part 89, 
  Number of Diesel Fuel Oil.                       Appendix A to Subpart 
                                                               D; 92.113
ASTM D 613-01, Standard Test Method for Cetane              94.5; 94.108
  Number of Diesel Fuel Oil.
ASTM D 976-91, Standard Test Method for Calculated                92.113
  Cetane Index of Distillate Fuels.
ASTM D 1319-89, Standard Test Method for                 90.7, Part 90, 
  Hydrocarbon Types in Liquid Petroleum Products   Appendix A to Subpart 
  by Fluorescent Indicator Adsorption.                                 D
ASTM D 1319-93, Standard Test Method for                 91.6; Part 91, 
  Hydrocarbon Types in Liquid Petroleum Products   Appendix A to Subpart 
  by Fluorescent Indicator Adsorption.                                 D
ASTM D 1319-95, Standard Test Method for                          92.113
  Hydrocarbon Types in Liquid Petroleum Products 
  by Fluorescent Indicator Adsorption.
ASTM D 1319-98, Standard Test Method for                 89.6; Part 89, 
  Hydrocarbon Types in Liquid Petroleum Products   Appendix A to Subpart 
  by Fluorescent Indicator Adsorption.                                 D
ASTM D 1319-02a, Standard Test Method for                   94.5; 94.108
  Hydrocarbon Types in Liquid Petroleum Products 
  by Fluorescent Indicator Adsorption.
ASTM D 1945-91, Standard Test Method for Analysis                 92.113
  of Natural Gas by Gas Chromatography.
ASTM D 2622-92, Standard Test Method for Sulfur in  89.6; Appendix A to 
  Petroleum Products by X-ray Spectrometry.         Subpart D, Table 3; 
                                                         90.7; Part 90, 
                                                   Appendix A to Subpart 
                                                      D, Table 3; 91.6; 
                                                    Part 91, Appendix A 
                                                            to Subpart D
ASTM D 2622-94, Standard Test Method for Sulfur in                92.113
  Petroleum Products by X-ray Spectrometry.
ASTM D2622-98, Standard Test Method for Sulfur in        89.6; Part 89, 
  Petroleum Products by Wavelength Dispersive X-   Appendix A to Subpart 
  ray Fluorescence Spectrometry.                         D; 94.5; 94.108
ASTM D 2699-92, Standard Test Method for Knock           90.7; Part 90, 
  Characteristics of Motor Fuels by the Research   Appendix A to Subpart 
  Method.                                             D, Table 3; 91.6; 
                                                    Part 91, Appendix A 
                                                            to Subpart D

[[Page 771]]

ASTM D 2700-92, Standard Test Method for Knock           90.7; Part 90, 
  Characteristics of Motor and Aviation Fuels by   Appendix A to Subpart 
  the Motor Method.                                   D, Table 3; 91.6; 
                                                    Part 91, Appendix A 
                                                            to Subpart D
ASTM D 3231-89, Standard Test Method for                 90.7; Part 90, 
  Phosphorus in Gasoline.                          Appendix A to Subpart 
                                                      D, Table 3; 91.6; 
                                                    Part 91, Appendix A 
                                                            to Subpart D
ASTM D 3606-92, Standard Test Method for                 90.7; Part 90, 
  Determination of Benzene and Toluene in Finished Appendix A to Subpart 
  Motor and Aviation Gasoline by Gas                  D, Table 3; 91.6; 
  Chromatography.                                   Part 91, Appendix A 
                                                            to Subpart D
ASTM D 5186-91, Standard Test Method for                          92.113
  Determination of Aromatic Content of Diesel 
  Fuels by Supercritical Fluid Chromatography.
ASTM D 5186-96, Standard Test Method for                 89.6; Part 89, 
  Determination of the Aromatic Content and        Appendix A to Subpart 
  Polynuclear Aromatic Content of Diesel Fuels and                     D
  Aviation Turbine Fuels by Supercritical Fluid 
  Chromatography.
ASTM D 5186-99, Standard Test Method for                    94.5; 94.108
  Determination of the Aromatic Content and 
  Polynuclear Aromatic Content of Diesel Fuels and 
  Aviation Turbine Fuels by Supercritical Fluid 
  Chromatography.
ASTM D 5191-93a, Standard Test Method for Vapor          90.7; Part 90, 
  Pressure of Petroleum Products (Mini Method).    Appendix A to Subpart 
                                                              D, Table 3
ASTM E29-90, Standard Practice for Using               89.6; 89.207-96; 
  Significant Digits in Test Data to Determine                 89.509-96
  Conformance with Specifications.
ASTM E 29-93a, Standard Practice for Using               89.6; Part 89, 
  Significant Digits in Test Data to Determine     Appendix A to Subpart 
  Conformance with Specifications.                     D; 90.7; 90.116; 
                                                     90.509; 91.6; Part 
                                                      91, Appendix A to 
                                                     Subpart D; 91.120; 
                                                        91.207; 91.509; 
                                                         91.1307; 92.9, 
                                                   92.305, 92.509, 94.9; 
                                                        94.218; 94.305; 
                                                                  94.508
ASTM E 29-02, Standard Practice for Using                     94.2; 94.5
  Significant Digits in Test Data to Determine 
  Conformance with Specifications.


California State Regulations

  California Air Resources Board, Haagen-Smit 
  Laboratory, 9528 Telstar Avenue, El Monte, CA 
  91731-2990
California Air Resources Board Resolution 92-2,        89.6; 89.112-96; 
  California Regulations for New 1996 and Later     89.119-96; 89.508-96
Heavy-Duty Off-Road Diesel Cycle Engines.
[[Page 772]]

Environmental Protection Agenvy

  OAR, 401 M St. SW., Washington, DC 20460
California Regulatory Requirements Applicable to               88.104-94
  the Clean Fuel Fleet and California Pilot 
  Programs, April 1, 1990.


International Civil Aviation Organization

  PO Box 400, Succurale: Place de L'Aviation 
  International, 1000 Sherbrooke Street West, 
  Montreal, Quebec, Canada H3A2R2
ICAO Annex 16, Volume II, Aircraft Engine                   87.64; 87.82
  Emissions (June 1981).
ICAO Annex 16, Volume II, Aircraft Engine                          87.82
  Emissions (Second Ed. 1993), Appendix 2.
ICAO Annex 16, Volume II, Aircraft Engine                          87.64
  Emissions (Second Ed. 1993), Appendixes 3 and 5.
ICAO Annex 16, Volume II, Aircraft Engine                   87.71; 87.89
  Emissions (Second Ed. 1993), Appendix 6.


International Maritime Organization

  4 Albert Embankment, London SE1 7SR, United 
  Kingdom
Annex VI of MARPOL 73/78, Revision 2: Technical      94.2; 94.5; 94.11; 
  Code on Control of Emission of Nitrogen Oxides        94.108; 94.109; 
  from Marine Diesel Engines, 1997.                     94.204; 94.211; 
                                                                 94.1004


International Organization for Standardization

  Case Postale 56, CH-1211 Geneva 20, Switzerland
ISO 8178-1: Reciprocating Internal Combustion               94.5; 94.109
  Engines--Exhaust Emission Measurement--Part 1: 
  Test-bed Measurement of Gaseous and Particulate 
  Exhaust Emissions, August 15, 1996.


Society of Automotive Engineers

  400 Commonwealth Dr. Warrendale, PA 15096-0001; 
  Telephone: (724) 776-4841
SAE J244, June 83, Recommended Practice for            89.6; 89.416-96; 
  Measurement of Intake Air or Exhaust Gas Flow of                92.108
  Diesel Engines.
SAE J1228/ISO 8665, Small Craft-Marine Propulsion  91.6; 91.104; 91.115; 
  Engine and Systems-Power Measurements and             91.118; 91.207; 
  Declarations, November 1991.                                   91.1307
SAE J1930, September 1991, Electrical/Electronic    90.7; 90.114; 91.113
  Systems Diagnostic Terms, Definitions, 
  Abbreviations, and Acronyms.
SAE J1930, June 1993, Electrical/Electronic                 91.6; 91.113
  Systems Diagnostic Terms, Definitions, 
  Abbreviations, and Acronyms.
SAE J1937, November 89, Recommended Practice for         89.6; 89.327-96
  Engine Testing with Low Temperature Charge Air 
  Cooler Systems in a Dynamometer Test Cell.
SAE Paper 770141, Optimization of a Flame              89.6; 89.319-96; 
  Ionization Detector for Determination of          90.7; 90.316; 91.6; 
  Hydrocarbon in Diluted Automotive Exhausts,             91.316; 92.119
  Glenn D. Reschke, 1977.



[[Page 773]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2003)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2 [Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3201)
     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)

[[Page 774]]

    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
     LXVII  Institute of Museum and Library Services (Part 7701)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
    LXXIII  Department of Agriculture (Part 8301)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                      Title 6--Homeland Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 0--99)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture

[[Page 775]]

         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)

[[Page 776]]

    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--599)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1400)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 1000-
                -1099)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

[[Page 777]]

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)

[[Page 778]]

        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)

[[Page 779]]

        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 800-
                -899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)

[[Page 780]]

        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 1600-
                -1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)

[[Page 781]]

       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--299)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)

[[Page 782]]

        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 0-
                -99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 200-
                -399)

[[Page 783]]

        IV  Secret Service, Department of the Treasury (Parts 400-
                -499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 200-
                -399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)

[[Page 784]]

        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 300-
                -399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

[[Page 785]]

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)

[[Page 786]]

       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-70)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)

[[Page 787]]

        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 300-
                -399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)

[[Page 788]]

         7  United States Agency for International Development 
                (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

[[Page 789]]

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Transportation (Parts 1500--1599)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 791]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2003)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX

[[Page 792]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 793]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   5, LIV; 40, I, IV, VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                5, III, LXXVII; 14, VI; 
                                                  48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II

[[Page 794]]

  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5

[[Page 795]]

  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V; 42, I
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  6, I
  Federal Emergency Management Agency             44, I
  Immigration and Naturalization                  8, I
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Naturalization                    8, I
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V; 42, I
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department

[[Page 796]]

  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I, XI; 40, 
                                                  IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II

[[Page 797]]

Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   45, XII, XXV
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI

[[Page 798]]

Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L

[[Page 799]]

  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Security Administration          49, XII
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 801]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
2001, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
Title 40 was established at 36 FR 12213, June 29, 1971. For the period 
before January 1, 2001, see the ``List of CFR Sections Affected, 1964-
1972, 1973-1985, and 1986-2000'' published in ten separate volumes.

                                  2001

40 CFR
                                                                   66 FR
                                                                    Page
Chapter I
Chapter I Nomenclature change...............................34375, 34376
92.120  (c)(2)(v) corrected; CFR correction.................58953, 59602
92.121  (b)(2)(vi), (ix), (xi)(A) and (4)(iv) correctly revised; 
        CFR correction......................................58953, 59602
92.132  Correctly revised; CFR correction...................58953, 59602
96  State implementation plan determinations.......................40609
    Comment period extended........................................47887
97  State implementation plan determinations.......................40609
    Comment period extended........................................47887
    Appendix A amended.............................................48575
    Appendix B amended.............................................48576

                                  2002

40 CFR
                                                                   67 FR
                                                                    Page
Chapter I
89.2  Amended......................................................68339
89.106  (b) revised................................................68339
90  Heading revised................................................68339
90.1  Revised......................................................68339
90.2  (c) added....................................................68339
90.3  Amended......................................................68339
90.103  (a)(2)(v) redesignated as (a)(2)(vi); new (a)(2)(v) added 
                                                                   68340
90.110  (b) revised................................................68340
91.3  Amended......................................................68340
91.110  (b) revised................................................68340
91.419  (b) amended................................................68340
91.601--91.608   (Subpart G) Appendix A amended....................68340
91.803  (a) revised................................................68340
93.102  (d) added..................................................50817
93.104  (e)(2) revised.............................................50817
94  Heading revised................................................68341
94.1  Revised......................................................68341
94.2  Amended; (b) introductory text revised.......................68341
94.7  (c), (d) and (e) revised.....................................68341
94.8  (a), (e), (f) introductory text and (1) revised..............68342
94.9  (a) introductory text and (1) revised........................68343
94.12  Introductory text, (a), (b)(1) and (e) revised; (f) and (g) 
        added......................................................68343
94.104  (c) redesignated as (d); new (c) added.....................68343
94.105  (b) text and Footnotes 1 and 2 in (c)(1) table, (2) table 
        and (d)(1) table amended; (e) added........................68343
94.106  (b) introductory text, (1) introductory text, (2) 
        introductory text, (3) introductory text and (4) revised; 
        (b)(5) added...............................................68344
94.108  (a)(1) amended.............................................68345
94.203  (d)(14) and (16) revised...................................68346
94.204  (b)(9) and (10) amended; (b)(11) added; (e) revised........68346
94.209  Revised....................................................68346
94.212  (b)(10) revised............................................68346
94.218  (d)(2)(iv) added...........................................68346
94.304  (k) revised................................................68346
94.501  (a) revised................................................68346

[[Page 802]]

94.503  (d) added..................................................68347
94.907  (d) and (g) revised........................................68347
94.1103  (a)(5) revised............................................68347
96  Notice.........................................................10844
    Policy statement...............................................21868
97  Policy statement...............................................21868
97.4  (b)(4)(vi)(A) and (B) amended................................21529
97.5  (c)(5)(i) and (ii) amended...................................21529
97.6  (c)(3) amended...............................................21529
97.21  (b)(1)(i), (ii), (2)(i) and (ii) amended....................21529
97.41  (a) and (d) revised.........................................21529
97.42  (b) and (c) amended.........................................21529
97.43  (a) introductory text, (4) introductory text, (ii), (b)(1), 
        (2), (c)(2) through (8) amended............................21529
97.53  (a) through (d) and (e) introductory text amended...........21530
97.54  (f) amended.................................................21530
97.70  (b)(1) through (3), (i), (4) introductory text, (5), (i) 
        and (6) amended............................................21530
97.74  (d)(1)(ii), (iii), (2)(ii)(B), (C) and (D) amended..........21530
    Notice.........................................................10844
    Appendices A, B and C  amended.................................21530

                                  2003

   (Regulations published from January 1, 2003, through July 1, 2003)

40 CFR
                                                                   68 FR
                                                                    Page
Chapter I
89.2  (1)(iv) added................................................17748
    Regulation at 68 FR 17748 withdrawn............................25823
94.1  (b) revised...................................................9780
94.2  (b) amended...................................................9781
94.5  Revised.......................................................9781
94.7  (d) revised...................................................9782
94.8  (a) and (c) through (g) revised...............................9782
94.9  (a)(1), (b)(1) and (2) revised................................9783
94.10  (a) revised..................................................9784
94.11  (g) added....................................................9784
94.12  Introductory text revised; (f) added.........................9784
94.106  Heading and introductory text revised.......................9784
94.107  (a) revised; (f) added......................................9784
94.108  (a)(1), (b) and (d)(1) revised; (e) added...................9784
94.109  Added.......................................................9785
94.203  (d)(14) revised.............................................9785
94.204  (f) added...................................................9785
94.205  (b) revised; (e) and (f) added..............................9785
94.209  Introductory text added.....................................9786
94.211  (a)(3), (e)(2)(iii), (k) and (l) added; (h) introductory 
        text and (j)(2) introductory text revised...................9786
94.214  Revised.....................................................9786
94.217  (f) added...................................................9786
94.218  (c) and (d)(1) revised......................................9786
94.219  (a) revised.................................................9786
94.305  (a) revised.................................................9786
94.403  (a) revised.................................................9786
94.503  (a) and (b) revised.........................................9787
94.505  (a) introductory text revised...............................9787
94.507  (a) revised.................................................9787
94.508  (a) through (d) and (e) introductory text revised...........9787
94.510  (b) revised.................................................9787
94.801  (b) revised.................................................9787
94.904  (b)(7) removed..............................................9787
94.906  Heading revised; (d) removed................................9787
94.907  (d) introductory text revised...............................9787
94.1001--94.1004 (Subpart K)  Added.................................9787
94.1103  (a)(2)(v), (vi) and (7) added; (a)(3)(i) revised...........9788
94.1106  Introductory text and (d) added; (a) and (c)(1) revised 
                                                                    9789


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