[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2011 Edition]
[From the U.S. Government Printing Office]



[[Page 1]]

          

          Title 40

Protection of Environment


________________________

Part 1000 to End

                         Revised as of July 1, 2011

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2011
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

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                            Table of Contents



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

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
          Chapter IV--Environmental Protection Agency and 
          Department of Justice                                    825
          Chapter V--Council on Environmental Quality              833
          Chapter VI--Chemical Safety and Hazard Investigation 
          Board                                                    881
          Chapter VII--Environmental Protection Agency and 
          Department of Defense; Uniform National Discharge 
          Standards for Vessels of the Armed Forces                917
  Finding Aids:
      Table of CFR Titles and Chapters........................     929
      Alphabetical List of Agencies Appearing in the CFR......     949
      List of CFR Sections Affected...........................     959

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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 1027.101 
                       refers to title 40, part 
                       1027, section 101.

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

[[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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    To determine whether a Code volume has been amended since its 
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EFFECTIVE AND EXPIRATION DATES

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inserted following the text.

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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OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
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This material, like any other properly issued regulation, has the force 
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    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

    The Federal Register Index is issued monthly in cumulative form. 
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the revision dates of the 50 CFR titles.

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    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    July 1, 2011.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-three 
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 
of part 52), parts 53-59, part 60 (60.1-end of part 60, sections), part 
60 (Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63 
(63.6580-63.8830), part 63 (63.8980-end of part 63) parts 64-71, parts 
72-80, parts 81-84, part 85-Sec.  86.599-99, part 86 (86.600-1-end of 
part 86), parts 87-95, parts 96-99, 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, parts 790-999, and part 
1000 to end. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of July 1, 2011.

    Chapter I--Environmental Protection Agency appears in all thirty-
three volumes. Regulations issued by the Council on Environmental 
Quality, including an Index to Parts 1500 through 1508, appear in the 
volume containing part 1000 to end. The OMB control numbers for title 40 
appear in Sec.  9.1 of this chapter.

    For this volume, Michele Bugenhagen was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                  (This book contains part 1000 to End)

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

chapter i--Environmental Protection Agency (Continued)......        1027

chapter iv--Environmental Protection Agency and Department 
  of Justice................................................        1400

chapter v--Council on Environmental Quality.................        1500

chapter vi--Chemical Safety and Hazard Investigation Board..        1600

chapter vii--Environmental Protection Agency and Department 
  of Defense; Uniform National Discharge Standards for 
  Vessels of the Armed Forces...............................        1700

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




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


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

                  SUBCHAPTER U--AIR POLLUTION CONTROLS
Part                                                                Page
1027            Fees for engine, vehicle, and equipment 
                    compliance programs.....................           4
1033            Control of emissions from locomotives.......          11
1039            Control of emissions from new and in-use 
                    nonroad compression-ignition engines....          90
1042            Control of emissions from new and in-use 
                    marine compression-ignition engines and 
                    vessels.................................         168
1043            Control of NOX, SOX, and PM emissions from 
                    engines and vessels subject to the 
                    MARPOL protocol.........................         254
1045            Control of emissions from spark-ignition 
                    propulsion marine engines and vessels...         264
1048            Control of emissions from new, large nonroad 
                    spark-ignition engines..................         329
1051            Control of emissions from recreational 
                    engines and vehicles....................         388
1054            Control of emissions from new, small nonroad 
                    spark-ignition engines and equipment....         453
1060            Control of evaporative emissions from new 
                    and in-use nonroad and stationary 
                    equipment...............................         522
1065            Engine-testing procedures...................         563
1068            General compliance provisions for engine 
                    programs................................         757
1074            Preemption of state standards and procedures 
                    for waiver of federal preemption for 
                    nonroad engines and nonroad vehicles....         821

[[Page 4]]



                   SUBCHAPTER U_AIR POLLUTION CONTROLS


PART 1027_FEES FOR ENGINE, VEHICLE, AND EQUIPMENT COMPLIANCE PROGRAMS--Table of Contents



Sec.
1027.101 To whom do these requirements apply?
1027.105 How much are the fees?
1027.110 What special provisions apply for certification related to 
          motor vehicles?
1027.115 What special provisions apply for certification related to 
          nonroad and stationary engines?
1027.120 Can I qualify for reduced fees?
1027.125 Can I get a refund?
1027.130 How do I make a fee payment?
1027.135 What provisions apply to a deficient filing?
1027.140 What reporting and recordkeeping requirements apply under this 
          part?
1027.150 What definitions apply to this part?
1027.155 What abbreviations apply to this subpart?

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 59184, Oct. 8, 2008, unless otherwise noted.



Sec. 1027.101  To whom do these requirements apply?

    (a) This part prescribes fees manufacturers must pay for activities 
related to EPA's engine, vehicle, and equipment compliance program 
(EVECP). This includes activities related to approving certificates of 
conformity and performing tests and taking other steps to verify 
compliance with emission standards. You must pay fees as described in 
this part if you are a manufacturer of any of the following products:
    (1) Motor vehicles and motor vehicle engines we regulate under 40 
CFR part 86. This includes light-duty vehicles, light-duty trucks, 
medium-duty passenger vehicles, highway motorcycles, and heavy-duty 
highway engines and vehicles.
    (2) The following nonroad engines and equipment:
    (i) Locomotives and locomotive engines we regulate under 40 CFR part 
92 or 1033.
    (ii) Nonroad compression-ignition engines we regulate under 40 CFR 
part 89 or 1039.
    (iii) Marine compression-ignition engines we regulate under 40 CFR 
part 94, 1042, or 1043.
    (iv) Marine spark-ignition engines and vessels we regulate under 40 
CFR part 91, 1045, or 1060. We refer to these as Marine SI engines.
    (v) Nonroad spark-ignition engines above 19 kW we regulate under 40 
CFR part 1048. We refer to these as Large SI engines.
    (vi) Recreational vehicles we regulate under 40 CFR part 1051.
    (vii) Nonroad spark-ignition engines and equipment at or below 19 kW 
we regulate under 40 CFR part 90, 1054, or 1060. We refer to these as 
Small SI engines.
    (3) The following stationary internal combustion engines:
    (i) Stationary compression-ignition engines we certify under 40 CFR 
part 60, subpart IIII.
    (ii) Stationary spark-ignition engines we certify under 40 CFR part 
60, subpart JJJJ.
    (4) Portable fuel containers we regulate under 40 CFR part 59, 
subpart F.
    (b) This part applies to applications for certification that we 
receive on or after December 8, 2008. Earlier applications are subject 
to the provisions of 40 CFR part 85, subpart Y, as that provision read 
before December 8, 2008.
    (c) Nothing in this part limits our authority to conduct testing or 
to require you to conduct testing as provided in the Act, including our 
authority to require you to conduct in-use testing under section 208 of 
the Act (42 U.S.C. 7542).
    (d) Paragraph (a) of this section identifies the parts of the CFR 
that define emission standards and other requirements for particular 
types of engines, vehicles, and fuel-system components. This part 1027 
refers to each of these other parts generically as the ``standard-
setting part.'' For example, 40 CFR part 1051 is always the standard-
setting part for recreational vehicles. For some nonroad engines, we 
allow for certification related to evaporative emissions separate from 
exhaust emissions. In this case, 40 CFR part 1060 is

[[Page 5]]

the standard-setting part for the equipment or fuel system components 
you produce.

[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22981, Apr. 30, 2010]



Sec. 1027.105  How much are the fees?

    (a) Fees are determined based on the date we receive a complete 
application for certification. Each reference to a year in this subpart 
refers to the calendar year, unless otherwise specified. Paragraph (b) 
of this section specifies baseline fees, which applied for certificates 
received in 2005. For engine and vehicles not yet subject to standards 
in 2005, these values represent the fees that apply initially based on 
available information to characterize what the fees would have been in 
2005. See paragraph (c) of this section for provisions describing how we 
calculate fees for future years.
    (b) The following baseline fees for each application for 
certification:
    (1) Except as specified in paragraph (b)(2) of this section for 
Independent Commercial Importers, the following fees apply for motor 
vehicles and motor vehicle engines:

------------------------------------------------------------------------
             Category                 Certificate type          Fee
------------------------------------------------------------------------
(i) Light-duty vehicles and trucks  Federal.............         $33,883
(ii) Light-duty vehicles and        California-only.....          16,944
 trucks.
(iii) Medium-duty passenger         Federal.............          33,883
 vehicles.
(iv) Medium-duty passenger          California-only.....          16,944
 vehicles.
(v) Highway motorcycle............  All.................           2,414
(vi) Heavy-duty highway engine....  Federal.............          21,578
(vii) Heavy-duty highway engine...  California-only.....             826
(viii) Complete heavy-duty highway  Federal.............          33,883
 vehicles.
(ix) Complete heavy-duty highway    California-only.....          16,944
 vehicles.
(x) Heavy-duty vehicle............  Evap................             826
------------------------------------------------------------------------

    (2) A fee of $8,387 applies for Independent Commercial Importers 
with respect to the following motor vehicles:
    (i) Light-duty vehicles and light-duty trucks.
    (ii) Medium-duty passenger vehicles.
    (iii) Complete heavy-duty highway vehicles.
    (3) The following fees apply for nonroad and stationary engines, 
vehicles, equipment, and components:

------------------------------------------------------------------------
             Category                 Certificate type          Fee
------------------------------------------------------------------------
(i) Locomotives and locomotive      All.................            $826
 engines.
(ii) Marine compression-ignition    All, including EIAPP             826
 engines and stationary
 compression-ignition engines with
 per-cylinder displacement at or
 above 10 liters.
(iii) Other nonroad compression-    All.................           1,822
 ignition engines and stationary
 compression-ignition engines with
 per-cylinder displacement below
 10 liters.
(iv) Large SI engines.............  All.................             826
(v) Stationary spark-ignition       All.................             826
 engines above 19 kW.
(vi) Marine SI engines and Small    Exhaust only........             826
 SI engines.
(vii) Stationary spark-ignition     Exhaust only........             826
 engines at or below 19 kW.
(viii) Recreational vehicles......  Exhaust (or combined             826
                                     exhaust and evap).
(ix) Equipment and fuel-system      Evap (where separate             241
 components associated with          certification is
 nonroad and stationary spark-       required).
 ignition engines, including
 portable fuel containers.
------------------------------------------------------------------------

    (c) We will calculate adjusted fees for later years based on changes 
in the Consumer Price Index and the number of certificates. We will 
announce adjusted fees for a given year by January 31 of the preceding 
year.
    (1) We will adjust the values specified in paragraph (b) of this 
section for later years as follows:
    (i) Use the fee identified in Sec. 1027.105(b)(3) through 2014 for 
certification related to evaporative emissions from nonroad and 
stationary engines when a separate fee applies for certification to 
evaporative emission standards. Use the following equation starting with 
2015:

[[Page 6]]

[GRAPHIC] [TIFF OMITTED] TR24FE09.003

Where:

Certificate FeeCY = Fee per certificate for a given year.
Op = operating costs are all of EPA's nonlabor costs for each category's 
compliance program, including any fixed costs associated with EPA's 
testing laboratory, as described in paragraph (d)(1) of this section.
L = the labor costs, to be adjusted by the Consumer Price Index, as 
described in paragraph (d)(1) of this section.
CPICY-2 = the Consumer Price Index for the month of November 
two years before the applicable calendar year, as described in paragraph 
(d)(2) of this section.
CPI2006 = 201.8. This is based on the October 2006 value of 
the Consumer Price Index.
OH = 1.169. This is based on EPA overhead, which is applied to all 
costs.
certMY-2 = the total number of certificates issued 
for a fee category in the model year two years before the calendar year 
for the applicable fees as described in paragraph (d)(3) of this 
section.
certMY-3 = the total number of certificates issued 
for a fee category in the model year three years before the calendar 
year for the applicable fees as described in paragraph (d)(3) of this 
section.

    (ii) Use the following equation for all other certificates for 2006 
and later:
[GRAPHIC] [TIFF OMITTED] TR24FE09.004

Where:

CPI2002 = 180.9. This is based on the December 2002 value of 
the Consumer Price Index as described in paragraph (d)(2) of this 
section.

    (2) The fee for any year will remain at the previous year's amount 
until the value calculated in paragraph (c)(1) of this section differs 
by at least $50 from the amount specified for the previous year.
    (d) Except as specified in Sec. 1027.110(a) for motor vehicles and 
motor vehicle engines, we will use the following values to determine 
adjusted fees using the equation in paragraph (c) of this section:
    (1) The following values apply for operating costs and labor costs:

------------------------------------------------------------------------
       Engine or Vehicle Category               Op               L
------------------------------------------------------------------------
(i) Light-duty, medium-duty passenger,        $3,322,039      $2,548,110
 and complete heavy-duty highway vehicle
 certification..........................
(ii) Light-duty, medium-duty passenger,        2,858,223       2,184,331
 and complete heavy-duty highway vehicle
 in-use testing.........................
(iii) Independent Commercial Importers           344,824         264,980
 identified in Sec.  1027.105(b)(2)....
(iv) Highway motorcycles................         225,726         172,829
(v) Heavy-duty highway engines..........       1,106,224       1,625,680
(vi) Nonroad compression-ignition                486,401         545,160
 engines that are not locomotive or
 marine engines, and stationary
 compression-ignition engines with per-
 cylinder displacement below 10 liters..
(vii) Evaporative certificates related             5,039         236,670
 to nonroad and stationary engines......
(viii) All other........................         177,425         548,081
------------------------------------------------------------------------

    (2) The applicable Consumer Price Index is based on the values 
published by the Bureau of Labor Statistics for all U.S. cities using 
the ``U.S. city average'' area, ``all items,'' and ``not seasonally 
adjusted'' numbers (see ftp://ftp.bls.gov/pub/special.requests/cpi/
cpiai.txt). For example, we calculated the 2006 fees using the Consumer 
Price Index for November 2004, which is 191.0.
    (3) Fee categories for counting the number of certificates issued 
are based on the grouping shown in paragraph (d)(1) of this section.

[[Page 7]]

    (e) The following example for calculating the 2006 complete federal 
heavy duty highway vehicle fee illustrates the fee adjustment:

    Op = $1,106,224
    L = $1,625,680
    CPI2002 = 180.9
    CPI2004 = 191.0
    cert 2004 = 131
    cert2003 = 95
    Fee06 = [$1,106,224 + $1,625,680 . (191.0/180.9)] . 
1.169/[(131+95) . 0.5] = $29,200.88
    Assessed Fee = $29,201

[73 FR 59184, Oct. 8, 2008, as amended at 74 FR 8423, Feb. 24, 2009; 75 
FR 22981, Apr. 30, 2010]



Sec. 1027.110  What special provisions apply for certification related to motor vehicles?

    (a) We will adjust fees for 2006 and later years for light-duty, 
medium-duty passenger, and complete heavy-duty highway vehicles as 
follows:
    (1) California-only certificates. Calculate adjusted fees for 
California-only certificates by applying the light-duty, medium-duty 
passenger, and complete heavy-duty highway vehicle certification Op and 
L values to the equation in Sec. 1027.105(c). The total number of 
certificates issued will be the total number of California-only and 
federal light-duty, medium-duty passenger, and complete heavy-duty 
highway vehicle certificates issued during the appropriate model years.
    (2) Federal certificates. Calculate adjusted fees for federal 
certificates with the following three steps:
    (i) Apply the light-duty, medium-duty passenger, and complete heavy-
duty highway vehicle certification Op and L values to the equation in 
Sec. 1027.105(c) to determine the certification portion of the light-
duty fee. The total number of certificates issued will be the total 
number of California-only and federal light-duty, medium-duty passenger 
and complete heavy-duty highway vehicle certificates issued during the 
appropriate model years.
    (ii) Apply the light-duty, medium-duty passenger, and complete 
heavy-duty highway vehicle in-use testing Op and L values to the 
equation in Sec. 1027.105(c) to determine the in-use testing portion of 
the fee. The total number of certificates issued will be the total 
number of federal light-duty, medium-duty passenger, and complete heavy-
duty highway vehicle certificates issued during the appropriate model 
years.
    (iii) Add the certification and in-use testing portions determined 
in paragraphs (a)(2)(i) and (ii) of this section to determine the total 
light-duty, medium-duty passenger, and complete heavy-duty highway 
vehicle fee for each federal certificate.
    (b) For light-duty vehicles, light-duty trucks, medium-duty 
passenger vehicles, highway motorcycles, and complete heavy-duty highway 
vehicles subject to exhaust emission standards, the number of 
certificates issued as specified in Sec. 1027.105(d)(3) is based only 
on engine families with respect to exhaust emissions. A separate fee 
applies for each evaporative family for heavy-duty engines.
    (c) If you manufacture a heavy-duty vehicle that another company has 
certified as an incomplete vehicle such that you exceed the maximum fuel 
tank size specified by the original manufacturer in the applicable 
certificate of conformity, you must submit a new application for 
certification and certification fee for the vehicle.



Sec. 1027.115  What special provisions apply for certification related to 

nonroad and stationary engines?

    (a) For spark-ignition engines above 19 kW that we regulate under 40 
CFR part 1048 and for all compression-ignition engines, the applicable 
fee is based only on engine families with respect to exhaust emissions.
    (b) For manufacturers certifying recreational vehicles with respect 
to both exhaust and evaporative emission standards, fees are determined 
using one of the following approaches:
    (1) If your engine family includes demonstration of compliance with 
both exhaust and evaporative emission standards, the applicable fee is 
based on certification related to the combined family. No separate fee 
applies for certification with respect to evaporative emission 
standards. These are all considered engine families complying with 
exhaust emissions for determining the number of certificates for 
calculating fees for later years.

[[Page 8]]

    (2) If you have separate families for demonstrating compliance with 
exhaust and evaporative emission standards, a separate fee from the 
appropriate fee category applies for each unique family. Also, the 
number of certificates issued as specified in Sec. 1027.105(d)(3) is 
based on a separate count of emission families for exhaust and 
evaporative emissions for each respective fee category.
    (c) For manufacturers certifying other spark-ignition engines or 
equipment with respect to exhaust and evaporative emission standards, a 
separate fee from the appropriate fee category applies for each unique 
family. A single engine or piece of equipment may involve separate 
emission families and certification fees for exhaust and evaporative 
emissions. Also, the number of certificates issued as specified in Sec. 
1027.105(d)(3) is based on a separate count of emission families for 
exhaust and evaporative emissions for each respective fee category.
    (d) For any certification related to evaporative emissions from 
engines, equipment, or components not covered by paragraph (a) through 
(c) of this section, the fee applies for each certified product 
independent of certification for exhaust emissions, as illustrated in 
the following examples:
    (1) A fuel tank certified to meet permeation and diurnal emission 
standards would count as a single family for assessing the certification 
fee and for calculating fee amounts for future years.
    (2) If an equipment manufacturer applies for certification to 
generate or use emission credits for fuel tanks and fuel lines, each 
affected fuel-tank and fuel-line family would count as a single family 
for assessing the certification fee and for calculating fee amounts for 
future years. This fee applies whether or not the equipment manufacturer 
is applying for certification to demonstrate compliance with another 
emission standard, such as running losses.
    (e) If you certify fuel system components under 40 CFR part 1060, a 
single fee applies for each emission family even if those components are 
used with different types of nonroad or stationary engines.
    (f) If your application for certification relates to emission 
standards that apply only in California, you must pay the same fee 
identified for meeting EPA standards.
    (g) For marine compression-ignition engines, if you apply for a 
Federal certificate and an EIAPP certificate for the same engine family, 
a single fee applies for the engine family (see 40 CFR parts 94, 1042, 
and 1043).
    (h) If you produce engines for multiple categories in a single 
engine family, a single fee applies for the engine family. For example, 
40 CFR 60.4210 allows you to produce stationary and nonroad compression-
ignition engines in a single engine family. If the certification fee for 
the different types of engines is different, the fee that applies for 
these engines is based on the emission standards to which you certify 
the engine family. For example, if you certify marine diesel engines to 
the standards that apply to land-based nonroad diesel engines under 40 
CFR 94.912, the certification fee is based on the rate that applies for 
land-based nonroad diesel engines.

[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]



Sec. 1027.120  Can I qualify for reduced fees?

    (a) Eligibility requirements. Both of the following conditions must 
be met before you are eligible for a reduced fee:
    (1) The certificate is to be used for sale of vehicles or engines 
within the United States.
    (2) The full fee for an application for certification for a model 
year exceeds 1.0% of the aggregate projected retail sales price of all 
vehicles or engines covered by the certificate.
    (b) Initial reduced fee calculation. (1) If the conditions of 
paragraph (a) of this section are met, the initial fee paid must be $750 
or 1.0% of the aggregate projected retail sales price of all the 
vehicles or engines to be covered by the certificate, whichever is 
greater.
    (2) For vehicles or engines that are converted to operate on an 
alternative fuel using as the basis for the conversion a vehicle or 
engine that is covered by an existing certificate of conformity, the 
cost basis used in this section must be the aggregate projected

[[Page 9]]

retail value-added to the vehicle or engine by the conversion rather 
than the full cost of the vehicle or engine. For this provision to 
apply, the existing certificate must cover the same sales area and model 
year as the requested certificate for the converted vehicle or engine.
    (3) For remanufacturing systems, the cost basis used in this section 
must be the aggregate projected retail cost of a complete remanufacture, 
including the cost of the replacement components, software, and 
assembly.
    (4) For ICI certification applications, the cost basis of this 
section must be the aggregate projected retail cost of the entire 
vehicle(s) or engine(s), not just the value added by the conversion. If 
the vehicles/engines covered by an ICI certificate are not being offered 
for sale, the manufacturer shall use the fair retail market value of the 
vehicles/engines as the retail sale price required in this section. For 
an ICI application for certification, the retail sales price (or fair 
retail market value) must be based on the applicable National Automobile 
Dealer's Association (NADA) appraisal guide and/or other evidence of the 
actual market value.
    (5) The aggregate cost used in this section must be based on the 
total projected sales of all vehicles and engines under a certificate, 
including vehicles and engines modified under the modification and test 
option in 40 CFR 85.1509 and 89.609. The projection of the number of 
vehicles or engines to be covered by the certificate and their projected 
retail selling price must be based on the latest information available 
at the time of the fee payment.
    (6) You may submit a reduced fee as described in this section if it 
is accompanied by a calculation of the fee based on the number of 
vehicles covered and the projected aggregate retail sales price as 
specified on the fee filing form. Your reduced fee calculation shall be 
deemed approved unless we determine that the criteria of this section 
have not been met. We may make such a determination either before or 
after issuing a certificate of conformity. If we determine that the 
requirements of this section have not been met, we may deny future 
reduced fee applications and require submission of the full fee payment 
until you demonstrate to our satisfaction that your reduced fee 
submissions are based on accurate data and that final fee payments are 
made within 45 days of the end of the model year.
    (7) If we deny your request for a reduced fee, you must send us the 
appropriate fee within 30 days after we notify you.
    (c) Revision of the number of vehicles or engines covered by the 
certificate. (1) You must take both of the following steps if the number 
of vehicles or engines to be produced or imported under the certificate 
exceeds the number indicated on the certificate (including a certificate 
under which modification and test vehicles are imported under 40 CFR 
85.1509 and 89.609):
    (i) Request that we revise the certificate with a number that 
indicates the new projection of the vehicles or engines to be covered by 
the certificate. We must issue the revised certificate before the 
additional number of vehicles or engines may be sold or finally imported 
into the United States.
    (ii) Submit payment of 1.0% of the aggregate projected retail sales 
price of all the additional vehicles or engines.
    (2) You must receive a revised certificate before the sale or final 
importation of any vehicles or engines, including modification and test 
vehicles, that are not originally included in the certificate issued 
under paragraph (b) of this section, or as indicated in a revised 
certificate issued under paragraph (c)(1) of this section. Such vehicles 
that are sold or imported before we issue a revised certificate are 
deemed to be not covered by a certificate of conformity.
    (d) Final reduced fee calculation and adjustment. (1) If the initial 
fee payment is less than the final reduced fee, you must pay the 
difference between the initial reduced fee and the final reduced fee 
using the provisions of Sec. 1027.130. Calculate the final reduced fee 
using the procedures of paragraph (c) of this section but using actual 
production figures rather than projections and actual retail sales value 
rather than projected retail sales value.
    (2) You must pay the difference between the initial reduced fee and 
the final reduced fee within 45 days of the

[[Page 10]]

end of the model year. The total fees paid for a certificate may not 
exceed the applicable full fee specified in Sec. 1027.105. We may void 
the applicable certificate if you fail to make a complete payment within 
the specified period. We may also refuse to grant reduced fee requests 
submitted under paragraph (b)(5) of this section.
    (3) If the initial fee payment exceeds the final reduced fee, you 
may request a refund using the procedures of Sec. 1027.125.
    (e) Records retention. You are subject to the applicable 
requirements to maintain records under this chapter. If you fail to 
maintain required records or provide them to us, we may void the 
certificate associated with such records. You must also record the basis 
you used to calculate the projected sales and fair retail market value 
and the actual sales and retail price for the vehicles and engines 
covered by each certificate issued under this section. You must keep 
this information for at least three years after we issue the certificate 
and provide it to us within 30 days of our request.



Sec. 1027.125  Can I get a refund?

    (a) We will refund the total fee imposed under this part if you ask 
for a refund after failing to get a certificate for any reason.
    (b) If your actual sales or the actual retail prices in a given year 
are less than you projected for calculating a reduced fee under Sec. 
1027.120, we will refund the appropriate portion of the fee. We will 
also refund a portion of the initial payment if it exceeds the final fee 
for the engines, vehicles, or equipment covered by the certificate 
application.
    (1) You are eligible for a partial refund related only to a 
certificate used for the sale of engines, vehicles, or equipment under 
that certificate in the United States.
    (2) Include all the following in your request for a partial refund 
of reduced fee payments:
    (i) State that you sold engines, vehicles, or equipment under the 
applicable certificate in the United States.
    (ii) Identify the number of engines, vehicles, or equipment you 
produced or imported under the certificate, and whether the engines, 
vehicles, or equipment have been sold.
    (iii) Identify the reduced fee that you paid under the applicable 
certificate.
    (iv) Identify the actual retail sales price for the engines, 
vehicles, or equipment produced or imported under the certificate.
    (v) Calculate the final value of the reduced fee using actual 
production figures and retail prices.
    (vi) Calculate the refund amount.
    (c) We will approve your request to correct errors in the amount of 
the fee.
    (d) All refunds must be applied for within six months after the end 
of the model year.
    (e) Send refund and correction requests to the Fee Program 
Specialist, U.S. Environmental Protection Agency, Vehicle Programs and 
Compliance Division, 2000 Traverwood Dr., Ann Arbor, MI 48105, online at 
www.Pay.gov, or as specified in guidance by the Administrator.
    (f) You may request to have refund amounts applied to the amount due 
on another application for certification.



Sec. 1027.130  How do I make a fee payment?

    (a) Pay fees to the order of the Environmental Protection Agency in 
U.S. dollars using any of the following methods: money order, bank 
draft, certified check, corporate check, electronic funds transfer, any 
method available for payment online at www.Pay.gov., or as specified in 
EPA guidance.
    (b) Send a completed fee filing form to the address designated on 
the form for each fee payment or electronically at www.Pay.gov., or as 
provided in EPA guidance. These forms are available on the Internet at 
http://www.epa.gov/otaq/guidance.htm.
    (c) You must pay the fee amount due before we will start to process 
an application for certification.
    (d) If we deny a reduced fee, you must pay the proper fee within 30 
days after we notify you of our decision.



Sec. 1027.135  What provisions apply to a deficient filing?

    (a) Any filing under this part is deficient if it is not accompanied 
by a

[[Page 11]]

completed fee filing form and full payment of the appropriate fee.
    (b) A deficient filing will be rejected unless the completed form 
and full payment are submitted within a time limit we specify. We will 
not process an application for certification if the associated filing is 
deficient.



Sec. 1027.140  What reporting and recordkeeping requirements apply under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines, 
vehicles, and equipment regulated under this part:
    (a) Filling out fee filing forms under Sec. 1027.130.
    (b) Retaining fee records, including reduced fee documentation, 
under Sec. 1027.120.
    (c) Requesting refunds under Sec. 1027.125.



Sec. 1027.150  What definitions apply to this part?

    The definitions in this section apply to this part. As used in this 
part, all undefined terms have the meaning the Act or the standard-
setting part gives to them. The definitions follow:
    Application for Certification means a manufacturer's submission of 
an application for certification.
    California-only certificate is a certificate of conformity issued by 
EPA showing compliance with emission standards established by 
California.
    Federal certificate is a certificate of conformity issued by EPA 
showing compliance with EPA emission standards specified in one of the 
standard-setting parts specified in Sec. 1027.101(a).
    Light-duty means relating to light-duty vehicles and light-duty 
trucks.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine, 
vehicle, vessel, or piece of equipment for sale in the United States or 
otherwise introduces a new engine, vehicle, vessel, or piece of 
equipment into commerce in the United States. This includes importers 
who import such products for resale, but not dealers.
    Total number of certificates issued means the number of certificates 
for which fees have been paid. This term is not intended to represent 
multiple certificates that are issued within a single family or test 
group.
    Void has the meaning given in 40 CFR 1068.30.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]



Sec. 1027.155  What abbreviations apply to this subpart?

    The following symbols, acronyms, and abbreviations apply to this 
part:

CFR.......................................  Code of Federal Regulations.
EPA.......................................  U.S. Environmental
                                             Protection Agency.
Evap......................................  Evaporative Emissions.
EVECP.....................................  Engine, vehicle, and
                                             equipment compliance
                                             program.
ICI.......................................  Independent Commercial
                                             Importer.
U.S.......................................  United States.
 



PART 1033_CONTROL OF EMISSIONS FROM LOCOMOTIVES--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1033.1 Applicability.
1033.5 Exemptions and exclusions.
1033.10 Organization of this part.
1033.15 Other regulation parts that apply for locomotives.
1033.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1033.101 Exhaust emission standards.
1033.102 Transition to the standards of this part.
1033.110 Emission diagnostics--general requirements.
1033.112 Emission diagnostics for SCR systems.
1033.115 Other requirements.
1033.120 Emission-related warranty requirements.
1033.125 Maintenance instructions.
1033.130 Instructions for engine remanufacturing or engine installation.
1033.135 Labeling.

[[Page 12]]

1033.140 Rated power.
1033.150 Interim provisions.

                  Subpart C_Certifying Engine Families

1033.201 General requirements for obtaining a certificate of conformity.
1033.205 Applying for a certificate of conformity.
1033.210 Preliminary approval.
1033.220 Amending maintenance instructions.
1033.225 Amending applications for certification.
1033.230 Grouping locomotives into engine families.
1033.235 Emission testing required for certification.
1033.240 Demonstrating compliance with exhaust emission standards.
1033.245 Deterioration factors.
1033.250 Reporting and recordkeeping.
1033.255 EPA decisions.

 Subpart D_Manufacturer and Remanufacturer Production Line Testing and 
                             Audit Programs

1033.301 Applicability.
1033.305 General requirements.
1033.310 Sample selection for testing.
1033.315 Test procedures.
1033.320 Calculation and reporting of test results.
1033.325 Maintenance of records; submittal of information.
1033.330 Compliance criteria for production line testing.
1033.335 Remanufactured locomotives: installation audit requirements.
1033.340 Suspension and revocation of certificates of conformity.

                        Subpart E_In-use Testing

1033.401 Applicability.
1033.405 General provisions.
1033.410 In-use test procedure.
1033.415 General testing requirements.
1033.420 Maintenance, procurement and testing of in-use locomotives.
1033.425 In-use test program reporting requirements.

                        Subpart F_Test Procedures

1033.501 General provisions.
1033.505 Ambient conditions.
1033.510 Auxiliary power units.
1033.515 Discrete-mode steady-state emission tests of locomotives and 
          locomotive engines.
1033.520 Alternative ramped modal cycles.
1033.525 Smoke testing.
1033.530 Duty cycles and calculations.
1033.535 Adjusting emission levels to account for infrequently 
          regenerating aftertreatment devices.

                 Subpart G_Special Compliance Provisions

1033.601 General compliance provisions.
1033.610 Small railroad provisions.
1033.615 Voluntarily subjecting locomotives to the standards of this 
          part.
1033.620 Hardship provisions for manufacturers and remanufacturers.
1033.625 Special certification provisions for non-locomotive-specific 
          engines.
1033.630 Staged-assembly and delegated assembly exemptions.
1033.640 Provisions for repowered and refurbished locomotives.
1033.645 Non-OEM component certification program.
1033.650 Incidental use exemption for Canadian and Mexican locomotives.
1033.652 Special provisions for exported locomotives.
1033.655 Special provisions for certain Tier 0/Tier 1 locomotives.

       Subpart H_Averaging, Banking, and Trading for Certification

1033.701 General provisions.
1033.705 Calculating emission credits.
1033.710 Averaging emission credits.
1033.715 Banking emission credits.
1033.720 Trading emission credits.
1033.722 Transferring emission credits.
1033.725 Requirements for your application for certification.
1033.730 ABT reports.
1033.735 Required records.
1033.740 Credit restrictions.
1033.745 Compliance with the provisions of this subpart.
1033.750 Changing a locomotive's FEL at remanufacture.

             Subpart I_Requirements for Owners and Operators

1033.801 Applicability.
1033.805 Remanufacturing requirements.
1033.810 In-use testing program.
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
1033.825 Refueling requirements.

          Subpart J_Definitions and Other Reference Information

1033.901 Definitions.
1033.905 Symbols, acronyms, and abbreviations.
1033.915 Confidential information.
1033.920 How to request a hearing.
1033.925 Reporting and recordkeeping requirements.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 37197, June 30, 2008, unless otherwise noted.

[[Page 13]]



                  Subpart A_Overview and Applicability



Sec. 1033.1  Applicability.

    The regulations in this part 1033 apply for all new locomotives and 
all locomotives containing a new locomotive engine, except as provided 
in Sec. 1033.5.
    (a) Standards begin to apply each time a locomotive or locomotive 
engine is originally manufactured or otherwise becomes new (defined in 
Sec. 1033.901). The requirements of this part continue to apply as 
specified after locomotives cease to be new.
    (b) Standards apply to the locomotive. However, in certain cases, 
the manufacturer/remanufacturer is allowed to test a locomotive engine 
instead of a complete locomotive, such as for certification. Also, you 
are not required to complete assembly of a locomotive to obtain a 
certificate of conformity for it, provided you meet the definition of 
``manufacturer'' or ``remanufacturer'' (as applicable) in Sec. 
1033.901. For example, an engine manufacturer may obtain a certificate 
for locomotives which it does not manufacture, if the locomotives use 
its engines.
    (c) Standards apply based on the year in which the locomotive was 
originally manufactured. The date of original manufacture is generally 
the date on which assembly is completed for the first time. For example, 
all locomotives originally manufactured in calendar years 2002, 2003, 
and 2004 are subject to the Tier 1 emission standards for their entire 
service lives.
    (d) The following provisions apply when there are multiple persons 
meeting the definition of manufacturer or remanufacturer in Sec. 
1033.901:
    (1) Each person meeting the definition of manufacturer must comply 
with the requirements of this part that apply to manufacturers; and each 
person meeting the definition of remanufacturer must comply with the 
requirements of this part that apply to remanufacturers. However, if one 
person complies with a specific requirement for a given locomotive, then 
all manufacturers/remanufacturers are deemed to have complied with that 
specific requirement.
    (2) We will apply the requirements of subparts C, D, and E of this 
part to the manufacturer/remanufacturer that obtains the certificate of 
conformity for the locomotive. Other manufacturers and remanufacturers 
are required to comply with the requirements of subparts C, D, and E of 
this part only when notified by us. In our notification, we will specify 
a reasonable time period in which you need to comply with the 
requirements identified in the notice. See Sec. 1033.601 for the 
applicability of 40 CFR part 1068 to these other manufacturers and 
remanufacturers.
    (3) For example, we may require a railroad that installs certified 
kits but does not hold the certificate to perform production line 
auditing of the locomotives that it remanufactures. However, if we did, 
we would allow the railroad a reasonable amount of time to develop the 
ability to perform such auditing.
    (e) The provisions of this part apply as specified for locomotives 
manufactured or remanufactured on or after July 7, 2008. See Sec. 
1033.102 to determine whether the standards of this part or the 
standards of 40 CFR part 92 apply for model years 2008 through 2012. For 
example, for a locomotive that was originally manufactured in 2007 and 
remanufactured on April 10, 2014, the provisions of this part begin to 
apply on April 10, 2014.



Sec. 1033.5  Exemptions and exclusions.

    (a) Subpart G of this part exempts certain locomotives from the 
standards of this part.
    (b) The definition of ``locomotive'' in Sec. 1033.901 excludes 
certain vehicles. In general, the engines used in such excluded 
equipment are subject to standards under other regulatory parts. For 
example, see 40 CFR part 1039 for requirements that apply to diesel 
engines used in equipment excluded from the definition of ``locomotive'' 
in Sec. 1033.901. The following locomotives are also excluded from the 
provisions of this part 1033:
    (1) Historic locomotives powered by steam engines. For a locomotive 
that was originally manufactured after January 1, 1973 to be excluded 
under this paragraph (b)(1), it may not use any internal combustion 
engines and must be

[[Page 14]]

used only for historical purposes such as at a museum or similar public 
attraction.
    (2) Locomotives powered only by an external source of electricity.
    (c) The requirements and prohibitions of this part apply only for 
locomotives that have become ``new'' (as defined in Sec. 1033.901) on 
or after July 7, 2008.
    (d) The provisions of this part do not apply for any auxiliary 
engine that only provides hotel power. In general, these engines are 
subject to the provisions of 40 CFR part 1039. However, depending on the 
engine cycle, model year and power rating, the engines may be subject to 
other regulatory parts instead.
    (e) Manufacturers and owners of locomotives that operate only on 
non-standard gauge rails may ask us to exclude such locomotives from 
this part by excluding them from the definition of ``locomotive''.



Sec. 1033.10  Organization of this part.

    The regulations in this part 1033 contain provisions that affect 
locomotive manufacturers, remanufacturers, and others. However, the 
requirements of this part are generally addressed to the locomotive 
manufacturer/remanufacturer. The term ``you'' generally means the 
manufacturer/remanufacturer, as defined in Sec. 1033.901. This part 
1033 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1033 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify locomotives under this 
part. Note that Sec. 1033.150 discusses certain interim requirements 
and compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
and auditing production locomotives.
    (e) Subpart E of this part describes general provisions for testing 
in-use locomotives.
    (f) Subpart F of this part and 40 CFR part 1065 describe how to test 
locomotives and engines.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, exemptions, and other provisions that apply 
to locomotive manufacturer/remanufacturers, owners, operators, and all 
others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your locomotives.
    (i) Subpart I of this part describes provisions for locomotive 
owners and operators.
    (j) Subpart J of this part contains definitions and other reference 
information.



Sec. 1033.15  Other regulation parts that apply for locomotives.

    (a) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1033 describes how to apply the provisions of part 1065 
of this chapter to test locomotives to determine whether they meet the 
exhaust emission standards in this part.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, remanufactures, 
imports, maintains, owns, or operates any of the locomotives subject to 
this part 1033. See Sec. 1033.601 to determine how to apply the part 
1068 regulations for locomotives. Part 1068 of this chapter describes 
general provisions, including the following areas:
    (1) Prohibited acts and penalties for locomotive manufacturer/
remanufacturers and others.
    (2) Exclusions and exemptions for certain locomotives.
    (3) Importing locomotives.
    (4) Selective enforcement audits of your production.
    (5) Defect reporting and recall.
    (6) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22982, Apr. 30, 2010]



Sec. 1033.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec. 1033.925 and 40 CFR 1068.25 regarding 
recordkeeping

[[Page 15]]

requirements. Unless we specify otherwise, store these records in any 
format and on any media and keep them readily available for one year 
after you send an associated application for certification, or one year 
after you generate the data if they do not support an application for 
certification. You must promptly send us organized, written records in 
English if we ask for them. We may review them at any time.
    (b) The regulations in Sec. 1033.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 1033.901).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.

[75 FR 22982, Apr. 30, 2010]



          Subpart B_Emission Standards and Related Requirements



Sec. 1033.101  Exhaust emission standards.

    See Sec. Sec. 1033.102 and 1033.150 to determine how the emission 
standards of this section apply before 2023.
    (a) Emission standards for line-haul locomotives. Exhaust emissions 
from your new locomotives may not exceed the applicable emission 
standards in Table 1 to this section during the useful life of the 
locomotive. (Note: Sec. 1033.901 defines locomotives to be ``new'' when 
originally manufactured and when remanufactured.) Measure emissions 
using the applicable test procedures described in subpart F of this 
part.

                       Table 1 to Sec.  1033.101--Line-Haul Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-1992 \a\.......................  Tier 0 \b\............          8.0         0.22         1.00          5.0
1993 \a\-2004.......................  Tier 1 \b\............          7.4         0.22         0.55          2.2
2005-2011...........................  Tier 2 \b\............          5.5     \e\ 0.10         0.30          1.5
2012-2014...........................  Tier 3 \c\............          5.5         0.10         0.30          1.5
2015 or later.......................  Tier 4 \d\............          1.3         0.03         0.14          1.5
----------------------------------------------------------------------------------------------------------------
\a\ Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not
  originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the
  Tier 1 standards.
\b\ Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch
  standards of the same tier.
\c\ Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
\d\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
\e\ The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1,
  2013, except as specified in Sec.  1033.150(a).

    (b) Emission standards for switch locomotives. Exhaust emissions 
from your new locomotives may not exceed the applicable emission 
standards in Table 2 to this section during the useful life of the 
locomotive. (Note: Sec. 1033.901 defines locomotives to be ``new'' when 
originally manufactured and when remanufactured.) Measure emissions 
using the applicable test procedures described in subpart F of this 
part.

                        Table 2 to Sec.  1033.101--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-2001...........................  Tier 0................         11.8         0.26         2.10          8.0
2002-2004...........................  Tier 1 a..............         11.0         0.26         1.20          2.5
2005-2010...........................  Tier 2 a..............          8.1       b 0.13         0.60          2.4
2011-2014...........................  Tier 3................          5.0         0.10         0.60          2.4

[[Page 16]]

 
2015 or later.......................  Tier 4................        c 1.3         0.03       c 0.14          2.4
----------------------------------------------------------------------------------------------------------------
\a\ Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul
  standards of the same tier.
\b\ The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013.
\c\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.

    (c) Smoke standards. The smoke opacity standards specified in Table 
3 to this section apply only for locomotives certified to one or more PM 
standards or FELs greater than 0.05 g/bhp-hr. Smoke emissions, when 
measured in accordance with the provisions of Subpart F of this part, 
shall not exceed these standards.

                  Table 3 to Sec.  1033.101--Smoke Standards for Locomotives (Percent Opacity)
----------------------------------------------------------------------------------------------------------------
                                                                   Steady-state     30-sec peak     3-sec peak
----------------------------------------------------------------------------------------------------------------
Tier 0..........................................................              30              40              50
Tier 1..........................................................              25              40              50
Tier 2 and later................................................              20              40              50
----------------------------------------------------------------------------------------------------------------

    (d) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
as described in subpart H of this part to comply with the NOX 
and/or PM standards of this part. You may also use ABT to comply with 
the Tier 4 HC standards of this part as described in paragraph (j) of 
this section. Generating or using emission credits requires that you 
specify a family emission limit (FEL) for each pollutant you include in 
the ABT program for each engine family. These FELs serve as the emission 
standards for the engine family with respect to all required testing 
instead of the standards specified in paragraphs (a) and (b) of this 
section. FELs may not be higher than the following limits:
    (1) FELs for Tier 0 and Tier 1 locomotives originally manufactured 
before 2002 may have any value.
    (2) FELs for Tier 1 locomotives originally manufactured 2002 through 
2004 may not exceed 9.5 g/bhp-hr for NOX emissions or 0.60 g/
bhp-hr for PM emissions measured over the line-haul duty cycle. FELs for 
these locomotives may not exceed 14.4 g/bhp-hr for NOX 
emissions or 0.72 g/bhp-hr for PM emissions measured over the switch 
duty cycle.
    (3) FELs for Tier 2 and Tier 3 locomotives may not exceed the Tier 1 
standards of this section.
    (4) FELs for Tier 4 locomotives may not exceed the Tier 3 standards 
of this section.
    (e) Notch standards. (1) Exhaust emissions from locomotives may not 
exceed the notch standards specified in paragraph (e)(2) of this 
section, except as allowed in paragraph (e)(3) of this section, when 
measured using any test procedures under any test conditions.
    (2) Except as specified in paragraph (e)(5) of this section, 
calculate the applicable notch standards for each pollutant for each 
notch from the certified notch emission rate as follows:

Notch standard = (Ei) x (1.1 + (1--ELHi/std))

Where:

Ei = The deteriorated brake-specific emission rate (for 
pollutant i) for the notch (i.e., the brake-specific emission rate 
calculated under subpart F of this part, adjusted by the deterioration 
factor in the application for certification); where i is NOX, 
HC, CO or PM.
ELHi = The deteriorated line-haul duty-cycle weighted brake-
specific emission rate for pollutant i, as reported in the application 
for certification, except as specified in paragraph (e)(6) of this 
section.

[[Page 17]]

std = The applicable line-haul duty-cycle standard/FEL, except as 
specified in paragraph (e)(6) of this section.

    (3) Exhaust emissions that exceed the notch standards specified in 
paragraph (e)(2) of this section are allowed only if one of the 
following is true:
    (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).
    (ii) The exceedance result from a design feature that was described 
(including its effect on emissions) in the approved application for 
certification, and is:
    (A) Necessary for safety;
    (B) Addresses infrequent regeneration of an aftertreatment device; 
or
    (C) Otherwise allowed by this part.
    (4) Since you are only required to test your locomotive at the 
highest emitting dynamic brake point, the notch caps that you calculate 
for the dynamic brake point that you test also apply for other dynamic 
brake points.
    (5) No PM notch caps apply for locomotives certified to a PM 
standard or FEL of 0.05 g/bhp-hr or lower.
    (6) For switch locomotives that are not subject to line-haul 
standards, ELH\i\ equals the deteriorated switch duty-cycle weighted 
brake-specific emission rate for pollutant i and std is the applicable 
switch cycle standard/FEL.
    (f) Fuels. The exhaust emission standards in this section apply for 
locomotives using the fuel type on which the locomotives in the engine 
family are designed to operate.
    (1) You must meet the numerical emission standards for HC in this 
section based on the following types of hydrocarbon emissions for 
locomotives powered by the following fuels:
    (i) Alcohol-fueled locomotives: THCE emissions for Tier 3 and 
earlier locomotives and NMHCE for Tier 4.
    (ii) Gaseous-fueled locomotives: NMHC emissions.
    (iii) Diesel-fueled and other locomotives: THC emissions for Tier 3 
and earlier locomotives and NMHC for Tier 4. Note that manufacturers/
remanufacturers may choose to not measure NMHC and assume that NMHC is 
equal to THC multiplied by 0.98 for diesel-fueled locomotives.
    (2) You must certify your diesel-fueled locomotives to use the 
applicable grades of diesel fuel as follows:
    (i) Certify your Tier 4 and later diesel-fueled locomotives for 
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as the 
test fuel for these locomotives.
    (ii) Certify your Tier 3 and earlier diesel-fueled locomotives for 
operation with only ULSD fuel if they include sulfur-sensitive 
technology and you demonstrate compliance using a ULSD test fuel.
    (iii) Certify your Tier 3 and earlier diesel-fueled locomotives for 
operation with either ULSD fuel or Low Sulfur Diesel (LSD) fuel if they 
do not include sulfur-sensitive technology or if you demonstrate 
compliance using an LSD test fuel (including commercial LSD fuel).
    (iv) For Tier 1 and earlier diesel-fueled locomotives, if you 
demonstrate compliance using a ULSD test fuel, you must adjust the 
measured PM emissions upward by 0.01 g/bhp-hr to make them equivalent to 
tests with LSD. We will not apply this adjustment for our testing.
    (g) Useful life. The emission standards and requirements in this 
subpart apply to the emissions from new locomotives for their useful 
life. The useful life is generally specified as MW-hrs and years, and 
ends when either of the values (MW-hrs or years) is exceeded or the 
locomotive is remanufactured.
    (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 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. See Sec. 1033.140 for provisions related to 
rated power.
    (2) You must specify a longer useful life if the locomotive or 
locomotive engine is designed to last longer than the applicable minimum 
useful life. Recommending a time to remanufacture that is longer than 
the minimum useful life is one indicator of a longer design life.

[[Page 18]]

    (3) Manufacturers/remanufacturers of locomotives with non-
locomotive-specific engines (as defined in Sec. 1033.901) may ask us 
(before certification) to allow a shorter useful life for an engine 
family containing only non-locomotive-specific engines. We may approve a 
shorter useful life, in MW-hrs of locomotive operation but not in years, 
if we determine that these locomotives will rarely operate longer than 
the shorter useful life. If engines identical to those in the engine 
family have already been produced and are in use, your demonstration 
must include documentation from such in-use engines. In other cases, 
your demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your demonstration 
must also include any overhaul interval that you recommend, any 
mechanical warranty that you offer for the engine or its components, and 
any relevant customer design specifications. Your demonstration may 
include any other relevant information.
    (4) Remanufacturers of locomotive or locomotive engine 
configurations that have been previously certified under paragraph 
(g)(3) of this section to a useful life that is shorter than the value 
specified in paragraph (g)(1) of this section may certify to that same 
shorter useful life value without request.
    (5) In unusual circumstances, you may ask us to allow you to certify 
some locomotives in your engine family to a partial useful life. This 
allowance is limited to cases in which some or all of the locomotive's 
power assemblies have been operated previously such that the locomotive 
will need to be remanufactured prior to the end of the otherwise 
applicable useful life. Unless we specify otherwise, define the partial 
useful life based on the total MW-hrs since the last remanufacture to be 
consistent with other locomotives in the family. For example, this may 
apply for a previously uncertified locomotive that becomes ``new'' when 
it is imported, but that was remanufactured two years earlier 
(representing 25 percent of the normal useful life period). If such a 
locomotive could be brought into compliance with the applicable 
standards without being remanufactured, you may ask to include it in 
your engine family for the remaining 75 percent of its useful life 
period.
    (h) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification testing, 
production-line testing, and in-use testing.
    (i) Alternate CO standards. Manufacturers/remanufacturers may 
certify Tier 0, Tier 1, or Tier 2 locomotives to an alternate CO 
emission standard of 10.0 g/bhp-hr instead of the otherwise applicable 
CO standard if they also certify those locomotives to alternate PM 
standards less than or equal to one-half of the otherwise applicable PM 
standard. For example, a manufacturer certifying Tier 1 locomotives to a 
0.11 g/bhp-hr PM standard may certify those locomotives to the alternate 
CO standard of 10.0 g/bhp-hr.
    (j) Alternate NOX+HC standards for Tier 4. Manufacturers/
remanufacturers may use credits accumulated through the ABT program to 
certify Tier 4 locomotives to an alternate NOX+HC emission 
standard of 1.4 g/bhp-hr (instead of the otherwise applicable 
NOX and NMHC standards). You may use NOX credits 
to show compliance with this standard by certifying your family to a 
NOX+HC FEL. Calculate the NOX credits needed as 
specified in subpart H of this part using the NOX+HC emission 
standard and FEL in the calculation instead of the otherwise applicable 
NOX standard and FEL. You may not generate credits relative 
to the alternate standard or certify to the standard without using 
credits.
    (k) Upgrading. Upgraded locomotives that were originally 
manufactured prior to January 1, 1973 are subject to the Tier 0 
standards. (See the definition of upgrade in Sec. 1033.901.)
    (l) Other optional standard provisions. Locomotives may be certified 
to a higher tier of standards than would otherwise be required. Tier 0 
switch locomotives may be certified to both the line-haul and switch 
cycle standards. In both cases, once the locomotives become subject to 
the additional standards, they remain subject to those

[[Page 19]]

standards for the remainder of their service lives.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59188, Oct. 8, 2008; 75 
FR 22982, Apr. 30, 2010]



Sec. 1033.102  Transition to the standards of this part.

    (a) Except as specified in Sec. 1033.150(a), the Tier 0 and Tier 1 
standards of Sec. 1033.101 apply for new locomotives beginning January 
1, 2010, except as specified in Sec. 1033.150(a). The Tier 0 and Tier 1 
standards of 40 CFR part 92 apply for earlier model years.
    (b) Except as specified in Sec. 1033.150(a), the Tier 2 standards 
of Sec. 1033.101 apply for new locomotives beginning January 1, 2013. 
The Tier 2 standards of 40 CFR part 92 apply for earlier model years.
    (c) The Tier 3 and Tier 4 standards of Sec. 1033.101 apply for the 
model years specified in that section.



Sec. 1033.110  Emission diagnostics--general requirements.

    The provisions of this section apply if you equip your locomotives 
with a diagnostic system that will detect significant malfunctions in 
their emission-control systems and you choose to base your emission-
related maintenance instructions on such diagnostics. See Sec. 1033.420 
for information about how to select and maintain diagnostic-equipped 
locomotives for in-use testing. Notify the owner/operator that the 
presence of this diagnostic system affects their maintenance obligations 
under Sec. 1033.815. Except as specified in Sec. 1033.112, this 
section does not apply for diagnostics that you do not include in your 
emission-related maintenance instructions. The provisions of this 
section address diagnostic systems based on malfunction-indicator lights 
(MILs). You may ask to use other indicators instead of MILs.
    (a) The MIL must be readily visible to the operator. When the MIL 
goes on, it must display ``Check Emission Controls'' or a similar 
message that we approve. You may use sound in addition to the light 
signal.
    (b) To ensure that owner/operators consider MIL illumination 
seriously, you may not illuminate it for malfunctions that would not 
otherwise require maintenance. This section does not limit your ability 
to display other indicator lights or messages, as long as they are 
clearly distinguishable from MILs affecting the owner/operator's 
maintenance obligations under Sec. 1033.815.
    (c) Control when the MIL can go out. If the MIL goes on to show a 
malfunction, it must remain on during all later engine operation until 
servicing corrects the malfunction. If the engine is not serviced, but 
the malfunction does not recur during the next 24 hours, the MIL may 
stay off during later engine operation.
    (d) Record and store in computer memory any diagnostic trouble codes 
showing a malfunction that should illuminate the MIL. The stored codes 
must identify the malfunctioning system or component as uniquely as 
possible. Make these codes available through the data link connector as 
described in paragraph (e) of this section. You may store codes for 
conditions that do not turn on the MIL. The system must store a separate 
code to show when the diagnostic system is disabled (from malfunction or 
tampering). Provide instructions to the owner/operator regarding how to 
interpret malfunction codes.
    (e) Make data, access codes, and devices accessible. Make all 
required data accessible to us without any access codes or devices that 
only you can supply. Ensure that anyone servicing your locomotive can 
read and understand the diagnostic trouble codes stored in the onboard 
computer with generic tools and information.
    (f) Follow standard references for formats, codes, and connections.



Sec. 1033.112  Emission diagnostics for SCR systems.

    Engines equipped with SCR systems using separate reductant tanks 
must also meet the requirements of this section in addition to the 
requirements of Sec. 1033.110. This section does not apply for SCR 
systems using the engine's fuel as the reductant.
    (a) The diagnostic system must monitor reductant quality and tank 
levels and alert operators to the need to refill the reductant tank 
before it is empty, or to replace the reductant if it does

[[Page 20]]

not meet your concentration specifications. Unless we approve other 
alerts, use a malfunction-indicator light (MIL) as specified in Sec. 
1033.110 and an audible alarm. You do not need to separately monitor 
reductant quality if you include an exhaust NOX sensor (or 
other sensor) that allows you to determine inadequate reductant quality. 
However, tank level must be monitored in all cases.
    (b) Your onboard computer must record in nonvolatile computer memory 
all incidents of engine operation with inadequate reductant injection or 
reductant quality. It must record the total amount of operation without 
adequate reductant. It may total the operation by hours, work, or excess 
NOX emissions.



Sec. 1033.115  Other requirements.

    Locomotives that are required to meet the emission standards of this 
part must meet the requirements of this section. These requirements 
apply when the locomotive is new (for freshly manufactured or 
remanufactured locomotives) and continue to apply throughout the useful 
life.
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any locomotive, except as 
follows:
    (1) Locomotives may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do both of the following things:
    (i) Manufacture the locomotives so that all crankcase emissions can 
be routed into the applicable sampling systems specified in 40 CFR part 
1065, consistent with good engineering judgment.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Adjustable parameters. Locomotives that have adjustable 
parameters must meet all the requirements of this part for any 
adjustment in the approved adjustable range. You must specify in your 
application for certification the adjustable range of each adjustable 
parameter on a new locomotive or new locomotive engine to:
    (1) Ensure that safe locomotive operating characteristics are 
available within that range, as required by section 202(a)(4) of the 
Clean Air Act (42 U.S.C. 7521(a)(4)), taking into consideration the 
production tolerances.
    (2) Limit the physical range of adjustability to the maximum extent 
practicable to the range that is necessary for proper operation of the 
locomotive or locomotive engine.
    (c) Prohibited controls. You may not design or produce your 
locomotives 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 locomotive emits a noxious or toxic substance it would 
otherwise not emit that contributes to such an unreasonable risk.
    (d) Evaporative and refueling controls. For locomotives fueled with 
a volatile fuel you must design and produce them to minimize evaporative 
emissions during normal operation, including periods when the engine is 
shut down. You must also design and produce them to minimize the escape 
of fuel vapors during refueling. Hoses used to refuel gaseous-fueled 
locomotives may not be designed to be bled or vented to the atmosphere 
under normal operating conditions. No valves or pressure relief vents 
may be used on gaseous-fueled locomotives except as emergency safety 
devices that do not operate at normal system operating flows and 
pressures.
    (e) Altitude requirements. All locomotives must be designed to 
include features that compensate for changes in altitude so that the 
locomotives will comply with the applicable emission standards when 
operated at any altitude less than:
    (1) 7000 feet above sea level for line-haul locomotives.
    (2) 5500 feet above sea level for switch locomotives.
    (f) Defeat devices. You may not equip your locomotives with a defeat 
device.

[[Page 21]]

A defeat device is an auxiliary emission control device (AECD) that 
reduces the effectiveness of emission controls under conditions that the 
locomotive may reasonably be expected to encounter during normal 
operation and use.
    (1) This does not apply to AECDs you identify in your application 
for certification if any of the following is true:
    (i) The conditions of concern were substantially included in the 
applicable duty cycle test procedures described in subpart F of this 
part.
    (ii) You show your design is necessary to prevent locomotive damage 
or accidents.
    (iii) The reduced effectiveness applies only to starting the 
locomotive.
    (iv) The locomotive emissions when the AECD is functioning are at or 
below the notch caps of Sec. 1033.101.
    (2) This does not apply to AECDs related to hotel mode that conform 
to the specifications of this paragraph (f)(2). This provision is 
intended for AECDs that have the primary function of operating the 
engine at a different speed than would be done to generate the same 
propulsive power when not operating in hotel mode. Identify and describe 
these AECDs in your application for certification. We may allow the 
AECDs to modify engine calibrations where we determine that such 
modifications are environmentally beneficial or needed for proper engine 
function. You must obtain preliminary approval under Sec. 1033.210 
before incorporating such modifications. Otherwise, you must apply the 
same injection timing and intake air cooling strategies in hotel mode 
and non-hotel mode.
    (g) Idle controls. All new locomotives must be equipped with 
automatic engine stop/start as described in this paragraph (g). All new 
locomotives must be designed to allow the engine(s) to be restarted at 
least six times per day without causing engine damage that would affect 
the expected interval between remanufacturing. Note that it is a 
violation of 40 CFR 1068.101(b)(1) to circumvent the provisions of this 
paragraph (g).
    (1) Except as allowed by paragraph (g)(2) of this section, the stop/
start systems must shut off the main locomotive engine(s) after 30 
minutes of idling (or less).
    (2) Stop/start systems may restart or continue idling for the 
following reasons:
    (i) To prevent engine damage such as to prevent the engine coolant 
from freezing.
    (ii) To maintain air pressure for brakes or starter system, or to 
recharge the locomotive battery.
    (iii) To perform necessary maintenance.
    (iv) To otherwise comply with federal regulations.
    (3) You may ask to use alternate stop/start systems that will 
achieve equivalent idle control.
    (4) See Sec. 1033.201 for provisions that allow you to obtain a 
separate certificate for idle controls.
    (5) It is not considered circumvention to allow a locomotive to idle 
to heat or cool the cab, provided such heating or cooling is necessary.
    (h) Power meters. Tier 1 and later locomotives must be equipped with 
MW-hr meters (or the equivalent) consistent with the specifications of 
Sec. 1033.140.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75 
FR 22982, Apr. 30, 2010]



Sec. 1033.120  Emission-related warranty requirements.

    (a) General requirements. Manufacturers/remanufacturers must warrant 
to the ultimate purchaser and each subsequent purchaser that the new 
locomotive, including all parts of its emission control system, meets 
two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Except as specified in this paragraph, the 
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum 
warranty periods listed in this paragraph (b) in MW-hrs of

[[Page 22]]

operation (or miles for Tier 0 locomotives not equipped with MW-hr 
meters) and years, whichever comes first. You may offer an emission-
related warranty more generous than we require. The emission-related 
warranty for the locomotive may not be shorter than any published 
warranty you offer without charge for the locomotive. Similarly, the 
emission-related warranty for any component may not be shorter than any 
published warranty you offer without charge for that component. If you 
provide an extended warranty to individual owners for any components 
covered in paragraph (c) of this section for an additional charge, your 
emission-related warranty must cover those components for those owners 
to the same degree. If the locomotive does not record MW-hrs, we base 
the warranty periods in this paragraph (b) only on years. The warranty 
period begins when the locomotive is placed into service, or back into 
service after remanufacture.
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase a locomotive's emissions of any 
regulated pollutant. This includes components listed in 40 CFR part 
1068, Appendix I, and components from any other system you develop to 
control emissions. The emission-related warranty covers the components 
you sell even if another company produces the component. Your emission-
related warranty does not need to cover components whose failure would 
not increase a locomotive's emissions of any regulated pollutant. For 
remanufactured locomotives, your emission-related warranty is required 
to cover only those parts that you supply or those parts for which you 
specify allowable part manufacturers. It does not need to cover used 
parts that are not replaced during the remanufacture.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the 
locomotive.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75 
FR 22983, Apr. 30, 2010]



Sec. 1033.125  Maintenance instructions.

    Give the owner of each new locomotive written instructions for 
properly maintaining and using the locomotive, including the emission-
control system. Include in the instructions a notification that owners 
and operators must comply with the requirements of subpart I of this 
part 1033. The emission-related maintenance instructions also apply to 
any service accumulation on your emission-data locomotives, as described 
in Sec. 1033.245 and in 40 CFR part 1065. If you equip your locomotives 
with a diagnostic system that will detect significant malfunctions in 
their emission-control systems, specify the extent to which your 
emission-related maintenance instructions include such diagnostics.



Sec. 1033.130  Instructions for engine remanufacturing or engine installation.

    (a) If you do not complete assembly of the new locomotive (such as 
selling a kit that allows someone else to remanufacture a locomotive 
under your certificate), give the assembler instructions for completing 
assembly consistent with the requirements of this part. Include all 
information necessary to ensure that the locomotive will be assembled in 
its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related assembly instructions''
    (2) Describe any instructions necessary to make sure the assembled 
locomotive will operate according to design specifications in your 
application for certification.
    (3) Describe how to properly label the locomotive. This will 
generally include instructions to remove and destroy the previous Engine 
Emission Control Information label.
    (4) State one of the following as applicable:

[[Page 23]]

    (i) ``Failing to follow these instructions when remanufacturing a 
locomotive or locomotive engine violates federal law (40 CFR 
1068.105(b)), and may subject you to fines or other penalties as 
described in the Clean Air Act.''
    (ii) ``Failing to follow these instructions when installing this 
locomotive engine violates federal law (40 CFR 1068.105(b)), and may 
subject you to fines or other penalties as described in the Clean Air 
Act.''
    (c) You do not need installation instructions for locomotives you 
assemble.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each assembler is informed of the assembly requirements.
    (e) Your emission-related assembly instructions may not include 
specifications for parts unrelated to emissions. For the basic 
mechanical parts listed in this paragraph (e), you may not specify a 
part manufacturer unless we determine that such a specification is 
necessary. You may include design specifications for such parts 
addressing the dimensions and material constraints as necessary. You may 
also specify a part number, as long you make it clear that alternate 
part suppliers may be used. This paragraph (e) covers the following 
parts or other parts we determine qualify as basic mechanical parts:
    (1) Intake and exhaust valves.
    (2) Intake and exhaust valve retainers.
    (3) Intake and exhaust valve springs.
    (4) Intake and exhaust valve rotators.
    (5) Oil coolers.



Sec. 1033.135  Labeling.

    As described in this section, each locomotive must have a label on 
the locomotive and a separate label on the engine. The label on the 
locomotive stays on the locomotive throughout its service life. It 
generally identifies the original certification of the locomotive, which 
is when it was originally manufactured for Tier 1 and later locomotives. 
The label on the engine is replaced each time the locomotive is 
remanufactured and identifies the most recent certification.
    (a) Serial numbers. At the point of original manufacture, assign 
each locomotive and each locomotive engine a serial number or other 
unique identification number and permanently affix, engrave, or stamp 
the number on the locomotive and engine in a legible way.
    (b) Locomotive labels. (1) Locomotive labels meeting the 
specifications of paragraph (b)(2) of this section must be applied as 
follows:
    (i) The manufacturer must apply a locomotive label at the point of 
original manufacture.
    (ii) The remanufacturer must apply a locomotive label at the point 
of original remanufacture, unless the locomotive was labeled by the 
original manufacturer.
    (iii) Any remanufacturer certifying a locomotive to an FEL or 
standard different from the previous FEL or standard to which the 
locomotive was previously certified must apply a locomotive label.
    (2) The locomotive label must meet all of the following criteria:
    (i) The label must be permanent and legible and affixed to the 
locomotive in a position in which it will remain readily visible. Attach 
it to a locomotive chassis part necessary for normal operation and not 
normally requiring replacement during the service life of the 
locomotive. You may not attach this label to the engine or to any 
equipment that is easily detached from the locomotive. Attach the label 
so that it cannot be removed without destroying or defacing the label. 
For Tier 0 and Tier 1 locomotives, the label may be made up of more than 
one piece, as long as all pieces are permanently attached to the 
locomotive.
    (ii) The label must be lettered in the English language using a 
color that contrasts with the background of the label.
    (iii) The label must include all the following information:
    (A) The label heading: ``ORIGINAL LOCOMOTIVE EMISSION CONTROL 
INFORMATION.'' Manufacturers/remanufacturers may add a subheading

[[Page 24]]

to distinguish this label from the engine label described in paragraph 
(c) of this section.
    (B) Full corporate name and trademark of the manufacturer (or 
remanufacturer).
    (C) The applicable engine family and configuration identification. 
In the case of locomotive labels applied by the manufacturer at the 
point of original manufacture, this will be the engine family and 
configuration identification of the certificate applicable to the 
freshly manufactured locomotive. In the case of locomotive labels 
applied by a remanufacturer during remanufacture, this will be the 
engine family and configuration identification of the certificate under 
which the remanufacture is being performed.
    (D) Date of original manufacture of the locomotive, as defined in 
Sec. 1033.901.
    (E) The standards/FELs to which the locomotive was certified and the 
following statement: ``THIS LOCOMOTIVE MUST COMPLY WITH THESE EMISSION 
LEVELS EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED BY 40 CFR 
1033.750.''
    (3) Label diesel-fueled locomotives near the fuel inlet to identify 
the allowable fuels, consistent with Sec. 1033.101. For example, Tier 4 
locomotives should be labeled ``ULTRA LOW SULFUR DIESEL FUEL ONLY''. You 
do not need to label Tier 3 and earlier locomotives certified for use 
with both LSD and ULSD.
    (c) Engine labels. (1) For engines not requiring aftertreatment 
devices, apply engine labels meeting the specifications of paragraph 
(c)(2) of this section once an engine has been assembled in its 
certified configuration. For engines that require aftertreatment 
devices, apply the label after the engine has been fully assembled, 
which may occur before installing the aftertreatment devices. These 
labels must be applied by:
    (i) The manufacturer at the point of original manufacture; and
    (ii) The remanufacturer at the point of each remanufacture 
(including the original remanufacture and subsequent remanufactures).
    (2) The engine label must meet all of the following criteria:
    (i) The label must be durable throughout the useful life of the 
engine, be legible and affixed to the engine in a position in which it 
will be readily visible after installation of the engine in the 
locomotive. Attach it to an engine part necessary for normal operation 
and not normally requiring replacement during the useful life of the 
locomotive. You may not attach this label to any equipment that is 
easily detached from the engine. Attach the label so it cannot be 
removed without destroying or defacing the label. The label may be made 
up of more than one piece, as long as all pieces are permanently 
attached to the same engine part.
    (ii) The label must be lettered in the English language using a 
color that contrasts with the background of the label.
    (iii) The label must include all the following information:
    (A) The label heading: ``ENGINE EMISSION CONTROL INFORMATION.'' 
Manufacturers/remanufacturers may add a subheading to distinguish this 
label from the locomotive label described in paragraph (b) of this 
section.
    (B) Full corporate name and trademark of the manufacturer/
remanufacturer.
    (C) Engine family and configuration identification as specified in 
the certificate under which the locomotive is being manufactured or 
remanufactured.
    (D) A prominent unconditional statement of compliance with U.S. 
Environmental Protection Agency regulations which apply to locomotives, 
as applicable:
    (1) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 0+ switch locomotives.''
    (2) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 0+ line-haul locomotives.''
    (3) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 1+ locomotives.''
    (4) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 2+ locomotives.''
    (5) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 3 switch locomotives.''

[[Page 25]]

    (6) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 3 line-haul locomotives.''
    (7) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 4 switch locomotives.''
    (8) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 4 line-haul locomotives.''
    (E) The useful life of the locomotive.
    (F) The standards/FELS to which the locomotive was certified.
    (iv) You may include other critical operating instructions such as 
specifications for adjustments or reductant use for SCR systems.
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine/
locomotive meets or does not meet (such as international standards). You 
may include this information by adding it to the statement we specify or 
by including a separate statement.
    (2) You may add other information to ensure that the locomotive will 
be properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) You may ask us to approve modified labeling requirements in this 
part 1033 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008]



Sec. 1033.140  Rated power.

    This section describes how to determine the rated power of a 
locomotive for the purposes of this part.
    (a) A locomotive configuration's rated power is the maximum brake 
power point on the nominal power curve for the locomotive configuration, 
as defined in this section. See Sec. 1033.901 for the definition of 
brake power. Round the power value to the nearest whole horsepower. 
Generally, this will be the brake power of the engine in notch 8.
    (b) The nominal power curve of a locomotive configuration is its 
maximum available brake power at each possible operator demand setpoint 
or ``notch''. See 40 CFR 1065.1001 for the definition of operator 
demand. The maximum available power at each operator demand setpoint is 
based on your design and production specifications for that locomotive. 
The nominal power curve does not include any operator demand setpoints 
that are not achievable during in-use operation. For example, for a 
locomotive with only eight discrete operator demand setpoints, or 
notches, the nominal power curve would be a series of eight power points 
versus notch, rather than a continuous curve.
    (c) The nominal power curve must be within the range of the actual 
power curves of production locomotives considering normal production 
variability. If after production begins it is determined that your 
nominal power curve does not represent production locomotives, we may 
require you to amend your application for certification under Sec. 
1033.225.
    (d) For the purpose of determining useful life, you may need to use 
a rated power based on power other than brake power according to the 
provisions of this paragraph (d). The useful life must be based on the 
power measured by the locomotive's megawatt-hour meter. For example, if 
your megawatt-hour meter reads and records the electrical work output of 
the alternator/generator rather than the brake power of the engine, and 
the power output of the alternator/generator at notch 8 is 4000 
horsepower, calculate your useful life as 30,000MW-hrs (7.5 x 4000).



Sec. 1033.150  Interim provisions.

    The provisions of this section apply instead of other provisions of 
this part for a limited time. This section describes when these 
provisions apply.
    (a) Early availability of Tier 0, Tier 1, or Tier 2 systems. Except 
as specified in paragraph (a)(2) of this section, for model years 2008 
and 2009, you may remanufacture locomotives to meet the applicable 
standards in 40 CFR part 92 only if no remanufacture system has been 
certified to meet the standards of

[[Page 26]]

this part and is available at a reasonable cost at least 90 days prior 
to the completion of the remanufacture as specified in paragraph (a)(3) 
of this section. This same provision continues to apply after 2009, but 
only for Tier 2 locomotives. Note that remanufacturers may certify 
remanufacturing systems that will not be available at a reasonable cost; 
however such certification does not trigger the requirements of this 
paragraph (a).
    (1) For the purpose of this paragraph (a), ``available at a 
reasonable cost'' means available for use where all of the following are 
true:
    (i) The total incremental cost to the owner and operators of the 
locomotive due to meeting the new standards (including initial hardware, 
increased fuel consumption, and increased maintenance costs) during the 
useful life of the locomotive is less than $250,000, adjusted as 
specified in paragraph (a)(4)(i) of this section.
    (ii) The initial incremental hardware costs are reasonably related 
to the technology included in the remanufacturing system and are less 
than $125,000, adjusted as specified in paragraph (a)(4)(i) of this 
section.
    (iii) 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.
    (iv) The remanufacturer must demonstrate at the time of 
certification that the system meets the requirements of this paragraph 
(a)(1).
    (v) The system does not generate or use emission credits.
    (2) The number of locomotives that each railroad must remanufacture 
under this paragraph (a) is capped as follows:
    (i) For the period October 3, 2008 to December 31, 2008, the maximum 
number of locomotives that a railroad must remanufacture under this 
paragraph (a) is 50 percent of the total number of the railroad's 
locomotives that are remanufactured during this period under this part 
or 40 CFR part 92. Include in the calculation both locomotives you own 
and locomotives you lease.
    (ii) For the period January 1, 2009 to December 31, 2009, the 
maximum number of locomotives that a railroad must remanufacture under 
this paragraph (a) is 70 percent of the total number of the railroad's 
locomotives that are remanufactured during this period under this part 
or 40 CFR part 92. Include in the calculation both locomotives you own 
and locomotives you lease.
    (3) Remanufacturers applying for certificates under this paragraph 
(a) are responsible to notify owner/operators (and other customers as 
applicable) that they have requested such certificates. The notification 
should occur at the same time that the remanufacturer submits its 
application, and should include a description of the remanufacturing 
system, price, expected incremental operating costs, and draft copies of 
your installation and maintenance instructions. The system is considered 
to be available for a customer 120 days after this notification, or 90 
days after the certificate is issued, whichever is later. Where we issue 
a certificate of conformity under this part based on carryover data from 
an engine family that we previously considered available for the 
configuration, the system is considered to be available when we issue 
the certificate.
    (4) Estimate costs as follows:
    (i) The cost limits described in paragraph (a)(1) of this section 
are specified in terms of 2007 dollars. Adjust these values for future 
years according to the following equation:

Actual Limit = (2007 Limit) x [(0.6000) x (Commodity Index) + (0.4000) x 
    (Earnings Index)]

Where:

2007 Limit = The value specified in paragraph (a)(1) of this section 
          ($250,000 or $125,000).
Commodity Index = The U.S. Bureau of Labor Statistics Producer Price 
Index for Industrial Commodities Less Fuel (Series WPU03T15M05) for the 
month prior to the date you submit your application divided by 173.1.
Earnings Index = The U.S. Bureau of Labor Statistics Estimated Average 
Hourly Earnings of Production Workers for Durable Manufacturing (Series 
CES3100000008) for the month prior to the date you submit your 
application divided by 18.26.

    (ii) Calculate all costs in current dollars (for the month prior to 
the date you submit your application). Calculate fuel costs based on a 
fuel price

[[Page 27]]

adjusted by the Association of American Railroads' monthly railroad fuel 
price index (P), which is available at https://www.aar.org//media/AAR/
RailCostIndexes/Index--MonthlyFuelPrices.ashx. (Use the value for the 
column in which P equals 539.8 for November 2007.) Calculate a new fuel 
price using the following equation:

Fuel Price = ($2.76 per gallon) x (P/539.8)

    (b) Idle controls. A locomotive equipped with an automatic engine 
stop/start system that was originally installed before January 1, 2009 
and that conforms to the requirements of Sec. 1033.115(g) is deemed to 
be covered by a certificate of conformity with respect to the 
requirements of Sec. 1033.115(g). Note that the provisions of subpart C 
of this part also allow you to apply for a conventional certificate of 
conformity for such systems.
    (c) Locomotive labels for transition to new standards. This 
paragraph (c) applies when you remanufacture a locomotive that was 
previously certified under 40 CFR part 92. You must remove the old 
locomotive label and replace it with the locomotive label specified in 
Sec. 1033.135.
    (d) Small manufacturer/remanufacturer provisions. The production-
line testing requirements and in-use testing requirements of this part 
do not apply until January 1, 2013 for manufacturers/remanufacturers 
that qualify as small manufacturers under Sec. 1033.901.
    (e) Producing switch locomotives using certified nonroad engines. 
You may use the provisions of this paragraph (e) to produce any number 
of freshly manufactured or refurbished switch locomotives in model years 
2008 through 2017. Locomotives produced under this paragraph (e) are 
exempt from the standards and requirements of this part and 40 CFR part 
92 subject to the following provisions:
    (1) All of the engines on the switch locomotive must be covered by a 
certificate of conformity issued under 40 CFR part 89 or 1039 for model 
year 2008 or later (or earlier model years if the same standards applied 
as in 2008). Engines over 750 hp certified to the Tier 4 standards for 
non-generator set engines are not eligible for this allowance after 
2014.
    (2) You must reasonably project that more of the engines will be 
sold and used for non-locomotive use than for use in locomotives.
    (3) You may not generate or use locomotive credits under this part 
for these locomotives.
    (4) Include the following statement on a permanent locomotive label: 
``THIS LOCOMOTIVE WAS CERTIFIED UNDER 40 CFR 1033.150(e). THE ENGINES 
USED IN THIS LOCOMOTIVE ARE SUBJECT TO REQUIREMENTS OF 40 CFR PARTS 1039 
(or 89) AND 1068.''
    (5) The rebuilding requirements of 40 CFR part 1068 apply when 
remanufacturing engines used in these locomotives.
    (f) In-use compliance limits. For purposes of determining compliance 
other than for certification or production-line testing, calculate the 
applicable in-use compliance limits by adjusting the applicable 
standards/FELs. The PM adjustment applies only for model year 2017 and 
earlier locomotives and does not apply for locomotives with a PM FEL 
higher than 0.03 g/bhp-hr. The NOX adjustment applies only 
for model year 2017 and earlier locomotives and does not apply for 
locomotives with a NOX FEL higher than 2.0 g/bhp-hr. Add the 
applicable adjustments in Tables 1 or 2 of this section (which follow) 
to the otherwise applicable standards (or FELs) and notch caps. You must 
specify during certification which add-ons, if any, will apply for your 
locomotives.

  Table 1 to Sec.  1033.150--In-use Adjustments for Tier 4 Locomotives
------------------------------------------------------------------------
                                           In-use adjustments (g/bhp-hr)
                                         -------------------------------
                                          For model year  For model year
  Fraction of useful life already used       2017 and        2017 and
                                          earlier Tier 4  earlier Tier 4
                                          NOX  standards   PM standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL.................             0.7            0.01

[[Page 28]]

 
50 < MW-hrs <= 75% of UL................             1.0            0.01
MW-hrs  75% of UL............             1.3            0.01
------------------------------------------------------------------------


   Table 2 to Sec.  1033.150--Optional In-Use Adjustments for Tier 4
                               Locomotives
------------------------------------------------------------------------
                                         In-use adjustments (g/bhp-hr)
                                     -----------------------------------
                                       For model year    For model year
Fraction of useful life already used  2017 and earlier  2017 and earlier
                                         Tier 4 NOX         Tier 4 PM
                                          standards         standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL.............               0.2              0.03
50 < MW-hrs <= 75% of UL............               0.3              0.03
MW-hrs  75% of UL........               0.4              0.03
------------------------------------------------------------------------

    (g) Optional interim Tier 4 compliance provisions for NOX 
emissions. For model years 2015 through 2022, manufacturers may choose 
to certify some or all of their Tier 4 line-haul engine families 
according to the optional compliance provisions of this paragraph (g). 
The following provisions apply to all locomotives in those families:
    (1) The provisions of this paragraph (g) apply instead of the 
deterioration factor requirements of Sec. Sec. 1033.240 and 1033.245 
for NOX emissions. You must certify that the locomotives in 
the engine family will conform to the requirements of this paragraph (g) 
for their full useful lives.
    (2) The applicable NOX emission standard for locomotives 
certified under this paragraph (g) is:
    (i) 1.3 g/bhp-hr for locomotives that have accumulated less than 50 
hours of operation.
    (ii) 1.3 plus 0.6 g/bhp-hr for locomotives that have accumulated 50 
hours or more of operation.
    (3) The engine family may not generate NOX emission 
credits.
    (4) The design certification provisions of Sec. 1033.240(c) do not 
apply for these locomotives for the next remanufacture.
    (5) Manufacturers must comply with the production-line testing 
program in subpart D of this part for these engine families or the 
following optional program:
    (i) You are not required to test locomotives in the family under 
subpart D of this part if you comply with the requirements of this 
paragraph (g)(5).
    (ii) Test the locomotives as specified in subpart E of this part, 
with the following exceptions:
    (A) The minimum test sample size is one percent of the number of 
locomotives in the family or five, whichever is less.
    (B) The locomotives must be tested after they have accumulated 50 
hours or more of operation but before they have reached 50 percent of 
their useful life.
    (iii) The standards in this part for pollutants other than 
NOX apply as specified for testing conducted under this 
optional program.
    (6) The engine family may use NOX emission credits to 
comply with this paragraph (g). However, a 1.5 g/bhp-hr NOX 
FEL cap applies for engine families certified under this paragraph (g). 
The applicable standard for locomotives that have accumulated 50 hours 
or more of operation is the FEL plus 0.6 g/bhp-hr.
    (7) The in-use NOX add-ons specified in paragraph (f) of 
this section do not apply for these locomotives.
    (8) All other provisions of this part apply to such locomotives, 
except as specified otherwise in this paragraph (g).
    (h) Test procedures. You are generally required to use the test 
procedures

[[Page 29]]

specified in subpart F of this part (including the applicable test 
procedures in 40 CFR part 1065). As specified in this paragraph (h), you 
may use a combination of the test procedures specified in this part and 
the test procedures specified in 40 CFR part 92 prior to January 1, 
2015. After this date, you must use only the test procedures specified 
in this part.
    (1) Prior to January 1, 2015, you may ask to use some or all of the 
procedures specified in 40 CFR part 92 for locomotives certified under 
this part 1033.
    (2) If you ask to rely on a combination of procedures under this 
paragraph (h), we will approve your request only if you show us that it 
does not affect your ability to demonstrate compliance with the 
applicable emission standards. Generally this requires that the combined 
procedures would result in emission measurements at least as high as 
those that would be measured using the procedures specified in this 
part. Alternatively, you may demonstrate that the combined effects of 
the different procedures is small relative to your compliance margin 
(the degree to which your emissions are below the applicable standards).
    (i) Certification testing. Prior to model year 2014, you may use the 
simplified steady-state engine test procedure specified in this 
paragraph (i) for certification testing. The normal certification 
procedures and engine testing procedures apply, except as specified in 
this paragraph (i).
    (1) Use good engineering judgment to operate the engine consistent 
with its expected operation in the locomotive, to the extent practical. 
You are not required to exactly replicate the transient behavior of the 
engine.
    (2) You may delay sampling during notch transition for up to 20 
seconds after you begin the notch change.
    (3) We may require you provide additional information in your 
application for certification to support the expectation that production 
locomotives will meet all applicable emission standards when tested as 
locomotives.
    (4) You may not use this simplified procedure for production-line or 
in-use testing.
    (j) Administrative requirements. For model years 2008 and 2009, you 
may use a combination of the administrative procedures specified in this 
part and the test procedures specified in 40 CFR part 92. For example, 
this would allow you to use the certification procedures of 40 CFR part 
92 to apply for certificates under this part 1033.
    (k) Test fuels. Testing performed during calendar years 2008 and 
2009 may be performed using test fuels that meet the specifications of 
40 CFR 92.113. If you do, adjust PM emissions downward by 0.04 g/bhp-hr 
to account for the difference in sulfur content of the fuel.
    (l) Refurbished switch locomotives. In 2008 and 2009 remanufactured 
Tier 0 switch locomotives that are deemed to be refurbished may be 
certified as remanufactured switch locomotives under 40 CFR part 92.
    (m) Assigned deterioration factors. The provisions of this paragraph 
(m) apply for Tier 0 and Tier 1 locomotives to the standards of this 
part during model years 2008 or 2009. Remanufacturers certifying such 
locomotives to the standards of this part during these model years may 
use an assigned deterioration factor of 0.03 g/bhp-hr for PM and an 
assigned deterioration factor of zero for other pollutants. For purposes 
of determining compliance other than for certification or production-
line testing, calculate the applicable in-use compliance limits for 
these locomotives by adjusting the applicable PM standards/FELs upward 
by 0.03 g/bhp-hr.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 74 
FR 8423, Feb. 24, 2009; 75 FR 22983, Apr. 30, 2010; 75 FR 68460, Nov. 8, 
2010]



                  Subpart C_Certifying Engine Families



Sec. 1033.201  General requirements for obtaining a certificate of conformity.

    Certification is the process by which you demonstrate to us that 
your freshly manufactured or remanufactured locomotives will meet the 
applicable emission standards throughout their useful lives (explaining 
to us how you plan to manufacture or remanufacture locomotives, and 
providing test data showing that such locomotives will comply with all 
applicable emission

[[Page 30]]

standards). Anyone meeting the definition of manufacturer in Sec. 
1033.901 may apply for a certificate of conformity for freshly 
manufactured locomotives. Anyone meeting the definition of 
remanufacturer in Sec. 1033.901 may apply for a certificate of 
conformity for remanufactured locomotives.
    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date, but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec. 1033.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec. 1033.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 1033.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test locomotives to a 
facility we designate for our testing (see Sec. 1033.235(c)).
    (h) By applying for a certificate of conformity, you are accepting 
responsibility for the in-use emission performance of all properly 
maintained and used locomotives covered by your certificate. This 
responsibility applies without regard to whether you physically 
manufacture or remanufacture the entire locomotive. If you do not 
physically manufacture or remanufacture the entire locomotive, you must 
take reasonable steps (including those specified by this part) to ensure 
that the locomotives produced under your certificate conform to the 
specifications of your application for certification. Note that this 
paragraph does not limit any liability under this part or the Clean Air 
Act for entities that do not obtain certificates. This paragraph also 
does not prohibit you from making contractual arrangements with 
noncertifiers related to recovering damages for noncompliance.
    (i) The provisions of this subpart describe how to obtain a 
certificate that covers all standards and requirements. Manufacturer/
remanufacturers may ask to obtain a certificate of conformity that does 
not cover the idle control requirements of Sec. 1033.115 or one that 
only covers the idle control requirements of Sec. 1033.115. 
Remanufacturers obtaining such partial certificates must include a 
statement in their installation instructions that two certificates and 
labels are required for a locomotive to be in a fully certified 
configuration. We may modify the certification requirements for 
certificates that will only cover idle control systems.



Sec. 1033.205  Applying for a certificate of conformity.

    (a) Send the Designated Compliance Officer a complete application 
for each engine family for which you are requesting a certificate of 
conformity.
    (b) [Reserved]
    (c) You must update and correct your application to accurately 
reflect your production, as described in Sec. 1033.225.
    (d) Include the following information in your application:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications listed in Sec. 1033.230. 
For freshly manufactured locomotives, a description of the basic 
locomotive design. For remanufactured locomotives, a description of the 
basic locomotive designs to which the remanufacture system will be 
applied. Include in your description, a list of distinguishable 
configurations to be included in the engine family. Note whether you are 
requesting a certificate that will or will not cover idle controls.
    (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

[[Page 31]]

dependence of such timing on other operational parameters (e.g., engine 
coolant temperature).
    (iii) Each auxiliary emission control device (AECD).
    (iv) All fuel system components to be installed on any production or 
test locomotives.
    (v) Diagnostics.
    (3) A description of the test locomotive.
    (4) A description of the test equipment and fuel used. Identify any 
special or alternate test procedures you used.
    (5) A description of the operating cycle and the period of operation 
necessary to accumulate service hours on the test locomotive and 
stabilize emission levels. You may also include a Green Engine Factor 
that would adjust emissions from zero-hour engines to be equivalent to 
stabilized engines.
    (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.
    (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 your 
specified adjustable ranges on in-use engines.
    (7) Projected U.S. production information for each configuration. If 
you are projecting substantially different sales of a configuration than 
you had previously, we may require you to explain why you are projecting 
the change.
    (8)(i) All test data you obtained for each test engine or 
locomotive. As described in Sec. 1033.235, we may allow you to 
demonstrate compliance based on results from previous emission tests, 
development tests, or other testing information. Include data for NOx, 
PM, HC, CO, and CO2.
    (ii) Report measured CO2, N2O, and 
CH4 as described in Sec. 1033.235. Small manufacturers/
remanufacturers may omit reporting N2O and CH4.
    (9) The intended deterioration factors for the engine family, in 
accordance with Sec. 1033.245. If the deterioration factors for the 
engine family were developed using procedures that we have not 
previously approved, you should request preliminary approval under Sec. 
1033.210.
    (10) The intended useful life period for the engine family, in 
accordance with Sec. 1033.101(g). If the useful life for the engine 
family was determined using procedures that we have not previously 
approved, you should request preliminary approval under Sec. 1033.210.
    (11) Copies of your proposed emission control label(s), maintenance 
instructions, and installation instructions (where applicable).
    (12) An unconditional statement declaring that all locomotives 
included in the engine family comply with all requirements of this part 
and the Clean Air Act.
    (e) If we request it, you must supply such additional information as 
may be required to evaluate the application.
    (f) Provide the information to read, record, and interpret all the 
information broadcast by a locomotive's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. You may reference any 
appropriate publicly released standards that define conventions for 
these messages and parameters. Format your information consistent with 
publicly released standards.
    (g) Include the information required by other subparts of this part. 
For example, include the information required by Sec. 1033.725 if you 
participate in the ABT program.
    (h) Include other applicable information, such as information 
specified in this part or part 1068 of this chapter related to requests 
for exemptions.
    (i) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any

[[Page 32]]

action by EPA or otherwise by the United States related to the 
requirements of this part.
    (j) For imported locomotives, we may require you to describe your 
expected importation process.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 
FR 56508, Oct. 30, 2008]



Sec. 1033.210  Preliminary approval.

    (a) If you send us information before you finish the application, we 
will review it and make any appropriate determinations for questions 
related to engine family definitions, auxiliary emission-control 
devices, deterioration factors, testing for service accumulation, 
maintenance, and useful lives.
    (b) Decisions made under this section are considered to be 
preliminary approval, subject to final review and approval. We will 
generally not reverse a decision where we have given you preliminary 
approval, unless we find new information supporting a different 
decision.
    (c) If you request preliminary approval related to the upcoming 
model year or the model year after that, we will make best-efforts to 
make the appropriate determinations as soon as practicable. We will 
generally not provide preliminary approval related to a future model 
year more than three years ahead of time.
    (d) You must obtain preliminary approval for your plan to develop 
deterioration factors prior to the start of any service accumulation to 
be used to develop the factors.



Sec. 1033.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after 
you submit your application for certification, as long as the amended 
instructions remain consistent with the provisions of Sec. 1033.125. 
You must send the Designated Compliance Officer a request to amend your 
application for certification for an engine family if you want to change 
the emission-related maintenance instructions in a way that could affect 
emissions. In your request, describe the proposed changes to the 
maintenance instructions. If owners/operators follow the original 
maintenance instructions rather than the newly specified maintenance, 
this does not allow you to disqualify those locomotives from in-use 
testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any of the specified 
maintenance, you may distribute the new maintenance instructions to your 
customers 30 days after we receive your request, unless we disapprove 
your request. This would generally include replacing one maintenance 
step with another. We may approve a shorter time or waive this 
requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of filter changes for 
locomotives in severe-duty applications.
    (c) You do not need to request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).

[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010]



Sec. 1033.225  Amending applications for certification

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified locomotive configurations, 
subject to the provisions of this section. After we have issued your 
certificate of conformity, you may send us an amended application 
requesting that we include new or modified locomotive configurations 
within the scope of the certificate, subject to the provisions of this 
section. You must also amend your application if any changes occur with 
respect to any information that is included or should be included in 
your application. For example, you must

[[Page 33]]

amend your application if you determine that your actual production 
variation for an adjustable parameter exceeds the tolerances specified 
in your application.
    (a) You must amend your application before you take either of the 
following actions:
    (1) Add a locomotive configuration to an engine family. In this 
case, the locomotive added must be consistent with other locomotives in 
the engine family with respect to the criteria listed in Sec. 1033.230. 
For example, you must amend your application if you want to produce 12-
cylinder versions of the 16-cylinder locomotives you described in your 
application.
    (2) Change a locomotive already included in an engine family in a 
way that may affect emissions, or change any of the components you 
described in your application for certification. This includes 
production and design changes that may affect emissions any time during 
the locomotive's lifetime. For example, you must amend your application 
if you want to change a part supplier if the part was described in your 
original application and is different in any material respect than the 
part you described.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification, send the relevant 
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the locomotive 
model or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data locomotive is still 
appropriate for showing that the amended family complies with all 
applicable requirements.
    (3) If the original emission-data locomotive for the engine family 
is not appropriate to show compliance for the new or modified 
locomotive, include new test data showing that the new or modified 
locomotive meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified locomotive. You may ask for a 
hearing if we deny your request (see Sec. 1033.920).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified locomotive 
anytime after you send us your amended application, before we make a 
decision under paragraph (d) of this section. However, if we determine 
that the affected locomotives do not meet applicable requirements, we 
will notify you to cease production of the locomotives and may require 
you to recall the locomotives at no expense to the owner. Choosing to 
produce locomotives under this paragraph (e) is deemed to be consent to 
recall all locomotives that we determine do not meet applicable emission 
standards or other requirements and to remedy the nonconformity at no 
expense to the owner. If you do not provide information required under 
paragraph (c) of this section within 30 days after we request it, you 
must stop producing the new or modified locomotives.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to 
locomotives you have already introduced into U.S. commerce, except as 
described in this paragraph (f). If we approve a changed FEL after the 
start of production, you must include the new FEL on the emission 
control information label for all locomotives produced after the change. 
You may ask us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified locomotive, as described in paragraph (b)(3) of 
this section, use the appropriate FELs with corresponding

[[Page 34]]

production volumes to calculate emission credits for the model year, as 
described in subpart H of this part. In all other circumstances, you 
must use the higher FEL for the entire family to calculate emission 
credits under subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if 
you have test data from production locomotives showing that emissions 
are below the proposed lower FEL. The lower FEL applies only to engines 
or fuel-system components you produce after we approve the new FEL. Use 
the appropriate FELs with corresponding production volumes to calculate 
emission credits for the model year, as described in subpart H of this 
part.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010]



Sec. 1033.230  Grouping locomotives into engine families.

    (a) Divide your product line into engine families of locomotives 
that are expected to have similar emission characteristics throughout 
the useful life. Your engine family is limited to a single model year. 
Freshly manufactured locomotives may not be included in the same engine 
family as remanufactured locomotives, except as allowed by paragraph (f) 
of this section. Paragraphs (b) and (c) of this section specify default 
criteria for dividing locomotives into engine families. Paragraphs (d) 
and (e) of this section allow you deviate from these defaults in certain 
circumstances.
    (b) This paragraph (b) applies for all locomotives other than Tier 0 
locomotives. Group locomotives in the same engine family if they are the 
same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed and procedure(s) employed to 
maintain engine temperature within desired limits (thermostat, on-off 
radiator fan(s), radiator shutters, etc.).
    (3) The nominal 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 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 general performance characteristics of the turbocharger or 
supercharger (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.
    (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) Group Tier 0 locomotives in the same engine family if they are 
the same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed 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.

[[Page 35]]

    (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.
    (10) The type of fuel injection system control (electronic or 
mechanical).
    (d) You may subdivide a group of locomotives that is identical under 
paragraph (b) or (c) of this section into different engine families if 
you show the expected emission characteristics are different during the 
useful life. This allowance also covers locomotives for which only 
calculated emission rates differ, such as locomotives with and without 
energy-saving design features. For the purposes of determining whether 
an engine family is a small engine family in Sec. 1033.405(a)(2), we 
will consider the number of locomotives that could have been classed 
together under paragraph (b) or (c) of this section, instead of the 
number of locomotives that are included in a subdivision allowed by this 
paragraph (d).
    (e) In unusual circumstances, you may group locomotives that are not 
identical with respect to the things listed in paragraph (b) or (c) of 
this section in the same engine family if you show that their emission 
characteristics during the useful life will be similar.
    (f) During the first six calendar years after a new tier of 
standards becomes applicable, remanufactured engines/locomotives may be 
included in the same engine family as freshly manufactured locomotives, 
provided the same engines and emission controls are used for locomotive 
models included in the engine family.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]



Sec. 1033.235  Emission testing required for certification.

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec. 1033.101.
    (a) Select an emission-data locomotive (or engine) from each engine 
family for testing. It may be a low mileage locomotive, or a development 
engine (that is equivalent in design to the engines of the locomotives 
being certified), or another low hour engine. Use good engineering 
judgment to select the locomotive configuration that is most likely to 
exceed (or have emissions nearest to) an applicable emission standard or 
FEL. In making this selection, consider all factors expected to affect 
emission control performance and compliance with the standards, 
including emission levels of all exhaust constituents, especially 
NOX and PM.
    (b) Test your emission-data locomotives using the procedures and 
equipment specified in subpart F of this part.
    (c) We may measure emissions from any of your emission-data 
locomotives or other locomotives from the engine family.
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the locomotive to a test 
facility we designate. If we do the testing at your plant, you must 
schedule it as soon as possible and make available the instruments, 
personnel, and equipment we need.
    (2) If we measure emissions from one of your locomotives, the 
results of that testing become the official emission results for the 
locomotive. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your engine family meets applicable 
requirements.
    (3) Before we test one of your locomotives, we may set its 
adjustable parameters to any point within the adjustable ranges (see 
Sec. 1033.115(b)).
    (4) Before we test one of your locomotives, we may calibrate it 
within normal production tolerances for anything we do not consider an 
adjustable parameter. For example, this would apply where we determine 
that an engine parameter is not an adjustable parameter (as defined in 
Sec. 1033.901) but

[[Page 36]]

that it is subject to production variability.
    (d) You may ask to use carryover emission data from a previous model 
year instead of doing new tests if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year, or other factors 
not related to emissions. You may include additional configurations 
subject to the provisions of Sec. 1033.225.
    (2) The emission-data locomotive from the previous model year 
remains the appropriate emission-data locomotive under paragraph (b) of 
this section.
    (3) The data show that the emission-data locomotive would meet all 
the requirements that apply to the engine family covered by the 
application for certification.
    (e) You may ask to use emission data from a different engine family 
you have already certified instead of testing a locomotive in the second 
engine family if all the following are true:
    (1) The same engine is used in both engine families.
    (2) You demonstrate to us that the differences in the two families 
are sufficiently small that the locomotives in the untested family will 
meet the same applicable notch standards calculated from the test data.
    (f) We may require you to test a second locomotive of the same or 
different configuration in addition to the locomotive tested under 
paragraph (b) of this section.
    (g) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (h) The requirement to measure smoke emissions is waived for 
certification and production line testing, except where there is reason 
to believe your locomotives do not meet the applicable smoke standards.
    (i) Measure CO2 with each test. Measure CH4 
with each low-hour certification test using the procedures specified in 
40 CFR part 1065 starting in the 2012 model year. Also measure 
N2O with each low-hour certification test using the 
procedures specified in 40 CFR part 1065 for any engine family that 
depends on NOx aftertreatment to meet emission standards. Small 
manufacturers/remanufacturers may omit measurement of N2O and 
CH4. Use the same units and modal calculations as for your 
other results to report a single weighted value for CO2, 
N2O, and CH4. Round the final values as follows:
    (1) Round CO2 to the nearest 1 g/bhp-hr.
    (2) Round N2O to the nearest 0.001 g/bhp-hr.
    (3) Round CH4 to the nearest 0.001g/bhp-hr.

[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 
75 FR 22984, Apr. 30, 2010]



Sec. 1033.240  Demonstrating compliance with exhaust emission standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical emission standards in Sec. 
1033.101 if all emission-data locomotives representing that family have 
test results showing official emission results and deteriorated emission 
levels at or below these standards.
    (1) If you include your locomotive in the ABT program in subpart H 
of this part, your FELs are considered to be the applicable emission 
standards with which you must comply.
    (2) If you do not include your remanufactured locomotive in the ABT 
program in subpart H of this part, but it was previously included in the 
ABT program in subpart H of this part, the previous FELs are considered 
to be the applicable emission standards with which you must comply.
    (b) Your engine family is deemed not to comply if any emission-data 
locomotive representing that family has test results showing an official 
emission result or a deteriorated emission level for any pollutant that 
is above an applicable emission standard. Use the following steps to 
determine the deteriorated emission level for the test locomotive:
    (1) Collect emission data using measurements with enough significant 
figures to calculate the cycle-weighted

[[Page 37]]

emission rate to at least one more decimal place than the applicable 
standard. Apply any applicable humidity corrections before weighting 
emissions.
    (2) Apply the regeneration factors if applicable. At this point the 
emission rate is generally considered to be an official emission result.
    (3) Apply the deterioration factor to the official emission result, 
as described in Sec. 1033.245, then round the adjusted figure to the 
same number of decimal places as the emission standard. This adjusted 
value is the deteriorated emission level. Compare these emission levels 
from the emission-data locomotive with the applicable emission 
standards. In the case of NOX+NMHC standards, apply the 
deterioration factor to each pollutant and then add the results before 
rounding.
    (4) The highest deteriorated emission levels for each pollutant are 
considered to be the certified emission levels.
    (c) An owner/operator remanufacturing its locomotives to be 
identical to their previously certified configuration may certify by 
design without new emission test data. To do this, submit the 
application for certification described in Sec. 1033.205, but instead 
of including test data, include a description of how you will ensure 
that your locomotives will be identical in all material respects to 
their previously certified condition. You may use reconditioned parts 
consistent with good engineering judgment. You have all of the 
liabilities and responsibilities of the certificate holder for 
locomotives you certify under this paragraph.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]



Sec. 1033.245  Deterioration factors.

    Establish deterioration factors for each pollutant to determine, as 
described in Sec. 1033.240, whether your locomotives will meet emission 
standards for each pollutant throughout the useful life. Determine 
deterioration factors as described in this section, either with an 
engineering analysis, with pre-existing test data, or with new emission 
measurements. The deterioration factors are intended to reflect the 
deterioration expected to result during the useful life of a locomotive 
maintained as specified in Sec. 1033.125. If you perform durability 
testing, the maintenance that you may perform on your emission-data 
locomotive is limited to the maintenance described in Sec. 1033.125.
    (a) Your deterioration factors must take into account any available 
data from in-use testing with similar locomotives, consistent with good 
engineering judgment. For example, it would not be consistent with good 
engineering judgment to use 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.
    (b) Deterioration factors may be additive or multiplicative.
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (b)(2) of this section, use an additive 
deterioration factor for exhaust emissions. An additive deterioration 
factor for a pollutant is the difference between exhaust emissions at 
the end of the useful life and exhaust emissions at the low-hour test 
point. In these cases, adjust the official emission results for each 
tested locomotive at the selected test point by adding the factor to the 
measured emissions. The deteriorated emission level is intended to 
represent the highest emission level during the useful life. Thus, if 
the factor is less than zero, use zero. Additive deterioration factors 
must be specified to one more decimal place than the applicable 
standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested locomotive 
at the selected test point by multiplying the measured emissions by the 
deterioration factor.

[[Page 38]]

The deteriorated emission level is intended to represent the highest 
emission level during the useful life. Thus, if the factor is less than 
one, use one. A multiplicative deterioration factor may not be 
appropriate in cases where testing variability is significantly greater 
than locomotive-to-locomotive variability. Multiplicative deterioration 
factors must be specified to one more significant figure than the 
applicable standard.
    (c) Deterioration factors for smoke are always additive.
    (d) If your locomotive vents crankcase emissions to the exhaust or 
to the atmosphere, you must account for crankcase emission 
deterioration, using good engineering judgment. You may use separate 
deterioration factors for crankcase emissions of each pollutant (either 
multiplicative or additive) or include the effects in combined 
deterioration factors that include exhaust and crankcase emissions 
together for each pollutant.
    (e) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you determine your deterioration factors based on engineering 
analysis, explain why this is appropriate and include a statement that 
all data, analyses, evaluations, and other information you used are 
available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.



Sec. 1033.250  Reporting and recordkeeping.

    (a) Within 45 days after the end of the model year, send the 
Designated Compliance Officer a report describing the following 
information about locomotives you produced during the model year:
    (1) Report the total number of locomotives you produced in each 
engine family by locomotive model and engine model.
    (2) If you produced exempted locomotives, report the number of 
exempted locomotives you produced for each locomotive model and identify 
the buyer or shipping destination for each exempted locomotive. You do 
not need to report under this paragraph (a)(2) locomotives that were 
temporarily exempted, exported locomotives, locomotives exempted as 
manufacturer/remanufacturer-owned locomotives, or locomotives exempted 
as test locomotives.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec. 1033.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data locomotive. For each 
locomotive, describe all of the following:
    (i) The emission-data locomotive's construction, including its 
origin and buildup, steps you took to ensure that it represents 
production locomotives, any components you built specially for it, and 
all the components you include in your application for certification.
    (ii) How you accumulated locomotive operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose locomotive or emission control 
performance, giving the date and time of each and the reasons for the 
test.
    (vi) Any other significant events.
    (4) If you test a development engine for certification, you may omit 
information otherwise required by paragraph (b)(3) of this section that 
is unrelated to emissions and emission-related components.
    (5) Production figures for each engine family divided by assembly 
plant.

[[Page 39]]

    (6) Keep a list of locomotive identification numbers for all the 
locomotives you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in paragraph (a) of this section for eight years after we 
issue your certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.
    (e) Send us copies of any locomotive maintenance instructions or 
explanations if we ask for them.



Sec. 1033.255  EPA decisions.

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Clean Air 
Act, we will issue a certificate of conformity for your engine family 
for that model year. We may make the approval subject to additional 
conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Clean Air Act. We will base our 
decision on all available information. If we deny your application, we 
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities. This includes a 
failure to provide reasonable assistance.
    (5) Produce locomotives for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all locomotives being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information when we ask for it.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 1033.920).

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]



 Subpart D_Manufacturer and Remanufacturer Production Line Testing and 
                             Audit Programs



Sec. 1033.301  Applicability.

    The requirements of this part apply to manufacturers/remanufacturers 
of locomotives certified under this part, with the following exceptions:
    (a) The requirements of Sec. Sec. 1033.310 1033.315, 1033.320, and 
1033.330 apply only to manufacturers of freshly manufactured locomotives 
or locomotive engines (including those used for repowering). We may also 
apply these requirements to remanufacturers of any locomotives for which 
there is reason to believe production problems exist that could affect 
emission performance. When we make a determination that production 
problems may exist that could affect emission performance, we will 
notify the remanufacturer(s). The requirements of Sec. Sec. 1033.310, 
1033.315, 1033.320, and 1033.330 will apply as specified in the notice.
    (b) The requirements of Sec. 1033.335 apply only to 
remanufacturers.
    (c) As specified in Sec. 1033.1(d), we may apply the requirements 
of this subpart to manufacturers/remanufacturers that do not certify the 
locomotives. However, unless we specify otherwise, the requirements of 
this subpart apply to manufacturers/remanufacturers that hold the 
certificates for the locomotives.

[[Page 40]]



Sec. 1033.305  General requirements.

    (a) Manufacturers (and remanufacturers, where applicable) are 
required to test production line locomotives using the test procedures 
specified in Sec. 1033.315. While this subpart refers to locomotive 
testing, you may ask to test locomotive engines instead of testing 
locomotives.
    (b) Remanufacturers are required to conduct audits according to the 
requirements of Sec. 1033.335 to ensure that remanufactured locomotives 
comply with the requirements of this part.
    (c) If you certify an engine family with carryover emission data, as 
described in Sec. 1033.235, 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. 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 locomotives that have failed emission tests.
    (d) You may ask to use an alternate program or measurement method 
for testing production-line engines. In your request, you must show us 
that the alternate program gives equal assurance that your engines meet 
the requirements of this part. We may waive some or all of this 
subpart's requirements if we approve your alternate program.



Sec. 1033.310  Sample selection for testing.

    (a) At the start of each model year, begin randomly selecting 
locomotives from each engine family for production line testing at a 
rate of one percent. Make the selection of the test locomotive after it 
has been assembled. Perform the testing throughout the entire model year 
to the extent possible, unless we specify a different schedule for your 
tests. For example, we may require you to disproportionately select 
locomotives from the early part of a model year for a new locomotive 
model that has not been subject to PLT previously.
    (1) The required sample size for an engine family (provided that no 
locomotive tested fails to meet applicable emission standards) 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. See paragraph (d) of this section to determine the 
required number of test locomotives if any locomotives fail to comply 
with any standards.
    (2) You may elect to test additional locomotives. All additional 
locomotives must be tested in accordance with the applicable test 
procedures of this part.
    (b) You must assemble the test locomotives using the same production 
process that will be used for locomotives to be introduced into 
commerce. You may ask us to allow special assembly procedures for 
catalyst-equipped locomotives.
    (c) Unless we approve it, you may not use any quality control, 
testing, or assembly procedures that you do not use during the 
production and assembly of all other locomotives of that family. This 
applies for any test locomotive or any portion of a locomotive, 
including engines, parts, and subassemblies.
    (d) If one or more locomotives fail a production line test, then you 
must test two additional locomotives from the next fifteen produced in 
that engine family for each locomotive that fails. These two additional 
locomotives do not count towards your minimum number of locomotives. For 
example, if you are required to test a minimum of four locomotives under 
paragraph (a) of this section and the second locomotive fails to comply 
with one or more standards, then you must test two additional 
locomotives from the next fifteen produced in that engine family. If 
both of those locomotives pass all standards, you are required to test 
two additional locomotives to complete the original minimum number of 
four. If they both pass, you are done with testing for that family for 
the year since you tested six locomotives (the four originally required 
plus the two additional locomotives).



Sec. 1033.315  Test procedures.

    (a) Test procedures. Use the test procedures described in subpart F 
of this part, except as specified in this section.

[[Page 41]]

    (1) You may ask to use other test procedures. We will approve your 
request if we determine that it is not possible to perform satisfactory 
testing using the specified procedures. We may also approve alternate 
test procedures under Sec. 1033.305(d).
    (2) If you used test procedures other than those in subpart F of 
this part during certification for the engine family (other than 
alternate test procedures necessary for testing a development engine or 
a low hour engine instead of a low mileage locomotive), use the same 
test procedures for production line testing that you used in 
certification.
    (b) Modifying a test locomotive. Once an engine is selected for 
testing, you may adjust, repair, maintain, or modify it or check its 
emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Adjustable parameters. (1) Confirm that adjustable parameters 
are set to values or positions that are within the range recommended to 
the ultimate purchaser.
    (2) We may require to be adjusted any adjustable parameter to any 
setting within the specified adjustable range of that parameter prior to 
the performance of any test.
    (d) Stabilizing emissions. You may stabilize emissions from the 
locomotives to be tested through service accumulation by running the 
engine through a typical duty cycle. Emissions are considered stabilized 
after 300 hours of operation. You may accumulate fewer hours, consistent 
with good engineering judgment. You may establish a Green Engine Factor 
for each regulated pollutant for each engine family, instead of (or in 
combination with) accumulating actual operation, to be used in 
calculating emissions test results. You must obtain our approval prior 
to using a Green Engine Factor. For catalyst-equipped locomotives, you 
may operate the locomotive for up to 1000 hours (in revenue or other 
service) prior to testing.
    (e) Adjustment after shipment. If a locomotive 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, you 
may perform the necessary adjustment or repair only after the initial 
test of the locomotive, unless we determine that the test would be 
impossible to perform or would permanently damage the locomotive.
    (f) Malfunctions. If a locomotive cannot complete the service 
accumulation or an emission test because of a malfunction, you may 
request that we authorize either the repair of that locomotive or its 
deletion from the test sequence.
    (g) Retesting. If you determine that any production line emission 
test of a locomotive is invalid, you must retest it in accordance with 
the requirements of this subpart. Report emission results from all tests 
to us, including test results you determined are invalid. You must also 
include a detailed explanation of the reasons for invalidating any test 
in the quarterly report required in Sec. 1033.320(e). In the event a 
retest is performed, you may ask us within ten days of the end of the 
production quarter for permission to substitute the after-repair test 
results for the original test results. We will respond to the request 
within ten working days of our receipt of the request.



Sec. 1033.320  Calculation and reporting of test results.

    (a) Calculate initial test results using the applicable test 
procedure specified in Sec. 1033.315(a). Include applicable non-
deterioration adjustments such as a Green Engine Factor or regeneration 
adjustment factor. Round the results to one more decimal place than the 
applicable emission standard.
    (b) If you conduct multiple tests on any locomotives, calculate 
final test results by summing the initial test results derived in 
paragraph (a) of this section for each test locomotive, dividing by the 
number of tests conducted on the locomotive, and rounding to one more 
decimal place than the applicable emission standard. For catalyst-
equipped locomotives, you may ask us

[[Page 42]]

to allow you to exclude an initial failed test if all of the following 
are true:
    (1) The catalyst was in a green condition when tested initially.
    (2) The locomotive met all emission standards when retested after 
degreening the catalyst.
    (3) No additional emission-related maintenance or repair was 
performed between the initial failed test and the subsequent passing 
test.
    (c) Calculate the final test results for each test locomotive by 
applying the appropriate deterioration factors, derived in the 
certification process for the engine family, to the final test results, 
and rounding to one more decimal place than the applicable emission 
standard.
    (d) If, subsequent to an initial failure of a production line test, 
the average of the test results for the failed locomotive and the two 
additional locomotives 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 you must notify us within ten 
working days of such noncompliance.
    (e) Within 45 calendar days of the end of each quarter, you must 
send to the Designated Compliance Officer a report with the following 
information:
    (1) The location and description of the emission test facilities 
which you used to conduct your testing.
    (2) Total production and sample size for each engine family tested.
    (3) The applicable standards against which each engine family was 
tested.
    (4) For each test conducted, include all of the following:
    (i) A description of the test locomotive, 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 prior to testing.
    (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. If 
the locomotive was introduced into service between assembly and testing, 
you are only required to summarize the service accumulation, rather than 
identifying specific locations.
    (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, has not been reported pursuant to any other paragraph of 
this subpart, and will not be performed on other production locomotives.
    (v) Any other information we may ask you to add to your written 
report so we can determine whether your new engines conform with the 
requirements of this part.
    (6) For each failed locomotive as defined in Sec. 1033.330(a), a 
description of the remedy and test results for all retests as required 
by Sec. 1033.340(g).
    (7) The following signed statement and endorsement by an authorized 
representative of your company:

    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1033. We have not changed production 
processes or quality-control procedures for the test locomotives in a 
way that might affect emission controls. All the information in this 
report is true and accurate to the best of my knowledge. I know of the 
penalties for violating the Clean Air Act and the regulations. 
(Authorized Company Representative)



Sec. 1033.325  Maintenance of records; submittal of information.

    (a) You must establish, maintain, and retain the following 
adequately organized and indexed test records:
    (1) A description of all equipment used to test locomotives. The 
equipment requirements in subpart F of this part apply to tests 
performed under this subpart. Maintain these records for each test cell 
that can be used to perform emission testing under this subpart.
    (2) Individual test records for each production line test or audit 
including:

[[Page 43]]

    (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 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, 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 locomotive was shipped from the 
assembly plant, associated storage facility or port facility, and the 
date the locomotive was received at the testing facility.
    (vi) A complete record of all emission tests or audits performed 
under this subpart (except tests performed directly by us), including 
all individual worksheets and/or other documentation relating to each 
test, or exact copies thereof, according to the record requirements 
specified in subpart F of this part and 40 CFR part 1065.
    (vii) A brief description of any significant events during testing 
not otherwise described under this paragraph (a)(2), commencing with the 
test locomotive selection process and including such extraordinary 
events as engine damage during shipment.
    (b) Keep all records required to be maintained under this subpart 
for a period of eight years after completion of all testing. Store these 
records in any format and on any media, as long as you can promptly 
provide to us organized, written records in English if we ask for them 
and all the information is retained.
    (c) Send us the following information with regard to locomotive 
production if we ask for it:
    (1) Projected production for each configuration within each engine 
family for which certification has been requested and/or approved.
    (2) Number of locomotives, by configuration and assembly plant, 
scheduled for production.
    (d) Nothing in this section limits our authority to require you to 
establish, maintain, keep or submit to us information not specified by 
this section. We may also ask you to send less information.
    (e) Send all reports, submissions, notifications, and requests for 
approval made under this subpart to the Designated Compliance Officer 
using an approved format.
    (f) You must keep a copy of all reports submitted under this 
subpart.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]



Sec. 1033.330  Compliance criteria for production line testing.

    There are two types of potential failures: failure of an individual 
locomotive to comply with the standards, and a failure of an engine 
family to comply with the standards.
    (a) A failed locomotive is one whose final test results pursuant to 
Sec. 1033.320(c), for one or more of the applicable pollutants, exceed 
an 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 and the two additional locomotives 
tested, is greater than any applicable emission standard or FEL.



Sec. 1033.335  Remanufactured locomotives: installation audit requirements.

    The section specifies the requirements for certifying 
remanufacturers to audit the remanufacture of locomotives covered by 
their certificates of conformity for proper components, component 
settings and component installations on randomly chosen locomotives in 
an engine family.
    (a) You must ensure that all emission related components are 
properly installed on the locomotive and are set to the proper 
specification as indicated in your instructions. You may submit audits 
performed by the owners/operators of the locomotives, provided the 
audits are performed in accordance with the provisions of this section. 
We may require that you obtain affidavits

[[Page 44]]

for audits performed by owners/operators.
    (b) Audit at least five percent of your annual production per model 
year per installer or ten per engine family per installer, whichever is 
less. You must perform more audits if there are any failures. Randomly 
select the locomotives to be audited after the remanufacture is 
complete. We may allow you to select locomotives prior to the completion 
of the remanufacture, if the 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). Unless we specify otherwise, you are 
not required to audit installers that remanufacture fewer than 10 
locomotives per year under your certificates (combined for all of your 
engine families).
    (c) The audit should be completed as soon as is practical after the 
remanufacture is complete. In no case may the remanufactured locomotive 
accumulate more than 45,000 miles prior to an audit.
    (d) A locomotive fails if any emission related components are found 
to be improperly installed, improperly adjusted or incorrectly used.
    (e) If a remanufactured locomotive fails an audit, then you must 
audit two additional locomotives 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, you determine that the three locomotives 
audited are found to have had any improperly installed, improperly 
adjusted or incorrectly used components. You must notify us within 2 
working days of a determination of an engine family audit failure.
    (g) Within 45 calendar days of the end of each quarter, the 
remanufacturer must send the Designated Compliance Officer a report 
which includes the following information:
    (1) The location and description of your 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 audited locomotive, including:
    (A) Configuration and engine family identification;
    (B) Year, make, build date, and remanufacture date; and
    (C) Locomotive and engine identification numbers;
    (ii) Any other information we request relevant to the determination 
whether the new locomotives being remanufactured do in fact conform with 
the regulations with respect to which the certificate of conformity was 
issued;
    (5) For each failed locomotive as defined in paragraph (d) of this 
section, a description of the remedy as required by Sec. 1033.340(g);
    (6) The following signed statement and endorsement by your 
authorized representative:

    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line auditing conformed completely with the 
requirements of 40 CFR part 1033. We have not changed production 
processes or quality-control procedures for the audited locomotives in a 
way that might affect emission controls. All the information in this 
report is true and accurate to the best of my knowledge. I know of the 
penalties for violating the Clean Air Act and the regulations. 
(Authorized Company Representative)

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]



Sec. 1033.340  Suspension and revocation of certificates of conformity.

    (a) A certificate can be suspended for an individual locomotive as 
follows:
    (1) The certificate of conformity is automatically suspended for any 
locomotive that fails a production line test pursuant to Sec. 
1033.330(a), effective from the time the testing of that locomotive is 
completed.
    (2) The certificate of conformity is automatically suspended for any 
locomotive that fails an audit pursuant to Sec. 1033.335(d), effective 
from the time that auditing of that locomotive is completed.
    (b) A certificate can be suspended for an engine family as follows:
    (1) We may suspend the certificate of conformity for an engine 
family that is

[[Page 45]]

in noncompliance pursuant to Sec. 1033.330(b), thirty days after the 
engine family is deemed to be in noncompliance.
    (2) We may suspend the certificate of conformity for an engine 
family that is determined to have failed an audit pursuant to Sec. 
1033.335(f). This suspension will not occur before thirty days after the 
engine family is deemed to be in noncompliance.
    (c) If we suspend your certificate of conformity for an engine 
family, the suspension may apply to all facilities producing engines 
from an engine family, even if you find noncompliant engines only at one 
facility.
    (d) We may revoke a certificate of conformity for any engine family 
in whole or in part if:
    (1) You fail to comply with any of the requirements of this subpart.
    (2) You submit false or incomplete information in any report or 
information provided to us under this subpart.
    (3) You render 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 authorized 
activities for any reason.
    (e) We will notify you 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 a locomotive or engine family is deemed to be in 
noncompliance under Sec. Sec. 1033.320(d), 1033.330(a), 1033.330(b), or 
1033.335(f) is made, whichever is earlier, except that the certificate 
is immediately suspended with respect to any failed locomotives as 
provided for in paragraph (a) of this section.
    (f) We may revoke a certificate of conformity for an engine family 
when the certificate has been suspended under 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, 
as provided for in paragraph (a) of this section, you must take all the 
following actions before the certificate is reinstated for that failed 
locomotive:
    (1) Remedy the nonconformity.
    (2) Demonstrate that the locomotive conforms to applicable standards 
or family emission limits by retesting, or reauditing if applicable, the 
locomotive in accordance with this part.
    (3) Submit a written report to us after successful completion of 
testing (or auditing, if applicable) on the failed locomotive, which 
contains a description of the remedy and testing (or auditing) results 
for each locomotive 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, you must take the 
following actions before we will consider reinstating the certificate:
    (1) Submit a written report to us identifying the reason for the 
noncompliance of the locomotives, describing the remedy, including a 
description of any quality control measures you will use to prevent 
future occurrences of the problem, and stating 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) locomotives selected from normal 
production runs of that engine family. Such testing (or auditing) must 
comply with the provisions of this subpart. If you elect to continue 
testing (or auditing) individual locomotives after suspension of a 
certificate, the certificate is reinstated for any locomotive actually 
determined to be in conformance with the applicable standards or family 
emission limits through testing (or auditing) in accordance with the 
applicable test procedures, provided that we have not revoked the 
certificate under paragraph (f) of this section.
    (i) If the certificate has been revoked for an engine family, you 
must take the following actions before we will issue a certificate that 
would allow you

[[Page 46]]

to continue introduction into commerce of a modified version of that 
family:
    (1) If we determine that the change(s) in locomotive design may have 
an effect on emission deterioration, we will notify you within five 
working days after receipt of the report in paragraph (h) of this 
section, whether subsequent testing/auditing under this subpart will be 
sufficient to evaluate the change(s) or whether additional testing (or 
auditing) will be required.
    (2) After implementing the change or changes intended to remedy the 
nonconformity, you must demonstrate that the modified engine family does 
in fact conform with the regulations of this part by testing locomotives 
(or auditing for remanufactured locomotives) selected from normal 
production runs of that engine family. When both of these requirements 
are met, we will reissue the certificate or issue a new certificate. If 
this subsequent testing (or auditing) 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 pursuant to paragraph (a) 
of this section, but not later than 30 days (or such other period as may 
we allow) after the notification our decision to suspend or revoke a 
certificate of conformity in whole or in part pursuant to this section, 
you may request a hearing as to whether the tests or audits have been 
properly conducted or any sampling methods have been properly applied. 
(See Sec. 1033.920.)
    (k) Any suspension of a certificate of conformity under paragraphs 
(a) through (d) of this section will be made only after you have been 
offered an opportunity for a hearing conducted in accordance with Sec. 
1033.920. It will not apply to locomotives no longer in your possession.
    (l) If we suspend, revoke, or void a certificate of conformity, and 
you believe that our decision was based on erroneous information, you 
may ask us to reconsider our decision before requesting a hearing. If 
you demonstrate to our satisfaction that our decision was based on 
erroneous information, we will reinstate the certificate.
    (m) We may conditionally reinstate the certificate for that family 
so that you do not have to store non-test locomotives while conducting 
subsequent testing or auditing of the noncomplying family subject to the 
following condition: you must commit to recall all locomotives 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.



                        Subpart E_In-use Testing



Sec. 1033.401  Applicability.

    The requirements of this subpart are applicable to certificate 
holders for locomotives subject to the provisions of this part. These 
requirements may also be applied to other manufacturers/remanufacturers 
as specified in Sec. 1033.1(d).



Sec. 1033.405  General provisions.

    (a) Each year, we will identify engine families and configurations 
within families that you must test according to the requirements of this 
section.
    (1) We may require you to test one engine family each year for which 
you have received a certificate of conformity. If you are a manufacturer 
that holds certificates of conformity for both freshly manufactured and 
remanufactured locomotive engine families, we may require you to test 
one freshly manufactured engine family and one remanufactured engine 
family. We may require you to test additional engine families if we have 
reason to believe that locomotives in such families 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 we have reason to believe that 
those engine families are not complying with the applicable emission 
standards in use.
    (b) Test a sample of in-use locomotives from an engine family, as 
specified in Sec. 1033.415. We will use these data, and any other data 
available to us, to determine the compliance status of classes of 
locomotives, including for purposes of recall under 40 CFR part

[[Page 47]]

1068, and whether remedial action is appropriate.



Sec. 1033.410  In-use test procedure.

    (a) You must test the complete locomotives; you may not test engines 
that are not installed in locomotives at the time of testing.
    (b) Test the locomotive according to the test procedures outlined in 
subpart F of this part, except as provided in this section.
    (c) Use the same test procedures for in-use testing as were used for 
certification, except for cases in which certification testing was not 
conducted with a locomotive, but with a development engine or other 
engine. In such cases, we will specify deviations from the certification 
test procedures as appropriate. We may allow or require other alternate 
procedures, with advance approval.
    (d) Set all adjustable locomotive or engine parameters to values or 
positions that are within the range specified in the certificate of 
conformity. We may require you to set these parameters to specific 
values.
    (e) We may waive a portion of the applicable test procedure that is 
not necessary to determine in-use compliance.



Sec. 1033.415  General testing requirements.

    (a) Number of locomotives to be tested. Determine the number of 
locomotives to be tested by the following method:
    (1) Test a minimum of 2 locomotives per engine family, except as 
provided in paragraph (a)(2) of this section. You must test additional 
locomotives if any locomotives fail to meet any standard. Test 2 more 
locomotives for each failing locomotive, but stop testing if the total 
number of locomotives tested equals 10.
    (2) If an engine family has been certified using carryover emission 
data from a family that has been previously tested under paragraph 
(a)(1) of this section (and we have not ordered or begun to negotiate 
remedial action of that family), you need to test only one locomotive 
per engine family. If that 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.
    (3) You may ask us to allow you to test more locomotives than the 
minimum number described above or you may concede failure before testing 
10 locomotives.
    (b) Compliance criteria. We will consider failure rates, average 
emission levels and the existence of any defects among other factors in 
determining whether to pursue remedial action. We may order a recall 
pursuant to 40 CFR part 1068 before testing reaches the tenth 
locomotive.
    (c) Collection of in-use locomotives. Procure in-use locomotives 
that have been operated for 50 to 75 percent of the locomotive's useful 
life for testing under this subpart. Complete testing required by this 
section for any engine family before useful life of the locomotives in 
the engine family passes. (Note: Sec. 1033.820 specifies that railroads 
must make reasonable efforts to enable you to perform this testing.)



Sec. 1033.420  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 your recommended emission-related maintenance requirements.
    (1) When procuring locomotives for in-use testing, ask the end users 
about the accumulated usage, maintenance, operating conditions, and 
storage of the test locomotives.
    (2) Your selection of test locomotives is subject to our approval. 
Maintain the information you used to procure locomotives for in-use 
testing in the same manner as is required in Sec. 1033.250.
    (b) You may perform minimal set-to-spec maintenance on a test 
locomotive before conducting in-use testing. Maintenance may include 
only that which is listed in the owner's instructions for locomotives 
with the amount of service and age of the acquired test locomotive. 
Maintain documentation of all maintenance and adjustments.
    (c) If the locomotive selected for testing is equipped with emission 
diagnostics meeting the requirements in Sec. 1033.110 and the MIL is 
illuminated, you may read the code and repair the

[[Page 48]]

malfunction according to your emission-related maintenance instructions, 
but only to the degree that an owner/operator would be required to 
repair the malfunction under Sec. 1033.815.
    (d) Results of at least one valid set of emission tests using the 
test procedure described in subpart F of this part is required for each 
in-use locomotive.
    (e) If in-use testing results show that an in-use locomotive fails 
to comply with any applicable emission standards, you must determine the 
reason for noncompliance and report your findings in the quarterly in-
use test result report described in Sec. 1033.425.



Sec. 1033.425  In-use test program reporting requirements.

    (a) Within 90 days of completion of testing, send us all emission 
test results generated from the in-use testing program. Report all of 
the following information for each locomotive tested:
    (1) Engine family, and configuration.
    (2) Locomotive and engine models.
    (3) Locomotive and engine serial numbers.
    (4) Date of manufacture or remanufacture, as applicable.
    (5) Megawatt-hours of use (or miles, as applicable).
    (6) Date and time of each test attempt.
    (7) Results of all emission testing.
    (8) Results (if any) of each voided or failed test attempt.
    (9) Summary of all maintenance and/or adjustments performed.
    (10) Summary of all modifications and/or repairs.
    (11) Determinations of noncompliance.
    (12) The following signed statement and endorsement by an authorized 
representative of your company.
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our in-use testing conformed completely with the requirements of 40 
CFR part 1033. All the information in this report is true and accurate 
to the best of my knowledge. I know of the penalties for violating the 
Clean Air Act and the regulations. (Authorized Company Representative)
    (b) Report to us within 90 days 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. 1033.420.
    (2) The owner of each locomotive identified in paragraph (b)(1) of 
this section (or other entity responsible for the maintenance of the 
locomotive).
    (3) The specific reasons why the locomotives were excluded from the 
test sample.
    (c) Submit the information outlined in paragraphs (a) and (b) of 
this section electronically using an approved format. We may exempt you 
from this requirement upon written request with supporting 
justification.
    (d) Send all testing reports and requests for approvals to the 
Designated Compliance Officer.



                        Subpart F_Test Procedures



Sec. 1033.501  General provisions.

    (a) Except as specified in this subpart, use the equipment and 
procedures for compression-ignition engines in 40 CFR part 1065 to 
determine whether your locomotives meet the duty-cycle emission 
standards in Sec. 1033.101. Use the applicable duty cycles specified in 
this subpart. Measure emissions of all the pollutants we regulate in 
Sec. 1033.101 plus CO2. Measure N2O, and 
CH4 as described in Sec. 1033.235. The general test 
procedure is the procedure specified in 40 CFR part 1065 for steady-
state discrete-mode cycles. However, if you use the optional ramped 
modal cycle in Sec. 1033.520, follow the procedures for ramped modal 
testing in 40 CFR part 1065. The following exceptions from the 1065 
procedures apply:
    (1) You must average power and emissions over the sampling periods 
specified in this subpart for both discrete-mode testing and ramped 
modal testing.
    (2) The test cycle is considered to be steady-state with respect to 
operator demand rather than engine speed and load.
    (3) The provisions related to engine mapping and duty cycle 
generation (40

[[Page 49]]

CFR 1065.510 and 1065.512) are not applicable to testing of complete 
locomotives or locomotive engines because locomotive operation and 
locomotive duty cycles are based on operator demand via locomotive notch 
settings rather than engine speeds and loads. The cycle validation 
criteria (40 CFR 1065.514) are not applicable to testing of complete 
locomotives but do apply for dynamometer testing of engines.
    (b) You may use special or alternate procedures to the extent we 
allow as them under 40 CFR 1065.10. In some cases, we allow you to use 
procedures that are less precise or less accurate than the specified 
procedures if they do not affect your ability to show that your 
locomotives comply with the applicable emission standards. This 
generally requires emission levels to be far enough below the applicable 
emission standards so that any errors caused by greater imprecision or 
inaccuracy do not affect your ability to state unconditionally that the 
locomotives meet all applicable emission standards.
    (c) This part allows (with certain limits) testing of either a 
complete locomotive or a separate uninstalled engine. When testing a 
locomotive, you must test the complete locomotive in its in-use 
configuration, except that you may disconnect the power output and fuel 
input for the purpose of testing. To calculate power from measured 
alternator/generator output, use an alternator/generator efficiency 
curve that varies with speed/load, consistent with good engineering 
judgment.
    (d) Unless smoke standards do not apply for your locomotives or the 
testing requirement is waived, measure smoke emissions using the 
procedures in Sec. 1033.525.
    (e) Use the applicable fuel listed in 40 CFR part 1065, subpart H, 
to perform valid tests.
    (1) For diesel-fueled locomotives, use the appropriate diesel fuel 
specified in 40 CFR part 1065, subpart H, for emission testing. The 
applicable diesel test fuel is either the ultra low-sulfur diesel or 
low-sulfur diesel fuel, as specified in Sec. 1033.101. Identify the 
test fuel in your application for certification and ensure that the fuel 
inlet label is consistent with your selection of the test fuel (see 
Sec. Sec. 1033.101 and 1033.135).
    (2) You may ask to use as a test fuel commercially available diesel 
fuel similar but not identical to the applicable fuel specified in 40 
CFR part 1065, subpart H; we will approve your request if you show us 
that it does not affect your ability to demonstrate compliance with the 
applicable emission standards. If your locomotive uses sulfur-sensitive 
technology, you may not use an in-use fuel that has a lower sulfur 
content than the range specified for the otherwise applicable test fuel 
in 40 CFR part 1065. If your locomotive does not use sulfur-sensitive 
technology, we may allow you to use an in-use fuel that has a lower 
sulfur content than the range specified for the otherwise applicable 
test fuel in 40 CFR part 1065, but may require that you correct PM 
emissions to account for the sulfur differences.
    (3) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use 
locomotives will use.
    (f) See Sec. 1033.505 for information about allowable ambient 
testing conditions for testing.
    (g) This subpart is addressed to you as a manufacturer/
remanufacturer, but it applies equally to anyone who does testing for 
you, and to us when we perform testing to determine if your locomotives 
meet emission standards.
    (h) We may also perform other testing as allowed by the Clean Air 
Act.
    (i) For passenger locomotives that can generate hotel power from the 
main propulsion engine, the locomotive must comply with the emission 
standards when in non-hotel setting. For hotel mode, the locomotive is 
subject to the notch cap provisions of Sec. 1033.101 and the defeat 
device prohibition of Sec. 1033.115.

[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 
75 FR 22984, Apr. 30, 2010]



Sec. 1033.505  Ambient conditions.

    This section specifies the allowable ambient conditions (including 
temperature and pressure) under which testing may be performed to 
determine compliance with the emission standards of Sec. 1068.101. 
Manufacturers/remanufacturers may ask to perform testing at conditions 
other than those

[[Page 50]]

allowed by this section. We will allow such testing provided it does not 
affect your ability to demonstrate compliance with the applicable 
standards. See Sec. Sec. 1033.101 and 1033.115 for more information 
about the requirements that apply at other conditions.
    (a) Temperature. (1) Testing may be performed with ambient 
temperatures from 15.5 [deg]C (60 [deg]F) to 40.5 [deg]C (105 [deg]F). 
Do not correct emissions for temperature effects within this range.
    (2) It is presumed that combustion air will be drawn from the 
ambient air. Thus, the ambient temperature limits of this paragraph (a) 
apply for intake air upstream of the engine. If you do not draw 
combustion air from the ambient air, use good engineering judgment to 
ensure that any temperature difference (between the ambient air and 
combustion air) does not cause the emission measurement to be 
unrepresentative of in-use emissions.
    (3) If we allow you to perform testing at ambient temperatures below 
15.5 [deg]C, you must correct NOX emissions for temperature 
effects, consistent with good engineering judgment. For example, if the 
intake air temperature (at the manifold) is lower at the test 
temperature than it would be for equivalent operation at an ambient 
temperature of 15.5 [deg]C, you generally will need to adjust your 
measured NOX emissions to account for the effect of the lower 
intake air temperature. However, if you maintain a constant manifold air 
temperature, you will generally not need to correct emissions.
    (b) Altitude/pressure. Testing may be performed with ambient 
pressures from 88.000 kPa (26.0 in Hg) to 103.325 kPa (30.5 in Hg). This 
is intended to correspond to altitudes up to 4000 feet above sea level. 
Do not correct emissions for pressure effects within this range.
    (c) Humidity. Testing may be performed with any ambient humidity 
level. Correct NOX emissions as specified in 40 CFR 1065.670. 
Do not correct any other emissions for humidity effects.
    (d) Wind. If you test outdoors, use good engineering judgment to 
ensure that excessive wind does not affect your emission measurements. 
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, or otherwise cause any dilution of the exhaust. 
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 or through the 
sample probe.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]



Sec. 1033.510  Auxiliary power units.

    If your locomotive is equipped with an auxiliary power unit (APU) 
that operates during an idle shutdown mode, you must account for the 
APU's emissions rates as specified in this section, unless the APU is 
part of an AESS system that was certified separately from the rest of 
the locomotive. This section does not apply for auxiliary engines that 
only provide hotel power.
    (a) Adjust the locomotive main engine's idle emission rate (g/hr) as 
specified in Sec. 1033.530. Add the APU emission rate (g/hr) that you 
determine under paragraph (b) of this section. Use the locomotive main 
engine's idle power as specified in Sec. 1033.530.
    (b) Determine the representative emission rate for the APU using one 
of the following methods.
    (1) Installed APU tested separately. If you separately measure 
emission rates (g/hr) for each pollutant from the APU installed in the 
locomotive, you may use the measured emissions rates (g/hr) as the 
locomotive's idle emissions rates when the locomotive is shutdown and 
the APU is operating. For all testing other than in-use testing, apply 
appropriate deterioration factors to the measured emission rates. You 
may ask to carryover APU emission data for a previous test, or use data 
for the same APU installed on locomotives in another engine family.
    (2) Uninstalled APU tested separately. If you separately measure 
emission rates (g/hr) over an appropriate duty-cycle for each pollutant 
from the APU when it is not installed in the locomotive, you may use the 
measured emissions rates (g/hr) as the locomotive's idle emissions rates 
when the locomotive is shutdown and the APU is

[[Page 51]]

operating. For the purpose of this paragraph (b)(2), an appropriate 
duty-cycle is one that approximates the APU engine's cycle-weighted 
power when operating in the locomotive. Apply appropriate deterioration 
factors to the measured emission rates. You may ask to carryover APU 
emission data for a previous test, or use data for the same APU 
installed on locomotives in another engine family.
    (3) APU engine certification data. If the engine used for the APU 
has been certified to EPA emission standards you may calculate the APU's 
emissions based upon existing EPA-certification information about the 
APU's engine. In this case, calculate the APU's emissions as follows:
    (i) For each pollutant determine the brake-specific standard/FEL to 
which the APU engine was originally EPA-certified.
    (ii) Determine the APU engine's cycle-weighted power when operating 
in the locomotive.
    (iii) Multiply each of the APU's applicable brake-specific 
standards/FELs by the APU engine's cycle-weighted power. The results are 
the APU's emissions rates (in g/hr).
    (iv) Use these emissions rates as the locomotive's idle emissions 
rates when the locomotive is shutdown and the APU is running. Do not 
apply a deterioration factor to these values.
    (4) Other. You may ask us to approve an alternative means to account 
for APU emissions.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]



Sec. 1033.515  Discrete-mode steady-state emission tests of locomotives and locomotive engines.

    This section describes how to test locomotives at each notch setting 
so that emissions can be weighted according to either the line-haul duty 
cycle or the switch duty cycle. The locomotive test cycle consists of a 
warm-up followed by a sequence of nominally steady-state discrete test 
modes, as described in Table 1 to this section. The test modes are 
steady-state with respect to operator demand, which is the notch setting 
for the locomotive. Engine speeds and loads are not necessarily steady-
state.
    (a) Follow the provisions of 40 CFR part 1065, subpart F for general 
pre-test procedures (including engine and sampling system pre-
conditioning which is included as engine warm-up). You may operate the 
engine in any way you choose to warm it up prior to beginning the sample 
preconditioning specified in 40 CFR part 1065.
    (b) Begin the test by operating the locomotive over the pre-test 
portion of the cycle specified in Table 1 to this section. For 
locomotives not equipped with catalysts, you may begin the test as soon 
as the engine reaches its lowest idle setting. For catalyst-equipped 
locomotives, you may begin the test in normal idle mode if the engine 
does not reach its lowest idle setting within 15 minutes. If you do 
start in normal idle, run the low idle mode after normal idle, then 
resume the specified mode sequence (without repeating the normal idle 
mode).
    (c) Measure emissions during the rest of the test cycle.
    (1) Each test mode begins when the operator demand to the locomotive 
or engine is set to the applicable notch setting.
    (2) Start measuring gaseous emissions, power, and fuel consumption 
at the start of the test mode A and continue until the completion of 
test mode 8. You may zero and span analyzers between modes (or take 
other actions consistent with good engineering judgment).
    (i) The sample period over which emissions for the mode are averaged 
generally begins when the operator demand is changed to start the test 
mode and ends within 5 seconds of the minimum sampling time for the test 
mode is reached. However, you need to shift the sampling period to 
account for sample system residence times. Follow the provisions of 40 
CFR 1065.308 and 1065.309 to time align emission and work measurements.
    (ii) The sample period is 300 seconds for all test modes except mode 
10. The sample period for test mode 8 is 600 seconds.
    (3) If gaseous emissions are sampled using a batch-sampling method, 
begin proportional sampling at the beginning of each sampling period and 
terminate

[[Page 52]]

sampling once the minimum time in each test mode is reached,  5 seconds.
    (4) If applicable, begin the smoke test at the start of the test 
mode A. Continue collecting smoke data until the completion of test mode 
8. Refer to Sec. 1033.101 to determine applicability of smoke testing 
and Sec. 1033.525 for details on how to conduct a smoke test.
    (5) Begin proportional sampling of PM emissions at the beginning of 
each sampling period and terminate sampling within  5 seconds of the specified time in each test mode. If 
the PM sample is not sufficiently large, take one of the following 
actions consistent with good engineering judgment:
    (i) Extend the sampling period up to a maximum of 15 minutes.
    (ii) Group the modes in the same manner as the phases of the ramped 
modal cycle and use three different dilution settings for the groups. 
Use one setting for both idle modes, one for dynamic brake through notch 
5, and one for notches 6 through 8. For each group, ensure that the mode 
with the highest exhaust flow (typically normal idle, notch 5, and notch 
8) meets the criteria for minimum dilution ratio in 40 CFR part 1065.
    (6) Proceed through each test mode in the order specified in Table 1 
to this section until the locomotive test cycle is completed.
    (7) At the end of each numbered test mode, you may continue to 
operate sampling and dilution systems to allow corrections for the 
sampling system's response time.
    (8) Following the completion of Mode 8, conduct the post sampling 
procedures in Sec. 1065.530. Note that cycle validation criteria do not 
apply to testing of complete locomotives.

                                Table 1 to Sec.  1033.515--Locomotive Test Cycle
----------------------------------------------------------------------------------------------------------------
                                                               Time in mode        Sample averaging  period for
             Test mode                  Notch setting          (minutes) \1\              emissions \1\
----------------------------------------------------------------------------------------------------------------
Pre-test idle.....................  Lowest idle setting..  10 to 15 \3\........  Not applicable
A.................................  Low idle \2\.........  5 to 10.............  300  5
                                                                                  seconds
B.................................  Normal idle..........  5 to 10.............  300  5
                                                                                  seconds
C.................................  Dynamic brake \2\....  5 to 10.............  300  5
                                                                                  seconds
1.................................  Notch 1..............  5 to 10.............  300  5
                                                                                  seconds
2.................................  Notch 2..............  5 to 10.............  300  5
                                                                                  seconds
3.................................  Notch 3..............  5 to 10.............  300  5
                                                                                  seconds
4.................................  Notch 4..............  5 to 10.............  300  5
                                                                                  seconds
5.................................  Notch 5..............  5 to 10.............  300  5
                                                                                  seconds
6.................................  Notch 6..............  5 to 10.............  300  5
                                                                                  seconds
7.................................  Notch 7..............  5 to 10.............  300  5
                                                                                  seconds
8.................................  Notch 8..............  10 to 15............  600  5
                                                                                  seconds
----------------------------------------------------------------------------------------------------------------
\1\ The time in each notch and sample averaging period may be extended as needed to allow for collection of a
  sufficiently large PM sample.
\2\ Omit if not so equipped.
\3\ See paragraph (b) of this section for alternate pre-test provisions.

    (d) Use one of the following approaches for sampling PM emissions 
during discrete-mode steady-state testing:
    (1) Engines certified to a PM standard/FEL at or above 0.05 g/bhp-
hr. Use a separate PM filter sample for each test mode of the locomotive 
test cycle according to the procedures specified in paragraph (a) 
through (c) of this section. You may ask to use a shorter sampling 
period if the total mass expected to be collected would cause 
unacceptably high pressure drop across the filter before reaching the 
end of the required sampling time. We will not allow sampling times 
shorter than 60 seconds. When we conduct locomotive emission tests, we 
will adhere to the time limits for each of the numbered modes in Table 1 
to this section.
    (2) Engines certified to a PM standard/FEL below 0.05 g/bhp-hr. (i) 
You may use separate PM filter samples for each test mode as described 
in paragraph (d)(1) of this section; however, we recommend that you do 
not. The low rate of sample filter loading will result in very long 
sampling times and the large number of filter samples may induce 
uncertainty stack-up that will lead to unacceptable PM measurement 
accuracy. Instead, we recommend that you

[[Page 53]]

measure PM emissions as specified in paragraph (d)(2)(ii) of this 
section.
    (ii) You may use a single PM filter for sampling PM over all of the 
test modes of the locomotive test cycle as specified in this paragraph 
(d)(2). Vary the sample time to be proportional to the applicable line-
haul or switch weighting factors specified in Sec. 1033.530 for each 
mode. The minimum sampling time for each mode is 400 seconds multiplied 
by the weighting factor. For example, for a mode with a weighting factor 
of 0.030, the minimum sampling time is 12.0 seconds. PM sampling in each 
mode must be proportional to engine exhaust flow as specified in 40 CFR 
part 1065. Begin proportional sampling of PM emissions at the beginning 
of each test mode as is specified in paragraph (c) of this section. End 
the sampling period for each test mode so that sampling times are 
proportional to the weighting factors for the applicable duty cycles. If 
necessary, you may extend the time limit for each of the test modes 
beyond the sampling times in Table 1 to this section to increase the 
sampled mass of PM emissions or to account for proper weighting of the 
PM emission sample over the entire cycle, using good engineering 
judgment.
    (e) This paragraph (e) describes how to test locomotive engines when 
not installed in a locomotive. Note that the test procedures for 
dynamometer engine testing of locomotive engines are intended to produce 
emission measurements that are the same as emission measurements 
produced during testing of complete locomotives using the same engine 
configuration. The following requirements apply for all engine tests:
    (1) Specify a second-by-second set of engine speed and load points 
that are representative of in-use locomotive operation for each of the 
set-points of the locomotive test cycle described in Table 1 to this 
section, including transitions from one notch to the next. This is your 
reference cycle for validating your cycle. You may ignore points between 
the end of the sampling period for one mode and the point at which you 
change the notch setting to begin the next mode.
    (2) Keep the temperature of the air entering the engine after any 
charge air cooling to within 5 [deg]C of the typical intake manifold air 
temperature when the engine is operated in the locomotive under similar 
ambient conditions.
    (3) Proceed as specified in paragraphs (a) through (d) of this 
section for testing complete locomotives.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 
FR 8424, Feb. 24, 2009; 75 FR 22985, Apr. 30, 2010]



Sec. 1033.520  Alternative ramped modal cycles.

    (a) Locomotive testing over a ramped modal cycle is intended to 
improve measurement accuracy at low emission levels by allowing the use 
of batch sampling of PM and gaseous emissions over multiple locomotive 
notch settings. Ramped modal cycles combine multiple test modes of a 
discrete-mode steady-state into a single sample period. Time in notch is 
varied to be proportional to weighting factors. The ramped modal cycle 
for line-haul locomotives is shown in Table 1 to this section. The 
ramped modal cycle for switch locomotives is shown in Table 2 to this 
section. Both ramped modal cycles consist of a warm-up followed by three 
test phases that are each weighted in a manner that maintains the duty 
cycle weighting of the line-haul and switch locomotive duty cycles in 
Sec. 1033.530. You may use ramped modal cycle testing for any 
locomotives certified under this part.
    (b) Ramped modal testing requires continuous gaseous analyzers and 
three separate PM filters (one for each phase). You may collect a single 
batch sample for each test phase, but you must also measure gaseous 
emissions continuously to allow calculation of notch caps as required 
under Sec. 1033.101.
    (c) You may operate the engine in any way you choose to warm it up. 
Then follow the provisions of 40 CFR part 1065, subpart F for general 
pre-test procedures (including engine and sampling system pre-
conditioning).
    (d) Begin the test by operating the locomotive over the pre-test 
portion of the cycle. For locomotives not equipped with catalysts, you 
may begin the test as soon as the engine reaches

[[Page 54]]

its lowest idle setting. For catalyst-equipped locomotives, you may 
begin the test in normal idle mode if the engine does not reach its 
lowest idle setting within 15 minutes. If you do start in normal idle, 
run the low idle mode after normal idle, then resume the specified mode 
sequence (without repeating the normal idle mode).
    (e) Start the test according to 40 CFR 1065.530.
    (1) Each test phase begins when operator demand is set to the first 
operator demand setting of each test phase of the ramped modal cycle. 
Each test phase ends when the time in mode is reached for the last mode 
in the test phase.
    (2) For PM emissions (and other batch sampling), the sample period 
over which emissions for the phase are averaged generally begins within 
10 seconds after the operator demand is changed to start the test phase 
and ends within 5 seconds of the sampling time for the test mode is 
reached. (see Table 1 to this section). You may ask to delay the start 
of the sample period to account for sample system residence times longer 
than 10 seconds.
    (3) Use good engineering judgment when transitioning between phases.
    (i) You should come as close as possible to simultaneously:
    (A) Ending batch sampling of the previous phase.
    (B) Starting batch sampling of the next phase.
    (C) Changing the operator demand to the notch setting for the first 
mode in the next phase.
    (ii) Avoid the following:
    (A) Overlapping batch sampling of the two phases.
    (B) An unnecessarily long delay before starting the next phase.
    (iii) For example, the following sequence would generally be 
appropriate:
    (A) End batch sampling for phase 2 after 240 seconds in notch 7.
    (B) Switch the operator demand to notch 8 one second later.
    (C) Begin batch sampling for phase 3 one second after switching to 
notch 8.
    (4) If applicable, begin the smoke test at the start of the first 
test phase of the applicable ramped modal cycle. Continue collecting 
smoke data until the completion of final test phase. Refer to Sec. 
1033.101 to determine applicability of the smoke standards and Sec. 
1033.525 for details on how to conduct a smoke test.
    (5) Proceed through each test phase of the applicable ramped modal 
cycle in the order specified until the test is completed.
    (6) If you must void a test phase you may repeat the phase. To do 
so, begin with a warm engine operating at the notch setting for the last 
mode in the previous phase. You do not need to repeat later phases if 
they were valid. (Note: you must report test results for all voided 
tests and test phases.)
    (7) Following the completion of the third test phase of the 
applicable ramped modal cycle, conduct the post sampling procedures 
specified in 40 CFR 1065.530.
    (f) Calculate your cycle-weighted brake-specific emission rates as 
follows:
    (1) For each test phase j:
    (i) Calculate emission rates (Eij) for each pollutant i 
as the total mass emissions divided by the total time in the phase.
    (ii) Calculate average power (Pj) as the total work 
divided by the total time in the phase.
    (2) For each pollutant, calculate your cycle-weighted brake-specific 
emission rate using the following equation, where wj is the 
weighting factor for phase j:
[GRAPHIC] [TIFF OMITTED] TR06MY08.010

    (g) The following tables define applicable ramped modal cycles for 
line-haul and switch locomotives:

                       Table 1 to Sec.  1033.520--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                RMC test phase                  Weighting     RMC     Time in             Notch setting
----------------------------------------------    factor     mode       mode    --------------------------------
                                              ---------------------  (seconds)
                Pre-test idle                                      -------------     Lowest idle setting \1\
                                                    NA        NA     600 to 900
----------------------------------------------------------------------------------------------------------------
Phase 1                                        ...........       A          600  Low Idle.\2\

[[Page 55]]

 
(Idle test)..................................        0.380       B          600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 C         1000  Dynamic Brake.\3\
                                                                 1          520  Notch 1.
Phase 2......................................        0.389       2          520  Notch 2.
                                                                 3          416  Notch 3.
                                                                 4          352  Notch 4.
                                                                 5          304  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 6          144  Notch 6.
Phase 3......................................        0.231       7          111  Notch 7.
                                                                 8          600  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
\3\ Operate at normal idle if not equipped with a dynamic brake.


                        Table 2 to Sec.  1033.520--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                RMC test phase                  Weighting     RMC     Time in             Notch setting
----------------------------------------------    factor     mode       mode    --------------------------------
                                              ---------------------  (seconds)
                Pre-test idle                                      -------------     Lowest idle setting \1\
                                                    NA        NA     600 to 900
----------------------------------------------------------------------------------------------------------------
Phase 1                                        ...........       A          600  Low Idle.\2\
(Idle test)..................................        0.598       B          600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 1          868  Notch 1.
                                               ...........       2          861  Notch 2.
Phase 2......................................        0.377       3          406  Notch 3.
                                                                 4          252  Notch 4.
                                                                 5          252  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 6         1080  Notch 6.
Phase 3......................................        0.025       7          144  Notch 7.
                                                                 8          576  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.


[73 FR 37197, June 30, 2008, as amended at 74 FR 8424, Feb. 24, 2009]



Sec. 1033.525  Smoke testing.

    This section describes the equipment and procedures for testing for 
smoke emissions when is required.
    (a) This section specifies how to measure smoke emissions using a 
full-flow, open path light extinction smokemeter. A light extinction 
meter consists of a built-in light beam that traverses the exhaust smoke 
plume that issues from exhaust the duct. The light beam must be at right 
angles to the axis of the plume. Align the light beam to go through the 
plume along the hydraulic diameter (defined in 1065.1001) of the exhaust 
stack. Where it is difficult to align the beam to have a path length 
equal to the hydraulic diameter (such as a long narrow rectangular 
duct), you may align the beam to have a different path length and 
correct it to be equivalent to a path length equal to the hydraulic 
diameter. The light extinction meter must meet the requirements of 
paragraph (b) of this section and the following requirements:

[[Page 56]]

    (1) Use an incandescent light source with a color temperature range 
of 2800K to 3250K, or a light source with a spectral peak between 550 
and 570 nanometers.
    (2) Collimate the light beam to a nominal diameter of 3 centimeters 
and an angle of divergence within a 6 degree included angle.
    (3) Use a photocell or photodiode light detector. If the light 
source is an incandescent lamp, use a detector that has 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).
    (4) Attach a collimating tube to the detector with apertures equal 
to the beam diameter to restrict the viewing angle of the detector to 
within a 16 degree included angle.
    (5) Amplify the detector signal corresponding to the amount of 
light.
    (6) You may use an air curtain across the light source and detector 
window assemblies to minimize deposition of smoke particles on those 
surfaces, provided that it does not measurably affect the opacity of the 
plume.
    (7) Minimize distance from the optical centerline to the exhaust 
outlet; in no case may it be more than 3.0 meters. The maximum allowable 
distance of unducted space upstream of the optical centerline is 0.5 
meters. Center the full flow of the exhaust stream between the source 
and detector apertures (or windows and lenses) and on the axis of the 
light beam.
    (8) You may use light extinction meters employing substantially 
identical measurement principles and producing substantially equivalent 
results, but which employ other electronic and optical techniques.
    (b) All smokemeters must meet the following specifications:
    (1) A full-scale deflection response time of 0.5 second or less.
    (2) You may attenuate signal responses with frequencies higher than 
10 Hz with a separate low-pass electronic filter with the following 
performance characteristics:
    (i) Three decibel point: 10 Hz.
    (ii) Insertion loss: 0.0  0.5 dB.
    (iii) Selectivity: 12 dB down at 40 Hz minimum.
    (iv) Attenuation: 27 dB down at 40 Hz minimum.
    (c) Perform the smoke test by continuously recording smokemeter 
response over the entire locomotive test cycle in percent opacity to 
within one percent resolution and also simultaneously record operator 
demand set point (e.g., notch position). Compare the recorded opacities 
to the smoke standards applicable to your locomotive.
    (d) You may use a partial flow sampling smokemeter if you correct 
for the path length of your exhaust plume. If you use a partial flow 
sampling meter, follow the instrument manufacturer's installation, 
calibration, operation, and maintenance procedures.



Sec. 1033.530  Duty cycles and calculations.

    This section describes how to apply the duty cycle to measured 
emission rates to calculate cycle-weighted average emission rates.
    (a) Standard duty cycles and calculations. Tables 1 and 2 of this 
section show the duty cycle to use to calculate cycle-weighted average 
emission rates for locomotives equipped with two idle settings, eight 
propulsion notches, and at least one dynamic brake notch and tested 
using the Locomotive Test Cycle. Use the appropriate weighting factors 
for your locomotive application and calculate cycle-weighted average 
emissions as specified in 40 CFR part 1065, subpart G.

Table 1 to Sec.  1033.530--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for Locomotives
                                           With Multiple Idle Settings
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
                                                                            Line-haul    weighting      Switch
               Notch setting                           Test mode            weighting     factors     weighting
                                                                             factors    (no dynamic    factors
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Low Idle...................................  A...........................        0.190        0.190        0.299

[[Page 57]]

 
Normal Idle................................  B...........................        0.190        0.315        0.299
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
Notch 1....................................  1...........................        0.065        0.065        0.124
Notch 2....................................  2...........................        0.065        0.065        0.123
Notch 3....................................  3...........................        0.052        0.052        0.058
Notch 4....................................  4...........................        0.044        0.044        0.036
Notch 5....................................  5...........................        0.038        0.038        0.036
Notch 6....................................  6...........................        0.039        0.039        0.015
Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.


Table 2 to Sec.  1033.530--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for Locomotives
                                           With a Single Idle Setting
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
               Notch setting                           Test mode            Line-haul   (no dynamic     Switch
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Normal Idle................................  A...........................        0.380        0.505        0.598
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
Notch 1....................................  1...........................        0.065        0.065        0.124
Notch 2....................................  2...........................        0.065        0.065        0.123
Notch 3....................................  3...........................        0.052        0.052        0.058
Notch 4....................................  4...........................        0.044        0.044        0.036
Notch 5....................................  5...........................        0.038        0.038        0.036
Notch 6....................................  6...........................        0.039        0.039        0.015
Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.

    (b) Idle and dynamic brake notches. The test procedures generally 
require you to measure emissions at two idle settings and one dynamic 
brake, as follows:
    (1) If your locomotive is equipped with two idle settings and one or 
more dynamic brake settings, measure emissions at both idle settings and 
the worst case dynamic brake setting, and weight the emissions as 
specified in the applicable table of this section. Where it is not 
obvious which dynamic brake setting represents worst case, do one of the 
following:
    (i) You may measure emissions and power at each dynamic brake point 
and average them together.
    (ii) You may measure emissions and power at the dynamic brake point 
with the lowest power.
    (2) If your locomotive is equipped with two idle settings and is not 
equipped with dynamic brake, use a normal idle weighting factor of 0.315 
for the line-haul cycle. If your locomotive is equipped with only one 
idle setting and no dynamic brake, use an idle weighting factor of 0.505 
for the line-haul cycle.
    (c) Nonstandard notches or no notches. If your locomotive is 
equipped with more or less than 8 propulsion notches, recommend an 
alternate test cycle based on the in-use locomotive configuration. 
Unless you have data demonstrating that your locomotive will be operated 
differently from conventional locomotives, recommend weighting factors 
that are consistent with the power weightings of the specified duty 
cycle. For example, the average load factor for your recommended cycle 
(cycle-weighted power divided by rated power) should be equivalent to 
those of conventional locomotives. We may also allow the use of the 
standard power levels shown in Table 3 to this section for nonstandard 
locomotive testing subject to our prior approval.

[[Page 58]]

This paragraph (c) does not allow engines to be tested without 
consideration of the actual notches that will be used.

 Table 3 to Sec.  1033.530--Standard Notch Power Levels Expressed as a
                        Percentage of Rated Power
------------------------------------------------------------------------
                                                                Percent
------------------------------------------------------------------------
Normal Idle..................................................       0.00
Dynamic Brake................................................       0.00
Notch 1......................................................       4.50
Notch 2......................................................      11.50
Notch 3......................................................      23.50
Notch 4......................................................      35.00
Notch 5......................................................      48.50
Notch 6......................................................      64.00
Notch 7......................................................      85.00
Notch 8......................................................     100.00
------------------------------------------------------------------------

    (d) Optional Ramped Modal Cycle Testing. Tables 1 and 2 of Sec. 
1033.520 show the weighting factors to use to calculate cycle-weighted 
average emission rates for the applicable locomotive ramped modal cycle. 
Use the weighting factors for the ramped modal cycle for your locomotive 
application and calculate cycle-weighted average emissions as specified 
in 40 CFR part 1065, subpart G.
    (e) Automated Start-Stop. For a locomotive equipped with features 
that shut the engine off after prolonged periods of idle, multiply the 
measured idle mass emission rate over the idle portion of the applicable 
test cycles by a factor equal to one minus the estimated fraction 
reduction in idling time that will result in use from the shutdown 
feature. Do not apply this factor to the weighted idle power. 
Application of this adjustment is subject to our approval if the 
fraction reduction in idling time that is estimated to result from the 
shutdown feature is greater than 25 percent. This paragraph (e) does not 
apply if the locomotive is (or will be) covered by a separate 
certificate for idle control.
    (f) Multi-engine locomotives. This paragraph (f) applies for 
locomotives using multiple engines where all engines are identical in 
all material respects. In cases where we allow engine dynamometer 
testing, you may test a single engine consistent with good engineering 
judgment, as long as you test it at the operating points at which the 
engines will operate when installed in the locomotive (excluding 
stopping and starting). Weigh the results to reflect the power demand/
power-sharing of the in-use configuration for each notch setting.
    (g) Representative test cycles for freshly manufactured locomotives. 
As specified in this paragraph (g), manufacturers may be required to use 
an alternate test cycle for freshly manufactured Tier 3 and later 
locomotives.
    (1) If you determine that you are adding design features that will 
make the expected average in-use duty cycle for any of your freshly 
manufactured locomotive engine families significantly different from the 
otherwise applicable test cycle (including weighting factors), you must 
notify us and recommend an alternate test cycle that represents the 
expected average in-use duty cycle. You should also obtain preliminary 
approval before you begin collecting data to support an alternate test 
cycle. We will specify whether to use the default duty cycle, your 
recommended cycle, or a different cycle, depending on which cycle we 
believe best represents expected in-use operation.
    (2) The provisions of this paragraph (g) apply differently for 
different types of locomotives, as follows:
    (i) For Tier 4 and later line-haul locomotives, use the cycle 
required by (g)(1) of this section to show compliance with the line-haul 
cycle standards.
    (ii) For Tier 3 and later switch locomotives, use the cycle required 
by (g)(1) of this section to show compliance with the switch cycle 
standards.
    (iii) For Tier 3 line-haul locomotives, if we specify an alternate 
cycle, use it to show compliance with the line-haul cycle standards. If 
you include the locomotives in the ABT program of subpart H of this 
part, calculate line-haul cycle credits (positive or negative) using the 
alternate cycle and the line-haul cycle standards. Your locomotive is 
deemed to also generate an equal amount of switch cycle credits.
    (3) For all locomotives certified using an alternate cycle, include 
a description of the cycle in the owners manual such that the locomotive 
can be remanufactured using the same cycle.
    (4) For example, if your freshly manufactured line-haul locomotives 
are

[[Page 59]]

equipped with load control features that modify how the locomotive will 
operate when it is in a consist, and such features will cause the 
locomotives to operate differently from the otherwise applicable line-
haul cycle, we may require you to certify using an alternate cycle.
    (5) See paragraph (h) of this section for cycle-changing design 
features that also result in energy savings.
    (h) Calculation adjustments for energy-saving design features. The 
provisions of this paragraph (h) apply for locomotives equipped with new 
energy-saving locomotive design features. They do not apply for features 
that only improve the engine's brake-specific fuel consumption. They 
also do not apply for features that were commonly incorporated in 
locomotives before 2008. See paragraph (h)(6) of this section for 
provisions related to determining whether certain features are 
considered to have been commonly incorporated in locomotives before 
2008.
    (1) Manufacturers/remanufacturers choosing to adjust emissions under 
this paragraph (h) must do all of the following for certification:
    (i) Describe the energy-saving features in your application for 
certification.
    (ii) Describe in your installation instruction and/or maintenance 
instructions all steps necessary to utilize the energy-saving features.
    (2) If your design feature will also affect the locomotives' duty 
cycle, you must comply with the requirements of paragraph (g) of this 
section.
    (3) Calculate the energy savings as follows:
    (i) Estimate the expected mean in-use fuel consumption rate (on a 
BTU per ton-mile basis) with and without the energy saving design 
feature, consistent with the specifications of paragraph (h)(4) of this 
section. The energy savings is the ratio of fuel consumed from a 
locomotive operating with the new feature to fuel consumed from a 
locomotive operating without the feature under identical conditions. 
Include an estimate of the 80 percent confidence interval for your 
estimate of the mean and other statistical parameters we specify.
    (ii) Your estimate must be based on in-use operating data, 
consistent with good engineering judgment. Where we have previously 
certified your design feature under this paragraph (h), we may require 
you to update your analysis based on all new data that are available. 
You must obtain approval before you begin collecting operational data 
for this purpose.
    (iii) We may allow you to consider the effects of your design 
feature separately for different route types, regions, or railroads. We 
may require that you certify these different locomotives in different 
engine families and may restrict their use to the specified 
applications.
    (iv) Design your test plan so that the operation of the locomotives 
with and without is as similar as possible in all material aspects 
(other than the design feature being evaluated). Correct all data for 
any relevant differences, consistent with good engineering judgment.
    (v) Do not include any brake-specific energy savings in your 
calculated values. If it is not possible to exclude such effects from 
your data gathering, you must correct for these effects, consistent with 
good engineering judgment.
    (4) Calculate adjustment factors as described in this paragraph 
(h)(4). If the energy savings will apply broadly, calculate and apply 
the adjustment on a cycle-weighted basis. Otherwise, calculate and apply 
the adjustment separately for each notch. To apply the adjustment, 
multiply the emissions (either cycle-weighted or notch-specific, as 
applicable) by the adjustment. Use the lower bound of the 80 percent 
confidence interval of the estimate of the mean as your estimated energy 
savings rate. We may cap your energy savings rate for this paragraph 
(h)(4) at 80 percent of the estimate of the mean. Calculate the emission 
adjustment factors as:

AF = 1.000 - (energy savings rate)

    (5) We may require you to collect and report data from locomotives 
we allow you to certify under this paragraph (h) and to recalculate the 
adjustment factor for future model years based on such data.

[[Page 60]]

    (6) Features that are considered to have not been commonly 
incorporated in locomotives before 2008 include but are not limited to 
those identified in this paragraph (h)(6).
    (i) Electronically controlled pneumatic (ECP) brakes, computerized 
throttle management control, and advanced hybrid technology were not 
commonly incorporated in locomotives before 2008. Manufacturers may 
claim full credit for energy savings that result from applying these 
features to freshly manufactured and/or remanufactured locomotives.
    (ii) Distributed power systems that use radio controls to optimize 
operation of locomotives in the middle and rear of a train were commonly 
incorporated in some but not all locomotives in 2008. Manufacturers may 
claim credit for incorporating these features into locomotives as 
follows:
    (A) Manufacturers may claim prorated credit for incorporating 
distributed power systems in freshly manufactured locomotives. Multiply 
the energy saving rate by 0.50 when calculating the adjustment factor:

AF = 1.000-(energy savings rate) x (0.50)

    (B) Manufacturers may claim full credit for retrofitting distributed 
power systems in remanufactured locomotives.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75 
FR 22985, Apr. 30, 2010]



Sec. 1033.535  Adjusting emission levels to account for infrequently 

regenerating aftertreatment devices.

    This section describes how to adjust emission results from 
locomotives using aftertreatment technology with infrequent regeneration 
events that occur during testing. See paragraph (e) of this section for 
how to adjust ramped modal testing. See paragraph (f) of this section 
for how to adjust discrete-mode testing. For this section, 
``regeneration'' means an intended event during which emission levels 
change while the system restores aftertreatment performance. For 
example, hydrocarbon emissions may increase temporarily while oxidizing 
accumulated particulate matter in a trap. Also for this section, 
``infrequent'' refers to regeneration events that are expected to occur 
on average less than once per sample period.
    (a) Developing adjustment factors. Develop an upward adjustment 
factor and a downward adjustment factor for each pollutant based on 
measured emission data and observed regeneration frequency. Adjustment 
factors should generally apply to an entire engine family, but you may 
develop separate adjustment factors for different configurations within 
an engine family. If you use adjustment factors for certification, you 
must identify the frequency factor, F, from paragraph (b) of this 
section in your application for certification and use the adjustment 
factors in all testing for that engine family. You may use carryover or 
carry-across data to establish adjustment factors for an engine family, 
as described in Sec. 1033.235, consistent with good engineering 
judgment. All adjustment factors for regeneration are additive. 
Determine adjustment factors separately for different test segments as 
described in paragraphs (e) and (f) of this section. You may use either 
of the following different approaches for locomotives that use 
aftertreatment with infrequent regeneration events:
    (1) You may disregard this section if you determine that 
regeneration does not significantly affect emission levels for an engine 
family (or configuration) or if it is not practical to identify when 
regeneration occurs. If you do not use adjustment factors under this 
section, your locomotives must meet emission standards for all testing, 
without regard to regeneration.
    (2) You may ask us to approve an alternate methodology to account 
for regeneration events. We will generally limit approval to cases in 
which your locomotives use aftertreatment technology with extremely 
infrequent regeneration and you are unable to apply the provisions of 
this section.
    (b) Calculating average emission factors. Calculate the average 
emission factor (EFA) based on the following equation:

EFA = (F)(EFH) + (1-F)(EFL)

Where:

F = the frequency of the regeneration event during normal in-use 
operation, expressed in terms of the fraction of equivalent tests

[[Page 61]]

during which the regeneration occurs. You may determine F from in-use 
operating data or running replicate tests. For example, if you observe 
that the regeneration occurs 125 times during 1000 MW-hrs of operation, 
and your locomotive typically accumulates 1 MW-hr per test, F would be 
(125) / (1000) x (1) = 0.125.
EFH = measured emissions from a test segment in which the regeneration 
occurs.
EFL = measured emissions from a test segment in which the regeneration 
does not occur.

    (c) Applying adjustment factors. Apply adjustment factors based on 
whether regeneration occurs during the test run. You must be able to 
identify regeneration in a way that is readily apparent during all 
testing.
    (1) If regeneration does not occur during a test segment, add an 
upward adjustment factor to the measured emission rate. Determine the 
upward adjustment factor (UAF) using the following equation:

UAF = EFA-EFL

    (2) If regeneration occurs or starts to occur during a test segment, 
subtract a downward adjustment factor from the measured emission rate. 
Determine the downward adjustment factor (DAF) using the following 
equation:

DAF = EFH-EFA

    (d) Sample calculation. If EFL is 0.10 g/bhp-hr, EFH is 0.50 g/ bhp-
hr, and F is 0.10 (the regeneration occurs once for each ten tests), 
then:

EFA = (0.10)(0.50 g/ bhp-hr) + (1.00-0.10)(0.10 g/ bhp-hr) = 0.14 g/ 
    bhp-hr.
UAF = 0.14 g/ bhp-hr-0.10 g/ bhp-hr = 0.04 g/ bhp-hr.
DAF = 0.50 g/ bhp-hr-0.14 g/ bhp-hr = 0.36 g/ bhp-hr

    (e) Ramped modal testing. Develop separate adjustment factors for 
each test phase. If a regeneration has started but has not been 
completed when you reach the end of a test phase, use good engineering 
judgment to reduce your downward adjustments to be proportional to the 
emission impact that occurred in the test phases.
    (f) Discrete-mode testing. Develop separate adjustment factors for 
each test mode. If a regeneration has started but has not been completed 
when you reach the end of the sampling time for a test mode extend the 
sampling period for that mode until the regeneration is completed.



                 Subpart G_Special Compliance Provisions



Sec. 1033.601  General compliance provisions.

    Locomotive manufacturer/remanufacturers, as well as owners and 
operators of locomotives subject to the requirements of this part, and 
all other persons, must observe the provisions of this part, the 
requirements and prohibitions in 40 CFR part 1068, and the provisions of 
the Clean Air Act. The provisions of 40 CFR part 1068 apply for 
locomotives as specified in that part, except as otherwise specified in 
this section.
    (a) Meaning of terms. When used in 40 CFR part 1068, apply meanings 
for specific terms as follows:
    (1) ``Manufacturer'' means manufacturer and/or remanufacturer.
    (2) ``Date of manufacture'' means date of original manufacture for 
freshly manufactured locomotives and the date on which a remanufacture 
is completed for remanufactured engines.
    (b) Engine rebuilding. The provisions of 40 CFR 1068.120 do not 
apply when remanufacturing locomotives under a certificate of conformity 
issued under this part.
    (c) Exemptions. (1) The exemption provisions of 40 CFR 1068.240 
(i.e., exemptions for replacement engines) do not apply for domestic or 
imported locomotives. (Note: You may introduce into commerce freshly 
manufactured replacement engines under this part, provided the 
locomotives into which they are installed are covered by a certificate 
of conformity.)
    (2) The exemption provisions of 40 CFR 1068.250 and 1068.255 (i.e., 
exemptions for hardship relief) do not apply for domestic or imported 
locomotives. See Sec. 1033.620 for provisions related to hardship 
relief.
    (3) The exemption provisions of 40 CFR 1068.261 (i.e., exemptions 
for delegated assembly) do not apply for domestic or imported 
locomotives, except as specified in Sec. 1033.630.
    (4) The provisions for importing engines and equipment under the 
identical configuration exemption of 40

[[Page 62]]

CFR 1068.315(i) do not apply for locomotives.
    (5) The provisions for importing engines and equipment under the 
ancient engine exemption of 40 CFR 1068.315(j) do not apply for 
locomotives.
    (d) SEAs, defect reporting, and recall. The provisions of 40 CFR 
part 1068, subpart E (i.e., SEA provisions) do not apply for 
locomotives. Except as noted in this paragraph (d), the provisions of 40 
CFR part 1068, subpart F, apply to certificate holders for locomotives 
as specified for manufacturers in that part.
    (1) When there are multiple persons meeting the definition of 
manufacturer or remanufacturer, each person meeting the definition of 
manufacturer or remanufacturer must comply with the requirements of 40 
CFR part 1068, subpart F, as needed so that the certificate holder can 
fulfill its obligations under those subparts.
    (2) The defect investigation requirements of 40 CFR 1068.501(a)(5), 
(b)(1) and (b)(2) do not apply for locomotives. Instead, use good 
engineering judgment to investigate emission-related defects consistent 
with normal locomotive industry practice for investigating defects. You 
are not required to track parts shipments as indicators of possible 
defects.
    (e) Introduction into commerce. The placement of a new locomotive or 
new locomotive engine back into service following remanufacturing is a 
violation of 40 CFR 1068.101(a)(1), unless it has a valid certificate of 
conformity for its model year and the required label.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75 
FR 22986, Apr. 30, 2010]



Sec. 1033.610  Small railroad provisions.

    In general, the provisions of this part apply for all locomotives, 
including those owned by Class II and Class III railroads. This section 
describes how these provisions apply for railroads meeting the 
definition of ``small railroad'' in Sec. 1033.901. (Note: The term 
``small railroad'' excludes all Class II railroads and some Class III 
railroads, such as those owned by large parent companies.)
    (a) Locomotives become subject to the provisions of this part when 
they become ``new'' as defined in Sec. 1033.901. Under that definition, 
a locomotive is ``new'' when first assembled, and generally becomes 
``new'' again when remanufactured. As an exception to this general 
concept, locomotives that are owned and operated by railroads meeting 
the definition of ``small railroad'' in Sec. 1033.901 do not become 
``new'' when remanufactured, unless they were previously certified to 
EPA emission standards. Certificate holders may require written 
confirmation from the owner/operator that the locomotive qualifies as a 
locomotive that is owned and operated by a small railroad. Such written 
confirmation to a certificate holder is deemed to also be a submission 
to EPA and is thus subject to the reporting requirements of 40 CFR 
1068.101.
    (b) The provisions of subpart I of this part apply to all owners and 
operators of locomotives subject to this part 1033. However, the 
regulations of that subpart specify some provisions that apply only for 
Class I freight railroads, and others that apply differently to Class I 
freight railroads and other railroads.
    (c) We may exempt new locomotives that are owned or operated by 
small railroads from the prohibition against remanufacturing a 
locomotive without a certificate of conformity as specified in this 
paragraph (c). This exemption is only available in cases where no 
certified remanufacturing system is available for the locomotive. For 
example, it is possible that no remanufacturer will certify a system for 
very old locomotive models that comprise a tiny fraction of the fleet 
and that are remanufactured infrequently. We will grant the exemption in 
all cases in which no remanufacturing system has been certified for the 
applicable engine family and model year. We may also grant an exemption 
where we determine that a certified system is unavailable. We may 
consider the issue of excessive costs in determining the availability of 
certified systems. If we grant this exemption for a previously certified 
locomotive, you are required to return the locomotive to its previously 
certified configuration. Send

[[Page 63]]

your request for such exemptions to the Designated Compliance Officer.
    (d) Non-Class I railroads that do not meet the definition of ``small 
railroad'' in Sec. 1033.901 may ask that their remanufactured 
locomotives be excluded from the definition of ``new'' in Sec. 1033.901 
in cases where no certified remanufacturing system is available for the 
locomotive. We will grant the exemption in all cases in which no 
remanufacturing system has been certified for the applicable engine 
family and model year. If we grant this exemption for a previously 
certified locomotive, you are required to return the locomotive to its 
previously certified configuration. Send your request for such 
exemptions to the Designated Compliance Officer.



Sec. 1033.615  Voluntarily subjecting locomotives to the standards of this part.

    The provisions of this section specify the cases in which an owner 
or manufacturer of a locomotive or similar piece of equipment can 
subject it to the standards and requirements of this part. Once the 
locomotive or equipment becomes subject to the locomotive standards and 
requirements of this part, it remains subject to the standards and 
requirements of this part for the remainder of its service life.
    (a) Equipment excluded from the definition of ``locomotive''. (1) 
Manufacturers/remanufacturers of equipment that is excluded from the 
definition of ``locomotive'' because of its total power, but would 
otherwise meet the definition of locomotive may ask to have it 
considered to be a locomotive. To do this, submit an application for 
certification as specified in subpart C of this part, explaining why it 
should be considered to be a locomotive. If we approve your request, it 
will be deemed to be a locomotive for the remainder of its service life.
    (2) In unusual circumstances, we may deem other equipment to be 
locomotives (at the request of the owner or manufacturer/remanufacturer) 
where such equipment does not conform completely to the definition of 
locomotive, but is functionally equivalent to a locomotive.
    (b) Locomotives excluded from the definition of ``new''. Owners of 
remanufactured locomotives excluded from the definition of ``new'' in 
Sec. 1033.901 under paragraph (2) of that definition may choose to 
upgrade their locomotives to subject their locomotives to the standards 
and requirements of this part by complying with the specifications of a 
certified remanufacturing system, including the labeling specifications 
of Sec. 1033.135.



Sec. 1033.620  Hardship provisions for manufacturers and remanufacturers.

    (a) If you qualify for the economic hardship provisions specified in 
40 CFR 1068.245, we may approve a period of delayed compliance for up to 
one model year total.
    (b) The provisions of this paragraph (b) 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 2 
standards to the Tier 3 standards for line-haul locomotives on January 
1, 2012.
    (1) In appropriate extreme and unusual circumstances that are 
clearly outside the control of the manufacturer and could not have been 
avoided by the exercise of prudence, diligence, and due care, we may 
permit you, for a brief period, to introduce into commerce locomotives 
which do not comply with the applicable emission standards if all of the 
following conditions apply:
    (i) You cannot reasonably manufacture the locomotives in such a 
manner that they would be able to comply with the applicable standards.
    (ii) The manufacture of the locomotives was substantially completed 
prior to the applicability date of the standards from which you seek the 
relief. For example, you may not request relief for a locomotive that 
has been ordered, but for which you will not begin the assembly process 
prior to the applicability date of the standards. On the other hand, we 
would generally consider completion of the underframe weldment to be a 
substantial part of the manufacturing process.

[[Page 64]]

    (iii) 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.
    (iv) You demonstrate that the locomotives comply with the less 
stringent standards that applied to the previous model year's production 
described in paragraph (b)(1)(iii) 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).
    (v) You exercised prudent planning, were not able to avoid the 
violation, and have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (vi) We approve your request before you introduce the locomotives 
into commerce.
    (2) You must notify us as soon as you become aware of the extreme or 
unusual circumstances.
    (3)(i) Include locomotives for which we grant relief under this 
section in the engine family for which they were originally intended to 
be included.
    (ii) Where the locomotives are to be included in an engine family 
that was certified to an FEL above the applicable standard, you must 
reserve credits to cover the locomotives covered by this allowance and 
include the required information for these locomotives in the end-of-
year report required by subpart H of this part.
    (c) In granting relief under this section, we may also set other 
conditions as appropriate, such as requiring payment of fees to negate 
an economic gain that such relief would otherwise provide.



Sec. 1033.625  Special certification provisions for non-locomotive-specific engines.

    You may certify freshly manufactured or remanufactured locomotives 
using non-locomotive-specific engines (as defined in Sec. 1033.901) 
using the normal certification procedures of this part. Locomotives 
certified in that way are generally treated the same as other 
locomotives, except where specified otherwise. The provisions of this 
section provide for design certification to the locomotive standards in 
this part for locomotives using engines included in engine families 
certified under 40 CFR part 1039 (or part 89) in limited circumstances.
    (a) Remanufactured or freshly manufactured switch locomotives 
powered by non-locomotive-specific engines may be certified by design 
without the test data required by Sec. 1033.235 if all of the following 
are true:
    (1) Before being installed in the locomotive, the engines were 
covered by a certificate of conformity issued under 40 CFR Part 1039 (or 
part 89) that is effective for the calendar year in which the 
manufacture or remanufacture occurs. You may use engines certified 
during the previous years if they were subject to the same standards. 
You may not make any modifications to the engines unless we approve 
them.
    (2) The engines were certified to standards that are numerically 
lower than the applicable locomotive standards of this part.
    (3) More engines are reasonably projected to be sold and used under 
the certificate for non-locomotive use than for use in locomotives.
    (4) The number of such locomotives certified under this section does 
not exceed 30 in any three-year period. We may waive this sales limit 
for locomotive models that have previously demonstrated compliance with 
the locomotive standards of Sec. 1033.101 in-use.
    (5) We approved the application as specified in paragraph (d) of 
this section.
    (b) To certify your locomotives by design under this section, submit 
your application as specified in Sec. 1033.205, with the following 
exceptions:
    (1) Include the following instead of the locomotive test data 
otherwise required by Sec. 1033.205:
    (i) A description of the engines to be used, including the name of 
the engine manufacturer and engine family identifier for the engines.
    (ii) A brief engineering analysis describing how the engine's 
emission controls will function when installed in the locomotive 
throughout the locomotive's useful life.

[[Page 65]]

    (iii) The emission data submitted under 40 CFR part 1039 (or part 
89).
    (2) You may separately submit some of the information required by 
Sec. 1033.205, consistent with the provisions of Sec. 1033.1(d). For 
example, this may be an appropriate way to submit detailed information 
about proprietary engine software. Note that this allowance to 
separately submit some of the information required by Sec. 1033.205 is 
also available for applications not submitted under this section.
    (c) Locomotives certified under this section are subject to all the 
requirements of this part except as specified in paragraph (b) of this 
section. The engines used in such locomotives are not considered to be 
included in the otherwise applicable engines family of 40 CFR part 1039 
(or part 89).
    (d) We will approve or deny the application as specified in subpart 
C of this part. For example, we will deny your application for 
certification by design under this section in any case where we have 
evidence that your locomotives will not conform to the requirements of 
this part throughout their useful lives.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22986, Apr. 30, 2010]



Sec. 1033.630  Staged-assembly and delegated assembly exemptions.

    (a) Staged assembly. You may ask us to provide a temporary exemption 
to allow you to complete production of your engines and locomotives at 
different facilities, as long as you maintain control of the engines 
until they are in their certified configuration. We may require you to 
take specific steps to ensure that such locomotives are in their 
certified configuration before reaching the ultimate purchaser. You may 
request an exemption under this paragraph (a) in your application for 
certification, or in a separate submission. If you include your request 
in your application, your exemption is approved when we grant your 
certificate. Note that no exemption is needed to ship an engine that has 
been assembled in its certified configuration, is properly labeled, and 
will not require an aftertreatment device to be attached when installed 
in the locomotive.
    (b) Delegated assembly. This paragraph (b) applies where the engine 
manufacturer/remanufacturer does not complete assembly of the 
locomotives and the engine is shipped after being manufactured or 
remanufactured (partially or completely). The provisions of this 
paragraph (b) apply differently depending on who holds the certificate 
of conformity and the state of the engine when it is shipped. You may 
request an exemption under this paragraph (b) in your application for 
certification, or in a separate submission. If you include your request 
in your application, your exemption is approved when we grant your 
certificate. A manufacturer/remanufacturer may request an exemption 
under 40 CFR 1068.261 instead of under this section.
    (1) In cases where an engine has been assembled in its certified 
configuration, properly labeled, and will not require an aftertreatment 
device to be attached when installed in the locomotive, no exemption is 
needed to ship the engine. You do not need an exemption to ship engines 
without specific components if they are not emission-related components 
identified in Appendix I of 40 CFR part 1068.
    (2) In cases where an engine has been properly labeled by the 
certificate holder and assembled in its certified configuration except 
that it does not yet have a required aftertreatment device, an exemption 
is required to ship the engine. You may ask for this exemption if you do 
all of the following:
    (i) You note on the Engine Emission Control Information label that 
the locomotive must include the aftertreatment device to be covered by 
the certificate.
    (ii) You make clear in your emission-related installation 
instructions that installation of the aftertreatment device is required 
for the locomotive to be covered by the certificate.
    (3) In cases where an engine will be shipped to the certificate 
holder in an uncertified configuration, an exemption is required to ship 
the engine. You may ask for this exemption under 40 CFR 1068.262.
    (c) Other exemptions. In unusual circumstances, you may ask us to 
provide an exemption for an assembly process that is not covered by the 
provisions of

[[Page 66]]

paragraphs (a) and (b) of this section. We will make the exemption 
conditional based on you complying with requirements that we determine 
are necessary to ensure that the locomotives are assembled in their 
certified configuration before being placed (back) into service.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]



Sec. 1033.640  Provisions for repowered and refurbished locomotives.

    (a) The provisions of this section apply for locomotives that are 
produced from an existing locomotive so that the new locomotive contains 
both previously used parts and parts that have never been used before.
    (1) Repowered locomotives are used locomotives in which a freshly 
manufactured propulsion engine is installed. As described in this 
section, a repowered locomotive is deemed to be either remanufactured or 
freshly manufactured, depending on the total amount of unused parts on 
the locomotive. It may also be deemed to be a refurbished locomotive.
    (2) Refurbished locomotives are locomotives that contain more unused 
parts than previously used parts. As described in this section, a 
locomotive containing more unused parts than previously used parts may 
be deemed to be either remanufactured or freshly manufactured, depending 
on the total amount of unused parts on the locomotive. Note that Sec. 
1033.901 defines refurbishment of a pre-1973 locomotive to be an upgrade 
of the locomotive.
    (b) A single existing locomotive cannot be divided into parts and 
combined with new parts to create more than one remanufactured 
locomotive. However, any number of locomotives can be divided into parts 
and combined with new parts to create more than one remanufactured 
locomotive, provided the number of locomotives created (remanufactured 
and freshly manufactured) does not exceed the number of locomotives that 
were disassembled.
    (c) You may determine the relative amount of previously used parts 
consistent with the specifications of the Federal Railroad 
Administration. Otherwise, determine the relative amount of previously 
used parts as follows:
    (1) Identify the parts in the fully assembled locomotive that have 
been previously used and those that have never been used before.
    (2) Weight the unused parts and previously used parts by the dollar 
value of the parts. For example, a single part valued at $1200 would 
count the same as six parts valued at $200 each. Group parts by system 
where possible (such as counting the engine as one part) if either all 
the parts in that system are used or all the parts in that system are 
unused. Calculate the used part values using dollar values from the same 
year as the new parts.
    (3) Sum the values of the unused parts. Also sum the values of the 
previously used parts. The relative fraction of used parts is the total 
value of previously used parts divided by the combined value of the 
unused parts and previously used parts.
    (c) If the weighted fraction of the locomotive that is comprised of 
previously used parts is greater than or equal to 25 percent, then the 
locomotive is considered to be a remanufactured locomotive and retains 
its original date of manufacture. Note, however, that if the weighted 
fraction of the locomotive that is comprised of previously used parts is 
less than 50 percent, then the locomotive is also considered to be a 
refurbished locomotive.
    (d) If the weighted fraction of the locomotive that is comprised of 
previously used parts is less than 25 percent, then the locomotive is 
deemed to be a freshly manufactured locomotive and the date of original 
manufacture is the most recent date on which the locomotive was 
assembled using less than 25 percent previously used parts. For example:
    (1) If you produce a new locomotive that includes a used frame, but 
all other parts are unused, then the locomotive would likely be 
considered to be a freshly manufactured locomotive because the value of 
the frame would likely be less than 25 percent of the total value of the 
locomotive. Its date of original manufacture would be the date on which 
you complete its assembly.

[[Page 67]]

    (2) If you produce a new locomotive by replacing the engine in a 
1990 locomotive with a freshly manufactured engine, but all other parts 
are used, then the locomotive would likely be considered to be a 
remanufactured locomotive and its date of original manufacture is the 
date on which assembly was completed in 1990. (Note: such a locomotive 
would also be considered to be a repowered locomotive.)
    (e) Locomotives containing used parts that are deemed to be freshly 
manufactured locomotives are subject to the same provisions as all other 
freshly manufactured locomotives. Other refurbished locomotives are 
subject to the same provisions as other remanufactured locomotives, with 
the following exceptions:
    (1) Switch locomotives. (i) Prior to January 1, 2015, remanufactured 
Tier 0 switch locomotives that are deemed to be refurbished are subject 
to the Tier 0 line-haul cycle and switch cycle standards. Note that this 
differs from the requirements applicable to other Tier 0 switch 
locomotives, which are not subject to the Tier 0 line-haul cycle 
standards.
    (ii) Beginning January 1, 2015, remanufactured Tier 3 and earlier 
switch locomotives that are deemed to be refurbished are subject to the 
Tier 3 switch standards.
    (2) Line-haul locomotives. Remanufactured line-haul locomotives that 
are deemed to be refurbished are subject to the same standards as 
freshly manufactured line-haul locomotives, except that line-haul 
locomotives with rated power less than 3000 hp that are refurbished 
before January 1, 2015 are subject to the same standards as refurbished 
switch locomotives under paragraph (e)(1)(i) of this section. However, 
line-haul locomotives less than 3000 hp may not generate emission 
credits relative to the standards specified in paragraph (e)(1)(i) of 
this section.
    (3) Labels for switch and line-haul locomotives. Remanufacturers 
that refurbish a locomotive must add a secondary locomotive label that 
includes the following:
    (i) The label heading: ``REFURBISHED LOCOMOTIVE EMISSION CONTROL 
INFORMATION.''
    (ii) The statement identifying when the locomotive was refurbished 
and what standards it is subject to, as follows: ``THIS LOCOMOTIVE WAS 
REFURBISHED IN [year of refurbishment] AND MUST COMPLY WITH THE TIER 
[applicable standard level] EACH TIME THAT IT IS REMANUFACTURED, EXCEPT 
AS ALLOWED BY 40 CFR 1033.750.''.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 
FR 8425, Feb. 24, 2009]

    Editorial Note: At 73 FR 37197, June 30, 2008, Sec. 1033.640 was 
added. This amendment included two paragraphs (c) in the original text.



Sec. 1033.645  Non-OEM component certification program.

    This section describes a voluntary program that allows you to get 
EPA approval of components you manufacture for use during 
remanufacturing.
    (a) Applicability. This section applies only for components that are 
commonly replaced during remanufacturing. It does not apply for other 
types of components that are replaced during a locomotive's useful life, 
but not typically replaced during remanufacture. Certified components 
may be used for remanufacturing or other maintenance.
    (1) The following components are eligible for approval under this 
section:
    (i) Cylinder liners.
    (ii) Pistons.
    (iii) Piston rings.
    (iv) Heads
    (v) Fuel injectors.
    (vi) Turbochargers
    (vii) Aftercoolers and intercoolers.
    (2) Catalysts and electronic controls are not eligible for approval 
under this section.
    (3) We may determine that other types of components can be certified 
under this section, consistent with good engineering judgment.
    (b) Approval. To obtain approval, submit your request to the 
Designated Compliance Officer.
    (1) Include all of the following in your request:
    (i) A description of the component(s) for which you are requesting 
approval.
    (ii) A list of all engine/locomotive models and engine families for 
which

[[Page 68]]

your component would be used. You may exclude models that are not 
subject to our standards or will otherwise not be remanufactured under a 
certificate of conformity.
    (iii) A copy of the maintenance instructions for engines using your 
component. You may reference the other certificate holder's maintenance 
instructions in your instructions. For example, your instructions may 
specify to follow the other certificate holder's instructions in 
general, but list one or more exceptions to address the specific 
maintenance needs of your component.
    (iv) An engineering analysis (including test data in some cases) 
demonstrating to us that your component will not cause emissions to 
increase. The analysis must address both low-hour and end-of-useful life 
emissions. The amount of information required for this analysis is less 
than is required to obtain a certificate of conformity under subpart C 
of this part and will vary depending on the type of component being 
certified.
    (v) The following statement signed by an authorized representative 
of your company: We submit this request under 40 CFR 1033.645. All the 
information in this report is true and accurate to the best of my 
knowledge. I know of the penalties for violating the Clean Air Act and 
the regulations. (Authorized Company Representative)
    (2) If we determine that there is reasonable technical basis to 
believe that your component is sufficiently equivalent that it will not 
increase emissions, we will approve your request and you will be a 
certificate holder for your components with respect to actual emissions 
performance for all locomotives that use those components (in accordance 
with this section).
    (c) Liability. Being a certificate holder under this section means 
that if in-use testing indicates that a certified locomotive using one 
or more of your approved components does not comply with an applicable 
emission standard, we will presume that you and other certificate 
holders are liable for the noncompliance. However, we will not hold you 
liable in cases where you convince us that your components did not cause 
the noncompliance. Conversely, we will not hold other certificate 
holders liable for noncompliance caused solely by your components. You 
are also subject to the warranty and defect reporting requirements of 
this part for your certified components. Other requirements of this part 
apply as specified in Sec. 1033.1.
    (d) In-use testing. Locomotives containing your components must be 
tested according to the provisions of this paragraph (d).
    (1) Except as specified in paragraph (d)(5) of this section, you 
must test at least one locomotive if 250 locomotives use your component 
under this section. You must test one additional locomotive for the next 
additional 500 locomotives that use your component under this section. 
After that, we may require you to test one additional locomotive for 
each additional 1000 locomotives that use your component under this 
section. These numbers apply across model years. For example, if your 
component is used in 125 remanufactures per year under this section, you 
must test one of the first 250 locomotives, one of the next 500 
locomotives, and up to one every eight years after that. Do not count 
locomotives that use your components but are not covered by this 
section.
    (2) Except for the first locomotive you test for a specific 
component under this section, locomotives tested under this paragraph 
(d) must be past the half-way point of the useful life in terms of MW-
hrs. For the first locomotive you test, select a locomotive that has 
operated between 25 and 50 percent of its useful life.
    (3) Unless we approve a different schedule, you must complete 
testing and report the results to us within 180 days of the earliest 
point at which you could complete the testing based on the hours of 
operation accumulated by the locomotives. For example, if 250 or more 
locomotives use your part under this section, and the first of these to 
reach 25 percent of its useful life does so on March 1st of a given 
year, you must complete testing of one of the first 250 locomotives and 
report to us by August 28th of that year.
    (4) Unless we approve different test procedures, you must test the 
locomotive according to the procedures specified in subpart F of this 
part.

[[Page 69]]

    (5) If any locomotives fail to meet all standards, we may require 
you to test one additional locomotive for each locomotive that fails. 
You may choose to accept that your part is causing an emission problem 
rather than continuing testing. You may also test additional locomotives 
at any time. We will consider failure rates, average emission levels and 
the existence of any defects among other factors in determining whether 
to pursue remedial action. We may order a recall pursuant to 40 CFR part 
1068 before you complete testing additional locomotives.
    (6) You may ask us to allow you to rely on testing performed by 
others instead of requiring you to perform testing. For example, if a 
railroad tests a locomotive with your component as part of its testing 
under Sec. 1033.810, you may ask to submit those test data as 
fulfillment of your test obligations under this paragraph (d). If a 
given test locomotive uses different components certified under this 
section that were manufactured by different manufacturers (such as rings 
from one manufacturer and cylinder liners from another manufacturer), a 
single test of it may be counted towards both manufacturers' test 
obligations. In unusual circumstances, you may also ask us to grant you 
hardship relief from the testing requirements of this paragraph (d). In 
determining whether to grant you relief, we will consider all relevant 
factors including the extent of the financial hardship to your company 
and whether the test data are available from other sources, such as 
testing performed by a railroad.
    (e) Components certified under this section may be used when 
remanufacturing Category 2 engines under 40 CFR part 1042.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 
FR 8425, Feb. 24, 2009]



Sec. 1033.650  Incidental use exemption for Canadian and Mexican locomotives.

    You may ask us to exempt from the requirements and prohibitions of 
this part locomotives that are operated primarily outside of the United 
States and that enter the United States temporarily from Canada or 
Mexico. We will approve this exemption only where we determine that the 
locomotive's operation within the United States will not be extensive 
and will be incidental to its primary operation. For example, we would 
generally exempt locomotives that will not operate more than 25 miles 
from the border and will operate in the United States less than 5 
percent of their operating time. For existing operations, you must 
request this exemption before January 1, 2011. In your request, identify 
the locomotives for which you are requesting an exemption, and describe 
their projected use in the United States. We may grant the exemption 
broadly or limit the exemption to specific locomotives and/or specific 
geographic areas. However, we will typically approve exemptions for 
specific rail facilities rather than specific locomotives. In unusual 
circumstances, such as cases in which new rail facilities are created, 
we may approve requests submitted after January 1, 2011.



Sec. 1033.652  Special provisions for exported locomotives.

    (a) Uncertified locomotives. Locomotives covered by an export 
exemption under 40 CFR 1068.230 may be introduced into U.S. commerce 
prior to being exported, but may not be used in any revenue generating 
service in the United States. Locomotives covered by this paragraph (a) 
may not include any EPA emission control information label. Such 
locomotives may include emission control information labels for the 
country to which they are being exported.
    (b) Locomotives covered by export-only certificates. Locomotives may 
be certified for export under 40 CFR 1068.230. Such locomotives may be 
introduced into U.S. commerce prior to being exported, but may not be 
used in any revenue generating service in the United States.
    (c) Locomotives included in a certified engine family. Except as 
specified in paragraph (d) of this section, locomotives included in a 
certified engine family may be exported without restriction. Note that 
Sec. 1033.705 requires that exported locomotives be excluded from 
emission credit calculations in certain circumstances.

[[Page 70]]

    (d) Locomotives certified to FELs above the standards. The 
provisions of this paragraph (d) apply for locomotive configurations 
included in engine families certified to one or more FELs above any 
otherwise applicable standard. Individual locomotives that will be 
exported may be excluded from an engine family if they are unlabeled. 
For locomotives that were labeled during production, you may remove the 
emission control information labels prior to export. All unlabeled 
locomotives that will be exported are subject to the provisions of 
paragraph (a) of this section. Locomotives that are of a configuration 
included in an engine family certified to one of more FELs above any 
otherwise applicable standard that include an EPA emission control 
information label when exported are considered to be part of the engine 
family and must be included in credit calculations under Sec. 1033.705. 
Note that this requirement does not apply for locomotives that do not 
have an EPA emission control information label, even if they have other 
labels (such as an export-only label).

[75 FR 22986, Apr. 30, 2010]



Sec. 1033.655  Special provisions for certain Tier 0/Tier 1 locomotives.

    (a) The provisions of this section apply only for the following 
locomotives (and locomotives in the same engine families as these 
locomotives):
    (1) Locomotives listed in Table 1 of this section originally 
manufactured 1986-1994 by General Electric Company that have never been 
equipped with separate loop aftercooling. The section also applies for 
the equivalent passenger locomotives.

                       Table 1 to Sec.  1033.655
------------------------------------------------------------------------
 
------------------------------------------------------------------------
8-40C.....................................  P32ACDM
8-40B.....................................  P42DC
8-32B.....................................  8-40BPH
8-40CW....................................  P40DC
8-40BW....................................  8-32BWH
8-40CM....................................  C39-8
8-41CW....................................  B39-8E
8-44CW                                      ............................
------------------------------------------------------------------------

    (2) SD70MAC and SD70IAC locomotives originally manufactured 1996-
2000 by EMD.
    (b) Any certifying remanufacturer may request relief for the 
locomotives covered by this section.
    (c) You may ask us to allow these locomotives to exceed otherwise 
applicable line-haul cycle NOX standard for high ambient 
temperatures and/or altitude because of limitations of the cooling 
system. However, the NOX emissions may exceed the otherwise 
applicable standard only to the extent necessary. Relief is limited to 
the following conditions:
    (1) For General Electric locomotives, you may ask for relief for 
ambient temperatures above 23 [deg]C and/or barometric pressure below 
97.5 kPa (28.8 in. Hg). NOX emissions may not exceed 9.5 g/
bhp-hr over the line-haul cycle for any temperatures up to 105 [deg]F 
and any altitude up to 7000 feet above sea level.
    (2) For EMD locomotives, you may ask for relief for ambient 
temperatures above 30 [deg]C and/or barometric pressure below 97.5 kPa 
(28.8 in. Hg). NOX emissions may not exceed 8.0 g/bhp-hr over 
the line-haul cycle for any temperatures up to 105 [deg]F and any 
altitude up to 7000 feet above sea level.
    (d) All other standards and requirements in this part apply as 
specified.
    (e) To request this relief, submit to the Designated Compliance 
Officer along with your application for certification an engineering 
analysis showing how your emission controls operate for the following 
conditions:
    (1) Temperatures 23-40 [deg]C at any altitude up to 7000 feet above 
sea level.
    (2) Altitudes 1000-7000 feet above sea level for any temperature 
from 15-40 [deg]C.



       Subpart H_Averaging, Banking, and Trading for Certification



Sec. 1033.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. Participation in this 
program is voluntary.
    (b) Section 1033.740 restricts the use of emission credits to 
certain averaging sets.
    (c) The definitions of Subpart J of this part apply to this subpart. 
The following definitions also apply:

[[Page 71]]

    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Applicable emission standard means an emission standard that is 
specified in subpart B of this part. Note that for other subparts, 
``applicable emission standard'' is defined to also include FELs.
    (3) Averaging set means a set of locomotives in which emission 
credits may be exchanged only with other locomotives in the same 
averaging set.
    (4) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a 
result of a trade.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (9) Transfer means to convey control of credits generated for 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/remanufacturer 
at the time of manufacture/remanufacture.
    (d) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
emissions from a locomotive exceed an FEL or standard (for example, 
during a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FEL that applies only to 
future production.
    (e) Engine families that use emission credits for one or more 
pollutants may not generate positive emission credits for another 
pollutant.
    (f) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.
    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec. 1033.225. The 
new FEL may apply only to locomotives you have not already introduced 
into commerce. Each locomotive's emission control information label must 
include the applicable FELs. You must conduct production line testing to 
verify that the emission levels are achieved.
    (h) Credits may be generated by any certifying manufacturer/
remanufacturer and may be held by any of the following entities:
    (1) Locomotive or engine manufacturers.
    (2) Locomotive or engine remanufacturers.
    (3) Locomotive owners.
    (4) Locomotive operators.
    (5) Other entities after notification to EPA.
    (i) All locomotives that are certified to an FEL that is different 
from the emission standard that would otherwise apply to the locomotives 
are required to comply with that FEL for the remainder of their service 
lives, except as allowed by Sec. 1033.750.
    (1) Manufacturers must notify the purchaser of any locomotive that 
is certified to an FEL that is different from the emission standard that 
would otherwise apply that the locomotive is required to comply with 
that FEL for the remainder of its service life.
    (2) Remanufacturers must 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.
    (j) The FEL to which the locomotive is certified must be included on 
the locomotive label required in Sec. 1033.135. This label must include 
the notification specified in paragraph (i) of this section.

[[Page 72]]



Sec. 1033.705  Calculating emission credits.

    The provisions of this section apply separately for calculating 
emission credits for NOX or PM.
    (a) Calculate positive emission credits for an engine family that 
has an FEL below the otherwise applicable emission standard. Calculate 
negative emission credits for an engine family that has an FEL above the 
otherwise applicable emission standard. Do not round until the end of 
year report.
    (b) For each participating engine family, calculate positive or 
negative emission credits relative to the otherwise applicable emission 
standard. For the end of year report, round the sum of emission credits 
to the nearest one hundredth of a megagram (0.01 Mg). Round your end of 
year emission credit balance to the nearest megagram (Mg). Use 
consistent units throughout the calculation. When useful life is 
expressed in terms of megawatt-hrs, calculate credits for each engine 
family from the following equation:

Emission credits = (Std-FEL) x (1.341) x (UL) x (Production) x 
    (Fp) x (10-3 kW-Mg/MW-g).

Where:

Std = the applicable NOX or PM emission standard in g/bhp-hr 
(except that Std = previous FEL in g/bhp-hr for locomotives that were 
certified under this part to an FEL other than the standard during the 
previous useful life).
FEL = the family emission limit for the engine family in g/bhp-hr.
UL = the sales-weighted average useful life in megawatt-hours (or the 
subset of the engine family for which credits are being calculated), as 
specified in the application for certification.
Production = the number of locomotives participating in the averaging, 
banking, and trading program within the given engine family during the 
calendar year (or the number of locomotives 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.
Fp = the proration factor as determined in paragraph (d) of 
this section.

    (c) When useful life is expressed in terms of miles, calculate the 
useful life in terms of megawatt-hours (UL) by dividing the useful life 
in miles by 100,000, and multiplying by the sales-weighted average rated 
power of the engine family. For example, if your useful life is 800,000 
miles for a family with an average rated power of 3,500 hp, then your 
equivalent MW-hr useful life would be 28,000 MW-hrs. Credits are 
calculated using this UL value in the equations of paragraph (b) of this 
section.
    (d) The proration factor is an estimate of the fraction of a 
locomotive's service life that remains as a function of age. The 
proration factor is 1.00 for freshly manufactured locomotives.
    (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 line-haul locomotives ages 1 through 
20 are specified in Table 1 to this section. For line-haul locomotives 
more than 20 years old, use the proration factor for 20 year old 
locomotives. The proration factors for switch locomotives ages 1 through 
40 are specified in Table 2 to this section. For switch locomotives more 
than 40 years old, use the proration factor for 40 year old locomotives.
    (3) For repower engines, the proration factor is based on the age of 
the locomotive chassis, not the age of the engine, except for 
remanufactured locomotives that qualify as refurbished. The minimum 
proration factor for remanufactured locomotives that meet the definition 
of refurbished but not freshly manufactured is 0.60. (Note: The 
proration factor is 1.00 for all locomotives that meet the definition of 
freshly manufactured.)

 Table 1 to Sec.  1033.705--Proration Factors for Line-Haul Locomotives
------------------------------------------------------------------------
                                                             Proration
                 Locomotive age (years)                     factor (Fp)
------------------------------------------------------------------------
1.......................................................            0.96
2.......................................................            0.92
3.......................................................            0.88
4.......................................................            0.84
5.......................................................            0.81
6.......................................................            0.77
7.......................................................            0.73
8.......................................................            0.69
9.......................................................            0.65
10......................................................            0.61
11......................................................            0.57
12......................................................            0.54

[[Page 73]]

 
13......................................................            0.50
14......................................................            0.47
15......................................................            0.43
16......................................................            0.40
17......................................................            0.36
18......................................................            0.33
19......................................................            0.30
20......................................................            0.27
------------------------------------------------------------------------


  Table 2 to Sec.  1033.705--Proration Factors for Switch Locomotives
------------------------------------------------------------------------
                                                             Proration
                 Locomotive age (years)                     factor (Fp)
------------------------------------------------------------------------
1.......................................................            0.98
2.......................................................            0.96
3.......................................................            0.94
4.......................................................            0.92
5.......................................................            0.90
6.......................................................            0.88
7.......................................................            0.86
8.......................................................            0.84
9.......................................................            0.82
10......................................................            0.80
11......................................................            0.78
12......................................................            0.76
13......................................................            0.74
14......................................................            0.72
15......................................................            0.70
16......................................................            0.68
17......................................................            0.66
18......................................................            0.64
19......................................................            0.62
20......................................................            0.60
21......................................................            0.58
22......................................................            0.56
23......................................................            0.54
24......................................................            0.52
25......................................................            0.50
26......................................................            0.48
27......................................................            0.46
28......................................................            0.44
29......................................................            0.42
30......................................................            0.40
31......................................................            0.38
32......................................................            0.36
33......................................................            0.34
34......................................................            0.32
35......................................................            0.30
36......................................................            0.28
37......................................................            0.26
38......................................................            0.24
39......................................................            0.22
40......................................................            0.20
------------------------------------------------------------------------

    (e) In your application for certification, base your showing of 
compliance on projected production volumes for locomotives that will be 
placed into service in the United States. As described in Sec. 
1033.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
locomotives that will be placed into service in the United States. Do 
not include any of the following locomotives to calculate emission 
credits:
    (1) Locomotives permanently exempted under subpart G of this part or 
under 40 CFR part 1068.
    (2) Exported locomotives. You may ask to include locomotives sold to 
Mexican or Canadian railroads if they will likely operate within the 
United States and you include all such locomotives (both credit using 
and credit generating locomotives).
    (3) Locomotives not subject to the requirements of this part, such 
as those excluded under Sec. 1033.5.
    (4) Any other locomotives, where we indicate elsewhere in this part 
1033 that they are not to be included in the calculations of this 
subpart.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]



Sec. 1033.710  Averaging emission credits.

    (a) Averaging is the exchange of emission credits among your engine 
families. You may average emission credits only as allowed by Sec. 
1033.740.
    (b) You may certify one or more engine families to an FEL above the 
applicable emission standard, subject to the FEL caps and other 
provisions in subpart B of this part, if you show in your application 
for certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the 
otherwise applicable emission standard, you must obtain enough emission 
credits to offset the engine family's deficit by the due date for the 
final report required in Sec. 1033.730. The emission credits used to 
address the deficit may come from your other engine families that 
generate emission credits in the same model year, from emission credits 
you have banked, or from emission credits you obtain through trading or 
by transfer.



Sec. 1033.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the 
manufacturer/remanufacturer generating the emission credits (or owner/
operator, in the case of transferred credits) for use in future model 
years for averaging, trading, or

[[Page 74]]

transferring. You may use banked emission credits only as allowed by 
Sec. 1033.740.
    (b) You may designate any emission credits you plan to bank in the 
reports you submit under Sec. 1033.730 as reserved credits. During the 
model year and before the due date for the final report, you may 
designate your reserved emission credits for averaging, trading, or 
transferring.
    (c) Reserved credits become actual emission credits when you submit 
your final report. However, we may revoke these emission credits if we 
are unable to verify them after reviewing your reports or auditing your 
records.

[75 FR 22987, Apr. 30, 2010]



Sec. 1033.720  Trading emission credits.

    (a) Trading is the exchange of emission credits between certificate 
holders. You may use traded emission credits for averaging, banking, or 
further trading transactions. Traded emission credits may be used only 
as allowed by Sec. 1033.740.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec. 1033.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer/remanufacturer having a negative 
balance of emission credits. See Sec. 1033.745.



Sec. 1033.722  Transferring emission credits.

    (a) Credit transfer is the conveying of control over credits, 
either:
    (1) From a certifying manufacturer/remanufacturer to an owner/
operator.
    (2) From an owner/operator to a certifying manufacturer/
remanufacturer.
    (b) Transferred credits can be:
    (1) Used by a certifying manufacturer/remanufacturer in averaging.
    (2) Transferred again within the model year.
    (3) Reserved for later banking. Transferred credits may not be 
traded unless they have been previously banked.
    (c) Owners/operators participating in credit transfers must submit 
the reports specified in Sec. 1033.730.



Sec. 1033.725  Requirements for your application for certification.

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs 
you select for the engine family for each pollutant for which you are 
using the ABT program. Your FELs must comply with the specifications of 
subpart B of this part, including the FEL caps. FELs must be expressed 
to the same number of decimal places as the applicable emission 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes. We may require you to 
include similar calculations from your other engine families to 
demonstrate that you will be able to avoid a negative credit balance for 
the model year. If you project negative emission credits for a family, 
state the source of positive emission credits you expect to use to 
offset the negative emission credits.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]



Sec. 1033.730  ABT reports.

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information

[[Page 75]]

for each engine family participating in the ABT program:
    (1) Engine family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you change the FEL after the 
start of production, identify the date that you started using the new 
FEL and/or give the engine identification number for the first engine 
covered by the new FEL. In this case, identify each applicable FEL and 
calculate the positive or negative emission credits as specified in 
Sec. 1033.225.
    (4) The projected and actual production volumes for the model year 
that will be placed into service in the United States as described in 
Sec. 1033.705. If you changed an FEL during the model year, identify 
the actual production volume associated with each FEL.
    (5) Rated power for each locomotive configuration, and the average 
locomotive power weighted by U.S.-directed production volumes for the 
engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine family. Identify any emission credits that you traded or 
transferred, as described in paragraph (d)(1) or (e) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
engine families in each averaging set in the applicable model year is 
not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) If you transfer emission credits, you must send us a report 
within 90 days after the first transfer to an owner/operator, as 
follows:
    (1) Include the following information:
    (i) The corporate names of the owner/operator receiving the credits.
    (ii) A copy of any contracts related to the trade.
    (iii) The serial numbers and engine families for the locomotive that 
generated the transferred emission credits and the number of emission 
credits from each family.
    (2) The requirements of this paragraph (e) apply separately for each 
owner/operator.
    (3) We may require you to submit additional 90-day reports under 
this paragraph (e).
    (f) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (g) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (g)(2).

[[Page 76]]

    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.
    (h) We may modify these requirements for owners/operators required 
to submit reports because of their involvement in credit transferring.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]



Sec. 1033.735  Required records.

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for at least eight 
years after the due date for the end-of-year report. You may not use 
emission credits for any engines if you do not keep all the records 
required under this section. You must therefore keep these records to 
continue to bank valid credits. Store these records in any format and on 
any media, as long as you can promptly send us organized, written 
records in English if we ask for them. You must keep these records 
readily available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec. 1033.730.
    (d) Keep records of the engine identification number for each 
locomotive you produce that generates or uses emission credits under the 
ABT program. If you change the FEL after the start of production, 
identify the date you started using each FEL and the range of engine 
identification numbers associated with each FEL. You must also be able 
to identify the purchaser and destination for each engine you produce.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section in accordance with the 
Clean Air Act.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]



Sec. 1033.740  Credit restrictions.

    Use of emission credits generated under this part 1033 or 40 CFR 
part 92 is restricted depending on the standards against which they were 
generated.
    (a) Credits from 40 CFR part 92. NOX and PM credits 
generated under 40 CFR part 92 may be used under this part in the same 
manner as NOX and PM credits generated under this part.
    (b) General cycle restriction. Locomotives subject to both switch 
cycle standards and line-haul cycle standards (such as Tier 2 
locomotives) may generate both switch and line-haul credits. Except as 
specified in paragraph (c) of this section, such credits may only be 
used to show compliance with standards for the same cycle for which they 
were generated. For example, a Tier 2 locomotive that is certified to a 
switch cycle NOX FEL below the applicable switch cycle 
standard and a line-haul cycle NOX FEL below the applicable 
line-haul cycle standard may generate switch cycle NOX 
credits for use in complying with switch cycle NOX standards 
and a line-haul cycle NOX credits for use in complying with 
line-haul cycle NOX standards.
    (c) Single cycle locomotives. As specified in Sec. 1033.101, Tier 0 
switch locomotives, Tier 3 and later switch locomotives, and Tier 4 and 
later line-haul locomotives are not subject to both switch cycle and 
line-haul cycle standards.
    (1) When using credits generated by locomotives covered by paragraph 
(b) of this section for single cycle locomotives covered by this 
paragraph (c), you must use both switch and line-haul credits as 
described in this paragraph (c)(1).
    (i) For locomotives subject only to switch cycle standards, 
calculate the negative switch credits for the credit using locomotive as 
specified in Sec. 1033.705. Such locomotives also generate an equal 
number of negative line-haul cycle credits (in Mg).
    (ii) For locomotives subject only to line-haul cycle standards, 
calculate the negative line-haul credits for the credit using locomotive 
as specified in Sec. 1033.705. Such locomotives also generate an equal 
number of negative switch cycle credits (in Mg).
    (2) Credits generated by Tier 0, Tier 3, or Tier 4 switch 
locomotives may be used to show compliance with any switch cycle or 
line-haul cycle standards.

[[Page 77]]

    (3) Credits generated by any line-haul locomotives may not be used 
by Tier 3 or later switch locomotives.
    (d) Tier 4 credit use. The number of Tier 4 locomotives that can be 
certified using credits in any year may not exceed 50 percent of the 
total number of Tier 4 locomotives you produce in that year for U.S. 
sales.
    (e) Other restrictions. Other sections of this part may specify 
additional restrictions for using emission credits under certain special 
provisions.



Sec. 1033.745  Compliance with the provisions of this subpart.

    The provisions of this section apply to certificate holders.
    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an applicable 
emission standard based on a projection that you will have enough 
emission credits to offset the deficit for the engine family. However, 
we may void the certificate of conformity if you cannot show in your 
final report that you have enough actual emission credits to offset a 
deficit for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec. 1033.920).



Sec. 1033.750  Changing a locomotive's FEL at remanufacture.

    Locomotives are generally required to be certified to the previously 
applicable emission standard or FEL when remanufactured. This section 
describes provisions that allow a remanufactured locomotive to be 
certified to a different FEL (higher or lower).
    (a) A remanufacturer may choose to certify a remanufacturing system 
to change the FEL of a locomotive from a previously applicable FEL or 
standard. Any locomotives remanufactured using that system are required 
to comply with the revised FEL for the remainder of their service lives, 
unless it is changed again under this section during a later 
remanufacture. Remanufacturers changing an FEL must notify the owner of 
the locomotive that it is required to comply with that FEL for the 
remainder of its service life.
    (b) Calculate the credits needed or generated as specified in Sec. 
1033.705, except as specified in this paragraph. If the locomotive was 
previously certified to an FEL for the pollutant, use the previously 
applicable FEL as the standard.



             Subpart I_Requirements for Owners and Operators



Sec. 1033.801  Applicability.

    The requirements of this subpart are applicable to railroads and all 
other owners and operators of locomotives subject to the provisions of 
this part, except as otherwise specified. The prohibitions related to 
maintenance in Sec. 1033.815 also applies to anyone performing 
maintenance on a locomotive subject to the provisions of this part.



Sec. 1033.805  Remanufacturing requirements.

    (a) See the definition of ``remanufacture'' in Sec. 1033.901 to 
determine if you are remanufacturing your locomotive or engine. (Note: 
Replacing power assemblies one at a time may qualify as remanufacturing, 
depending on the interval between replacement.)
    (b) See the definition of ``new'' in Sec. 1033.901 to determine if 
remanufacturing your locomotive makes it subject to the requirements of 
this part. If the locomotive is considered to be new, it is subject to 
the certification requirements of this part, unless it is exempt under 
subpart G of this part. The standards to which your locomotive is 
subject will depend on factors such as the following:
    (1) Its date of original manufacture.
    (2) The FEL to which it was previously certified, which is listed on 
the ``Locomotive Emission Control Information'' label.

[[Page 78]]

    (3) Its power rating (whether it is above or below 2300 hp).
    (4) The calendar year in which it is being remanufactured.
    (c) You may comply with the certification requirements of this part 
for your remanufactured locomotive by either obtaining your own 
certificate of conformity as specified in subpart C of this part or by 
having a certifying remanufacturer include your locomotive under its 
certificate of conformity. In either case, your remanufactured 
locomotive must be covered by a certificate before it is reintroduced 
into service.
    (d) If you do not obtain your own certificate of conformity from 
EPA, contact a certifying remanufacturer to have your locomotive 
included under its certificate of conformity. Confirm with the 
certificate holder that your locomotive's model, date of original 
manufacture, previous FEL, and power rating allow it to be covered by 
the certificate. You must do all of the following:
    (1) Comply with the certificate holder's emission-related 
installation instructions, which should include the following:
    (i) A description of how to assemble and adjust the locomotive so 
that it will operate according to design specifications in the 
certificate. See paragraph (e) of this section for requirements related 
to the parts you must use.
    (ii) Instructions to remove the Engine Emission Control Information 
label and replace it with the certificate holder's new label. Note: In 
most cases, you must not remove the Locomotive Emission Control 
Information label.
    (2) Provide to the certificate holder the information it identifies 
as necessary to comply with the requirements of this part. For example, 
the certificate holder may require you to provide the information 
specified by Sec. 1033.735.
    (e) For parts unrelated to emissions and emission-related parts not 
addressed by the certificate holder in the emission-related installation 
instructions, you may use parts from any source. For emission-related 
parts listed by the certificate holder in the emission-related 
installation instructions, you must either use the specified parts or 
parts certified under Sec. 1033.645 for remanufacturing. If you believe 
that the certificate holder has included as emission-related parts, 
parts that are actually unrelated to emissions, you may ask us to 
exclude such parts from the emission-related installation instructions. 
Note: This paragraph (e) does not apply with respect to parts for 
maintenance other than remanufacturing; see Sec. 1033.815 for 
provisions related to general maintenance.
    (f) Failure to comply with this section is a violation of 40 CFR 
1068.101(a)(1).



Sec. 1033.810  In-use testing program.

    (a) Applicability. This section applies to all Class I freight 
railroads. It does not apply to other owner/operators.
    (b) Testing requirements. Annually test a sample of locomotives in 
your fleet. For purposes of this section, your fleet includes both the 
locomotives that you own and the locomotives that you are leasing. Use 
the test procedures in subpart F of this part, unless we approve 
different procedures.
    (1) Except for the cases described in paragraph (b)(2) of this 
section, test at least 0.075 percent of the average number of 
locomotives in your fleet during the previous calendar year (i.e., 
determine the number to be tested by multiplying the number of 
locomotives in the fleet by 0.00075 and rounding up to the next whole 
number).
    (2) We may allow you to test a smaller number of locomotives if we 
determine that the number of tests otherwise required by this section is 
not necessary.
    (c) Test locomotive selection. Unless we specify a different option, 
select test locomotives as specified in paragraph (c)(1) of this section 
(Option 1). In no case may you exclude locomotives because of visible 
smoke, a history of durability problems, or other evidence of 
malmaintenance. You may test more locomotives than this section 
requires.
    (1) Option 1. To the extent possible, 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 your fleet. 
Exclude locomotives

[[Page 79]]

tested during the previous year. If possible, select locomotives that 
have been operated for at least 100 percent of their useful lives. Where 
there are multiple locomotives meeting the requirements of this 
paragraph (c)(1), randomly select the locomotives to be tested from 
among those locomotives. If the number of certified locomotives that 
have been operated for at least 100 percent of their useful lives is not 
large enough to fulfill the testing requirement, test locomotives still 
within their useful lives as follows:
    (i) Test locomotives in your fleet that are nearest to the end of 
their useful lives. You may identify such locomotives as a range of 
values representing the fraction of the useful life already used up for 
the locomotives.
    (ii) For example, you may determine that 20 percent of your fleet 
has been operated for at least 75 percent of their useful lives. In such 
a case, select locomotives for testing that have been operated for at 
least 75 percent of their useful lives.
    (2) Option 2. If you hold a certificate for some of your 
locomotives, you may ask us to allow you to select up to two locomotives 
as specified in subpart E of this part, and count those locomotives 
toward both your testing obligations of that subpart and this section.
    (3) Option 3. You may ask us to allow you to test locomotives that 
use parts covered under Sec. 1033.645. If we do, it does not change the 
number of locomotives that you must test.
    (4) Option 4. We may require that you test specific locomotives, 
including locomotives that do not meet the criteria specified in any of 
the options in this section. If we do, we will specify which locomotives 
to test by January 1 of the calendar year for which testing is required.
    (d) Reporting requirements. Report all testing done in compliance 
with the provisions of this section to us within 45 calendar days after 
the end of each calendar year. At a minimum, include the following:
    (1) Your full corporate name and address.
    (2) For each locomotive tested, all the following:
    (i) Corporate name of the manufacturer and last remanufacturer(s) of 
the locomotive (including both certificate holder and installer, where 
different), and the corporate name of the manufacturer or last 
remanufacturer(s) of the engine if different than that of the 
manufacturer/remanufacturer(s) of the locomotive.
    (ii) Year (and month if known) 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 month if known) that the engine last underwent 
remanufacture, the engine remanufacturer's designation that 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.
    (v) The emission test results for all measured pollutants.
    (e) You do not have to submit a report for any year in which you 
performed no emission testing under this section.
    (f) You may ask us to allow you to submit equivalent emission data 
collected for other purposes instead of some or all of the test data 
required by this section. If we allow it in advance, you may report 
emission data collected using other testing or sampling procedures 
instead of some or all of the data specified by this section.
    (g) Submit all reports to the Designated Compliance Officer.
    (h) Failure to comply fully with this section is a violation of 40 
CFR 1068.101(a)(2).

[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008]



Sec. 1033.815  Maintenance, operation, and repair.

    All persons who own, operate, or maintain locomotives are subject to 
this section, except where we specify that a requirement applies to the 
owner.
    (a) Unless we allow otherwise, all owners of locomotives subject to 
the provisions of this part must ensure that all emission-related 
maintenance

[[Page 80]]

is performed on the locomotives, as specified in the maintenance 
instructions provided by the certifying manufacturer/remanufacturer in 
compliance with Sec. 1033.125 (or maintenance that is equivalent to the 
maintenance specified by the certifying manufacturer/remanufacturer in 
terms of maintaining emissions performance).
    (b) Perform unscheduled maintenance in a timely manner. This 
includes malfunctions identified through the locomotive's emission 
control diagnostics system and malfunctions discovered in components of 
the diagnostics system itself. For most repairs, this paragraph (b) 
requires that the maintenance be performed no later than the 
locomotive's next periodic (92-day) inspection. See paragraph (e) of 
this section, for reductant replenishment requirements in a locomotive 
equipped with an SCR system.
    (c) Use good engineering judgment when performing maintenance of 
locomotives subject to the provisions of this part. You must perform all 
maintenance and repair such that you have a reasonable technical basis 
for believing the locomotive will continue (after the maintenance or 
repair) to meet the applicable emission standards and FELs to which it 
was certified.
    (d) The owner of the locomotive must keep records of all maintenance 
and repairs that could reasonably affect the emission performance of any 
locomotive subject to the provisions of this part. Keep these records 
for eight years.
    (e) For locomotives equipped with emission controls requiring the 
use of specific fuels, lubricants, or other fluids, proper maintenance 
includes complying with the manufacturer/remanufacturer's specifications 
for such fluids when operating the locomotives. This requirement applies 
without regard to whether misfueling permanently disables the emission 
controls. The following additional provisions apply for locomotives 
equipped with SCR systems requiring the use of urea or other reductants:
    (1) You must plan appropriately to ensure that reductant will be 
available to the locomotive during operation.
    (2) If the SCR diagnostic indicates (or you otherwise determine) 
that either reductant supply or reductant quality in the locomotive is 
inadequate, you must replace the reductant as soon as practical.
    (3) If you operate a locomotive without the appropriate urea or 
other reductant, you must report such operation to us within 30 days. 
Note that such operation violates the requirement of this paragraph (e); 
however, we may consider mitigating factors (such as how long the 
locomotive was operated without the appropriate urea or other reductant) 
in determining whether to assess penalties for such violations.
    (f) Failure to fully comply with this section is a violation of 40 
CFR 1068.101(b).



Sec. 1033.820  In-use locomotives.

    (a) We may require you to supply in-use locomotives to us for 
testing. We will specify a reasonable time and place at which you must 
supply the locomotives and a reasonable period during which we will keep 
them for testing. We will make reasonable allowances for you to schedule 
the supply of locomotives to minimize disruption of your operations. The 
number of locomotives that you must supply is limited as follows:
    (1) We will not require a Class I railroad to supply more than five 
locomotives per railroad per calendar year.
    (2) We will not require a non-Class I railroad (or other entity 
subject to the provisions of this subpart) to supply more than two 
locomotives per railroad per calendar year. We will request locomotives 
under this paragraph (a)(2) only for purposes that cannot be 
accomplished using locomotives supplied under paragraph (a)(1) of this 
section.
    (b) You must make reasonable efforts to supply manufacturers/
remanufacturers with the test locomotives needed to fulfill the in-use 
testing requirements in subpart E of this part.
    (c) Failure to fully comply with this section is a violation of 40 
CFR 1068.101(a)(2).



Sec. 1033.825  Refueling requirements.

    (a) If your locomotive operates using a volatile fuel, your 
refueling equipment must be designed and used to minimize the escape of 
fuel vapors.

[[Page 81]]

This means you may not use refueling equipment in a way that renders any 
refueling emission controls inoperative or reduces their effectiveness.
    (b) If your locomotive operates using a gaseous fuel, the hoses used 
to refuel it may not be designed to be bled or vented to the atmosphere 
under normal operating conditions.
    (c) Failing to fully comply with the requirements of this section is 
a violation of 40 CFR 1068.101(b).



          Subpart J_Definitions and Other Reference Information



Sec. 1033.901  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or locomotive performance 
during emission testing or normal in-use operation. This includes, but 
is not limited to, parameters related to injection timing and fueling 
rate. You may ask us to exclude a parameter if you show us that it will 
not be adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
reduce emissions in the locomotive exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) is not aftertreatment.
    Alcohol fuel means a fuel consisting primarily (more than 50 percent 
by weight) of one or more alcohols: e.g., methyl alcohol, ethyl alcohol.
    Alcohol-fueled locomotive means a locomotive with an engine that is 
designed to run using an alcohol fuel. For purposes of this definition, 
alcohol fuels do not include fuels with a nominal alcohol content below 
25 percent by volume.
    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. Note that the 
alternator/generator efficiency may be different at different operating 
points. For example, the Institute of Electrical and Electronic 
Engineers Standard 115 (``Test Procedures for Synchronous Machines'') is 
an appropriate test procedure for determining alternator/generator 
efficiency. Other methods may also be used consistent with good 
engineering judgment.
    Applicable emission standard or applicable standard means a standard 
to which a locomotive is subject; or, where a locomotive has been or is 
being certified to another standard or FEL, the FEL or other standard to 
which the locomotive has been or is being certified is the applicable 
standard. This definition does not apply to Subpart H of this part.
    Auxiliary emission control device means any element of design that 
senses temperature, locomotive 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 engine means a nonroad engine that provides hotel power or 
power during idle, but does not provide power to propel the locomotive.
    Averaging 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 power means the sum of the alternator/generator input power 
and the mechanical accessory power, excluding any power required to 
circulate engine coolant, circulate engine lubricant, supply fuel to the 
engine, or operate aftertreatment devices.
    Calibration means the set of specifications, including tolerances, 
specific to a particular design, version, or application of a component, 
or components, or

[[Page 82]]

assembly capable of functionally describing its operation over its 
working range.
    Carryover means relating to certification based on emission data 
generated from an earlier model year as described in Sec. 1033.235(d).
    Certification means the process of obtaining a certificate of 
conformity for an engine family that complies with the emission 
standards and requirements in this part, or relating to that process.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from a given test cycle.
    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.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Configuration means a unique combination of locomotive hardware and 
calibration within an engine family. Locomotives within a single 
configuration differ only with respect to normal production variability 
(or factors unrelated to engine performance or emissions).
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the locomotive crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Days means calendar days, unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Design certify or certify by design means to certify a locomotive 
based on inherent design characteristics rather than your test data, 
such as allowed under Sec. 1033.625. All other requirements of this 
part apply for such locomotives.
    Designated Compliance Officer means the Manager, Heavy Duty and 
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data locomotive.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1033.515.
    Emission control system means any device, system, or element of 
design that controls or reduces the regulated emissions from a 
locomotive.
    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 locomotive means a locomotive or engine that is tested 
for certification. This includes locomotives tested to establish 
deterioration factors.
    Emission-related maintenance means maintenance that substantially 
affects

[[Page 83]]

emissions or is likely to substantially affect emission deterioration.
    Engine family has the meaning given in Sec. 1033.230.
    Engine used in a locomotive means an engine incorporated into a 
locomotive or intended for incorporation into a locomotive (whether or 
not it is used for propelling the locomotive).
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer/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.
    Exempted means relating to a locomotive that is not required to meet 
otherwise applicable standards. Exempted locomotives must conform to 
regulatory conditions specified for an exemption in this part 1033 or in 
40 CFR part 1068. Exempted locomotives are deemed to be ``subject to'' 
the standards of this part, even though they are not required to comply 
with the otherwise applicable requirements. Locomotives exempted with 
respect to a certain tier of standards may be required to comply with an 
earlier tier of standards as a condition of the exemption; for example, 
locomotives exempted with respect to Tier 3 standards may be required to 
comply with Tier 2 standards.
    Excluded means relating to a locomotive that either has been 
determined not to be a locomotive (as defined in this section) or 
otherwise excluded under section Sec. 1033.5. Excluded locomotives are 
not subject to the standards of this part.
    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.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the locomotive to be mixed with incoming air before 
or during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Freshly manufactured locomotive means a new locomotive that contains 
fewer than 25 percent previously used parts (weighted by the dollar 
value of the parts) as described in Sec. 1033.640.
    Freshly manufactured engine means a new engine that has not been 
remanufactured. An engine becomes freshly manufactured when it is 
originally manufactured.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer/remanufacturer to serve in place of an otherwise applicable 
emission standard under the ABT program in subpart H of this part. The 
family emission limit must be expressed to the same number of decimal 
places as the emission standard it replaces. The family emission limit 
serves as the emission standard for the engine family with respect to 
all required testing.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as diesel fuel or 
natural gas. There can be multiple grades within a single fuel type, 
such as high-sulfur or low-sulfur diesel fuel.
    Gaseous fuel means a fuel which is a gas at standard temperature and 
pressure. This includes both natural gas and liquefied petroleum gas.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    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

[[Page 84]]

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 (approximately 79 to 88 kPa).
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration greater than 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    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.
    Hydrocarbon (HC) means the hydrocarbon group (THC, NMHC, or THCE) on 
which the emission standards are based for each fuel type as described 
in Sec. 1033.101.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular locomotive from other similar locomotives.
    Idle speed means the 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. There are typically one or two idle speeds on a locomotive 
as follows:
    (1) Normal idle speed means the idle speed for the idle throttle-
notch position for locomotives that have one throttle-notch position, or 
the highest idle speed for locomotives that have two idle throttle-notch 
positions.
    (2) Low idle speed means the lowest idle speed for locomotives that 
have two idle throttle-notch positions.
    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 
(such as to determine that the component or system is functionally 
equivalent to one that has not been used previously).
    Installer means an individual or entity that assembles 
remanufactured locomotives or locomotive engines.
    Line-haul locomotive means a locomotive that does not meet the 
definition of switch locomotive. Note that this includes both freight 
and passenger locomotives.
    Liquefied petroleum gas means the commercial product marketed as 
propane or liquefied petroleum gas.
    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. The following other equipment are not 
locomotives (see 40 CFR parts 86, 89, and 1039 for this diesel-powered 
equipment):
    (1) Equipment designed for operation both on highways and rails is 
not a locomotive.
    (2) Specialized railroad equipment for maintenance, construction, 
post-accident recovery of equipment, and repairs; and other similar 
equipment, are not locomotives.
    (3) Vehicles propelled by engines with total rated power of less 
than 750 kW (1006 hp) are not locomotives, unless the owner (which may 
be a manufacturer) chooses to have the equipment certified to meet the 
requirements of this part (under Sec. 1033.615). Where equipment is 
certified as a locomotive pursuant to this paragraph (3), it is subject 
to the requirements of this part for the remainder of its service life. 
For locomotives propelled by two or more engines, the total rated power 
is the sum of the rated power of each engine.
    Locomotive engine means an engine that propels a locomotive.
    Low-hour means relating to a locomotive with stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 300 hours of operation.
    Low mileage locomotive means a locomotive during the interval 
between the time that normal assembly operations and adjustments are 
completed and the

[[Page 85]]

time that either 10,000 miles of locomotive operation or 300 additional 
operating hours have been accumulated (including emission testing if 
performed). Note that we may deem locomotives with additional operation 
to be low mileage locomotives, consistent with good engineering 
judgment.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
market as low-sulfur diesel fuel having a maximum sulfur concentration 
of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    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/remanufacturer (e.g., as 
specified in the application for certification); or the operation of the 
locomotive or locomotive engine in that condition.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling a locomotive or locomotive engine.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act with respect to freshly manufactured locomotives or engines. In 
general, this term includes any person who manufactures a locomotive or 
engine for sale in the United States or otherwise introduces a new 
locomotive or engine into commerce in the United States. This includes 
importers who import locomotives or engines for resale.
    Manufacturer/remanufacturer means the manufacturer of a freshly 
manufactured locomotive or engine or the remanufacturer of a 
remanufactured locomotive or engine, as applicable.
    Model year means a calendar year in which a locomotive is 
manufactured or remanufactured.
    New, when relating to a locomotive or locomotive engine, has the 
meaning given in paragraph (1) of this definition, except as specified 
in paragraph (2) of this definition:
    (1) A locomotive or engine is new if its equitable or legal title 
has never been transferred to an ultimate purchaser. Where the equitable 
or legal title to a locomotive or engine is not transferred prior to its 
being placed into service, the locomotive or engine ceases to be new 
when it is placed into service. A locomotive or engine also becomes new 
if it is remanufactured or refurbished (as defined in this section). A 
remanufactured locomotive or engine ceases to be new when placed back 
into service. With respect to imported locomotives or locomotive 
engines, the term ``new locomotive'' or ``new locomotive engine'' also 
means a locomotive or locomotive engine that is not covered by a 
certificate of conformity under this part or 40 CFR part 92 at the time 
of importation, and that was manufactured or remanufactured after the 
effective date of the emission standards in 40 CFR part 92 which would 
have been applicable to such locomotive or engine had it been 
manufactured or remanufactured for importation into the United States. 
Note that replacing an engine in one locomotive with an unremanufactured 
used engine from a different locomotive does not make a locomotive new.
    (2) The provisions of paragraph (1) of this definition do not apply 
for the following cases:
    (i) Locomotives and engines that were originally manufactured before 
January 1, 1973 are not considered to become new when remanufactured 
unless they have been upgraded (as defined in this section). The 
provisions of paragraph (1) of this definition apply for locomotives 
that have been upgraded.
    (ii) Locomotives that are owned and operated by a small railroad and 
that have never been certified (i.e., manufactured or remanufactured 
into a certified configuration) are not considered to become new when 
remanufactured. The provisions of paragraph (1) of this definition apply 
for locomotives that have previously been remanufactured into a 
certified configuration.
    (iii) Locomotives originally certified under Sec. 1033.150(e) do 
not become new when remanufactured, except as specified in Sec. 
1033.615.
    (iv) Locomotives that operate only on non-standard gauge rails do 
not become new when remanufactured if no certified remanufacturing 
system is available for them.

[[Page 86]]

    Nonconforming means relating to a locomotive that 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 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 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 much more than for locomotive 
applications.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines as defined in 40 CFR 
1068.30.
    Official emission result means the measured emission rate for an 
emission-data locomotive on a given duty cycle before the application of 
any deterioration factor, but after the application of regeneration 
adjustment factors, Green Engine Factors, and/or humidity correction 
factors.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke, as measured by the procedure 
specified in Sec. 1033.525.
    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. 1033.640. Where a 
locomotive is manufactured under Sec. 1033.620(b), the date of original 
manufacture is the date on which the final assembly of locomotive was 
originally scheduled.
    Original remanufacture means the first remanufacturing of a 
locomotive at which the locomotive is subject to the emission standards 
of this part.
    Owner/operator means the owner and/or operator of a locomotive.
    Owners manual means a written or electronic collection of 
instructions provided to ultimate purchasers to describe the basic 
operation of the locomotive.
    Oxides of nitrogen has the meaning given in 40 CFR part 1065.
    Particulate trap means a filtering device that is designed to 
physically trap all particulate matter above a certain size.
    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 gasoline or diesel fuel or another liquid fuel 
primarily derived from crude oil.
    Placed into service means put into initial use for its intended 
purpose after becoming new.
    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 the type of fuel (e.g., diesel fuel) that is 
consumed in the greatest quantity (mass basis) when the locomotive 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 under the certificate holder's 
certificate.
    Railroad means a commercial entity that operates locomotives to 
transport passengers or freight.
    Ramped-modal means relating to the ramped-modal type of testing in 
subpart F of this part.
    Rated power has the meaning given in Sec. 1033.140.
    Refurbish has the meaning given in Sec. 1033.640.
    Remanufacture means one of the following:
    (1)(i) To replace, or inspect and qualify, each and every power 
assembly of a locomotive or locomotive engine,

[[Page 87]]

whether during a single maintenance event or cumulatively within a five-
year period.
    (ii) To upgrade a locomotive or locomotive engine.
    (iii) To convert a locomotive or locomotive engine to enable it to 
operate using a fuel other than it was originally manufactured to use.
    (iv) To install a remanufactured engine or a freshly manufactured 
engine into a previously used locomotive.
    (v) To repair a locomotive engine that does not contain power 
assemblies to a condition that is equivalent to or better than its 
original condition with respect to reliability and fuel consumption.
    (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 or 40 CFR part 92.
    Remanufactured locomotive means either a locomotive powered by a 
remanufactured locomotive engine, a repowered locomotive, or a 
refurbished locomotive.
    Remanufactured locomotive engine means a locomotive engine that has 
been remanufactured.
    Remanufacturer has the meaning given to ``manufacturer'' in section 
216(1) of the Clean Air Act with respect to remanufactured locomotives. 
(See Sec. Sec. 1033.1 and 1033.601 for applicability of this term.) 
This term includes:
    (1) Any person that is engaged in the manufacture or assembly of 
remanufactured locomotives or locomotive engines, such as persons who:
    (i) Design or produce the emission-related parts used in 
remanufacturing.
    (ii) Install parts in an existing locomotive or locomotive engine to 
remanufacture it.
    (iii) 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).
    (2) Any person who imports remanufactured locomotives or 
remanufactured locomotive engines.
    Repower means replacement of the engine in a previously used 
locomotive with a freshly manufactured locomotive engine. See Sec. 
1033.640.
    Repowered locomotive means a locomotive that has been repowered with 
a freshly manufactured engine.
    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine family.
    Round means to round numbers as specified in 40 CFR 1065.1001.
    Service life means the total life of a locomotive. Service life 
begins when the locomotive is originally manufactured and continues 
until the locomotive is permanently removed from service.
    Small manufacturer/remanufacturer means a manufacturer/
remanufacturer with 1,000 or fewer employees. For purposes of this part, 
the number of employees includes all employees of the manufacturer/
remanufacturer's parent company, if applicable.
    Small railroad means a railroad meeting the criterion of paragraph 
(1) of this definition, but not either of the criteria of paragraphs (2) 
and (3) of this definition.
    (1) To be considered a small railroad, a railroad must qualify as a 
small business under the Small Business Administration's regulations in 
13 CFR part 121.
    (2) Class I and Class II railroads (and their subsidiaries) are not 
small railroads.
    (3) Intercity passenger and commuter railroads are excluded from 
this definition of small railroad. Note that this paragraph (3) does not 
exclude tourist railroads.
    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.
    Sulfur-sensitive technology means an emission-control technology 
that would experience a significant drop in

[[Page 88]]

emission control performance or emission-system durability when a 
locomotive is operated on low-sulfur fuel with a sulfur concentration of 
300 to 500 ppm as compared to when it is operated on ultra low-sulfur 
fuel (i.e., fuel with a sulfur concentration less than 15 ppm). Exhaust-
gas recirculation is not a sulfur-sensitive technology.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Switch locomotive means a locomotive that is powered by an engine 
with a maximum rated power (or a combination of engines having a total 
rated power) of 2300 hp or less. Include auxiliary engines in your 
calculation of total power if the engines are permanently installed on 
the locomotive and can be operated while the main propulsion engine is 
operating. Do not count the power of auxiliary engines that operate only 
to reduce idling time of the propulsion engine.
    Test locomotive means a locomotive or engine in a test sample.
    Test sample means the collection of locomotives or engines selected 
from the population of an engine family for emission testing. This may 
include testing for certification, production-line testing, or in-use 
testing.
    Tier 0 or Tier 0+ means relating to the Tier 0 emission standards, 
as shown in Sec. 1033.101.
    Tier 1 or Tier 1+ means relating to the Tier 1 emission standards, 
as shown in Sec. 1033.101.
    Tier 2 or Tier 2+ means relating to the Tier 2 emission standards, 
as shown in Sec. 1033.101.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
Sec. 1033.101.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec. 1033.101.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass contributions 
of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic 
compounds that are measured separately as contained in a gas sample, 
expressed as exhaust hydrocarbon from petroleum-fueled locomotives. The 
atomic hydrogen-to-carbon mass ratio of the equivalent hydrocarbon is 
1.85:1.
    Ultimate purchaser means the first person who in good faith 
purchases a new locomotive for purposes other than resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur 
concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning given 
in 40 CFR part 1065.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    Upgrade means one of the following types of remanufacturing.
    (1) Repowering a locomotive that was originally manufactured prior 
to January 1, 1973.
    (2) Refurbishing a locomotive that was originally manufactured prior 
to January 1, 1973 in a manner that is not freshly manufacturing.
    (3) Modifying a locomotive that was originally manufactured prior to 
January 1, 1973 (or a locomotive 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. See Sec. 1033.615.
    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 locomotive is required to comply 
with all applicable emission standards. See Sec. 1033.101(g).
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.

[[Page 89]]

    Volatile fuel means a volatile liquid fuel or any fuel that is a gas 
at atmospheric pressure. Gasoline, natural gas, and LPG are volatile 
fuels.
    Volatile liquid fuel means any liquid fuel other than diesel or 
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor 
Pressure higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008; 75 
FR 22987, Apr. 30, 2010]



Sec. 1033.905  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:

ABT averaging, banking, and trading.
AECD auxiliary emission control device.
AESS automatic engine stop/start
AF adjustment factor (see Sec. 1033.530).
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/bhp-hr grams per brake horsepower-hour.
HC hydrocarbon.
hp horsepower.
LPG liquefied petroleum gas.
LSD low sulfur diesel.
MW megawatt.
N2O nitrous oxide.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen.
PM particulate matter.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
SEA Selective Enforcement Audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
UL useful life.
ULSD ultra low sulfur diesel.
U.S. United States.
U.S.C. United States Code.

[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 
75 FR 22987, Apr. 30, 2010]



Sec. 1033.915  Confidential information.

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec. 1033.920  How to request a hearing.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec. 1033.925  Reporting and recordkeeping requirements.

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. Failing to properly report 
information and keep the records we specify violates 40 CFR 
1068.101(a)(2), which may involve civil or criminal penalties. The 
following items illustrate the kind of reporting and recordkeeping we 
require for engines regulated under this part:
    (a) We specify the following requirements related to engine 
certification in this part 1033:
    (1) In Sec. 1033.150 we state the requirements for interim 
provisions.
    (2) In subpart C of this part we identify a wide range of 
information required to certify engines.

[[Page 90]]

    (3) In Sec. 1033.325 we specify certain records related to 
production-line testing.
    (4) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions.
    (5) In Sec. Sec. 1033.725, 1033.730, and 1033.735 we specify 
certain records related to averaging, banking, and trading.
    (6) In subpart I of this part we specify certain records related to 
meeting requirements for remanufactured engines.
    (b) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify the specific information and data 
items to record when measuring emissions.
    (c) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require vessel manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.

[75 FR 22987, Apr. 30, 2010]



PART 1039_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION

ENGINES--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1039.1 Does this part apply for my engines?
1039.2 Who is responsible for compliance?
1039.5 Which engines are excluded from this part's requirements?
1039.10 How is this part organized?
1039.15 Do any other regulation parts apply to me?
1039.20 What requirements from this part apply to excluded stationary 
          engines?
1039.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1039.101 What exhaust emission standards must my engines meet after the 
          2014 model year?
1039.102 What exhaust emission standards and phase-in allowances apply 
          for my engines in model year 2014 and earlier?
1039.104 Are there interim provisions that apply only for a limited 
          time?
1039.105 What smoke standards must my engines meet?
1039.107 What evaporative emission standards and requirements apply?
1039.110 [Reserved]
1039.115 What other requirements apply?
1039.120 What emission-related warranty requirements apply to me?
1039.125 What maintenance instructions must I give to buyers?
1039.130 What installation instructions must I give to equipment 
          manufacturers?
1039.135 How must I label and identify the engines I produce?
1039.140 What is my engine's maximum engine power?

[[Page 91]]

                  Subpart C_Certifying Engine Families

1039.201 What are the general requirements for obtaining a certificate 
          of conformity?
1039.205 What must I include in my application?
1039.210 May I get preliminary approval before I complete my 
          application?
1039.220 How do I amend the maintenance instructions in my application?
1039.225 How do I amend my application for certification?
1039.230 How do I select engine families?
1039.235 What testing requirements apply for certification?
1039.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1039.245 How do I determine deterioration factors from exhaust 
          durability testing?
1039.250 What records must I keep and what reports must I send to EPA?
1039.255 What decisions may EPA make regarding my certificate of 
          conformity?

Subpart D [Reserved]

                        Subpart E_In-use Testing

1039.401 General provisions.

                        Subpart F_Test Procedures

1039.501 How do I run a valid emission test?
1039.505 How do I test engines using steady-state duty cycles, including 
          ramped-modal testing?
1039.510 Which duty cycles do I use for transient testing?
1039.515 What are the test procedures related to not-to-exceed 
          standards?
1039.520 What testing must I perform to establish deterioration factors?
1039.525 How do I adjust emission levels to account for infrequently 
          regenerating aftertreatment devices?

                 Subpart G_Special Compliance Provisions

1039.601 What compliance provisions apply to these engines?
1039.605 What provisions apply to engines certified under the motor-
          vehicle program?
1039.610 What provisions apply to vehicles certified under the motor-
          vehicle program?
1039.615 What special provisions apply to engines using noncommercial 
          fuels?
1039.620 What are the provisions for exempting engines used solely for 
          competition?
1039.625 What requirements apply under the program for equipment-
          manufacturer flexibility?
1039.626 What special provisions apply to equipment imported under the 
          equipment-manufacturer flexibility program?
1039.627 What are the incentives for equipment manufacturers to use 
          cleaner engines?
1039.630 What are the economic hardship provisions for equipment 
          manufacturers?
1039.635 What are the hardship provisions for engine manufacturers?
1039.640 What special provisions apply to branded engines?
1039.645 What special provisions apply to engines used for 
          transportation refrigeration units?
1039.650 [Reserved]
1039.655 What special provisions apply to engines sold in Guam, American 
          Samoa, or the Commonwealth of the Northern Mariana Islands?
1039.660 What special provisions apply to Independent Commercial 
          Importers?

       Subpart H_Averaging, Banking, and Trading for Certification

1039.701 General provisions.
1039.705 How do I generate and calculate emission credits?
1039.710 How do I average emission credits?
1039.715 How do I bank emission credits?
1039.720 How do I trade emission credits?
1039.725 What must I include in my application for certification?
1039.730 What ABT reports must I send to EPA?
1039.735 What records must I keep?
1039.740 What restrictions apply for using emission credits?
1039.745 What can happen if I do not comply with the provisions of this 
          subpart?

          Subpart I_Definitions and Other Reference Information

1039.801 What definitions apply to this part?
1039.805 What symbols, acronyms, and abbreviations does this part use?
1039.815 What provisions apply to confidential information?
1039.820 How do I request a hearing?
1039.825 What reporting and recordkeeping requirements apply under this 
          part?

Appendix I to Part 1039 [Reserved]
Appendix II to Part 1039--Steady-state Duty Cycles
Appendix III to Part 1039 [Reserved]
Appendix IV to Part 1039 [Reserved]
Appendix V to Part 1039 [Reserved]
Appendix VI to Part 1039--Nonroad Compression-ignition Composite 
          Transient Cycle

    Authority: 42 U.S.C. 7401-7671q.

    Source: 69 FR 39213, June 29, 2004, unless otherwise noted.

[[Page 92]]



                  Subpart A_Overview and Applicability



Sec. 1039.1  Does this part apply for my engines?

    (a) The regulations in this part 1039 apply for all new, 
compression-ignition nonroad engines (defined in Sec. 1039.801), except 
as provided in Sec. 1039.5.
    (b) This part 1039 applies as follows:
    (1) This part 1039 applies for all engines subject to the emission 
standards specified in subpart B of this part starting with the model 
years noted in the following table:

     Table 1 of Sec.  1039.1--Part 1039 Applicability by Model Year
------------------------------------------------------------------------
                       Power category                         Model year
------------------------------------------------------------------------
kW < 19....................................................     \1\ 2008
 19 <= kW < 56.............................................     \2\ 2008
56 <= kW < 130.............................................         2012
130 <= kW <= 560...........................................         2011
kW  560.........................................        2011
------------------------------------------------------------------------
\1\ As described in Sec.  1039.102, some engines below 19 kW may not be
  subject to the emission standards in this part until the 2010 model
  year.
\2\ As described in Sec.  1039.102, some engines in the 19-56 kW power
  category may not be subject to the emission standards in this part
  until the 2012 model year.

    (2) If you use the provisions of Sec. 1039.104(a) to certify an 
engine to the emission standards of this part before the model years 
shown in Table 1 of this section, all the requirements of this part 
apply for those engines.
    (3) See 40 CFR part 89 for requirements that apply to engines not 
yet subject to the requirements of this part 1039.
    (4) This part 1039 applies for other compression-ignition engines as 
follows:
    (i) The provisions of paragraph (c) of this section and Sec. 
1039.801 apply for stationary engines beginning January 1, 2006.
    (ii) The provisions of Sec. 1039.620 and Sec. 1039.801 apply for 
engines used solely for competition beginning January 1, 2006.
    (c) The definition of nonroad engine in 40 CFR 1068.30 excludes 
certain engines used in stationary applications. These engines may be 
required by subpart IIII of 40 CFR part 60 to comply with some of the 
provisions of this part 1039; otherwise, these engines are only required 
to comply with the requirements in Sec. 1039.20. In addition, the 
prohibitions in 40 CFR 1068.101 restrict the use of stationary engines 
for nonstationary purposes unless they are certified under this part 
1039, or under the provisions of 40 CFR part 89 or 40 CFR part 94, to 
the same standards that would apply to nonroad engines for the same 
model year.
    (d) In certain cases, the regulations in this part 1039 apply to 
engines at or above 250 kW that would otherwise be covered by 40 CFR 
part 1048. See 40 CFR 1048.620 for provisions related to this allowance.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
71 FR 39184, July 11, 2006]



Sec. 1039.2  Who is responsible for compliance?

    The regulations in this part 1039 contain provisions that affect 
both engine manufacturers and others. However, the requirements of this 
part are generally addressed to the engine manufacturer. The term 
``you'' generally means the engine manufacturer, as defined in Sec. 
1039.801, especially for issues related to certification.

[75 FR 22988, Apr. 30, 2010]



Sec. 1039.5  Which engines are excluded from this part's requirements?

    This part does not apply to the following nonroad engines:
    (a) Locomotive engines. (1) The following locomotive engines are not 
subject to the provisions of this part 1039:
    (i) Engines in locomotives certified under 40 CFR part 1033.
    (ii) Engines in locomotives that are exempt from the standards of 40 
CFR part 92 or 1033 pursuant to the provisions of 40 CFR part 1033 or 
1068 (except for the provisions of 40 CFR 1033.150(e)).
    (2) The following locomotive engines are subject to the provisions 
of this part 1039:
    (i) Engines in locomotives exempt from 40 CFR part 1033 pursuant to 
the provisions of 40 CFR 1033.150(e).
    (ii) Locomotive engines excluded from the definition of locomotive 
in 40 CFR 1033.901.
    (b) Marine engines. (1) The following marine engines are not subject 
to the provisions of this part 1039:
    (i) Engines subject to the standards of 40 CFR part 94.

[[Page 93]]

    (ii) Engines not subject to the standards of 40 CFR part 94 only 
because they were produced before the standards of 40 CFR part 94 
started to apply.
    (iii) Engines that are exempt from the standards of 40 CFR part 94 
pursuant to the provisions of 40 CFR part 94 (except for the provisions 
of 40 CFR 94.907 or 94.912). For example, an engine that is exempt under 
40 CFR 94.906 because it is a manufacturer-owned engine is not subject 
to the provisions of this part 1039.
    (iv) Engines with rated power below 37 kW.
    (v) Engines on foreign vessels.
    (2) Marine engines are subject to the provisions of this part 1039 
if they are exempt from 40 CFR part 94 based on the engine-dressing 
provisions of 40 CFR 94.907 or the common-family provisions of 40 CFR 
94.912.
    (c) Mining engines. Engines used in underground mining or in 
underground mining equipment and regulated by the Mining Safety and 
Health Administration in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75 
are not subject to the provisions of this part 1039.
    (d) Hobby engines. Engines installed in reduced-scale models of 
vehicles that are not capable of transporting a person are not subject 
to the provisions of this part 1039.
    (e) Engines used in recreational vehicles. Engines certified to meet 
the requirements of 40 CFR part 1051 or are otherwise subject to 40 CFR 
part 1051 (for example, engines used in snowmobiles and all-terrain 
vehicles) are not subject to the provisions of this part 1039.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
73 FR 59191, Oct. 8, 2008; 75 FR 22988, Apr. 30, 2010]



Sec. 1039.10  How is this part organized?

    This part 1039 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1039 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec. 1039.102 and Sec. 1039.104 discuss certain interim 
requirements and compliance provisions that apply only for a limited 
time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) [Reserved]
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your engines.
    (i) Subpart I of this part contains definitions and other reference 
information.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
72 FR 53129, Sept. 18, 2007]



Sec. 1039.15  Do any other regulation parts apply to me?

    (a) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1039 describes how to apply the provisions of part 1065 
of this chapter to determine whether engines meet the exhaust emission 
standards in this part.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1039, or equipment containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.

[[Page 94]]

    (7) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22988, Apr. 30, 2010]



Sec. 1039.20  What requirements from this part apply to excluded stationary engines?

    The provisions of this section apply for engines built on or after 
January 1, 2006.
    (a) You must add a permanent label or tag to each new engine you 
produce or import that is excluded under Sec. 1039.1(c) as a stationary 
engine and is not required by 40 CFR part 60, subpart IIII, to meet the 
requirements of this part 1039, or the requirements of parts 89 or 94, 
that are equivalent to the requirements applicable to nonroad or marine 
engines for the same model year. To meet labeling requirements, you must 
do the following things:
    (1) Attach the label or tag in one piece so no one can remove it 
without destroying or defacing it.
    (2) Secure it to a part of the engine needed for normal operation 
and not normally requiring replacement.
    (3) Make sure it is durable and readable for the engine's entire 
life.
    (4) Write it in English.
    (5) Follow the requirements in Sec. 1039.135(g) regarding duplicate 
labels if the engine label is obscured in the final installation.
    (b) Engine labels or tags required under this section must have the 
following information:
    (1) Include the heading ``EMISSION CONTROL INFORMATION.''
    (2) Include your full corporate name and trademark. You may instead 
include the fill corporate name and trademark of another company you 
choose to designate.
    (3) State the engine displacement (in liters) and maximum engine 
power (or in the case of fire pumps, NFPA nameplate engine power).
    (4) State: ``THIS ENGINE IS EXEMPTED FROM THE REQUIREMENTS OF 40 CFR 
PARTS 89 AND 1039 AS A ``STATIONARY ENGINE.'' INSTALLING OR USING THIS 
ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW 
SUBJECT TO CIVIL PENALTY.''
    (c) Stationary engines required by 40 CFR part 60, subpart IIII, to 
meet the requirements of this part 1039, or parts 89 or 94, must meet 
the labeling requirements of 40 CFR 60.4210.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006]

    Effective Date Note: At 76 FR 37977, June 28, 2011, Sec. 1039.20 
was amended by revising paragraph (a) introductory text and paragraph 
(c), effective August 29, 2011. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 1039.20  What requirements from this part apply to excluded 
          stationary engines?

                                * * * * *

    (a) You must add a permanent label or tag to each new engine you 
produce or import that is excluded under Sec. 1039.1(c) as a stationary 
engine and is not required by 40 CFR part 60, subpart IIII, to meet the 
requirements of this part 1039, or the requirements of 40 CFR parts 89, 
94 or 1042, that are equivalent to the requirements applicable to marine 
or land-based nonroad engines for the same model year. To meet labeling 
requirements, you must do the following things:

                                * * * * *

    (c) Stationary engines required by 40 CFR part 60, subpart IIII, to 
meet the requirements of this part 1039, or part 89, 94 or 1042, must 
meet the labeling requirements of 40 CFR 60.4210.



Sec. 1039.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec. 1039.825 and 40 CFR 1068.25 regarding 
recordkeeping requirements. Unless we specify otherwise, store these 
records in any format and on any media and keep them readily available 
for one year after you send an associated application for certification, 
or one year after you generate the data if they do not support an 
application for certification. You must promptly send us organized, 
written records in English if we ask for them. We may review them at any 
time.
    (b) The regulations in Sec. 1039.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.

[[Page 95]]

    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 1039.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.

[75 FR 22988, Apr. 30, 2010]



          Subpart B_Emission Standards and Related Requirements



Sec. 1039.101  What exhaust emission standards must my engines meet after the 2014 model year?

    The exhaust emission standards of this section apply after the 2014 
model year. Certain of these standards also apply for model year 2014 
and earlier. This section presents the full set of emission standards 
that apply after all the transition and phase-in provisions of Sec. 
1039.102 and Sec. 1039.104 expire. See Sec. 1039.102 and 40 CFR 89.112 
for exhaust emission standards that apply to 2014 and earlier model 
years. Section 1039.105 specifies smoke standards.
    (a) Emission standards for transient testing. Transient exhaust 
emissions from your engines may not exceed the applicable emission 
standards in Table 1 of this section. Measure emissions using the 
applicable transient test procedures described in subpart F of this 
part. The following engines are not subject to the transient standards 
in this paragraph (a):
    (1) Engines above 560 kW.
    (2) Constant-speed engines.
    (b) Emission standards for steady-state testing. Steady-state 
exhaust emissions from your engines may not exceed the applicable 
emission standards in Table 1 of this section. Measure emissions using 
the applicable steady-state test procedures described in subpart F of 
this part.

      Table 1 of Sec.  1039.101--Tier 4 Exhaust Emission Standards After the 2014 Model Year, g/kW-hr \1\
----------------------------------------------------------------------------------------------------------------
     Maximum engine power        Application         PM           NOX          NMHC       NOX+NMHC        CO
----------------------------------------------------------------------------------------------------------------
kW < 19......................  All............     \2\ 0.40  ............  ...........          7.5      \3\ 6.6
19 <= kW < 56................  All............         0.03  ............  ...........          4.7      \4\ 5.0
56 <= kW < 130...............  All............         0.02          0.40         0.19  ...........          5.0
130 <= kW <= 560.............  All............         0.02          0.40         0.19  ...........          3.5
                               Generator sets.         0.03          0.67         0.19  ...........          3.5
kW  560...........  All except              0.04          3.5          0.19  ...........          3.5
                                generator sets.
----------------------------------------------------------------------------------------------------------------
\1\ Note that some of these standards also apply for 2014 and earlier model years. This table presents the full
  set of emission standards that apply after all the transition and phase-in provisions of Sec.  1039.102
  expire.
\2\ See paragraph (c) of this section for provisions related to an optional PM standard for certain engines
  below 8 kW.
\3\ The CO standard is 8.0 g/kW-hr for engines below 8 kW.
\4\ The CO standard is 5.5 g/kW-hr for engines below 37 kW.

    (c) Optional PM standard for engines below 8 kW. You may certify 
hand-startable, air-cooled, direct injection engines below 8 kW to an 
optional Tier 4 PM standard of 0.60 g/kW-hr. The term hand-startable 
generally refers to engines that are started using a hand crank or pull 
cord. This PM standard applies to both steady-state and transient 
testing, as described in paragraphs (a) and (b) of this section. Engines 
certified under this paragraph (c) may not be used to generate PM or 
NOX+NMHC emission credits under the provisions of subpart H 
of this part. These engines may use PM or NOX+NMHC emission 
credits, subject to the FEL caps in paragraph (d)(1) of this section.
    (d) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) 
program, as described in subpart H of this part. This requires that you 
specify a family emission limit (FEL) for each pollutant you include in 
the ABT program for each engine family. These FELs serve as the emission 
standards for the engine family with respect to all required testing 
instead of the standards specified in paragraphs (a) and (b) of this 
section. The FELs determine the

[[Page 96]]

not-to-exceed standards for your engine family, as specified in 
paragraph (e) of this section.
    (1) Primary FEL caps. The FEL may not be higher than the limits in 
Table 2 of this section, except as allowed by paragraph (d)(2) of this 
section or by Sec. 1039.102:

                 Table 2 of Sec.  1039.101--Tier 4 FEL Caps After the 2014 Model Year, g/kW-hr
----------------------------------------------------------------------------------------------------------------
           Maximum engine power                      Application                PM          NOX        NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19...................................  All..........................         0.80  ...........      \1\ 9.5
19 <= kW < 56.............................  All..........................         0.05  ...........          7.5
56 <= kW < 130............................  All..........................         0.04         0.80  ...........
130 <= kW <= 560..........................  All..........................         0.04         0.80  ...........
kW  560........................  Generator sets...............         0.05         1.07  ...........
                                            All except generator sets....         0.07          6.2  ...........
----------------------------------------------------------------------------------------------------------------
\1\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.

    (2) Alternate FEL caps. For a given power category, you may use the 
alternate FEL caps shown in Table 3 of this section instead of the FEL 
caps identified in paragraph (d)(1) of this section for up to 5 percent 
of your U.S.-directed production volume in a given model year.

         Table 3 of Sec.  1039.101--Alternate FEL Caps, g/kW-hr
------------------------------------------------------------------------
                                     Starting
       Maximum engine power         model year  PM FEL  cap  NOX FEL cap
                                       \1\
------------------------------------------------------------------------
19 <= kW < 56....................     \2\ 2016         0.30  ...........
56 <= kW < 130...................         2016     \3\ 0.30      \3\ 3.8
130 <= kW <= 560.................         2015         0.20          3.8
kW  560...............         2019         0.10      \4\ 3.5
------------------------------------------------------------------------
\1\ See Sec.  1039.104(g) for alternate FEL caps that apply in earlier
  model years.
\2\ For manufacturers certifying engines under Option 1 of
  Table 3 of Sec.  1039.102, these alternate FEL caps apply starting
  with the 2017 model year.
\3\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM
  emissions and 4.4 g/kW-hr for NOX emissions.
\4\ For engines above 560 kW, the provision for alternate NOX FEL caps
  is limited to generator-set engines. For example, if you produce 1,000
  generator-set engines above 560 kW in a given model year, up to 50 of
  them may be certified to the alternate NOX FEL caps.

    (e) Not-to-exceed standards. Exhaust emissions from your engines may 
not exceed the applicable not-to-exceed (NTE) standards in this 
paragraph (e).
    (1) Measure emissions using the procedures described in subpart F of 
this part.
    (2) Except as noted in paragraph (e)(7) of this section, the NTE 
standard, rounded to the same number of decimal places as the applicable 
standard in Table 1 of this section, is determined from the following 
equation:

NTE standard for each pollutant = (STD) x (M)

Where:

STD = The standard specified for that pollutant in Table 1 of this 
section (or paragraph (c) of this section) if you certify without using 
ABT for that pollutant; or the FEL for that pollutant if you certify 
using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraph 
(e)(3) of this section.

    (3) The NTE multiplier for each pollutant is 1.25, except in the 
following cases:

------------------------------------------------------------------------
            If . . .                   Or . . .           Then . . .
------------------------------------------------------------------------
(i) The engine family is         The engine family    The multiplier for
 certified to a NOX standard      is certified to a    NOX, NMHC, and
 less than 2.50 g/kW-hr without   NOX FEL less than    NOX+NMHC is 1.50.
 using ABT.                       2.50 g/kW-hr or a
                                  NOX+NMHC FEL less
                                  than 2.70 g/kW-hr.
(ii) The engine family is        The engine family    The multiplier for
 certified to a PM standard       is certified to a    PM is 1.50.
 less than 0.07 g/kW-hr without   PM FEL less than
 using ABT.                       0.07 g/kW-hr.
------------------------------------------------------------------------


[[Page 97]]

    (4) There are two sets of specifications of ambient operating 
regions that will apply for all NTE testing of engines in an engine 
family. You must choose one set for each engine family and must identify 
your choice of ambient operating regions in each application for 
certification for an engine family. You may choose separately for each 
engine family. Choose one of the following ambient operating regions:
    (i) All altitudes less than or equal to 5,500 feet above sea level 
during all ambient temperature and humidity conditions.
    (ii) All altitudes less than or equal to 5,500 feet above sea level, 
for temperatures less than or equal to the temperature determined by the 
following equation at the specified altitude:

T = -0.00254 x A + 100

Where:

T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea level (A is negative for altitudes below 
sea level).

    (5) Temperature and humidity ranges for which correction factors are 
allowed are specified in 40 CFR 86.1370-2007(e).
    (i) If you choose the ambient operating region specified in 
paragraph (e)(4)(i) of this section, the temperature and humidity ranges 
for which correction factors are allowed are defined in 40 CFR 86.1370-
2007(e)(1).
    (ii) If you choose the ambient operating region specified in 
paragraph (e)(4)(ii) of this section, the temperature and humidity 
ranges for which correction factors are allowed are defined in 40 CFR 
86.1370-2007(e)(2).
    (6) For engines equipped with exhaust-gas recirculation, the NTE 
standards of this section do not apply during the cold operating 
conditions specified in 40 CFR 86.1370-2007(f).
    (7) For engines certified to a PM FEL less than or equal to 0.01 g/
kW-hr, the PM NTE standard is 0.02 g/kW-hr.
    (f) Fuel types. The exhaust emission standards in this section apply 
for engines using the fuel type on which the engines in the engine 
family are designed to operate, except for engines certified under Sec. 
1039.615. For engines certified under Sec. 1039.615, the standards of 
this section apply to emissions measured using the specified test fuel. 
You must meet the numerical emission standards for NMHC in this section 
based on the following types of hydrocarbon emissions for engines 
powered by the following fuels:
    (1) Alcohol-fueled engines: THCE emissions.
    (2) Other engines: NMHC emissions.
    (g) Useful life. Your engines must meet the exhaust emission 
standards in paragraphs (a) through (e) of this section over their full 
useful life.
    (1) The useful life values are shown in the following table, except 
as allowed by paragraph (g)(2) of this section:

                                 Table 4 of Sec.  1039.101--Useful Life Values
----------------------------------------------------------------------------------------------------------------
                                        And its maximum power    And its rated speed is  Then its useful life is
 If your engine is certified as . . .          is . . .                  . . .                    . . .
----------------------------------------------------------------------------------------------------------------
(i) Variable speed or constant speed.  kW <19.................  Any Speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
(ii) Constant speed..................  19 <= kW <37...........  3,000 rpm or higher....  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
(iii) Constant speed.................  19 <= kW <37...........  Less than 3,000 rpm....  5,000 hours or seven
                                                                                          years, whichever comes
                                                                                          first.
(iv) Variable........................  19 <= kW <37...........  Any Speed..............  5,000 hours or seven
                                                                                          years, whichever comes
                                                                                          first.
(v) Variable speed or constant speed.  kW =37......  Any speed..............  8,000 hours or ten
                                                                                          years, whichever comes
                                                                                          first.
----------------------------------------------------------------------------------------------------------------

    (2) You may request in your application for certification that we 
approve a shorter useful life for an engine family. We may approve a 
shorter useful life, in hours of engine operation but not in years, if 
we determine that these engines will rarely operate longer than the 
shorter useful life. If engines identical to those in the engine family 
have already been produced and are in use, your demonstration must 
include documentation from such in-use engines. In

[[Page 98]]

other cases, your demonstration must include an engineering analysis of 
information equivalent to such in-use data, such as data from research 
engines or similar engine models that are already in production. Your 
demonstration must also include any overhaul interval that you 
recommend, any mechanical warranty that you offer for the engine or its 
components, and any relevant customer design specifications. Your 
demonstration may include any other relevant information. The useful 
life value may not be shorter than any of the following:
    (i) 1,000 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (h) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification, selective 
enforcement audits, and in-use testing. For selective enforcement 
audits, we will require you to perform duty-cycle testing as specified 
in Sec. Sec. 1039.505 and 1039.510. The NTE standards of this section 
apply for those tests. We will not direct you to do additional testing 
under a selective enforcement audit to show that your engines meet the 
NTE standards.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005]



Sec. 1039.102  What exhaust emission standards and phase-in allowances apply 

for my engines in model year 2014 and earlier?

    The exhaust emission standards of this section apply for 2014 and 
earlier model years. See Sec. 1039.101 for exhaust emission standards 
that apply to later model years. See 40 CFR 89.112 for exhaust emission 
standards that apply to model years before the standards of this part 
1039 take effect.
    (a) Emission standards for transient testing. Transient exhaust 
emissions from your engines may not exceed the applicable emission 
standards in Tables 1 through 6 of this section. Measure emissions using 
the applicable transient test procedures described in subpart F of this 
part. See paragraph (c) of this section for a description of provisions 
related to the phase-in and phase-out standards shown in Tables 4 
through 6 of this section. The emission standards for transient testing 
are limited for certain engines, as follows:
    (1) The transient standards in this section do not apply for the 
following engines:
    (i) Engines below 37 kW for model years before 2013.
    (ii) Engines certified under Option 1 of Table 3 of this 
section. These are the small-volume manufacturer engines certified to 
the Option 1 standards for model years 2008 through 2015 under 
Sec. 1039.104(c), and other engines certified to the Option 1 
standards for model years 2008 through 2012.
    (iii) Engines certified to an alternate FEL during the first four 
years of the Tier 4 standards for the applicable power category, as 
allowed in Sec. 1039.104(g). However, you may certify these engines to 
the transient standards in this section to avoid using temporary 
compliance adjustment factors, as described in Sec. 1039.104(g)(2). 
Note that in some cases this four-year period extends into the time 
covered by the standards in Sec. 1039.101.
    (iv) Constant-speed engines.
    (v) Engines above 560 kW.
    (2) The transient standards in this section for gaseous pollutants 
do not apply to phase-out engines that you certify to the same numerical 
standards (and FELs if the engines are certified using ABT) for gaseous 
pollutants as you certified under the Tier 3 requirements of 40 CFR part 
89. However, except as specified by paragraph (a)(1) of this section, 
the transient PM emission standards apply to these engines.
    (b) Emission standards for steady-state testing. Steady-state 
exhaust emissions from your engines may not exceed the applicable 
emission standards in Tables 1 through 7 of this section. Measure 
emissions using the applicable steady-state test procedures described in 
subpart F of this part. See paragraph (c) of this section for a 
description of provisions related to the phase-in and phase-out 
standards shown in Tables 4 through 6 of this section.

[[Page 99]]



                Table 1 of Sec.  1039.102--Tier 4 Exhaust Emission Standards (g/kW-hr): kW < 19
----------------------------------------------------------------------------------------------------------------
                    Maximum engine power                      Model years       PM       NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
kW < 8......................................................    2008-2014     \1\ 0.40          7.5          8.0
8 <= kW < 19................................................    2008-2014         0.40          7.5         6.6
----------------------------------------------------------------------------------------------------------------
\1\ For engines that qualify for the special provisions in Sec.  1039.101(c), you may delay certifying to the
  standards in this part 1039 until 2010. In 2009 and earlier model years, these engines must instead meet the
  applicable Tier 2 standards and other requirements from 40 CFR part 89. Starting in 2010, these engines must
  meet a PM standard of 0.60 g/kW-hr, as described in Sec.  1039.101(c). Engines certified to the 0.60 g/kWhr
  PM standard may not generate ABT credits.


Table 2 of Sec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/
                          kW-hr): 19 <= kW < 37
------------------------------------------------------------------------
           Model years                  PM       NOX + NMHC       CO
------------------------------------------------------------------------
2008-2012........................         0.30          7.5          5.5
2013-2014........................         0.03          4.7          5.5
------------------------------------------------------------------------


         Table 3 of Sec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 37 <= kW < 56
----------------------------------------------------------------------------------------------------------------
                         Option \1\                           Model years       PM       NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
1..................................................    2008-2012         0.30          4.7          5.0
2..................................................         2012         0.03          4.7          5.0
All.........................................................    2013-2014         0.03          4.7         5.0
----------------------------------------------------------------------------------------------------------------
\1\You may certify engines to the Option 1 or Option 2 standards starting in the listed model
  year. Under Option 1, all engines at or above 37 kW and below 56 kW produced before the 2013 model
  year must meet the applicable Option 1 standards in this table. These engines are considered to be
  ``Option 1 engines.'' Under Option 2, all these engines produced before the 2012 model year
  must meet the applicable standards under 40 CFR part 89. Engines certified to the Option 2 standards
  in model year 2012 are considered to be ``Option 2 engines.''


         Table 4 of Sec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 56 <= kW < 75
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
2012-2013....................  Phase-in........         0.02         0.40         0.19  ...........          5.0
                              ----------------------------------------------------------------------------------
                               Phase-out.......         0.02  ...........  ...........          4.7          5.0
----------------------------------------------------------------------------------------------------------------
2014.........................  All engines.....         0.02         0.40         0.19  ...........         5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
  specified in paragraph (c)(1) of this section.


         Table 5 of Sec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 75 <= kW < 130
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
2012-2013....................  Phase-in........         0.02         0.40         0.19  ...........          5.0
                              ----------------------------------------------------------------------------------
                               Phase-out.......         0.02  ...........  ...........          4.0          5.0
----------------------------------------------------------------------------------------------------------------
2014.........................  All engines.....         0.02         0.40         0.19  ...........         5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
  specified in paragraph (c)(1) of this section.


        Table 6 of Sec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 130 <= kW < 560
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
2011-2013....................  Phase-in........         0.02         0.40         0.19  ...........          3.5
                              ----------------------------------------------------------------------------------
                               Phase-out.......         0.02  ...........  ...........          4.0          3.5
----------------------------------------------------------------------------------------------------------------
2014.........................  All engines.....         0.02         0.40         0.19  ...........          3.5
----------------------------------------------------------------------------------------------------------------


[[Page 100]]


       Table 7 of Sec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): kW  560
----------------------------------------------------------------------------------------------------------------
                                    Maximum engine
           Model years                   power            Application        PM        NOX      NMHC       CO
----------------------------------------------------------------------------------------------------------------
2011-2014.......................  560 < kW <= 900...  All...............      0.10       3.5      0.40       3.5
                                 -------------------------------------------------------------------------------
                                  kW  900  Generator sets....      0.10      0.67      0.40       3.5
                                                     -----------------------------------------------------------
                                                      All except              0.10       3.5      0.40       3.5
                                                       generator sets.
----------------------------------------------------------------------------------------------------------------

    (c) Phase-in requirements. The following phase-in provisions apply 
for engines in 56-560 kW power categories meeting the interim Tier 4 
standards in paragraphs (a) and (b) of this section:
    (1) For each model year before 2014 noted in Tables 4 through 6 of 
this section, you must certify engine families representing at least 50 
percent of your U.S.-directed production volume for each power category 
to the applicable phase-in standards, except as allowed by paragraph 
(c)(3), (d)(2), or (e) of this section. Any engines not certified to the 
phase-in standards must be certified to the corresponding phase-out 
standards.
    (2) Engines certified to the phase-out standards in Tables 4 through 
6 of this section must comply with all other requirements that apply to 
Tier 4 engines, except as otherwise specified in this section.
    (3) At the time of certification, show how you intend to meet the 
phase-in requirements of this paragraph (c) based on projected U.S.-
directed production volumes. If your actual U.S.-directed production 
volume fails to meet the phase-in requirements for a given model year, 
you must make up the shortfall (in terms of number of engines) by the 
end of the model year representing the final year of the phase-in 
period. For example, if you plan in good faith to produce 50 percent of 
a projected 10,000 engines in the 56-130 kW power category (i.e., 5,000 
engines) in 2012 in compliance with the Tier 4 phase-in standards for 
NOX and NMHC in Table 4 of this section, but produce 4,500 
such engines of an actual 10,000 engines, you must produce 500 engines 
in model year 2013 (i.e., the final year of the phase-in for this power 
category) that meet the Tier 4 phase-in standards above and beyond the 
production otherwise needed to meet the 50-percent phase-in requirement 
for model year 2013. If any shortfall exceeds the applicable limit of 
paragraph (c)(3)(i) or (ii) of this section, that number of phase-out 
engines will be considered not covered by a certificate of conformity 
and in violation of Sec. 1068.101(a)(1). The shortfall allowed by this 
paragraph (c)(3) may not exceed a certain number of engines, as follows:
    (i) For engine families certified according to the alternate phase-
in schedule described in paragraph (d)(2) of this section, for model 
years prior to the final year of the phase-in, 5 percent of your actual 
U.S.-directed production volume for that power category in that model 
year.
    (ii) For all other engine families, for model years prior to the 
final year of the phase-in, 25 percent of your actual U.S.-directed 
production volume for that power category in that model year.
    (iii) No shortfall is allowed in the final year of the phase-in.
    (4) Engines you introduce into commerce beyond the limits described 
in paragraphs (c)(3) of this section will be considered not covered by a 
certificate of conformity and in violation of Sec. 1068.101(a)(1).
    (5) For the purposes of this part, the term ``phase-in'' means 
relating to a standard that is identified in this section as a phase-in 
standard and the term ``phase-out'' means relating to a standard that is 
identified in this section as a phase-out standard. For example, a 200-
kW engine from the 2012 model year that is certified to the 4.0 g/kW-hr 
NOX+NMHC standard in Table 6 of Sec. 1039.102 is a phase-out 
engine.
    (d) Banked credits and alternate phase-in for 56-130 kW engines. For 
engines in the 56-130 kW power category, you may use only one of the 
following additional provisions:
    (1) For model years 2012 through 2014, you may use banked 
NOX+NMHC credits from any Tier 2 engine at or above 37 kW 
certified under 40 CFR part 89 to

[[Page 101]]

meet the NOX phase-in standards or the NOX+NMHC 
phase-out standards under paragraphs (b) and (c) of this section, 
subject to the additional ABT provisions in Sec. 1039.740.
    (2) Instead of meeting the phase-in requirements of paragraph (c)(1) 
of this section, you may certify engine families representing at least 
25 percent of your U.S.-directed production volume for each model year 
from 2012 through 2014 to the applicable phase-in standards in Tables 4 
and 5 of this section, except as allowed by paragraph (c)(3) or (e) of 
this section. Any engines not certified to the phase-in standards must 
be certified to the corresponding phase-out standards. Engines certified 
under this paragraph (d)(2) may generate NOX emission credits 
only for averaging within the same power category during the same model 
year. For engines certified under this paragraph (d)(2), the 2014 model 
year may not extend beyond December 30, 2014.
    (e) Alternate NOX standards. For engines in 56-560 kW power 
categories during the phase-in of Tier 4 standards, you may certify 
engine families to the alternate NOX or NOX + NMHC 
standards in this paragraph (e) instead of the phase-in and phase-out 
NOX and NOX + NMHC standards described in Tables 4 
through 6 of this section. Engines certified to an alternate 
NOX standard under this section must be certified to an NMHC 
standard of 0.19 g/kW-hr. Do not include engine families certified under 
this paragraph (e) in determining whether you comply with the percentage 
phase-in requirements of paragraphs (c) and (d)(2) of this section. 
Except for the provisions for alternate FEL caps in Sec. 1039.104(g), 
the NOX and NOX + NMHC standards and FEL caps 
under this paragraph (e) are as follows:
    (1) For engines in the 56-130 kW power category, apply the following 
alternate NOX standards and FEL caps:
    (i) If you use the provisions of paragraph (d)(1) of this section, 
your alternate NOX standard for any engine family in the 56-
130 kW power category is 2.3 g/kW-hr for model years 2012 and 2013. 
Engines certified to this standard may not exceed a NOX FEL 
cap of 3.0 g/kW-hr.
    (ii) If you use the provisions of paragraph (d)(2) of this section, 
your alternate NOX standard for any engine family in the 56-
130 kW power category is 3.4 g/kW-hr for model years 2012 through 2014. 
Engines below 75 kW certified to this standard may not exceed a 
NOX FEL cap of 4.4 g/kW-hr; engines at or above 75 kW 
certified to this standard may not exceed a NOX FEL cap of 
3.8 g/kW-hr.
    (iii) If you do not use the provisions of paragraph (d) of this 
section, you may apply the alternate NOX standard and the 
appropriate FEL cap from either paragraph (e)(1)(i) or (ii) of this 
section.
    (2) For engines in the 130-560 kW power category, the alternate 
NOX standard is 2.0 g/kW-hr for model years 2011 through 
2013. Engines certified to this standard may not exceed a NOX 
FEL cap of 2.7 g/kW-hr.
    (3) You use NOX + NMHC emission credits to certify an 
engine family to the alternate NOX + NMHC standards in this 
paragraph (e)(3) instead of the otherwise applicable alternate 
NOX and NMHC standards. Calculate the alternate 
NOX + NMHC standard by adding 0.1 g/kW-hr to the numerical 
value of the applicable alternate NOX standard of paragraph 
(e)(1) or (2) of this section. Engines certified to the NOX + 
NMHC standards of this paragraph (e)(3) may not generate emission 
credits. The FEL caps for engine families certified under this paragraph 
(e)(3) are the previously applicable NOX + NMHC standards of 
40 CFR 89.112 (generally the Tier 3 standards).
    (f) Split families. For generating or using credits for engines in 
56-560 kW power categories during the phase-in of Tier 4 standards, you 
may split an engine family into two subfamilies (for example, one that 
uses credits and one that generates credits for the same pollutant).
    (1) Identify any split engine families in your application for 
certification. Your engines must comply with all the standards and 
requirements applicable to Tier 4 engines, except as noted in this 
paragraph (f). You may calculate emission credits relative to different 
emission standards (i.e., phase-in and phase-out standards) for 
different sets of engines within the engine family, but the engine 
family must be certified to a single set of standards and FELs.

[[Page 102]]

To calculate NOX+NMHC emission credits, add the 
NOX FEL to the NMHC phase-in standard for comparison with the 
applicable NOX+NMHC phase-out standard. Any engine family 
certified under this paragraph (f) must meet the applicable phase-in 
standard for NMHC. You may assign the number and configurations of 
engines within the respective subfamilies any time before the due date 
for the final report required in Sec. 1039.730. Apply the same label to 
each engine in the family, including the NOX FEL to which it 
is certified.
    (2) For example, a 10,000-unit engine family in the 75-130 kW power 
category may be certified to meet the standards for PM, NMHC, and CO 
that apply to phase-in engines, with a 0.8 g/kW-hr FEL for 
NOX. When compared to the phase-out NOX+NMHC 
standard, this engine family would generate positive NOX+NMHC 
emission credits. When compared to the phase-in NOX standard, 
this engine family would generate negative NOX emission 
credits. You could create a subfamily with 2,500 engines (one-quarter of 
the 10,000 engines) and identify them as phase-in engines. You would 
count these 2,500, with their negative NOX credits, in 
determining compliance with the 50-percent phase-in requirement in 
paragraph (c)(1) of this section. You would calculate negative credits 
relative to the 0.40 g/kW-hr NOX standard for these 2,500 
engines. You would identify the other 7,500 engines in the family as 
phase-out engines and calculate positive credits relative to the 4.0 g/
kW-hr NOX+NMHC standard.
    (g) Other provisions. The provisions of Sec. 1039.101(d) through 
(h) apply with respect to the standards of this section, with the 
following exceptions and special provisions:
    (1) NTE standards. Use the provisions of Sec. 1039.101(e)(3) to 
calculate and apply the NTE standards, but base these calculated values 
on the applicable standards in this section or the applicable FEL, 
instead of the standards in Table 1 of Sec. 1039.101. All other 
provisions of Sec. 1039.101(e) apply under this paragraph (g)(1). The 
NTE standards do not apply for certain engines and certain pollutants, 
as follows:
    (i) All engines below 37 kW for model years before 2013.
    (ii) All engines certified under Option 1 of Table 3 of 
this section. These are small-volume manufacturer engines certified to 
the Option 1 standards for model years 2008 through 2015 under 
Sec. 1039.104(c), and other engines certified to the Option 1 
standards for model years 2008 through 2012.
    (iii) All engines less than or equal to 560 kW that are certified to 
an FEL under the alternate FEL program during the first four years of 
the Tier 4 standards for the applicable power category, as described in 
Sec. 1039.104(g). However, if you apply to meet transient emission 
standards for these engines under Sec. 1039.102(a)(1)(iii), you must 
also meet the NTE standards in this paragraph (g)(1).
    (iv) Gaseous pollutants for phase-out engines that you certify to 
the same numerical standards and FELs for gaseous pollutants to which 
you certified under the Tier 3 requirements of 40 CFR part 89. However, 
the NTE standards for PM apply to these engines.
    (2) Interim FEL caps. As described in Sec. 1039.101(d), you may 
participate in the ABT program in subpart H of this part by certifying 
engines to FELs for PM, NOX, or NOX+NMHC instead 
of the standards in Tables 1 through 7 of this section for the model 
years shown. The FEL caps listed in the following table apply instead of 
the FEL caps in Sec. 1039.101(d)(1), except as allowed by Sec. 
1039.104(g):

                          Table 8 of Sec.  1039.102--Interim Tier 4 FEL Caps, g/kW-hr
----------------------------------------------------------------------------------------------------------------
                                                             Model years
       Maximum  engine power           Phase-in  option          \1\            PM          NOX        NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19...........................  .....................       2008-2014         0.80  ...........      \2\ 9.5
19 <= kW < 37.....................  .....................       2008-2012         0.60  ...........          9.5
37 <= kW < 56.....................  .....................   \3\ 2008-2012         0.40  ...........          7.5
56 <= kW < 130....................  phase-in.............       2012-2013         0.04         0.80  ...........
56 <= kW < 130....................  phase-out............       2012-2013         0.04  ...........      \4\ 6.6
130 <= kW <= 560..................  phase-in.............       2011-2013         0.04         0.80  ...........
130 <= kW <= 560..................  phase-out............       2011-2013         0.04  ...........      \5\ 6.4

[[Page 103]]

 
kW  560................  .....................       2011-2014         0.20          6.2  ...........
----------------------------------------------------------------------------------------------------------------
\1\ For model years before 2015 where this table does not specify FEL caps, apply the FEL caps shown in Sec.
  1039.101.
\2\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.
\3\ For manufacturers certifying engines to the standards of this part 1039 in 2012 under Option 2 of
  Table 3 of Sec.  1039.102, the FEL caps for 37-56 kW engines in the 19-56 kW category of Table 2 of Sec.
  1039.101 apply for model year 2012 and later; see 40 CFR part 89 for provisions that apply to earlier model
  years.
\4\ For engines below 75 kW, the FEL cap is 7.5 g/kW-hr for NOX+NMHC emissions.
\5\ For engines below 225 kW, the FEL cap is 6.6 g/kW-hr for NOX+NMHC emissions.

    (3) Crankcase emissions. The crankcase emission requirements of 
Sec. 1039.115(a) do not apply to engines using charge-air compression 
that are certified to an FEL under the alternate FEL program in Sec. 
1039.104(g) during the first four years of the Tier 4 standards for the 
applicable power category.
    (4) Special provisions for 37-56 kW engines. For engines at or above 
37 kW and below 56 kW from model years 2008 through 2012, you must add 
information to the emission-related installation instructions to clarify 
the equipment manufacturer's obligations under Sec. 1039.104(f).

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007; 
73 FR 59191, Oct. 8, 2008; 75 FR 68461, Nov. 8, 2010]



Sec. 1039.104  Are there interim provisions that apply only for a limited time?

    The provisions in this section apply instead of other provisions in 
this part. This section describes when these interim provisions apply.
    (a) Incentives for early introduction. This paragraph (a) allows you 
to reduce the number of engines subject to the applicable standards in 
Sec. 1039.101 or Sec. 1039.102, when some of your engines are 
certified to the specified levels earlier than otherwise required. The 
engines that are certified early are considered offset-generating 
engines. The provisions of this paragraph (a), which describe the 
requirements applicable to offset-generating engines, apply beginning in 
model year 2007. These offset generating engines may generate additional 
allowances for equipment manufacturers under the incentive program 
described in Sec. 1039.627; you may instead use these offsets under 
paragraph (a)(2) of this section in some cases.
    (1) For early-compliant engines to generate offsets for use either 
under this paragraph (a) or under Sec. 1039.627, you must meet the 
following general provisions:
    (i) You may not generate offsets from engines below 19 kW.
    (ii) You must begin actual production of engines covered by the 
corresponding certificate by the following dates:
    (A) For engines at or above 19 kW and below 37 kW: September 1, 
2012.
    (B) For engines at or above 37 kW and below 56 kW: September 1, 2012 
if you choose Option 1 in Table 3 of Sec. 1039.102, or 
September 1, 2011 if you do not choose Option 1 in Table 3 of 
Sec. 1039.102.
    (C) For engines in the 56-130 kW power category: September 1, 2011.
    (D) For engines in the 130-560 kW power category: September 1, 2010.
    (E) For engines above 560 kW: September 1, 2014.
    (iii) Engines you produce after December 31 of the year shown in 
paragraph (a)(1)(ii) of this section may not generate offsets.
    (iv) You may not use ABT credits to certify offset-generating 
engines.
    (v) Offset-generating engines must be certified to the Tier 4 
standards and requirements under this part 1039.
    (2) If equipment manufacturers decline offsets for your offset-
generating engines under Sec. 1039.627, you may not generate ABT 
credits with these engines, but you may reduce the number of engines 
that are required to meet the standards in Sec. 1039.101 or Sec. 
1039.102 as follows:

[[Page 104]]



----------------------------------------------------------------------------------------------------------------
                                                                      You may reduce the
                                                        That are       number of engines
                                   With maximum     certified to the   in the same power
        For every . . .          engine power . .      applicable      category that are   In later model years
                                        .           standards in . .   required to meet          by . . .
                                                           .               the . . .
 
----------------------------------------------------------------------------------------------------------------
(i) 2 engines.................  19 <= kW < 37....  Table 2 of Sec.   PM standard in      3 engines.
                                                    1039.102 \1\.      Table 2 of Sec.
                                                                       1039.102
                                                                       applicable to
                                                                       model year 2013
                                                                       or 2014 engines
                                                                       or the PM
                                                                       standard in Table
                                                                       1 of Sec.
                                                                       1039.101.
(ii) 2 engines................  56 <= kW <= 560..  Table 4, 5, or 6   Phase-out           3 engines.
                                                    of Sec.           standards in
                                                    1039.102 for       Tables 4 through
                                                    Phase-out          6 of Sec.
                                                    engines.           1039.102.
(iii) 2 engines...............  kW =    Table 1 of Sec.   Standards in        3 engines. \2\
                                 19.                1039.101.          Tables 2 through
                                                                       7 of Sec.
                                                                       1039.102 or
                                                                       standards in
                                                                       Table 1 of Sec.
                                                                       1039.101.
(iv) 1 engine.................  kW =    Table 1 of Sec.   Standards in        2 engines. \2\
                                 19.                1039.101 + 0.20    Tables 2 through
                                                    g/kW-hr NOX        7 of Sec.
                                                    standard.          1039.102 or
                                                                       standards in
                                                                       Table 1 of Sec.
                                                                       1039.101.
----------------------------------------------------------------------------------------------------------------
\1\ The engine must be certified to the PM standard applicable to model year 2013 engines, and to the NOX+NMHC
  and CO standards applicable to model year 2012 engines.
\2\ For engines above 560 kW, offsets from generator-set engines may be used only for generator-set engines.
  Offsets from engines for other applications may be used only for other applications besides generator sets.

    (3) Example: If you produce 100 engines in the 56-130 kW power 
category in model year 2008 that are certified to the 56-130 kW 
standards listed in Sec. 1039.101, and you produced 10,000 engines in 
this power category in model year 2015, then only 9,850 of these model 
year 2015 engines would need to comply with the standards listed in 
Sec. 1039.101. The 100 offset-generating engines in model year 2008 
could not use or generate ABT credits.
    (4) Offset-using engines (that is, those not required to certify to 
the standards of Sec. 1039.101 or Sec. 1039.102 under paragraph (a)(2) 
of this section) are subject to the following provisions:
    (i) If the offset is being used under paragraph (a)(2)(i) of this 
section for an engine that would otherwise be certified to the model 
year 2013 or 2014 standards in Table 2 of Sec. 1039.102 or the 
standards in Table 1 of Sec. 1039.101, this engine must be certified to 
the standards and requirements of this part 1039, except that the only 
PM standard that applies is the steady-state PM standard that applies 
for model year 2012. Such an engine may not generate ABT credits.
    (ii) If the offset is being used under paragraph (a)(2)(ii) of this 
section for an engine that would otherwise be certified to the phase-out 
standards in Tables 4 through 6 of Sec. 1039.102, this engine must be 
certified to the standards and requirements of this part 1039, except 
that the PM standard is the Tier 3 PM standard that applies for this 
engine's maximum power. Such an engine will be treated as a phase-out 
engine for purposes of determining compliance with percentage phase-in 
requirements. Such an engine may not generate ABT credits.
    (iii) All other offset-using engines must meet the standards and 
other provisions that apply in model year 2011 for engines in the 19-130 
kW power categories, in model year 2010 for engines in the 130-560 kW 
power category, or in model year 2014 for engines above 560 kW. Show 
that engines meet these emission standards by meeting all the 
requirements of Sec. 1068.265. You must meet the labeling requirements 
in Sec. 1039.135, but add the following statement instead of the 
compliance statement in Sec. 1039.135(c)(12): ``THIS ENGINE MEETS U.S. 
EPA EMISSION STANDARDS UNDER 40 CFR 1039.104(a).'' For power categories 
with a percentage phase-in, these engines should be treated as phase-in 
engines for purposes of determining compliance with phase-in 
requirements.
    (5) If an equipment manufacturer claims offsets from your engine for 
use under Sec. 1039.627, the engine generating the offset must comply 
with the requirements of paragraph (a)(1) of this section. You may not 
generate offsets for use under paragraphs (a)(2) and (5) of this section 
for these engines. You may generate ABT credits from these engines as 
follows:
    (i) To generate emission credits for NOX, 
NOX+NMHC, and PM, the engine must be certified to FELs at or 
below

[[Page 105]]

the standards in paragraph (a)(2) of this section.
    (ii) Calculate credits according to Sec. 1039.705 but use as the 
applicable standard the numerical value of the standard to which the 
engine would have otherwise been subject if it had not been certified 
under this paragraph (a).
    (iii) For the production volume, use the number of engines certified 
under this paragraph (a) for which you do not claim offsets under 
paragraph (a)(2) of this section.
    (6) You may include engines used to generate offsets under this 
paragraph (a) and engines used to generate offsets under Sec. 1039.627 
in the same engine family, subject to the provisions of Sec. 1039.230. 
The engine must be certified to FELs, as specified in paragraph 
(a)(5)(i) of this section. The FELs must be below the standard levels 
specified in paragraph (a)(2) of this section and those specified in 
Sec. 1039.627. In the reports required in Sec. 1039.730, include the 
following information for each model year:
    (i) The total number of engines that generate offsets under this 
paragraph (a).
    (ii) The number of engines used to generate offsets under paragraph 
(a)(2) of this section.
    (iii) The names of equipment manufacturers that intend to use your 
offsets under Sec. 1039.627 and the number of offsets involved for each 
equipment manufacturer.
    (b) In-use compliance limits. For purposes of determining compliance 
after title or custody has transferred to the ultimate purchaser, 
calculate the applicable in-use compliance limits by adjusting the 
applicable standards or FELs. This applies only for engines at or above 
19 kW. The NOX adjustment applies only for engines with a 
NOX FEL no higher than 2.1 g/kW-hr The PM adjustment applies 
only for engines with a PM FEL no higher than the PM standard in Sec. 
1039.101 for the appropriate power category. Add the following 
adjustments to the otherwise applicable standards or FELs (steady-state, 
transient, and NTE) for NOX and PM:

----------------------------------------------------------------------------------------------------------------
                                                                                                      The PM
                                         If your engine's maximum    The NOX adjustment in g/kW-   adjustment in
         In model years . . .                 power is . . .                 hr is . . .          g/kW-hr is . .
                                                                                                         .
----------------------------------------------------------------------------------------------------------------
2013-2014............................  19 <= kW < 56..............  not allowed.................            0.01
2012-2016............................  56 <= kW < 130.............  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
2011-2015............................  130 <= kW < 560............  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
2011-2016............................  kW  560.........  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
----------------------------------------------------------------------------------------------------------------

    (c) Provisions for small-volume manufacturers. Special provisions 
apply if you are a small-volume engine manufacturer subject to the 
requirements of this part. You must notify us in writing before January 
1, 2008 if you intend to use these provisions.
    (1) You may delay complying with certain otherwise applicable Tier 4 
emission standards and requirements as described in the following table:

----------------------------------------------------------------------------------------------------------------
                                                                        Until model   Before that model year the
 If your engine's maximum power is . . .   You may delay meeting . . .   year . . .  engine must comply with . .
                                                                                                  .
----------------------------------------------------------------------------------------------------------------
kW < 19..................................  The standards and                   2011  The standards and
                                            requirements of this part.                requirements in 40 CFR
                                                                                      part 89.
19 <= kW < 37............................  The Tier 4 standards and            2016  The Tier 4 standards and
                                            requirements of this part                 requirements that apply
                                            that would otherwise be                   for model year 2008.
                                            applicable in model year
                                            2013.
37 <= kW < 56............................     See paragraph (c)(2) of this section for special provisions that
                                                          apply for engines in this power category.

[[Page 106]]

 
56 <= kW < 130...........................  The standards and                   2015  The standards and
                                            requirements of this part.                requirements in 40 CFR
                                                                                      part 89.
----------------------------------------------------------------------------------------------------------------

    (2) To use the provisions of this paragraph (c) for engines at or 
above 37 kW and below 56 kW, choose one of the following:
    (i) If you comply with the 0.30 g/kW-hr PM standard in Sec. 
1039.102 in all model years from 2008 through 2012 without using PM 
credits, you may continue meeting that standard through 2015.
    (ii) If you do not choose to comply with paragraph (c)(2)(i) of this 
section, you may continue to comply with the standards and requirements 
in 40 CFR part 89 for model years through 2012, but you must begin 
complying in 2013 with Tier 4 standards and requirements specified in 
Table 3 of Sec. 1039.102 for model years 2013 and later.
    (3) After the delays indicated in paragraph (c)(1) and (2) of this 
section, you must comply with the same Tier 4 standards and requirements 
as all other manufacturers.
    (4) For engines not in the 19-56 kW power category, if you delay 
compliance with any standards under this paragraph (c), you must do all 
the following things for the model years when you are delaying 
compliance with the otherwise applicable standards:
    (i) Produce engines that meet all the emission standards and other 
requirements under 40 CFR part 89 applicable for that model year, except 
as noted in this paragraph (c).
    (ii) Meet the labeling requirements in 40 CFR 89.110, but use the 
following compliance statement instead of the compliance statement in 40 
CFR 89.110(b)(10): ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR 
1039.104(c).''.
    (iii) Notify the equipment manufacturer that the engines you produce 
under this section are excluded from the production volumes associated 
with the equipment-manufacturer allowance program in Sec. 1039.625.
    (5) For engines in the 19-56 kW power category, if you delay 
compliance with any standards under this paragraph (c), you must do all 
the following things for the model years when you are delaying 
compliance with the otherwise applicable standards:
    (i) Produce engines in those model years that meet all the emission 
standards and other requirements that applied for your model year 2008 
engines in the same power category.
    (ii) Meet the labeling requirements in Sec. 1039.135, but use the 
following compliance statement instead of the compliance statement in 
Sec. 1039.135: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR 
1039.104(c).''.
    (iii) Notify the equipment manufacturer that the engines you produce 
under this section are excluded from the production volumes associated 
with the equipment-manufacturer allowance program in Sec. 1039.625.
    (6) The provisions of this paragraph (c) may not be used to 
circumvent the requirements of this part.
    (d) Deficiencies for NTE standards. You may ask us to accept as 
compliant an engine that does not fully meet specific requirements under 
the applicable NTE standards. Such deficiencies are intended to allow 
for minor deviations from the NTE standards under limited conditions. We 
expect your engines to have functioning emission-control hardware that 
allows you to comply with the NTE standards.
    (1) Request our approval for specific deficiencies in your 
application for certification, or before you submit your application. We 
will not approve deficiencies retroactively to cover engines already 
certified. In your request, identify the scope of each deficiency and 
describe any auxiliary emission-control devices you will use to control 
emissions to the lowest practical level, considering the deficiency you 
are requesting.
    (2) We will approve a deficiency only if compliance would be 
infeasible or

[[Page 107]]

unreasonable considering such factors as the technical feasibility of 
the given hardware and the applicable lead time and production cycles--
including schedules related to phase-in or phase-out of engines. We may 
consider other relevant factors.
    (3) Our approval applies only for a single model year and may be 
limited to specific engine configurations. We may approve your request 
for the same deficiency in the following model year if correcting the 
deficiency would require unreasonable hardware or software modifications 
and we determine that you have demonstrated an acceptable level of 
effort toward complying.
    (4) You may ask for any number of deficiencies in the first three 
model years during which NTE standards apply for your engines. For the 
next four model years, we may approve up to three deficiencies per 
engine family. Deficiencies of the same type that apply similarly to 
different power ratings within a family count as one deficiency per 
family. We may condition approval of any such additional deficiencies 
during these four years on any additional conditions we determine to be 
appropriate. We will not approve deficiencies after the seven-year 
period specified in this paragraph (d)(4).
    (e) Diesel test fuels and corresponding labeling requirements. For 
diesel-fueled engines in 2011 and later model years, the diesel test 
fuel is ultra low-sulfur diesel fuel specified in 40 CFR part 1065. For 
diesel-fueled engines in 2010 and earlier model years, use test fuels 
and meet labeling requirements as follows:
    (1) Use the following test fuels in 2010 and earlier model years:
    (i) Unless otherwise specified, the diesel test fuel is low-sulfur 
diesel fuel specified in 40 CFR part 1065.
    (ii) In model years 2007 through 2010, you may use ultra low-sulfur 
diesel fuel as the test fuel for any engine family that employs sulfur-
sensitive technology if you can demonstrate that in-use engines in the 
family will use diesel fuel with a sulfur concentration no greater than 
15 ppm.
    (iii) You may use ultra low-sulfur diesel fuel as the test fuel for 
engine families in any power category below 56 kW, as long as none of 
the engines in your engine family employ sulfur-sensitive technologies, 
you ensure that ultimate purchasers of equipment using these engines are 
informed that ultra low-sulfur diesel fuel is recommended, and you 
recommend to equipment manufacturers that a label be applied at the fuel 
inlet recommending 15 ppm fuel.
    (iv) For the engines described in Sec. 1039.101(c) that are 
certified to the 0.60 g/kW-hr PM standard in Table 1 of Sec. 1039.102 
in the 2010 model year, you may test with the ultra low-sulfur fuel 
specified in 40 CFR part 1065.
    (2) Meet the labeling requirements of this paragraph (e)(2) (or 
other labeling requirements we approve) to identify the applicable test 
fuels specified in paragraph (e)(1) of this section. Provide 
instructions to equipment manufacturers to ensure that they are aware of 
these labeling requirements.
    (i) For engines certified under the provisions of paragraph 
(e)(1)(i) of this section, include the following statement on the 
emission control information label and the fuel-inlet label specified in 
Sec. 1039.135: ``LOW SULFUR FUEL OR ULTRA LOW SULFUR FUEL ONLY''.
    (ii) For engines certified under the provisions of paragraph 
(e)(1)(ii) of this section, include the following statement on the 
emission control information label and the fuel-inlet label specified in 
Sec. 1039.135: ``ULTRA LOW SULFUR FUEL ONLY''.
    (iii) For engines certified under the provisions of paragraph 
(e)(1)(iii) of this section, include the following statement on the 
emission control information label specified in Sec. 1039.135: ``ULTRA 
LOW SULFUR FUEL RECOMMENDED''.
    (3) For model years 2010 and earlier, we will use the test fuel that 
you use under paragraph (e)(1) of this section, subject to the 
conditions of paragraph (e)(1) of this section.
    (f) Requirements for equipment manufacturers. If you produce 
equipment with engines certified to Tier 3 standards under Option 
2 of Table 3 of Sec. 1039.102 during model years from 2008 
through 2011, then a minimum number of pieces of equipment you produce 
using 2012 model year engines must have engines certified to the Option 
2 standards, as follows:

[[Page 108]]

    (1) For equipment you produce with 2012 model year engines at or 
above 37 kW and below 56 kW, determine the minimum number of these 
engines that must be certified to the Option 2 standards in 
Table 3 of Sec. 1039.102 as follows:
    (i) If all the equipment you produce using 2008 through 2011 model 
year engines use engines certified to Tier 3 standards under Option 
2 of Table 3 of Sec. 1039.102, then all the 2012 model year 
engines you install must be certified to the Option 2 standards 
of Table 3 of Sec. 1039.102.
    (ii) If you produce equipment using 2008 through 2011 model year 
engines with some engines certified to Option 1 standards of 
Table 3 of Sec. 1039.102 and some engines certified to Tier 3 standards 
under Option 2 standards of Table 3 of Sec. 1039.102, 
calculate the minimum number of 2012 model year engines you must install 
that are certified to the Option 2 standards of Table 3 of 
Sec. 1039.102 from the following equation:

Minimum number = [(T-O1-F)/(T-F)-0.05] x P

Where:

T = The total number of 2008-2010 model year engines at or above 37 kW 
and below 56 kW that you use in equipment you produce.
O1 = The number of engines from the 2008-2010 model years 
certified under Option 1 of Table 3 of Sec. 1039.102 that you 
use in equipment you produce.
F = The number of 2008-2010 model year engines at or above 37 kW and 
below 56 kW that you use in equipment you produce under the flexibility 
provisions of Sec. 1039.625.
P = The total number of 2012 model year engines at or above 37 kW and 
below 56 kW that you use in equipment you produce.

    (2) As needed for the calculation required by this paragraph (f), 
keep records of all equipment you produce using 2008-2012 model year 
engines at or above 37 kW and below 56 kW. If you fail to keep these 
records, you may not use any 2012 model year engines certified to Option 
1 standards in your equipment.
    (3) If you fail to comply with the provisions of this paragraph (f), 
then using 2012 model year engines certified under Option 1 of 
Table 3 of Sec. 1039.102 (or certified to less stringent standards) in 
such equipment violates the prohibitions in Sec. 1068.101(a)(1).
    (g) Alternate FEL caps. You may certify a limited number of engines 
from your U.S.-directed production volume to the FEL caps in Table 1 of 
this section instead of the otherwise applicable FEL caps in Sec. 
1039.101(d)(1), Sec. 1039.102(e), or Sec. 1039.102(g)(2), subject to 
the following provisions:
    (1) The provisions of this paragraph (g) apply during the model 
years shown in Table 1 of this section. During this period, the number 
of engines certified to the FEL caps in Table 1 of this section must not 
exceed 20 percent in any single model year in each power category. The 
sum of percentages over the four-year period must not exceed a total of 
40 percent in each power category. If you certify an engine under an 
alternate FEL cap in this paragraph (g) for any pollutant, count it 
toward the allowed percentage of engines certified to the alternate FEL 
caps.
    (2) If your engine is not certified to transient emission standards 
under the provisions of Sec. 1039.102(a)(1)(iii), you must adjust your 
FEL upward by a temporary compliance adjustment factor (TCAF) before 
calculating your negative emission credits under Sec. 1039.705, as 
follows:
    (i) The temporary compliance adjustment factor for NOX is 
1.1.
    (ii) The temporary compliance adjustment factor for PM is 1.5.
    (iii) The adjusted FEL (FELadj) for calculating emission 
credits is determined from the steady-state FEL (FELss) using 
the following equation:

FELadj = (FELss) x (TCAF)

    (iv) The unadjusted FEL (FELss) applies for all purposes 
other than credit calculation.
    (3) These alternate FEL caps may not be used for phase-in engines.
    (4) Do not apply TCAFs to gaseous emissions for phase-out engines 
that you certify to the same numerical standards (and FELs if the 
engines are certified using ABT) for gaseous pollutants as you certified 
under the Tier 3 requirements of 40 CFR part 89.

[[Page 109]]



                                 Table 1 of Sec.  1039.104--Alternate FEL Caps
----------------------------------------------------------------------------------------------------------------
                                                                    Model years                     Model years
                                                  PM FEL cap, g/      for the     NOX FEL cap, g/     for the
              Maximum engine power                     kW-hr       alternate PM        kW-hr       alternate NOX
                                                                      FEL cap                         FEL cap
----------------------------------------------------------------------------------------------------------------
19 <= kW < 56...................................            0.30   \1\ 2012-2015  ..............  ..............
56 <= kW < 130 \2\..............................            0.30       2012-2015             3.8   \3\ 2012-2015
130 <= kW <= 560................................            0.20       2011-2014             3.8   \4\ 2011-2014
kW  560 \5\..........................            0.10       2015-2018             3.5       2015-2018
----------------------------------------------------------------------------------------------------------------
\1\ For manufacturers certifying engines under Option 1 of Table 3 of Sec.  1039.102, these alternate
  FEL caps apply to all 19-56 kW engines for model years from 2013 through 2016 instead of in the years
  indicated in this table. For manufacturers certifying engines under Option 2 of Table 3 of Sec.
  1039.102, these alternate FEL caps do not apply to 19-37 kW engines except in model years 2013 to 2015.
\2\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOX emissions.
\3\ For manufacturers certifying engines in this power category using a percentage phase-in/phase-out approach
  instead of the alternate NOX standards of Sec.  1039.102(e)(1), the alternate NOX FEL cap in the table
  applies only in the 2014-2015 model years if certifying under Sec.  1039.102(d)(1), and only in the 2015
  model year if certifying under (1039.102(d)(2).
\4\ For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach
  instead of the alternate NOX standard of Sec.  1039.102(e)(2), the alternate NOX FEL cap in the table applies
  only for the 2014 model year.
\5\ For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines. For
  example, if you produce 1,000 generator-set engines above 560 kW in 2015, up to 200 of them may be certified
  to the alternate NOX FEL caps.

    (5) You may certify engines under this paragraph (g) without regard 
to whether or not the engine family's FEL is at or below the otherwise 
applicable FEL cap. For example, a 200 kW engine certified to the 
NOX + NMHC standard of Sec. 1039.102(e)(3) with an FEL equal 
to the FEL cap of 2.8 g/kW-hr may be certified under this paragraph (g) 
and count toward the sales limit specified in paragraph (g)(1) of this 
section.
    (h) Delayed compliance with labeling requirements. Before the 2011 
model year, you may omit the dates of manufacture from the emission 
control information label as specified in Sec. 1039.135(c)(6) if you 
keep those records and provide them to us upon request.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
72 FR 53130, Sept. 18, 2007; 75 FR 22988, Apr. 30, 2010; 75 FR 68461, 
Nov. 8, 2010]



Sec. 1039.105  What smoke standards must my engines meet?

    (a) The smoke standards in this section apply to all engines subject 
to emission standards under this part, except for the following engines:
    (1) Single-cylinder engines.
    (2) Constant-speed engines.
    (3) Engines certified to a PM emission standard or FEL of 0.07 g/kW-
hr or lower.
    (b) Measure smoke as specified in Sec. 1039.501(c). Smoke from your 
engines may not exceed the following standards:
    (1) 20 percent during the acceleration mode.
    (2) 15 percent during the lugging mode.
    (3) 50 percent during the peaks in either the acceleration or 
lugging modes.



Sec. 1039.107  What evaporative emission standards and requirements apply?

    There are no evaporative emission standards for diesel-fueled 
engines, or engines using other nonvolatile or nonliquid fuels (for 
example, natural gas). If your engine uses a volatile liquid fuel, such 
as methanol, you must meet the evaporative emission requirements of 40 
CFR part 1048 that apply to spark-ignition engines, as follows:
    (a) Follow the steps in 40 CFR 1048.245 to show that you meet the 
requirements of 40 CFR 1048.105.
    (b) Do the following things in your application for certification:
    (1) Describe how your engines control evaporative emissions.
    (2) Present test data to show that equipment using your engines 
meets the evaporative emission standards we specify in this section if 
you do not use design-based certification under 40 CFR 1048.245. Show 
these figures before and after applying deterioration factors, where 
applicable.



Sec. 1039.110  [Reserved]



Sec. 1039.115  What other requirements apply?

    Engines that are required to meet the emission standards of this 
part

[[Page 110]]

must meet the following requirements, except as noted elsewhere in this 
part:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing.
    (2) If you take advantage of this exception, you must do the 
following things:
    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (3) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b)-(d) [Reserved]
    (e) Adjustable parameters. Engines that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. We may require that you set adjustable 
parameters to any specification within the adjustable range during any 
testing, including certification testing, selective enforcement 
auditing, or in-use testing.
    (f) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit that contributes 
to such an unreasonable risk.
    (g) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission-control device that 
reduces the effectiveness of emission controls under conditions that the 
engine may reasonably be expected to encounter during normal operation 
and use. This does not apply to auxiliary-emission control devices you 
identify in your certification application if any of the following is 
true:
    (1) The conditions of concern were substantially included in the 
applicable test procedures described in subpart F of this part.
    (2) You show your design is necessary to prevent engine (or 
equipment) damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007]



Sec. 1039.120  What emission-related warranty requirements apply to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new nonroad engine, including all 
parts of its emission-control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least as long as the minimum warranty periods listed in this 
paragraph (b) in hours of operation and years, whichever comes first. 
You may offer an emission-related warranty more generous than we 
require. The emission-related warranty for the engine may not be shorter 
than any published warranty you offer without charge for the engine. 
Similarly, the emission-related warranty for any component may not be 
shorter than any published warranty you offer without charge for that 
component. If an engine has no hour meter, we base the warranty periods 
in this paragraph (b) only on the engine's age (in years). The warranty 
period begins when the engine is placed into service. The minimum 
warranty periods are shown in the following table:

[[Page 111]]



----------------------------------------------------------------------------------------------------------------
                                        And its maximum power    And its rated speed is     Then its warranty
 If your engine is certified as . . .          is . . .                  . . .               period is . . .
----------------------------------------------------------------------------------------------------------------
Variable speed or constant speed.....  kW < 19................  Any speed..............  1,500 hours or two
                                                                                          years, whichever comes
                                                                                          first.
Constant speed.......................  19 <= kW < 37..........  3,000 rpm or higher....  1,500 hours or two
                                                                                          years, whichever comes
                                                                                          first.
Constant speed.......................  19 <= kW < 37..........  Less than 3,000 rpm....  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
Variable speed.......................  19 <= kW < 37..........  Any speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
Variable speed or constant speed.....  kW = 37.....  Any speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
----------------------------------------------------------------------------------------------------------------

    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
regulated pollutant, including components listed in 40 CFR part 1068, 
Appendix I, and components from any other system you develop to control 
emissions. The emission-related warranty covers these components even if 
another company produces the component. Your emission-related warranty 
does not need to cover components whose failure would not increase an 
engine's emissions of any regulated pollutant.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
75 FR 22989, Apr. 30, 2010]



Sec. 1039.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new nonroad engine written 
instructions for properly maintaining and using the engine, including 
the emission-control system. The maintenance instructions also apply to 
service accumulation on your emission-data engines, as described in 
Sec. 1039.245 and in 40 CFR part 1065.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the engine's 
performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in your maintenance instructions.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) For engines below 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, crankcase vent 
filters, and fuel injector tips (cleaning only), the minimum interval is 
1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 3,000 hours: Fuel injectors, 
turbochargers, catalytic converters, electronic control units, EGR 
systems (including related components, but excluding filters and 
coolers), and other add-on components.

[[Page 112]]

    (3) For engines at or above 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, crankcase vent 
filters, and fuel injector tips (cleaning only), the minimum interval is 
1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 4,500 hours: Fuel injectors, 
turbochargers, catalytic converters, electronic control units, EGR 
systems (including related components, but excluding filters and 
coolers), and other add-on components.
    (4) For particulate traps, trap oxidizers, and components related to 
either of these, scheduled maintenance may include cleaning or repair at 
the intervals specified in paragraph (a)(2) or (3) of this section, as 
applicable. Scheduled maintenance may include a shorter interval for 
cleaning or repair and may also include adjustment or replacement, but 
only if we approve it. We will approve your request if you provide the 
maintenance free of charge and clearly state this in your maintenance 
instructions, and you provide us additional information as needed to 
convince us that the maintenance will occur.
    (5) You may ask us to approve a maintenance interval shorter than 
that specified in paragraphs (a)(2) and (3) of this section under Sec. 
1039.210, including emission-related components that were not in 
widespread use with nonroad compression-ignition engines before 2011. In 
your request you must describe the proposed maintenance step, recommend 
the maximum feasible interval for this maintenance, include your 
rationale with supporting evidence to support the need for the 
maintenance at the recommended interval, and demonstrate that the 
maintenance will be done at the recommended interval on in-use engines. 
In considering your request, we will evaluate the information you 
provide and any other available information to establish alternate 
specifications for maintenance intervals, if appropriate. We will 
announce any decision we make under this paragraph (a)(5) in the Federal 
Register. Anyone may request a hearing regarding such a decision (see 
Sec. 1039.820).
    (6) If your engine family has an alternate useful life under Sec. 
1039.101(g) that is shorter than the period specified in paragraph 
(a)(2) or (a)(3) of this section, you may not schedule critical 
emission-related maintenance more frequently than the alternate useful 
life, except as specified in paragraph (c) of this section.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
engine operation. You must clearly state that this additional 
maintenance is associated with the special situation you are addressing. 
We may disapprove your maintenance instructions if we determine that you 
have specified special maintenance steps to address engine operation 
that is not atypical, or that the maintenance is unlikely to occur in 
use. If we determine that certain maintenance items do not qualify as 
special maintenance under this paragraph (c), you may identify this as 
recommended additional maintenance under paragraph (b) of this section.
    (d) Noncritical emission-related maintenance. Subject to the 
provisions of this paragraph (d), you may schedule any amount of 
emission-related inspection or maintenance that is not covered by 
paragraph (a) of this section (that is, maintenance that is neither 
explicitly identified as critical emission-related maintenance, nor that 
we approve as critical emission-related maintenance).

[[Page 113]]

Noncritical emission-related maintenance generally includes maintenance 
on the components we specify in 40 CFR part 1068, Appendix I, that is 
not covered in paragraph (a) of this section. You must state in the 
owners manual that these steps are not necessary to keep the emission-
related warranty valid. If operators fail to do this maintenance, this 
does not allow you to disqualify those engines from in-use testing or 
deny a warranty claim. Do not take these inspection or maintenance steps 
during service accumulation on your emission-data engines.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines at 
the least frequent intervals that you recommend to the ultimate 
purchaser (but not the intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission-control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their engines. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if the regulations require it or if 
it meets all the following criteria:
    (1) Each affected component was not in general use on similar 
engines before the applicable dates shown in paragraph (6) of the 
definition of new nonroad engine in Sec. 1039.801.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53130, Sept. 18, 2007; 73 FR 59191, Oct. 8, 2008; 75 FR 22989, 
Apr. 30, 2010]



Sec. 1039.130  What installation instructions must I give to equipment manufacturers?

    (a) If you sell an engine for someone else to install in a piece of 
nonroad equipment, give the engine installer instructions for installing 
it consistent with the requirements of this part. Include all 
information necessary to ensure that an engine will be installed in its 
certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a piece of nonroad equipment violates federal law 
(40 CFR 1068.105(b)), subject to fines or other penalties as described 
in the Clean Air Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system

[[Page 114]]

and any other components. Include instructions consistent with the 
requirements of Sec. 1039.205(u).
    (4) [Reserved]
    (5) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only for 
constant-speed operation, tell equipment manufacturers not to install 
the engines in variable-speed applications.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the equipment, 
as described in 40 CFR 1068.105.''.
    (8) Describe equipment-labeling requirements consistent with Sec. 
1039.135. State whether you are providing the label for the fuel inlet 
or the equipment manufacturer must provide the label.
    (c) You do not need installation instructions for engines you 
install in your own equipment.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available website for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005]



Sec. 1039.135  How must I label and identify the engines I produce?

    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced. However, you may use two-piece labels for engines 
below 19 kW if there is not enough space on the engine to apply a one-
piece label.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec. 1039.640.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) State the power category or subcategory from Sec. 1039.101 or 
Sec. 1039.102 that determines the applicable emission standards for the 
engine family. For engines at or above 37 kW and below 56 kW from model 
years 2008 through 2012, and for engines less than 8 kW utilizing the 
provision at Sec. 1039.101(c), you must state the applicable PM 
standard for the engine family.
    (5) State the engine's displacement (in liters); however, you may 
omit this from the label if all the engines in the engine family have 
the same per-cylinder displacement and total displacement.
    (6) State the date of manufacture [DAY (optional), MONTH, and YEAR]; 
however, you may omit this from the label if you stamp, engrave, or 
otherwise permanently identify it elsewhere on the engine, in which case 
you must also describe in your application for certification where you 
will identify the date on the engine.
    (7) State the FELs to which the engines are certified if 
certification depends on the ABT provisions of subpart H of this part.
    (8) Identify the emission-control system. Use terms and 
abbreviations as described in 40 CFR 1068.45. You may omit this 
information from the label if there is not enough room for it and you 
put it in the owners manual instead.

[[Page 115]]

    (9) For diesel-fueled engines, unless otherwise specified in Sec. 
1039.104(e)(2), state: ``ULTRA LOW SULFUR FUEL ONLY'.
    (10) Identify any additional requirements for fuel and lubricants 
that do not involve fuel-sulfur levels. You may omit this information 
from the label if there is not enough room for it and you put it in the 
owners manual instead.
    (11) State the useful life for your engine family if we approve a 
shortened useful life under Sec. 1039.101(g)(2).
    (12) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[MODEL YEAR] NONROAD DIESEL ENGINES.''.
    (13) For engines above 560 kW, include the following things:
    (i) For engines certified to the emission standards for generator-
set engines, add the phrase ``FOR GENERATOR SETS AND OTHER 
APPLICATIONS''.
    (ii) For all other engines, add the phrase ``NOT FOR USE IN A 
GENERATOR SET''.
    (14) If your engines are certified only for constant-speed 
operation, state ``USE IN CONSTANT-SPEED APPLICATIONS ONLY''.
    (d) You may add information to the emission control information 
label to identify other emission standards that the engine meets or does 
not meet (such as European standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (e) Except as specified in Sec. 1039.104(e)(2), create a separate 
label with the statement: ``ULTRA LOW SULFUR FUEL ONLY''. Permanently 
attach this label to the equipment near the fuel inlet or, if you do not 
manufacture the equipment, take one of the following steps to ensure 
that the equipment will be properly labeled:
    (1) Provide the label to the equipment manufacturer and include the 
appropriate information in the emission-related installation 
instructions.
    (2) Confirm that the equipment manufacturers install their own 
complying labels.
    (f) You may ask us to approve modified labeling requirements in this 
part 1039 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (g) If you obscure the engine label while installing the engine in 
the equipment such that the label cannot be read during normal 
maintenance, you must place a duplicate label on the equipment. If 
others install your engine in their equipment in a way that obscures the 
engine label, we require them to add a duplicate label on the equipment 
(see 40 CFR 1068.105); in that case, give them the number of duplicate 
labels they request and keep the following records for at least five 
years:
    (1) Written documentation of the request from the equipment 
manufacturer.
    (2) The number of duplicate labels you send for each engine family 
and the date you sent them.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007; 
73 FR 59191, Oct 8, 2008; 75 FR 22989, Apr. 30, 2010]



Sec. 1039.140  What is my engine's maximum engine power?

    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest whole kilowatt.
    (b) The nominal power curve of an engine configuration is the 
relationship between maximum available engine brake power and engine 
speed for an engine, using the mapping procedures of 40 CFR part 1065, 
based on the manufacturer's design and production specifications for the 
engine. This information may also be expressed by a torque curve that 
relates maximum available engine torque with engine speed.
    (c) The nominal power curve must be within the range of the actual 
power curves of production engines considering normal production 
variability. If after production begins it is determined that your 
nominal power curve does not represent production engines, we may 
require you to amend your application for certification under Sec. 
1039.225.

[[Page 116]]

    (d) Throughout this part, references to a specific power value or a 
range of power values for an engine are based on maximum engine power. 
For example, the group of engines with maximum engine power above 560 kW 
may be referred to as engines above 560 kW.



                  Subpart C_Certifying Engine Families



Sec. 1039.201  What are the general requirements for obtaining a certificate of conformity?

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
from the indicated effective date until December 31 of the model year 
for which it is issued.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec. 1039.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec. 1039.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 1039.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (see Sec. 1039.235(c)).
    (h) For engines that become new after being placed into service, 
such as engines converted to nonroad use after being used in motor 
vehicles, we may specify alternate certification provisions consistent 
with the intent of this part. See the definition of ``new nonroad 
engine'' in Sec. 1039.801.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22990, Apr. 30, 2010]



Sec. 1039.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
1039.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec. 1039.140.
    (b) Explain how the emission-control system operates. Describe in 
detail all system components for controlling exhaust emissions, 
including all auxiliary-emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine. 
Identify the part number of each component you describe. For this 
paragraph (b), treat as separate AECDs any devices that modulate or 
activate differently from each other. Include all the following:
    (1) Give a general overview of the engine, the emission-control 
strategies, and all AECDs.
    (2) Describe each AECD's general purpose and function.
    (3) Identify the parameters that each AECD senses (including 
measuring, estimating, calculating, or empirically deriving the values). 
Include equipment-based parameters and state whether you simulate them 
during testing with the applicable procedures.
    (4) Describe the purpose for sensing each parameter.
    (5) Identify the location of each sensor the AECD uses.
    (6) Identify the threshold values for the sensed parameters that 
activate the AECD.
    (7) Describe the parameters that the AECD modulates (controls) in 
response to any sensed parameters, including the range of modulation for 
each parameter, the relationship between the sensed parameters and the 
controlled parameters and how the modulation achieves the AECD's stated 
purpose. Use graphs and tables, as necessary.
    (8) Describe each AECD's specific calibration details. This may be 
in the

[[Page 117]]

form of data tables, graphical representations, or some other 
description.
    (9) Describe the hierarchy among the AECDs when multiple AECDs sense 
or modulate the same parameter. Describe whether the strategies interact 
in a comparative or additive manner and identify which AECD takes 
precedence in responding, if applicable.
    (10) Explain the extent to which the AECD is included in the 
applicable test procedures specified in subpart F of this part.
    (11) Do the following additional things for AECDs designed to 
protect engines or equipment:
    (i) Identify the engine and/or equipment design limits that make 
protection necessary and describe any damage that would occur without 
the AECD.
    (ii) Describe how each sensed parameter relates to the protected 
components' design limits or those operating conditions that cause the 
need for protection.
    (iii) Describe the relationship between the design limits/parameters 
being protected and the parameters sensed or calculated as surrogates 
for those design limits/parameters, if applicable.
    (iv) Describe how the modulation by the AECD prevents engines and/or 
equipment from exceeding design limits.
    (v) Explain why it is necessary to estimate any parameters instead 
of measuring them directly and describe how the AECD calculates the 
estimated value, if applicable.
    (vi) Describe how you calibrate the AECD modulation to activate only 
during conditions related to the stated need to protect components and 
only as needed to sufficiently protect those components in a way that 
minimizes the emission impact.
    (c) [Reserved]
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec. 
1039.501).
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance instructions you will give to the 
ultimate purchaser of each new nonroad engine (see Sec. 1039.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a piece of nonroad 
equipment (see Sec. 1039.130).
    (k) Describe your emission control information label (see Sec. 
1039.135).
    (l) Identify the emission standards or FELs to which you are 
certifying engines in the engine family. Identify the ambient operating 
regions that will apply for NTE testing under Sec. 1039.101(e)(4).
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec. 1039.245). Present any emission test 
data you used for this.
    (n) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (o) Present emission data for hydrocarbons (such as NMHC or THCE, as 
applicable), NOX, PM, and CO on an emission-data engine to 
show your engines meet the applicable duty-cycle emission standards we 
specify in Sec. 1039.101. Show emission figures before and after 
applying adjustment factors for regeneration and deterioration factors 
for each engine. Include emission results for each mode if you do 
discrete-mode testing under Sec. 1039.505. Present emission data to 
show that you meet any applicable smoke standards we specify in Sec. 
1039.105. If we specify more than one grade of any fuel type (for 
example, high-sulfur and low-sulfur diesel fuel), you need to submit 
test data only for one grade, unless the regulations of this part 
specify otherwise

[[Page 118]]

for your engine. Note that Sec. 1039.235 allows you to submit an 
application in certain cases without new emission data.
    (p) State that all the engines in the engine family comply with the 
not-to-exceed emission standards we specify in subpart B of this part 
for all normal operation and use when tested as specified in Sec. 
1039.515. Describe any relevant testing, engineering analysis, or other 
information in sufficient detail to support your statement.
    (q) For engines above 560 kW, include information showing how your 
emission controls will function during normal in-use transient 
operation. For example, this might include the following:
    (1) Emission data from transient testing of engines using 
measurement systems designed for measuring in-use emissions.
    (2) Comparison of the engine design for controlling transient 
emissions with that from engines for which you have emission data over 
the transient duty cycle for certification.
    (3) Detailed descriptions of control algorithms and other design 
parameters for controlling transient emissions.
    (r) Report test results as follows:
    (1) Report all test results involving measurement of pollutants for 
which emission standards apply. Include test results from invalid tests 
or from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR part 1065.
    (2) Report measured CO2, N2O, and 
CH4 as described in Sec. 1039.235. Small-volume engine 
manufacturers may omit reporting N2O and CH4.
    (s) Describe all adjustable operating parameters (see Sec. 
1039.115(e)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of 
inhibiting adjustment are effective in preventing adjustment of 
parameters on in-use engines to settings outside your intended 
physically adjustable ranges.
    (t) Provide the information to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. If you broadcast a 
surrogate parameter for torque values, you must provide us what we need 
to convert these into torque units. You may reference any appropriate 
publicly released standards that define conventions for these messages 
and parameters. Format your information consistent with publicly 
released standards.
    (u) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in equipment and placed in service. 
If this cannot be done by simply adding a 20-centimeter extension to the 
exhaust pipe, show how to sample exhaust emissions in a way that 
prevents diluting the exhaust sample with ambient air.
    (v) State whether your certification is intended to include engines 
used in stationary applications. State whether your certification is 
limited for certain engines. If this is the case, describe how you will 
prevent use of these engines in applications for which they are not 
certified. This applies for engines such as the following:
    (1) Constant-speed engines.
    (2) Engines used for transportation refrigeration units that you 
certify under the provisions of Sec. 1039.645.
    (3) Hand-startable engines certified under the provisions of Sec. 
1039.101(c).
    (4) Engines above 560 KW that are not certified to emission 
standards for generator-set engines.
    (w) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (x) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated

[[Page 119]]

production volumes if they are substantially different than actual 
production volumes in earlier years for similar models.
    (y) Include the information required by other subparts of this part. 
For example, include the information required by Sec. 1039.725 if you 
participate in the ABT program.
    (z) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (aa) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006; 
72 FR 53131, Sept. 18, 2007; 74 FR 56508, Oct. 30, 2009]



Sec. 1039.210  May I get preliminary approval before I complete my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service 
accumulation, maintenance, and NTE deficiencies and carve-outs. 
Decisions made under this section are considered to be preliminary 
approval, subject to final review and approval. We will generally not 
reverse a decision where we have given you preliminary approval, unless 
we find new information supporting a different decision. If you request 
preliminary approval related to the upcoming model year or the model 
year after that, we will make best-efforts to make the appropriate 
determinations as soon as practicable. We will generally not provide 
preliminary approval related to a future model year more than two years 
ahead of time.

[72 FR 53131, Sept. 18, 2007]



Sec. 1039.220  How do I amend the maintenance instructions in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification as long as the amended 
instructions remain consistent with the provisions of Sec. 1039.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for an engine family if you 
want to change the emission-related maintenance instructions in a way 
that could affect emissions. In your request, describe the proposed 
changes to the maintenance instructions. If operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those engines from 
in-use testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any specified maintenance, 
you may distribute the new maintenance instructions to your customers 30 
days after we receive your request, unless we disapprove your request. 
This would generally include replacing one maintenance step with 
another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of filter changes for 
engines in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).

[75 FR 22990, Apr. 30, 2010]



Sec. 1039.225  How do I amend my application for certification?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject to 
the provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified engine configurations

[[Page 120]]

within the scope of the certificate, subject to the provisions of this 
section. You must amend your application if any changes occur with 
respect to any information that is included or should be included in 
your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec. 1039.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification, send the relevant 
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data engine is still appropriate 
for showing that the amended family complies with all applicable 
requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (see Sec. 1039.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration anytime after you send us your amended application and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected engines do not meet applicable 
requirements, we will notify you to cease production of the engines and 
may require you to recall the engines at no expense to the owner. 
Choosing to produce engines under this paragraph (e) is deemed to be 
consent to recall all engines that we determine do not meet applicable 
emission standards or other requirements and to remedy the nonconformity 
at no expense to the owner. If you do not provide information required 
under paragraph (c) of this section within 30 days after we request it, 
you must stop producing the new or modified engines.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to engines 
you have already introduced into U.S. commerce, except as described in 
this paragraph (f). If we approve a changed FEL after the start of 
production, you must include the new FEL on the emission control 
information label for all engines produced after the change. You may ask 
us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified engine, as described in paragraph (b)(3) of this 
section, use the appropriate FELs with corresponding production volumes 
to calculate emission credits for the model year, as described in 
subpart H of this part. In all other circumstances, you must use the 
higher FEL for the entire engine family to calculate emission credits 
under subpart H of this part.
    (2) You may ask to lower the FEL for your engine family only if you 
have

[[Page 121]]

test data from production engines showing that emissions are below the 
proposed lower FEL. The lower FEL applies only to engines you produce 
after we approve the new FEL. Use the appropriate FELs with 
corresponding production volumes to calculate emission credits for the 
model year, as described in subpart H of this part.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53131, Sept. 18, 2007; 75 FR 22990, Apr. 30, 2010]



Sec. 1039.230  How do I select engine families?

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this section. 
Your engine family is limited to a single model year.
    (b) Group engines in the same engine family if they are the same in 
all the following aspects:
    (1) The combustion cycle and fuel.
    (2) The cooling system (water-cooled vs. air-cooled).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Bore and stroke.
    (7) Cylinder arrangement (such as in-line vs. vee configurations). 
This applies for engines with aftertreatment devices only.
    (8) Method of control for engine operation other than governing 
(i.e., mechanical or electronic).
    (9) Power category.
    (10) Numerical level of the emission standards that apply to the 
engine.
    (c) You may subdivide a group of engines that is identical under 
paragraph (b) of this section into different engine families if you show 
the expected emission characteristics are different during the useful 
life.
    (d) In unusual circumstances, you may group engines that are not 
identical with respect to the things listed in paragraph (b) of this 
section in the same engine family if you show that their emission 
characteristics during the useful life will be similar.
    (e) If you combine engines from different power categories into a 
single engine family under paragraph (d) of this section, you must 
certify the engine family to the more stringent set of standards from 
the two power categories in that model year.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007; 
75 FR 22990, Apr. 30, 2010]



Sec. 1039.235  What testing requirements apply for certification?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec. 1039.101(a) and (b) or 
Sec. 1039.102(a) and (b). See Sec. 1039.205(p) regarding emission 
testing related to the NTE standards. See Sec. 1039.240, Sec. 
1039.245, and 40 CFR part 1065, subpart E, regarding service 
accumulation before emission testing.
    (a) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part.
    (b) Select an emission-data engine from each engine family for 
testing. Select the engine configuration with the highest volume of fuel 
injected per cylinder per combustion cycle at the point of maximum 
torque--unless good engineering judgment indicates that a different 
engine configuration is more likely to exceed (or have emissions nearer 
to) an applicable emission standard or FEL. If two or more engines have 
the same fueling rate at maximum torque, select the one with the highest 
fueling rate at rated speed. In making this selection, consider all 
factors expected to affect emission-control performance and compliance 
with the standards, including emission levels of all exhaust 
constituents, especially NOX and PM.
    (c) We may measure emissions from any of your emission-data engines 
or other engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the engine to a test facility 
we designate. The engine you provide must include appropriate manifolds, 
aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block. 
If we do the testing at your plant, you must schedule it as soon as

[[Page 122]]

possible and make available the instruments, personnel, and equipment we 
need.
    (2) If we measure emissions on one of your engines, the results of 
that testing become the official emission results for the engine. Unless 
we later invalidate these data, we may decide not to consider your data 
in determining if your engine family meets applicable requirements.
    (3) Before we test one of your engines, we may set its adjustable 
parameters to any point within the physically adjustable ranges (see 
Sec. 1039.115(e)).
    (4) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter. For example, this would apply for an engine 
parameter that is subject to production variability because it is 
adjustable during production, but is not considered an adjustable 
parameter (as defined in Sec. 1039.801) because it is permanently 
sealed.
    (d) You may ask to use carryover emission data from a previous model 
year instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification.
    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under paragraph 
(b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (g) Measure CO2 and CH4 with each low-hour 
certification test using the procedures specified in 40 CFR part 1065 in 
the 2011 and 2012 model years, respectively. Also measure N2O 
with each low-hour certification test using the procedures specified in 
40 CFR part 1065 starting in the 2013 model year for any engine family 
that depends on NOx aftertreatment to meet emission standards. Small-
volume engine manufacturers may omit measurement of N2O and 
CH4. These measurements are not required for NTE testing. Use 
the same units and modal calculations as for your other results to 
report a single weighted value for each constituent. Round the final 
values as follows:
    (1) Round CO2 to the nearest 1 g/kW-hr.
    (2) Round N2O to the nearest 0.001 g/kW-hr.
    (3) Round CH4 to the nearest 0.001g/kW-hr.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007; 
74 FR 56509, Oct. 30, 2009; 75 FR 22991, Apr. 30, 2010]



Sec. 1039.240  How do I demonstrate that my engine family complies with exhaust emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the emission standards in Sec. 1039.101(a) and (b), 
Sec. 1039.102(a) and (b), Sec. 1039.104, and Sec. 1039.105 if all 
emission-data engines representing that family have test results showing 
official emission results and deteriorated emission levels at or below 
these standards. This also applies for all test points for emission-data 
engines within the family used to establish deterioration factors. Note 
that your FELs are considered to be the applicable emission standards 
with which you must comply if you participate in the ABT program in 
subpart H of this part.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing an official 
emission result or a deteriorated emission level for any pollutant that 
is above an applicable emission standard. Similarly, your engine family 
is deemed not to comply if any emission-data engine representing that 
family has test results showing any emission level above

[[Page 123]]

the applicable not-to-exceed emission standard for any pollutant. This 
also applies for all test points for emission-data engines within the 
family used to establish deterioration factors.
    (c) To compare emission levels from the emission-data engine with 
the applicable emission standards, apply deterioration factors to the 
measured emission levels for each pollutant. Section 1039.245 specifies 
how to test your engine to develop deterioration factors that represent 
the deterioration expected in emissions over your engines' full useful 
life. Your deterioration factors must take into account any available 
data from in-use testing with similar engines. Small-volume engine 
manufacturers may use assigned deterioration factors that we establish. 
Apply deterioration factors as follows:
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (c)(2) of this section, use an additive 
deterioration factor for exhaust emissions. An additive deterioration 
factor is the difference between exhaust emissions at the end of the 
useful life and exhaust emissions at the low-hour test point. In these 
cases, adjust the official emission results for each tested engine at 
the selected test point by adding the factor to the measured emissions. 
If the factor is less than zero, use zero. Additive deterioration 
factors must be specified to one more decimal place than the applicable 
standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested engine at 
the selected test point by multiplying the measured emissions by the 
deterioration factor. If the factor is less than one, use one. A 
multiplicative deterioration factor may not be appropriate in cases 
where testing variability is significantly greater than engine-to-engine 
variability. Multiplicative deterioration factors must be specified to 
one more significant figure than the applicable standard.
    (3) Deterioration factor for smoke. Deterioration factors for smoke 
are always additive, as described in paragraph (c)(1) of this section.
    (4) Deterioration factor for crankcase emissions. If your engine 
vents crankcase emissions to the exhaust or to the atmosphere, you must 
account for crankcase emission deterioration, using good engineering 
judgment. You may use separate deterioration factors for crankcase 
emissions of each pollutant (either multiplicative or additive) or 
include the effects in combined deterioration factors that include 
exhaust and crankcase emissions together for each pollutant.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data engine. In the case of 
NOX+NMHC standards, apply the deterioration factor to each 
pollutant and then add the results before rounding.
    (e) For engines subject to NMHC standards, you may base compliance 
on total hydrocarbon (THC) emissions. Indicate in your application for 
certification if you are using this option. If you do, measure THC 
emissions and calculate NMHC emissions as 98 percent of THC emissions, 
as shown in the following equation:

NMHC = (0.98) x (THC).

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
75 FR 22991, Apr. 30, 2010]



Sec. 1039.245  How do I determine deterioration factors from exhaust durability testing?

    This section describes how to determine deterioration factors, 
either with an engineering analysis, with pre-existing test data, or 
with new emission measurements. Apply these deterioration factors to 
determine whether your

[[Page 124]]

engines will meet the duty-cycle emission standards throughout the 
useful life as described in Sec. 1039.240.
    (a) You may ask us to approve deterioration factors for an engine 
family with established technology based on engineering analysis instead 
of testing. Engines certified to a NOX+NMHC standard or FEL 
greater than the Tier 3 NOX+NMHC standard described in 40 CFR 
89.112 are considered to rely on established technology for gaseous 
emission control, except that this does not include any engines that use 
exhaust-gas recirculation or aftertreatment. In most cases, technologies 
used to meet the Tier 1 and Tier 2 emission standards would be 
considered to be established technology.
    (b) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar highway or nonroad 
engines if you have already given us these data for certifying the other 
engines in the same or earlier model years. Use good engineering 
judgment to decide whether the two engines are similar. We will approve 
your request if you show us that the emission measurements from other 
engines reasonably represent in-use deterioration for the engine family 
for which you have not yet determined deterioration factors.
    (c) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) or (b) of this section, select 
engines, subsystems, or components for testing. Determine deterioration 
factors based on service accumulation and related testing to represent 
the deterioration expected from in-use engines over the full useful 
life. You must measure emissions from the emission-data engine at least 
three times with evenly spaced intervals of service accumulation. You 
may use extrapolation to determine deterioration factors once you have 
established a trend of changing emissions with age for each pollutant. 
You may use an engine installed in nonroad equipment to accumulate 
service hours instead of running the engine only in the laboratory. You 
may perform maintenance on emission-data engines as described in Sec. 
1039.125 and 40 CFR part 1065, subpart E. Use good engineering judgment 
for all aspects of the effort to establish deterioration factors under 
this paragraph (c).
    (d) Include the following information in your application for 
certification:
    (1) If you use test data from a different engine family, explain why 
this is appropriate and include all the emission measurements on which 
you base the deterioration factor.
    (2) If you determine your deterioration factors based on engineering 
analysis, explain why this is appropriate and include a statement that 
all data, analyses, evaluations, and other information you used are 
available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007; 
75 FR 22991, Apr. 30, 2010]



Sec. 1039.250  What records must I keep and what reports must I send to EPA?

    (a) Within 45 days after the end of the model year, send the 
Designated Compliance Officer a report describing the following 
information about engines you produced during the model year:
    (1) Report the total number of engines you produced in each engine 
family by maximum engine power, total displacement, and the type of fuel 
system.
    (2) If you produced exempted engines under the provisions of Sec. 
1039.625, report the number of exempted engines you produced for each 
engine model and identify the buyer or shipping destination for each 
exempted engine.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec. 1039.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any

[[Page 125]]

components you built specially for it, and all the components you 
include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission-control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in this section for eight years after we issue your 
certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22991, Apr. 30, 2010]



Sec. 1039.255  What decisions may EPA make regarding my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your engine family for that 
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Clean Air Act. We will base our 
decision on all available information. If we deny your application, we 
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 1039.820).

[69 FR 39213, June 29, 2004, as amended at 72 FR 53132, Sept. 18, 2007; 
75 FR 22991, Apr. 30, 2010]

Subpart D [Reserved]



                        Subpart E_In-Use Testing



Sec. 1039.401  General provisions.

    We may perform in-use testing of any engine subject to the standards 
of this part. However, we will limit recall testing to the first 75 
percent of each engine's useful life as specified in Sec. 1039.101(g).

[[Page 126]]



                        Subpart F_Test Procedures



Sec. 1039.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for compression-ignition 
engines in 40 CFR part 1065 to determine whether engines meet the duty-
cycle emission standards in subpart B of this part. Measure the 
emissions of all the exhaust constituents subject to emissions standards 
as specified in 40 CFR part 1065. Measure CO2, 
N2O, and CH4 as described in Sec. 1039.235. Use 
the applicable duty cycles specified in Sec. Sec. 1039.505 and 
1039.510.
    (b) Section 1039.515 describes the supplemental procedures for 
evaluating whether engines meet the not-to-exceed emission standards in 
subpart B of this part.
    (c) Measure smoke using the procedures in 40 CFR part 86, subpart I, 
for evaluating whether engines meet the smoke standards in Sec. 
1039.105, except that you may test two-cylinder engines with an exhaust 
muffler like those installed on in-use engines.
    (d) Use the fuels specified in Sec. 1039.104(e) and 40 CFR part 
1065 to perform valid tests.
    (1) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use engines 
will use.
    (2) For diesel-fueled engines, use the appropriate diesel fuel 
specified in 40 CFR part 1065 for emission testing. Unless we specify 
otherwise, the appropriate diesel test fuel is the ultra low-sulfur 
diesel fuel. If we allow you to use a test fuel with higher sulfur 
levels, identify the test fuel in your application for certification and 
ensure that the emission control information label is consistent with 
your selection of the test fuel (see Sec. 1039.135(c)(9)). For example, 
do not test with ultra low-sulfur diesel fuel if you intend to label 
your engines to allow use of diesel fuel with sulfur concentrations up 
to 500 ppm.
    (e) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (f) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53132, Sept. 18, 2007; 74 FR 56509, Oct. 30, 2009]



Sec. 1039.505  How do I test engines using steady-state duty cycles, including 

ramped-modal testing?

    This section describes how to test engines under steady-state 
conditions. In some cases, we allow you to choose the appropriate 
steady-state duty cycle for an engine. In these cases, you must use the 
duty cycle you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will use the duty cycles 
you select for your own testing. We may also perform other testing as 
allowed by the Clean Air Act.
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. Calculate cycle 
statistics and compare with the established criteria as specified in 40 
CFR 1065.514 to confirm that the test is valid. Operate the engine and 
sampling system as follows:
    (i) Engines with NOX aftertreatment. For engines that depend on 
aftertreatment to meet the NOX emission standard, operate the 
engine for 5-6 minutes, then sample emissions for 1-3 minutes in each 
mode. You may extend the sampling time to improve measurement accuracy 
of PM emissions, using good engineering judgment. If you have a longer 
sampling time for PM emissions, calculate and validate cycle statistics 
separately for the gaseous and PM sampling periods.
    (ii) Engines without NOX aftertreatment. For other 
engines, operate the engine for at least 5 minutes, then sample 
emissions for at least 1 minute in each mode.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the

[[Page 127]]

end of the last mode. Calculate emissions and cycle statistics the same 
as for transient testing.
    (b) Measure emissions by testing the engine on a dynamometer with 
one of the following duty cycles to determine whether it meets the 
steady-state emission standards in Sec. 1039.101(b):
    (1) Use the 5-mode duty cycle or the corresponding ramped-modal 
cycle described in Appendix II of this part for constant-speed engines. 
Note that these cycles do not apply to all engines used in constant-
speed applications, as described in Sec. 1039.801.
    (2) Use the 6-mode duty cycle or the corresponding ramped-modal 
cycle described in Appendix III of this part for variable-speed engines 
below 19 kW. You may instead use the 8-mode duty cycle or the 
corresponding ramped-modal cycle described in Appendix IV of this part 
if some engines from your engine family will be used in applications 
that do not involve governing to maintain engine operation around rated 
speed.
    (3) Use the 8-mode duty cycle or the corresponding ramped-modal 
cycle described in Appendix IV of this part for variable-speed engines 
at or above 19 kW.
    (c) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR part 1065.
    (d) For constant-speed engines whose design prevents full-load 
operation for extended periods, you may ask for approval under 40 CFR 
1065.10(c) to replace full-load operation with the maximum load for 
which the engine is designed to operate for extended periods.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (f) For those cases where transient testing is not necessary, 
perform the steady-state test according to this section after an 
appropriate warm-up period, consistent with 40 CFR part 1065, subpart F.
    (g) To allow non-motoring dynamometers on cycles with idle, you may 
omit additional points from the duty-cycle regression as follows:
    (1) For variable-speed engines with low-speed governors, you may 
omit speed, torque, and power points from the duty-cycle regression 
statistics if the following are met:
    (i) The engine operator demand is at its minimum.
    (ii) The dynamometer demand is at its minimum.
    (iii) It is an idle point fnref = 0 % (idle) and 
Tref = 0 % (idle).
    (iv) Tref < T <= 5 % [middot] Tmax mapped.
    (2) For variable-speed engines without low-speed governors, you may 
omit torque and power points from the duty-cycle regression statistics 
if the following are met:
    (i) The dynamometer demand is at its minimum.
    (ii) It is an idle point fnref = 0 % (idle) and 
Tref = 0 % (idle).
    (iii) fnref - (2 % [middot] fntest) < 
fn < fnref + (2 % [middot] fntest).
    (iv) Tref < T <= 5 % [middot] Tmax mapped.

[69 FR 39213, June 29, 2004, as amended at 73 FR 37241, June 30, 2008]



Sec. 1039.510  Which duty cycles do I use for transient testing?

    (a) Measure emissions by testing the engine on a dynamometer with 
one of the following transient duty cycles to determine whether it meets 
the transient emission standards in Sec. 1039.101(a):
    (1) For variable-speed engines, use the transient duty cycle 
described in Appendix VI of this part.
    (2) [Reserved]
    (b) The transient test sequence consists of an initial run through 
the transient duty cycle from a cold start, 20 minutes with no engine 
operation, then a final run through the same transient duty cycle. Start 
sampling emissions immediately after you start the engine. Calculate the 
official transient emission result from the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.002


[[Page 128]]


    (c) Calculate cycle statistics and compare with the established 
criteria as specified in 40 CFR 1065.514 to confirm that the test is 
valid.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
75 FR 22991, Apr. 30, 2010]



Sec. 1039.515  What are the test procedures related to not-to-exceed standards?

    (a) General provisions. The provisions in 40 CFR 86.1370-2007 apply 
for determining whether an engine meets the not-to-exceed emission 
standards in Sec. 1039.101(e). Interpret references to vehicles and 
vehicle operation to mean equipment and equipment operation.
    (b) Special PM zone. For engines certified to a PM standard or FEL 
above 0.07 g/kW-hr, a modified NTE control area applies for PM emissions 
only. The speeds and loads to be excluded are determined based on speeds 
B and C, determined according to the provisions of 40 CFR 86.1360-
2007(c). One of the following provisions applies:
    (1) If the C speed is below 2400 rpm, exclude the speed and load 
points to the right of or below the line formed by connecting the 
following two points on a plot of speed-vs.-power:
    (i) 30% of maximum power at the B speed; however, use the power 
value corresponding to the engine operation at 30% of maximum torque at 
the B speed if this is greater than 30% of maximum power at the B speed.
    (ii) 70% of maximum power at 100% speed.
    (2) If the C speed is at or above 2400 rpm, exclude the speed and 
load points to the right of the line formed by connecting the two points 
in paragraphs (b)(2)(i) and (ii) of this section (the 30% and 50% 
torque/power points) and below the line formed by connecting the two 
points in paragraphs (b)(2)(ii) and (iii) of this section (the 50% and 
70% torque/power points). The 30%, 50%, and 70% torque/power points are 
defined as follows:
    (i) 30% of maximum power at the B speed; however, use the power 
value corresponding to the engine operation at 30% of maximum torque at 
the B speed if this is greater than 30% of maximum power at the B speed.
    (ii) 50% of maximum power at 2400 rpm.
    (iii) 70% of maximum power at 100% speed.



Sec. 1039.520  What testing must I perform to establish deterioration factors?

    Sections 1039.240 and 1039.245 describe the method for testing that 
must be performed to establish deterioration factors for an engine 
family.



Sec. 1039.525  How do I adjust emission levels to account for infrequently

regenerating aftertreatment devices?

    This section describes how to adjust emission results from engines 
using aftertreatment technology with infrequent regeneration events. For 
this section, ``regeneration'' means an intended event during which 
emission levels change while the system restores aftertreatment 
performance. For example, exhaust gas temperatures may increase 
temporarily to remove sulfur from adsorbers or to oxidize accumulated 
particulate matter in a trap. For this section, ``infrequent'' refers to 
regeneration events that are expected to occur on average less than once 
over the applicable transient duty cycle or ramped-modal cycle, or on 
average less than once per typical mode in a discrete-mode test.
    (a) Developing adjustment factors. Develop an upward adjustment 
factor and a downward adjustment factor for each pollutant based on 
measured emission data and observed regeneration frequency. Adjustment 
factors should generally apply to an entire engine family, but you may 
develop separate adjustment factors for different engine configurations 
within an engine family. If you use adjustment factors for 
certification, you must identify the frequency factor, F, from paragraph 
(b) of this section in your application for certification and use the 
adjustment factors in all testing for that engine family. You may use 
carryover or carry-across data to establish adjustment factors for an 
engine family, as described in Sec. 1039.235(d), consistent with good 
engineering judgment. All adjustment factors for regeneration are 
additive. Determine adjustment factors separately for different test 
segments.

[[Page 129]]

For example, determine separate adjustment factors for hot-start and 
cold-start test segments and for different modes of a discrete-mode 
steady-state test. You may use either of the following different 
approaches for engines that use aftertreatment with infrequent 
regeneration events:
    (1) You may disregard this section if regeneration does not 
significantly affect emission levels for an engine family (or 
configuration) or if it is not practical to identify when regeneration 
occurs. If you do not use adjustment factors under this section, your 
engines must meet emission standards for all testing, without regard to 
regeneration.
    (2) If your engines use aftertreatment technology with extremely 
infrequent regeneration and you are unable to apply the provisions of 
this section, you may ask us to approve an alternate methodology to 
account for regeneration events.
    (b) Calculating average adjustment factors. Calculate the average 
adjustment factor (EFA) based on the following equation:

EFA = (F)(EFH) + (1-F)(EFL)

Where:

F = the frequency of the regeneration event in terms of the fraction of 
tests during which the regeneration occurs.
EFH = measured emissions from a test segment in which the 
regeneration occurs.
EFL = measured emissions from a test segment in which the 
regeneration does not occur.

    (c) Applying adjustment factors. Apply adjustment factors based on 
whether regeneration occurs during the test run. You must be able to 
identify regeneration in a way that is readily apparent during all 
testing.
    (1) If regeneration does not occur during a test segment, add an 
upward adjustment factor to the measured emission rate. Determine the 
upward adjustment factor (UAF) using the following equation:

UAF = EFA - EFL

    (2) If regeneration occurs or starts to occur during a test segment, 
subtract a downward adjustment factor from the measured emission rate. 
Determine the downward adjustment factor (DAF) using the following 
equation:

DAF = EFH - EFA

    (d) Sample calculation. If EFL is 0.10 g/kW-hr, 
EFH is 0.50 g/kW-hr, and F is 0.1 (the regeneration occurs 
once for each ten tests), then:

EFA = (0.1)(0.5 g/kW-hr) + (1.0 - 0.1)(0.1 g/kW-hr) = 0.14 g/
    kW-hr.
UAF = 0.14 g/kW-hr - 0.10 g/kW-hr = 0.04 g/kW-hr.
DAF = 0.50 g/kW-hr - 0.14 g/kW-hr = 0.36 g/kW-hr.



                 Subpart G_Special Compliance Provisions



Sec. 1039.601  What compliance provisions apply to these engines?

    Engine and equipment manufacturers, as well as owners, operators, 
and rebuilders of engines subject to the requirements of this part, and 
all other persons, must observe the provisions of this part, the 
requirements and prohibitions in 40 CFR part 1068, and the provisions of 
the Act.



Sec. 1039.605  What provisions apply to engines certified under the motor-vehicle program?

    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce new nonroad engines into commerce if 
they are already certified to the requirements that apply to 
compression-ignition engines under 40 CFR parts 85 and 86 for the 
appropriate model year. If you comply with all the provisions of this 
section, we consider the certificate issued under 40 CFR part 86 for 
each engine to also be a valid certificate of conformity under this part 
1039 for its model year, without a separate application for 
certification under the requirements of this part 1039. See Sec. 
1039.610 for similar provisions that apply to engines certified to 
chassis-based standards for motor vehicles.
    (b) Equipment-manufacturer provisions. If you are not an engine 
manufacturer, you may produce nonroad equipment using motor-vehicle 
engines under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. You must also add 
the fuel-inlet label we specify in Sec. 1039.135(e). If you modify the 
motor-vehicle engine in any of the

[[Page 130]]

ways described in paragraph (d)(2) of this section, we will consider you 
a manufacturer of a new nonroad engine. Such engine modifications 
prevent you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR parts 
85 and 86. This applies to engine manufacturers, equipment manufacturers 
who use these engines, and all other persons as if these engines were 
used in a motor vehicle. The prohibited acts of 40 CFR 1068.101(a)(1) 
apply to these new engines and equipment; however, we consider the 
certificate issued under 40 CFR part 86 for each engine to also be a 
valid certificate of conformity under this part 1039 for its model year. 
If we make a determination that these engines do not conform to the 
regulations during their useful life, we may require you to recall them 
under 40 CFR part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are an engine manufacturer or 
equipment manufacturer and meet all the following criteria and 
requirements regarding your new nonroad engine, the engine is eligible 
for an exemption under this section:
    (1) Your engine must be covered by a valid certificate of conformity 
issued under 40 CFR part 86.
    (2) You must not make any changes to the certified engine that could 
reasonably be expected to increase its exhaust emissions for any 
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following 
changes to one of these engines, you do not qualify for this exemption:
    (i) Change any fuel system parameters from the certified 
configuration.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original engine 
manufacturer's specified ranges.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in nonroad applications. This 
includes engines used in any application without regard to which company 
manufactures the vehicle or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (4) You must ensure that the engine has the label we require under 
40 CFR part 86.
    (5) You must add a permanent supplemental label to the engine in a 
position where it will remain clearly visible after installation in the 
equipment. In the supplemental label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON 
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE 
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF 
FEDERAL LAW.''.
    (iv) State the date you finished modifying the engine (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible 
after the engine is installed in the equipment or, if the equipment 
obscures the engine's emission control information label, the equipment 
manufacturer must attach duplicate labels, as described in 40 CFR 
1068.105.

[[Page 131]]

    (7) You must make sure that nonroad equipment produced under this 
section will have the fueling label we specify in Sec. 
1039.135(c)(9)(i).
    (8) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine or equipment models you expect to produce under 
this exemption in the coming year and describe your basis for meeting 
the sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produce each listed [engine or equipment] model 
for nonroad application without making any changes that could increase 
its certified emission levels, as described in 40 CFR 1039.605.''.
    (e) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1039 and the 
certificate issued under 40 CFR part 86 will not be deemed to also be a 
certificate issued under this part 1039. Introducing these engines into 
commerce without a valid exemption or certificate of conformity under 
this part violates the prohibitions in 40 CFR 1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Engines adapted 
for nonroad use under this section may not generate or use emission 
credits under this part 1039. These engines may generate credits under 
the ABT provisions in 40 CFR part 86. These engines must use emission 
credits under 40 CFR part 86 if they are certified to an FEL that 
exceeds an applicable standard under 40 CFR part 86.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53132, Sept. 18, 2007; 75 FR 22992, Apr. 30, 2010]



Sec. 1039.610  What provisions apply to vehicles certified under the motor-vehicle program?

    (a) General provisions. If you are a motor-vehicle manufacturer, 
this section allows you to introduce new nonroad engines or equipment 
into commerce if the vehicle is already certified to the requirements 
that apply under 40 CFR parts 85 and 86 for the appropriate model year. 
If you comply with all of the provisions of this section, we consider 
the certificate issued under 40 CFR part 86 for each motor vehicle to 
also be a valid certificate of conformity for the engine under this part 
1039 for its model year, without a separate application for 
certification under the requirements of this part 1039. See Sec. 
1039.605 for similar provisions that apply to motor-vehicle engines 
produced for nonroad equipment.
    (b) Equipment-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce nonroad equipment from motor 
vehicles under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. You must also add 
the fuel-inlet label we specify in Sec. 1039.135(e). If you modify the 
motor vehicle or its engine in any of the ways described in paragraph 
(d)(2) of this section, we will consider you a manufacturer of a new 
nonroad engine. Such modifications prevent you from using the provisions 
of this section.
    (c) Liability. Engines, vehicles, and equipment for which you meet 
the requirements of this section are exempt from all the requirements 
and prohibitions of this part, except for those specified in this 
section. Engines exempted under this section must meet all the 
applicable requirements from 40 CFR parts 85 and 86. This applies to 
engine manufacturers, equipment manufacturers, and all other persons as 
if the nonroad equipment were motor vehicles. The prohibited acts of 40 
CFR 1068.101(a)(1) apply to these new pieces of equipment; however, we 
consider the certificate issued under 40 CFR part 86 for each motor 
vehicle to also be a valid certificate of conformity for the engine 
under this part 1039 for its model year. If we make a determination that 
these engines, vehicles, or equipment do not conform to the regulations 
during their useful life, we may require you to recall them under 40 CFR 
part 86 or 40 CFR 1068.505.

[[Page 132]]

    (d) Specific requirements. If you are a motor-vehicle manufacturer 
and meet all the following criteria and requirements regarding your new 
nonroad equipment and its engine, the engine is eligible for an 
exemption under this section:
    (1) Your equipment must be covered by a valid certificate of 
conformity as a motor vehicle issued under 40 CFR part 86.
    (2) You must not make any changes to the certified vehicle that we 
could reasonably expect to increase its exhaust emissions for any 
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following 
changes, you do not qualify for this exemption:
    (i) Change any fuel system parameters from the certified 
configuration.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the vehicle 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original vehicle 
manufacturer's specified ranges.
    (iv) Add more than 500 pounds to the curb weight of the originally 
certified motor vehicle.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in nonroad applications. This 
includes any type of vehicle, without regard to which company completes 
the manufacturing of the nonroad equipment. Show this as follows:
    (i) If you are the original manufacturer of the vehicle, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the vehicle to confirm this based on their sales information.
    (4) The equipment must have the vehicle emission control information 
and fuel labels we require under 40 CFR 86.007-35.
    (5) You must add a permanent supplemental label to the equipment in 
a position where it will remain clearly visible. In the supplemental 
label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS VEHICLE WAS ADAPTED FOR NONROAD USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON 
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE 
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF 
FEDERAL LAW.''.
    (iv) State the date you finished modifying the vehicle (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible in 
the fully assembled equipment.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the equipment models you expect to produce under this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produced each listed engine or equipment model for 
nonroad application without making any changes that could increase its 
certified emission levels, as described in 40 CFR 1039.610.''
    (e) Failure to comply. If your engines, vehicles, or equipment do 
not meet the criteria listed in paragraph (d) of this section, the 
engines will be subject to the standards, requirements, and prohibitions 
of this part 1039, and the certificate issued under 40 CFR part 86 will 
not be deemed to also be a certificate issued under this part 1039. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity under this part violates the prohibitions in 
40 CFR 1068.101(a)(1).

[[Page 133]]

    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Vehicles 
adapted for nonroad use under this section may not generate or use 
emission credits under this part 1039. These vehicles may generate 
credits under the ABT provisions in 40 CFR part 86. These vehicles must 
be included in the calculation of the applicable fleet average in 40 CFR 
part 86.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53132, Sept. 18, 2007; 75 FR 22992, Apr. 30, 2010]



Sec. 1039.615  What special provisions apply to engines using noncommercial fuels?

    In Sec. 1039.115(e), we generally require that engines meet 
emission standards for any adjustment within the full range of any 
adjustable parameters. For engines that use noncommercial fuels 
significantly different than the specified test fuel of the same type, 
you may ask to use the parameter-adjustment provisions of this section 
instead of those in Sec. 1039.115(e). Engines certified under this 
section must be in a separate engine family.
    (a) If we approve your request, the following provisions apply:
    (1) You must certify the engine using the test fuel specified in 
Sec. 1039.501.
    (2) You may produce the engine without limits or stops that keep the 
engine adjusted within the certified range.
    (3) You must specify in-use adjustments different than the 
adjustable settings appropriate for the specified test fuel, consistent 
with the provisions of paragraph (b)(1) of this section.
    (b) To produce engines under this section, you must do the 
following:
    (1) Specify in-use adjustments needed so the engine's level of 
emission control for each regulated pollutant is equivalent to that from 
the certified configuration.
    (2) Add the following information to the emission control 
information label specified in Sec. 1039.135:
    (i) Include instructions describing how to adjust the engine to 
operate in a way that maintains the effectiveness of the emission-
control system.
    (ii) State: ``THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS 
USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF 
FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
    (3) Keep records to document the destinations and quantities of 
engines produced under this section.



Sec. 1039.620  What are the provisions for exempting engines used solely for competition?

    The provisions of this section apply for new engines built on or 
after January 1, 2006.
    (a) Equipment manufacturers may use uncertified engines if the 
vehicles or equipment in which they are installed will be used solely 
for competition.
    (b) The definition of nonroad engine in 40 CFR 1068.30 excludes 
engines used solely for competition. These engines are not required to 
comply with this part 1039 or 40 CFR part 89, but 40 CFR 1068.101 
prohibits the use of competition engines for noncompetition purposes.
    (c) We consider a vehicle or piece of equipment to be one that will 
be used solely for competition if it has features that are not easily 
removed that would make its use other than in competition unsafe, 
impractical, or highly unlikely.
    (d) As an engine manufacturer, your engine is exempt without our 
prior approval if you have a written request for an exempted engine from 
the equipment manufacturer showing the basis for believing that the 
equipment will be used solely for competition. You must permanently 
label engines exempted under this section to clearly indicate that they 
are to be used solely for competition. Failure to properly label an 
engine will void the exemption.
    (e) We may discontinue an exemption under this section if we find 
that engines are not used solely for competition.



Sec. 1039.625  What requirements apply under the program for equipment-manufacturer flexibility?

    The provisions of this section allow equipment manufacturers to 
produce

[[Page 134]]

equipment with engines that are subject to less stringent emission 
standards after the Tier 4 emission standards begin to apply. To be 
eligible to use these provisions, you must follow all the instructions 
in this section. See 40 CFR 89.102(d) and (e) for provisions that apply 
to equipment produced while Tier 1, Tier 2, or Tier 3 standards apply. 
See Sec. 1039.626 for requirements that apply specifically to companies 
that manufacture equipment outside the United States and to companies 
that import such equipment without manufacturing it. Engines and 
equipment you produce under this section are exempt from the 
prohibitions in 40 CFR 1068.101(a)(1), subject to the provisions of this 
section.
    (a) General. If you are an equipment manufacturer, you may introduce 
into commerce in the United States limited numbers of nonroad equipment 
with engines exempted under this section. You may use the exemptions in 
this section only if you have primary responsibility for designing and 
manufacturing equipment and your manufacturing procedures include 
installing some engines in this equipment. Consider all U.S.-directed 
equipment sales in showing that you meet the requirements of this 
section, including those from any parent or subsidiary companies and 
those from any other companies you license to produce equipment for you. 
If you produce a type of equipment that has more than one engine, count 
each engine separately. These provisions are available over the 
following periods:
    (1) These provisions are available for the years shown in the 
following table, except as provided in paragraph (a)(2) of this section:

     Table 1 of Sec.  1039.625--General Availability of Allowances
------------------------------------------------------------------------
                    Power category                       Calendar years
------------------------------------------------------------------------
kW < 19...............................................         2008-2014
19 <= kW < 56.........................................         2008-2014
56 <= kW < 130........................................         2012-2018
130 <= kW <= 560......................................         2011-2017
kW  560....................................         2011-2017
------------------------------------------------------------------------

    (2) If you do not use any allowances in a power category before the 
earliest dates shown in the following table, you may delay the start of 
the seven-year period for using allowances under this section as 
follows:

     Table 2 of Sec.  1039.625--Availability of Delayed Allowances
------------------------------------------------------------------------
                    Power category                       Calendar years
------------------------------------------------------------------------
kW < 19...............................................  ................
19 <= kW < 56.........................................         2012-2018
56 <= kW < 130........................................         2014-2020
130 <= kW <= 560......................................         2014-2020
kW  560....................................         2015-2021
------------------------------------------------------------------------

    (b) Allowances. You may choose one of the following options for each 
power category to produce equipment with exempted engines under this 
section, except as allowed under Sec. 1039.627:
    (1) Percent-of-production allowances. You may produce a certain 
number of units with exempted engines calculated using a percentage of 
your total sales within a power category relative to your total U.S.-
directed production volume. The sum of these percentages within a power 
category during the seven-year period specified in paragraph (a) of this 
section may not exceed 80 percent, except as allowed under paragraph 
(b)(2) or (m) of this section.
    (2) Small-volume allowances. You may determine an alternate 
allowance for a specific number of exempted engines under this section 
using one of the following approaches for your U.S.-directed production 
volumes:
    (i) You may produce up to 700 units with exempted engines within a 
power category during the seven-year period specified in paragraph (a) 
of this section, with no more than 200 units in any single year within a 
power category, except as provided in paragraph (m) of this section. 
Engines within a power category that are exempted under this section 
must be from a single engine family within a given year.
    (ii) For engines below 130 kW, you may produce up to 525 units with 
exempted engines within a power category during the seven-year period 
specified in paragraph (a) of this section, with no more than 150 units 
in any single year within a power category, except as provided in 
paragraph (m) of this section. For engines at or above 130 kW, you may 
produce up to 350 units with exempted engines within a power category 
during the seven-year

[[Page 135]]

period, with no more than 100 units in any single year within a power 
category. Exemptions under this paragraph (b)(2)(ii) may apply to 
engines from multiple engine families in a given year.
    (iii) In each power category at or above 56 kW, you may apply the 
provisions of paragraph (b)(2)(i) of this section in the first two model 
years for which Tier 4 standards apply, regardless of the number of 
engine families you use in your equipment, provided you exceed the 
single engine family restriction of that paragraph primarily due to 
production of equipment intended specifically to travel on snow and to 
commonly operate at more than 9,000 feet above sea level. After the 
first two Tier 4 model years in a power category, you may continue to 
apply the provisions of paragraph (b)(2)(i) of this section, subject to 
the single engine family restriction.
    (c) Percentage calculation. Calculate for each calendar year the 
percentage of equipment with exempted engines from your total U.S.-
directed production within a power category if you need to show that you 
meet the percent-of-production allowances in paragraph (b)(1) of this 
section.
    (d) Inclusion of engines not subject to Tier 4 standards. The 
following provisions apply to engines that are not subject to Tier 4 
standards:
    (1) If you use the provisions of 40 CFR 1068.105(a) to use up your 
inventories of engines not certified to new emission standards, do not 
include these units in your count of equipment with exempted engines 
under paragraph (b) of this section. However, you may include these 
units in your count of total equipment you produce for the given year 
for the percentage calculation in paragraph (b)(1) of this section.
    (2) If you install engines that are exempted from the Tier 4 
standards for any reason, other than for equipment-manufacturer 
allowances under this section, do not include these units in your count 
of exempted engines under paragraph (b) of this section. However, you 
may include these units in your count of total equipment you produce for 
the given year for the percentage calculation in paragraph (b)(1) of 
this section. For example, if we grant a hardship exemption for the 
engine manufacturer, you may count these as compliant engines under this 
section. This paragraph (d)(2) applies only if the engine has a 
permanent label describing why it is exempted from the Tier 4 standards.
    (3) Do not include equipment using model year 2008 or 2009 engines 
certified under the provisions of Sec. 1039.101(c) in your count of 
equipment using exempted engines. However, you may include these units 
in your count of total equipment you produce for the given year for the 
percentage calculation in paragraph (b)(1) of this section.
    (4) You may start using the allowances under this section for 
engines that are not yet subject to Tier 4 standards, as long as the 
seven-year period for using allowances under the Tier 2 or Tier 3 
program has expired (see 40 CFR 89.102(d)). Table 3 of this section 
shows the years for which this applies. To use these early allowances, 
you must use engines that meet the emission standards described in 
paragraph (e) of this section. You must also count these units or 
calculate these percentages as described in paragraph (c) of this 
section and apply them toward the total number or percentage of 
equipment with exempted engines we allow for the Tier 4 standards as 
described in paragraph (b) of this section. The maximum number of 
cumulative early allowances under this paragraph (d)(4) is 10 percent 
under the percent-of-production allowance or 100 units under the small-
volume allowance. For example, if you produce 5 percent of your 
equipment with engines between 130 and 560 kW that use allowances under 
this paragraph (d)(4) in 2009, you may use up to an additional 5 percent 
of your allowances in 2010. If you use allowances for 5 percent of your 
equipment in both 2009 and 2010, your 80 percent allowance for 2011-2017 
in the 130-560 kW power category decreases to 70 percent. Manufacturers 
using allowances under this paragraph (d)(4) must comply with the 
notification and reporting requirements specified in paragraph (g) of 
this section.

[[Page 136]]



         Table 3 of Sec.  1039.625--Years for Early Allowances
------------------------------------------------------------------------
                 Maximum engine power                    Calendar years
------------------------------------------------------------------------
kW < 19...............................................              2007
19 <= kW < 37.........................................         2006-2011
37 <= kW < 56.........................................              2011
56 <= kW < 75.........................................              2011
75 <= kW < 130........................................         2010-2011
130 <= kW < 225.......................................              2010
225 <= kW < 450.......................................         2008-2010
450 <= kW <= 560......................................         2009-2010
KW  560....................................  ................
------------------------------------------------------------------------

    (e) Standards. If you produce equipment with exempted engines under 
this section, the engines must meet emission standards specified in this 
paragraph (e). Note that we consider engines to be meeting emission 
standards even if they are certified with a family emission limit that 
is higher than the emission standard that would otherwise apply.
    (1) If you are using the provisions of paragraph (d)(4) of this 
section, engines must meet the applicable Tier 1 or Tier 2 emission 
standards described in Sec. 89.112.
    (2) If you are using the provisions of paragraph (a)(2) of this 
section, engines must be certified under this part 1039 as follows:

------------------------------------------------------------------------
                                                          Must meet all
                                                          standards and
                                                          requirements
     Engines in the following power category . . .       that applied in
                                                          the following
                                                        model year . . .
------------------------------------------------------------------------
(i) 19 <= kW < 56.....................................              2008
(ii) 56 <= kW < 130...................................              2012
(iii) 130 <= kW <= 560................................              2011
(iv) kW  560...............................              2011
------------------------------------------------------------------------

    (3) In all other cases, engines at or above 56 kW and at or below 
560 kW must meet the appropriate Tier 3 standards described in 40 CFR 
89.112. Engines below 56 kW and engines above 560 kW must meet the 
appropriate Tier 2 standards described in 40 CFR 89.112.
    (f) Equipment labeling. You must add a permanent label, written 
legibly in English, to the engine or another readily visible part of 
each piece of equipment you produce with exempted engines under this 
section. This label, which supplements the engine manufacturer's 
emission control information label, must include at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) The calendar year in which the equipment is manufactured.
    (4) An e-mail address and phone number to contact for further 
information, or a Web site that includes this contact information.
    (5) The following statement:

THIS EQUIPMENT [or identify the type of equipment] HAS AN ENGINE THAT 
MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625.

    (g) Notification and reporting. You must notify us of your intent to 
use the provisions of this section and send us an annual report to 
verify that you are not exceeding the allowances, as follows:
    (1) Before you use the provisions of this section, send the 
Designated Compliance Officer a written notice of your intent, 
including:
    (i) Your company's name and address, and your parent company's name 
and address, if applicable.
    (ii) The name, phone number and e-mail address of a person to 
contact for more information.
    (iii) The calendar years in which you expect to use the exemption 
provisions of this section.
    (iv) The name and address of each company you expect to produce 
engines for the equipment you manufacture under this section.
    (v) Your best estimate of the number of units in each power category 
you will produce under this section and whether you intend to comply 
under paragraph (b)(1) or (b)(2) of this section.
    (vi) The number of units in each power category you have sold in 
previous calendar years under 40 CFR 89.102(d).
    (2) For each year that you use the provisions of this section, send 
the Designated Compliance Officer a written report by March 31 of the 
following year. Identify the following things in your report:
    (i) The total count of units you sold in the preceding year for each 
power category, based on actual U.S.-directed production information.

[[Page 137]]

    (ii) The percentages of U.S.-directed production that correspond to 
the number of units in each power category and the cumulative numbers 
and percentages of units for all the units you have sold under this 
section for each power category. You may omit the percentage figures if 
you include in the report a statement that you will not be using the 
percent-of-production allowances in paragraph (b)(1) of this section.
    (iii) The manufacturer of the engine installed in the equipment you 
produce under this section if this is different than you specified under 
paragraph (g)(1)(iv) of this section.
    (h) Recordkeeping. Keep the following records of all equipment with 
exempted engines you produce under this section for at least five full 
years after the final year in which allowances are available for each 
power category:
    (1) The model number, serial number, and the date of manufacture for 
each engine and piece of equipment.
    (2) The maximum power of each engine.
    (3) The total number or percentage of equipment with exempted 
engines, as described in paragraph (b) of this section and all 
documentation supporting your calculation.
    (4) The notifications and reports we require under paragraph (g) of 
this section.
    (i) Enforcement. Producing more exempted engines or equipment than 
we allow under this section or installing engines that do not meet the 
emission standards of paragraph (e) of this section violates the 
prohibitions in 40 CFR 1068.101(a)(1). You must give us the records we 
require under this section if we ask for them (see 40 CFR 
1068.101(a)(2)).
    (j) Provisions for engine manufacturers. As an engine manufacturer, 
you may produce exempted engines as needed under this section. You do 
not have to request this exemption for your engines, but you must have 
written assurance from equipment manufacturers that they need a certain 
number of exempted engines under this section. Send us an annual report 
of the engines you produce under this section, as described in Sec. 
1039.250(a). For engines produced under the provisions of paragraph 
(a)(2) of this section, you must certify the engines under this part 
1039. For all other exempt engines, the engines must meet the emission 
standards in paragraph (e) of this section and you must meet all the 
requirements of 40 CFR 1068.265. If you show under 40 CFR 1068.265(c) 
that the engines are identical in all material respects to engines that 
you have previously certified to one or more FELs above the standards 
specified in paragraph (e) of this section, you must supply sufficient 
credits for these engines. Calculate these credits under subpart H of 
this part using the previously certified FELs and the alternate 
standards. You must meet the labeling requirements in 40 CFR 89.110 or 
Sec. 1039.135, as applicable, with the following exceptions:
    (1) Add the following statement instead of the compliance statement 
in 40 CFR 89.110(b)(10) or Sec. 1039.135(c)(12), as applicable:


THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625. 
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE 
EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 1039.625 MAY BE A VIOLATION 
OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (2) You may omit the family emission limits if they are below the 
emission standards.
    (k) Other exemptions. See 40 CFR 1068.255 for exemptions based on 
hardship for equipment manufacturers and secondary engine manufacturers.
    (l) [Reserved]
    (m) Additional exemptions for technical or engineering hardship. You 
may request additional engine allowances under paragraph (b)(1) of this 
section for 19-560 kW power categories or, if you are a small equipment 
manufacturer, under paragraph (b)(2) of this section for engines at or 
above 19 and below 37 kW. However, you may use these extra allowances 
only for those equipment models for which you, or an affiliated company, 
do not also produce the engine. After considering the circumstances, we 
may permit you to introduce into commerce equipment with such engines 
that do not comply with Tier 4 emission standards, as follows:

[[Page 138]]

    (1) We may approve additional exemptions if extreme and unusual 
circumstances that are clearly outside your control and that could not 
have been avoided with reasonable discretion have resulted in technical 
or engineering problems that prevent you from meeting the requirements 
of this part. You must show that you exercised prudent planning and have 
taken all reasonable steps to minimize the scope of your request for 
additional allowances.
    (2) To apply for exemptions under this paragraph (m), send the 
Designated Compliance Officer a written request as soon as possible 
before you are in violation. In your request, include the following 
information:
    (i) Describe your process for designing equipment.
    (ii) Describe how you normally work cooperatively or concurrently 
with your engine supplier to design products.
    (iii) Describe the engineering or technical problems causing you to 
request the exemption and explain why you have not been able to solve 
them. Describe the extreme and unusual circumstances that led to these 
problems and explain how they were unavoidable.
    (iv) Describe any information or products you received from your 
engine supplier related to equipment design--such as written 
specifications, performance data, or prototype engines--and when you 
received it.
    (v) Compare the design processes of the equipment model for which 
you need additional exemptions and that for other models for which you 
do not need additional exemptions. Explain the technical differences 
that justify your request.
    (vi) Describe your efforts to find and use other compliant engines, 
or otherwise explain why none is available.
    (vii) Describe the steps you have taken to minimize the scope of 
your request.
    (viii) Include other relevant information. You must give us other 
relevant information if we ask for it.
    (ix) Estimate the increased percent of production you need for each 
equipment model covered by your request, as described in paragraph 
(m)(3) of this section. Estimate the increased number of allowances you 
need for each equipment model covered by your request, as described in 
paragraph (m)(4) of this section.
    (3) We may approve your request to increase the allowances under 
paragraph (b)(1) of this section, subject to the following limitations:
    (i) The additional allowances will not exceed 70 percent for each 
power category.
    (ii) You must use up the allowances under paragraph (b)(1) of this 
section before using any additional allowance under this paragraph (m).
    (iii) Any allowances we approve under this paragraph (m)(3) expire 
24 months after the provisions of this section start for a given power 
category, as described in paragraph (a) of this section. You may use 
these allowances only for the specific equipment models covered by your 
request.
    (4) We may approve your request to increase the allowances for the 
19-56 kW power category under paragraph (b)(2) of this section, subject 
to the following limitations:
    (i) You are eligible for additional allowances under this paragraph 
(m)(4) only if you are a small equipment manufacturer and you do not use 
the provisions of paragraph (m)(3) of this section to obtain additional 
allowances for the 19-56 kW power category.
    (ii) You must use up all the available allowances for the 19-56 kW 
power category under paragraph (b)(2) of this section in a given year 
before using any additional allowances under this paragraph (m)(4).
    (iii) Base your request only on equipment you produce with engines 
at or above 19 kW and below 37 kW. You may use any additional allowances 
only for equipment you produce with engines at or above 19 kW and below 
37 kW.
    (iv) The total allowances under either paragraph (b)(2)(i) or (ii) 
of this section for the 19-56 kW power category will not exceed 1,100 
units.
    (v) Any allowances we approve under this paragraph (m)(4) expire 36 
months after the provisions of this section start for this power 
category, as described in paragraph (a) of this section. These 
additional allowances are not subject to the annual limits specified

[[Page 139]]

in paragraph (b)(2) of this section. You may use these allowances only 
for the specific equipment models covered by your request.
    (5) For purposes of this paragraph (m), small equipment manufacturer 
means a small-business equipment manufacturer that had annual U.S.-
directed production volume of equipment using nonroad diesel engines 
between 19 and 56 kW of no more than 3,000 units in 2002 and all earlier 
calendar years, and has 750 or fewer employees (500 or fewer employees 
for nonroad equipment manufacturers that produce no construction 
equipment or industrial trucks). For manufacturers owned by a parent 
company, the production limit applies to the production of the parent 
company and all its subsidiaries and the employee limit applies to the 
total number of employees of the parent company and all its 
subsidiaries.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005; 
72 FR 53133, Sept. 18, 2007; 73 FR 59191, Oct. 8, 2008; 75 FR 68461, 
Nov. 8, 2010]



Sec. 1039.626  What special provisions apply to equipment imported under 

the equipment-manufacturer flexibility program?

    This section describes requirements that apply to equipment 
manufacturers using the provisions of Sec. 1039.625 for equipment 
produced outside the United States. Note that Sec. 1039.625 limits 
these provisions to equipment manufacturers that install some engines 
and have primary responsibility for designing and manufacturing 
equipment. Companies that import equipment into the United States 
without meeting these criteria are not eligible for these allowances. 
Such importers may import equipment with exempted engines only as 
described in paragraph (b) of this section.
    (a) As a foreign equipment manufacturer, you or someone else may 
import equipment with exempted engines under this section if you comply 
with the provisions in Sec. 1039.625 and commit to the following:
    (1) Give any EPA inspector or auditor complete and immediate access 
to inspect and audit, as follows:
    (i) Inspections and audits may be announced or unannounced.
    (ii) Inspections and audits may be by EPA employees or EPA 
contractors.
    (iii) You must provide access to any location where--
    (A) Any nonroad engine, equipment, or vehicle is produced or stored.
    (B) Documents related to manufacturer operations are kept.
    (C) Equipment, engines, or vehicles are tested or stored for 
testing.
    (iv) You must provide any documents requested by an EPA inspector or 
auditor that are related to matters covered by the inspections or audit.
    (v) EPA inspections and audits may include review and copying of any 
documents related to demonstrating compliance with the exemptions in 
Sec. 1039.625.
    (vi) EPA inspections and audits may include inspection and 
evaluation of complete or incomplete equipment, engines, or vehicles, 
and interviewing employees.
    (vii) You must make any of your employees available for interview by 
the EPA inspector or auditor, on request, within a reasonable time 
period.
    (viii) You must provide English language translations of any 
documents to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) You must provide English-language interpreters to accompany EPA 
inspectors and auditors, on request.
    (2) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act.
    (4) The substantive and procedural laws of the United States shall 
apply to any civil or criminal enforcement action against you or any of 
your officers or employees related to the provisions of this section.
    (5) Provide the notification required by Sec. 1039.625(g). Include 
in the notice of intent in Sec. 1039.625(g)(1) a commitment to comply 
with the requirements and

[[Page 140]]

obligations of Sec. 1039.625 and this section. This commitment must be 
signed by the owner or president.
    (6) You, your agents, officers, and employees must not seek to 
detain or to impose civil or criminal remedies against EPA inspectors or 
auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) By submitting notification of your intent to use the provisions 
of Sec. 1039.625, producing and exporting for resale to the United 
States nonroad equipment under this section, or taking other actions to 
comply with the requirements of this part, you, your agents, officers, 
and employees, without exception, become subject to the full operation 
of the administrative and judicial enforcement powers and provisions of 
the United States as described in 28 U.S.C. 1605(a)(2), without 
limitation based on sovereign immunity, for conduct that violates the 
requirements applicable to you under this part 1039--including such 
conduct that violates 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other 
applicable provisions of the Clean Air Act'with respect to actions 
instituted against you and your agents, officers, and employees in any 
court or other tribunal in the United States.
    (8) Any report or other document you submit to us must be in the 
English language, or include a complete translation in English.
    (9) You must post a bond to cover any potential enforcement actions 
under the Clean Air Act before you or anyone else imports your equipment 
under this section, as follows:
    (i) The value of the bond is based on the per-engine bond values 
shown in Table 1 of this section and on the highest number of engines in 
each power category you produce in any single calendar year under the 
provisions of Sec. 1039.625. For example, if you have projected U.S.-
directed production volumes of 100 exempt engines in the 19-56 kW power 
category and 300 exempt engines in the 56-130 kW power category in 2013, 
the appropriate bond amount is $180,000. If your estimated or actual 
engine imports increase beyond the level appropriate for your current 
bond payment, you must post additional bond to reflect the increased 
sales within 90 days after you change your estimate or determine the 
actual sales. You may not decrease your bond.
    (ii) You may meet the bond requirements of this section with any of 
the following methods:
    (A) Get a bond from a third-party surety that is cited in the U.S. 
Department of Treasury Circular 570, ``Companies Holding Certificates of 
Authority as Acceptable Sureties on Federal Bonds and as Acceptable 
Reinsuring Companies.'' Maintain this bond for five years after the 
applicable allowance period expires, or five years after you use up all 
the available allowances under Sec. 1039.625, whichever comes first.
    (B) Get us to approve a waiver from the bonding requirement if you 
can show that you meet the asset thresholds described in 40 CFR 
1054.690.
    (iii) If you forfeit some or all of your bond in an enforcement 
action, you must post any appropriate bond for continuing importation 
within 90 days after you forfeit the bond amount.

           Table 1 of Sec.  1039.626--Per-Engine Bond Values
------------------------------------------------------------------------
                                                          The per-engine
  For engines with maximum engine power falling in the     bond value is
                 following ranges . . .                        . . .
------------------------------------------------------------------------
kW < 19.................................................            $150
19 <= kW < 56...........................................             300
56 <= kW < 130..........................................             500
130 <= kW < 225.........................................           1,000
225 <= kW < 450.........................................           3,000
kW = 450.....................................           8,000
------------------------------------------------------------------------

    (iv) You will forfeit the proceeds of the bond posted under this 
section if you need to satisfy any U.S. administrative settlement 
agreement, administrative final order or judicial judgment against you 
arising from your violation of this chapter, or violation of 18 U.S.C. 
1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of the Clean 
Air Act.
    (b) The provisions of this paragraph (b) apply to importers that do 
not install engines into equipment and do not have primary 
responsibility for designing and manufacturing equipment. Such importers 
may import equipment with engines exempted under Sec. 1039.625 only if 
each engine is exempted under an allowance provided to an equipment

[[Page 141]]

manufacturer meeting the requirements of Sec. 1039.625 and this 
section. You must notify us of your intent to use the provisions of this 
section and send us an annual report, as follows:
    (1) Before you use the provisions of this section, send the 
Designated Compliance Officer a written notice of your intent, 
including:
    (i) Your company's name and address, and your parent company's name 
and address, if applicable.
    (ii) The name and address of the companies that produce the 
equipment and engines you will be importing under this section.
    (iii) Your best estimate of the number of units in each power 
category you will import under this section in the upcoming calendar 
year, broken down by equipment manufacturer and power category.
    (iv) The number of units in each power category you have imported in 
previous calendar years under 40 CFR 89.102(d).
    (2) For each year that you use the provisions of this section, send 
the Designated Compliance Officer a written report by March 31 of the 
following year. Include in your report the total number of engines you 
imported under this section in the preceding calendar year, broken down 
by engine manufacturer and by equipment manufacturer.

[69 FR 39213, June 29, 2004, as amended at 73 FR 59192, Oct. 8, 2008]



Sec. 1039.627  What are the incentives for equipment manufacturers to use cleaner engines?

    This section allows equipment manufacturers to generate additional 
allowances under the provisions of Sec. 1039.625 by producing equipment 
using engines at or above 19 kW certified to specified levels earlier 
than otherwise required.
    (a) For early-compliant engines to generate offsets for use under 
this section, the following general provisions apply:
    (1) The engine manufacturer must comply with the provisions of Sec. 
1039.104(a)(1) for the offset-generating engines.
    (2) Engines you install in your equipment after December 31 of the 
years specified in Sec. 1039.104(a)(1) do not generate allowances under 
this section, even if the engine manufacturer generated offsets for that 
engine under Sec. 1039.104(a).
    (3) Offset-generating engines must be certified to the following 
standards under this part 1039:

----------------------------------------------------------------------------------------------------------------
                                                                      You may reduce the
                                                                     number of engines in
If the engine's maximum   And you install . .   Certified early to      the same power     In later model  years
     power is . . .                .                 the . . .         category that are          by . . .
                                                                     required to meet the
                                                                             . . .
----------------------------------------------------------------------------------------------------------------
(i) kW = 19.  One engine..........  Emissions standards   Standards in Tables   One engine.
                                                in Sec.  1039.101.   2 through 7 of Sec.
                                                                        1039.102 or in
                                                                      Sec.  1039.101.
(ii) 56 <= kW < 130....  Two engines.........  NOX standards in      Standards in Tables   One engine.
                                                Sec.                 2 through 7 of Sec.
                                                1039.102(e)(1), and     1039.102 or in
                                                NMHC standard of      Sec.  1039.101.
                                                0.19 g/kW-hr, a PM
                                                standard of 0.02 g/
                                                kW-hr, and a CO
                                                standard of 5.0 g/
                                                kW-hr.
(iii) 130 <= kW < 560..  Two engines.........  NOX standards in      Standards in Tables   One engine.
                                                Sec.                 2 through 7 of Sec.
                                                1039.102(e)(2), an      1039.102 or in
                                                NMHC standard of      Sec.  1039.101.
                                                0.19 g/kW-hr, a PM
                                                standard of 0.02 g/
                                                kW-hr, and a CO
                                                standard of 3.5 g/
                                                kW-hr.
----------------------------------------------------------------------------------------------------------------

    (b) Using engine offsets. (1) You may use engine offsets generated 
under paragraph (a) of this section to generate additional allowances 
under Sec. 1039.625, as follows:
    (i) For each engine offset, you may increase the number of available 
allowances under Sec. 1039.625(b) for that power category by one engine 
for the years indicated.
    (ii) For engines in 56-560 kW power categories, you may transfer 
engine offsets across power categories within this power range. 
Calculate the number of additional allowances by scaling the number of 
generated engine offsets according to the ratio of engine power for

[[Page 142]]

offset and allowance engines. Make this calculation for all your offset 
engines for which you will transfer offsets under this paragraph 
(b)(1)(ii), then round the result to determine the total number of 
available power-weighted allowances. For example, if you generate engine 
offsets for 75 500-kW engines, you may generate up to 37,500 kW-engines 
of power-weighted allowances. You may apply this to 375 100-kW engines 
or any other combination that totals 37,500 kW-engines.
    (2) You may decline to use the offsets. If you decline, the engine 
manufacturer may use the provisions of Sec. 1039.104(a)(1).
    (c) Limitation on offsets for engines above 560 kW. For engines 
above 560 kW, you must track how many engines you install in generator 
sets and how many you install in other applications under the provisions 
of this section. Offsets from generator-set engines may be used only for 
generator-set engines. Offsets from engines for other applications may 
be used only for other applications besides generator sets.
    (d) Reporting. When you submit your first annual report under Sec. 
1039.625(g), include the following additional information related to the 
engines you use to generate offsets under this section:
    (1) The name of each engine family involved.
    (2) The number of engines from each power category.
    (3) The maximum engine power of each engine.
    (4) For engines above 560 kW, whether you use engines certified to 
the standards for generator-set engines.
    (e) In-use fuel. If the engine manufacturer certifies using ultra 
low-sulfur diesel fuel, you must take steps to ensure that the in-use 
engines in the family will use diesel fuel with a sulfur concentration 
no greater than 15 ppm. For example, selling equipment only into 
applications where the operator commits to a central-fueling facility 
with ultra low-sulfur diesel fuel throughout its lifetime would meet 
this requirement.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22992, Apr. 30, 2010]



Sec. 1039.630  What are the economic hardship provisions for equipment manufacturers?

    If you qualify for the economic hardship provisions specified in 40 
CFR 1068.255, we may approve your hardship application subject to the 
following additional conditions:
    (a) You must show that you have used up the allowances to produce 
equipment with exempted engines under Sec. 1039.625.
    (b) You may produce equipment under this section for up to 12 months 
total (or 24 months total for small-volume manufacturers).



Sec. 1039.635  What are the hardship provisions for engine manufacturers?

    If you qualify for the hardship provisions specified in 40 CFR 
1068.245, we may approve a period of delayed compliance for up to one 
model year total (or two model years total for small-volume 
manufacturers). If you qualify for the hardship provisions specified in 
40 CFR 1068.250 for small-volume manufacturers, we may approve a period 
of delayed compliance for up to two model years total.



Sec. 1039.640  What special provisions apply to branded engines?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec. 1039.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec. 
1039.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use and describe the arrangements you have made 
to meet your requirements under this section.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.

[[Page 143]]



Sec. 1039.645  What special provisions apply to engines used for transportation 

refrigeration units?

    Manufacturers may choose to use the provisions of this section for 
engines used in transportation refrigeration units (TRUs). The operating 
restrictions and characteristics in paragraph (f) of this section define 
engines that are not used in TRUs. All provisions of this part apply for 
TRU engines, except as specified in this section.
    (a) You may certify engines under this section with the following 
special provisions:
    (1) The engines are not subject to the transient emission standards 
of subpart B of this part.
    (2) The steady-state emission standards in subpart B of this part 
apply for emissions measured over the steady-state test cycle described 
in paragraph (b) of this section instead of the otherwise applicable 
duty cycle described in Sec. 1039.505.
    (b) Measure steady-state emissions using the procedures specified in 
Sec. 1039.505, except for the duty cycles, as follows:
    (1) The following duty cycle applies for discrete-mode testing:

                         Table 1 of Sec.  1039.645--Discrete-Mode Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
                Mode number                            Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................              75            0.25
2..........................................  Maximum test speed.................              50            0.25
3..........................................  Intermediate test speed............              75            0.25
4..........................................  Intermediate test speed............              50            0.25
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

    (2) The following duty cycle applies for ramped-modal testing:

                         Table 2 of Sec.  1039.645--Ramped-Modal Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
                                       Time in mode
              RMC  mode                  (seconds)        Engine speed \1\          Torque  (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................             290  Intermediate Speed.....  75.
1b Transition.......................              20  Intermediate Speed.....  Linear Transition.
2a Steady-state.....................             280  Intermediate Speed.....  50.
2b Transition.......................              20  Linear Transition......  Linear Transition.
3a Steady-state.....................             280  Maximum Test Speed.....  75.
3b Transition.......................              20  Maximum Test Speed.....  Linear Transition.
4 Steady-state......................             290  Maximum Test Speed.....  50
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) Engines certified under this section must be certified in a 
separate engine family that contains only TRU engines.
    (d) You must do the following for each engine certified under this 
section:
    (1) State on the emission control information label: ``THIS ENGINE 
IS CERTIFIED TO OPERATE ONLY IN TRANSPORTATION REFRIGERATION UNITS. 
INSTALLING OR USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A 
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
    (2) State in the emission-related installation instructions all 
steps necessary to ensure that the engine will operate only in the modes 
covered by the test cycle described in this section.
    (3) Keep records to document the destinations and quantities of 
engines produced under this section.
    (e) All engines certified under this section must comply with NTE 
standards, as described in Sec. 1039.101 or

[[Page 144]]

Sec. 1039.102 for the applicable model year, except that the NTE 
standards are not limited with respect to operating speeds and loads. In 
your application for certification, certify that all the engines in the 
engine family comply with the not-to-exceed emission standards for all 
normal operation and use. The deficiency provisions of Sec. 1039.104(d) 
do not apply to these engines. This paragraph (e) applies whether or not 
the engine would otherwise be subject to NTE standards.
    (f) An engine is not considered to be used in a TRU if any of the 
following is true:
    (1) The engine is installed in any equipment other than 
refrigeration units for railcars, truck trailers, or other freight 
vehicles.
    (2) The engine operates in any mode not covered by the test cycle 
described in this section, except as follows:
    (i) The engine may operate briefly at idle. Note, however, that TRU 
engines must meet NTE emission standards under any type of operation, 
including idle, as described in paragraph (e) of this section.
    (ii) The engine may have a minimal amount of transitional operation 
between two allowable modes. As an example, a thirty-second transition 
period would clearly not be considered minimal.
    (iii) The engine as installed may experience up to a 2-percent 
decrease in load at a given setpoint over any 10-minute period, and up 
to a 15-percent decrease in load at a given setpoint over any 60-minute 
period.
    (3) The engine is sold in a configuration that allows the engine to 
operate in any mode not covered by the test cycle described in this 
section. For example, this section does not apply to an engine sold 
without a governor limiting operation only to those modes covered by the 
test cycle described in this section.
    (4) The engine is subject to Tier 3 or earlier standards, or phase-
out Tier 4 standards.

[69 FR 39213, June 29, 2004, as amended at 73 FR 37241, June 30, 2008]



Sec. 1039.650  [Reserved]



Sec. 1039.655  What special provisions apply to engines sold in Guam, 

American Samoa, or the Commonwealth of the Northern Mariana Islands?

    (a) The prohibitions in Sec. 1068.101(a)(1) do not apply to an 
engine if the following conditions are met:
    (1) The engine is intended for use and will be used in Guam, 
American Samoa, or the Commonwealth of the Northern Mariana Islands.
    (2) The engine meets the latest applicable emission standards in 40 
CFR 89.112.
    (3) You meet all the requirements of 40 CFR 1068.265.
    (b) If you introduce an engine into commerce in the United States 
under this section, you must meet the labeling requirements in 40 CFR 
89.110, but add the following statement instead of the compliance 
statement in 40 CFR 89.110(b)(10):

THIS ENGINE DOES NOT COMPLY WITH U.S. EPA TIER 4 EMISSION REQUIREMENTS. 
IMPORTING THIS ENGINE INTO THE UNITED STATES OR ANY TERRITORY OF THE 
UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE COMMONWEALTH OF THE 
NORTHERN MARIANA ISLANDS MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY.

    (c) Introducing into commerce an engine exempted under this section 
in any state or territory of the United States other than Guam, American 
Samoa, or the Commonwealth of the Northern Mariana Islands, throughout 
its lifetime, violates the prohibitions in 40 CFR 1068.101(a)(1), unless 
it is exempt under a different provision.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005]



Sec. 1039.660  What special provisions apply to Independent Commercial Importers?

    Under Sec. 1039.801, certain engines are considered to be new 
engines when they are imported into the United States, even if they have 
previously been used outside the country. Independent Commercial 
Importers may use the provisions of 40 CFR part 89,

[[Page 145]]

subpart G, and 40 CFR 89.906(b) to receive a certificate of conformity 
for engines meeting all the requirements of this part 1039.



       Subpart H_Averaging, Banking, and Trading for Certification



Sec. 1039.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. Participation in this 
program is voluntary.
    (b) Section 1039.740 restricts the use of emission credits to 
certain averaging sets.
    (c) The definitions of Subpart I of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of engines in which emission credits 
may be exchanged only with other engines in the same averaging set.
    (3) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (4) Buyer means the entity that receives emission credits as a 
result of a trade.
    (5) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (6) Seller means the entity that provides emission credits during a 
trade.
    (7) Standard means the emission standard that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (d) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
emissions from an engine exceed an FEL or standard (for example, during 
a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FEL that applies only to 
future production.
    (e) Engine families that use emission credits for one or more 
pollutants may not generate positive emission credits for another 
pollutant.
    (f) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.
    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec. 1039.225. The 
new FEL may apply only to engines you have not already introduced into 
commerce. Each engine's emission control information label must include 
the applicable FELs.



Sec. 1039.705  How do I generate and calculate emission credits?

    The provisions of this section apply separately for calculating 
emission credits for NOX, NOX+NMHC, or PM.
    (a) [Reserved]
    (b) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard. 
Calculate positive emission credits for a family that has an FEL below 
the standard. Calculate negative emission credits for a family that has 
an FEL above the standard. Sum your positive and negative credits for 
the model year before rounding. Round the sum of emission credits to the 
nearest kilogram (kg), using consistent units throughout the following 
equation:

Emission credits (kg) = (Std - FEL) x (Volume) x (AvgPR) x (UL) x 
    (10-3)

Where:

Std = the emission standard, in grams per kilowatt-hour, that applies 
under subpart B of this part for engines not participating in the ABT 
program of this subpart (the ``otherwise applicable standard'').
FEL = the family emission limit for the engine family, in grams per 
kilowatt-hour.
Volume = the number of engines eligible to participate in the averaging, 
banking, and trading program within the given engine family during the 
model year, as described in paragraph (c) of this section.
AvgPR = the average maximum engine power of all the engine 
configurations within an engine family, calculated on a sales-weighted 
basis, in kilowatts.

[[Page 146]]

UL = the useful life for the given engine family, in hours.

    (c) In your application for certification, base your showing of 
compliance on projected production volumes for engines whose point of 
first retail sale is in the United States. As described in Sec. 
1039.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
engines whose point of first retail sale is in the United States. Do not 
include any of the following engines to calculate emission credits:
    (1) Engines exempted under subpart G of this part or under 40 CFR 
part 1068.
    (2) Exported engines.
    (3) Engines not subject to the requirements of this part, such as 
those excluded under Sec. 1039.5.
    (4) Engines in families that include only stationary engines, except 
for engines in families certified to standards that are identical to 
standards applicable under this part 1039 to nonroad engines of the same 
type for the same model year.
    (5) Any other engines, where we indicate elsewhere in this part 1039 
that they are not to be included in the calculations of this subpart.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006; 
72 FR 53133, Sept. 18, 2007; 75 FR 22992, Apr. 30, 2010]



Sec. 1039.710  How do I average emission credits?

    (a) Averaging is the exchange of emission credits among your engine 
families. You may average emission credits only within the same 
averaging set.
    (b) You may certify one or more engine families to an FEL above the 
applicable standard, subject to the FEL caps and other provisions in 
subpart B of this part, if you show in your application for 
certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the 
otherwise applicable standard, you must obtain enough emission credits 
to offset the engine family's deficit by the due date for the final 
report required in Sec. 1039.730. The emission credits used to address 
the deficit may come from your other engine families that generate 
emission credits in the same model year, from emission credits you have 
banked, or from emission credits you obtain through trading.



Sec. 1039.715  How do I bank emission credits?

    (a) Banking is the retention of emission credits by the manufacturer 
generating the emission credits for use in future model years for 
averaging or trading.
    (b) You may designate any emission credits you plan to bank in the 
reports you submit under Sec. 1039.730 as reserved credits. During the 
model year and before the due date for the final report, you may 
designate your reserved emission credits for averaging or trading.
    (c) Reserved credits become actual emission credits when you submit 
your final report. However, we may revoke these emission credits if we 
are unable to verify them after reviewing your reports or auditing your 
records.

[75 FR 22992, Apr. 30, 2010]



Sec. 1039.720  How do I trade emission credits?

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions. Traded emission credits may be 
used only within the averaging set in which they were generated.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits. You may 
trade banked credits within an averaging set to any certifying 
manufacturer.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec. 1039.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer having

[[Page 147]]

a negative balance of emission credits. See Sec. 1039.745.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22992, Apr. 30, 2010]



Sec. 1039.725  What must I include in my application for certification?

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs 
you select for the engine family for each pollutant for which you are 
using the ABT program. Your FELs must comply with the specifications of 
subpart B of this part, including the FEL caps. FELs must be expressed 
to the same number of decimal places as the applicable standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes. We may require you to 
include similar calculations from your other engine families to 
demonstrate that you will be able to avoid a negative credit balance for 
the model year. If you project negative emission credits for a family, 
state the source of positive emission credits you expect to use to 
offset the negative emission credits.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22992, Apr. 30, 2010]



Sec. 1039.730  What ABT reports must I send to EPA?

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family participating in the ABT program:
    (1) Engine-family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you change the FEL after the 
start of production, identify the date that you started using the new 
FEL and/or give the engine identification number for the first engine 
covered by the new FEL. In this case, identify each applicable FEL and 
calculate the positive or negative emission credits as specified in 
Sec. 1039.225.
    (4) The projected and actual U.S.-directed production volumes for 
the model year. If you changed an FEL during the model year, identify 
the actual production volume associated with each FEL.
    (5) Maximum engine power for each engine configuration, and the 
average engine power weighted by U.S.-directed production volumes for 
the engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine family. Identify any emission credits that you traded, as 
described in paragraph (d)(1) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating engine families in each averaging set in the applicable 
model year is not negative.
    (2) State whether you will reserve any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.

[[Page 148]]

    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53133, Sept. 18, 2007; 
75 FR 22992, Apr. 30, 2010]



Sec. 1039.735  What records must I keep?

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for at least eight 
years after the due date for the end-of-year report. You may not use 
emission credits for any engines if you do not keep all the records 
required under this section. You must therefore keep these records to 
continue to bank valid credits. Store these records in any format and on 
any media, as long as you can promptly send us organized, written 
records in English if we ask for them. You must keep these records 
readily available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec. 1039.725 and 
Sec. 1039.730.
    (d) Keep records of the engine identification number for each engine 
you produce that generates or uses emission credits under the ABT 
program. You may identify these numbers as a range. If you change the 
FEL after the start of production, identify the date you started using 
each FEL and the range of engine identification numbers associated with 
each FEL. You must also identify the purchaser and destination for each 
engine you produce to the extent this information is available.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section in accordance with the 
Clean Air Act.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53133, Sept. 18, 2007; 
75 FR 22993, Apr. 30, 2010]



Sec. 1039.740  What restrictions apply for using emission credits?

    The following restrictions apply for using emission credits:
    (a) Averaging sets. Emission credits may be exchanged only within an 
averaging set. For Tier 4 engines, there are two averaging sets--one for 
engines at or below 560 kW and another for engines above 560 kW.
    (b) Emission credits from earlier tiers of standards. (1) For 
purposes of ABT under this subpart, you may not use emission credits 
generated from engines subject to emission standards under 40 CFR part 
89, except as specified in Sec. 1039.102(d)(1) or the following table:

------------------------------------------------------------------------
                                     And it was        Then you may use
  If the maximum power of the     certified to the       those banked
credit-generating engine is . .       following        credits for the
               .                 standards under 40    following Tier 4
                                  CFR part 89 . . .     engines . . .
------------------------------------------------------------------------
(i) kW < 19....................  Tier 2............  kW < 19
(ii) 19 <= kW < 37.............  Tier 2............  kW = 19
(iii) 37 <= kW <= 560..........  Tier 3............  kW = 19
(iv) kW  560........  Tier 2............  kW = 19
------------------------------------------------------------------------


[[Page 149]]

    (2) Emission credits generated from marine engines certified under 
the provisions of 40 CFR part 89 may not be used under this part.
    (3) See 40 CFR part 89 for other restrictions that may apply for 
using emission credits generated under that part.
    (4) If the maximum power of an engine generating credits under the 
Tier 2 standards in 40 CFR part 89 is at or above 37 kW and below 75 kW, 
you may use those credits for certifying engines under the Option 
1 standards in Sec. 1039.102.
    (c) NOX and NOX+NMHC emission credits. You may use NOX 
emission credits without adjustment to show compliance with 
NOX+NMHC standards. You may use NOX+NMHC emission 
credits to show compliance with NOX standards, but you must 
adjust the NOX+NMHC emission credits downward by twenty 
percent when you use them, as shown in the following equation:

NOX emission credits = (0.8) x (NOX+NMHC emission 
    credits).

    (d) Other restrictions. Other sections of this part specify 
additional restrictions for using emission credits under certain special 
provisions.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005]



Sec. 1039.745  What can happen if I do not comply with the provisions of this subpart?

    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an applicable 
standard based on a projection that you will have enough emission 
credits to offset the deficit for the engine family. However, we may 
void the certificate of conformity if you cannot show in your final 
report that you have enough actual emission credits to offset a deficit 
for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec. 1039.820).



          Subpart I_Definitions and Other Reference Information



Sec. 1039.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to access if it 
cannot be adjusted to affect emissions without significantly degrading 
engine performance, or if you otherwise show us that it will not be 
adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Alcohol-fueled engine means an engine that is designed to run using 
an alcohol fuel. For purposes of this definition, alcohol fuels do not 
include fuels with a nominal alcohol content below 25 percent by volume.

[[Page 150]]

    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Auxiliary emission-control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Carryover means relating to certification based on emission data 
generated from an earlier model year as described in Sec. 1039.235(d).
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient or 
steady-state testing.
    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 whose certification is limited 
to constant-speed operation. Engines whose constant-speed governor 
function is removed or disabled are no longer constant-speed engines.
    Constant-speed operation has the meaning given in 40 CFR 1065.1001.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Date of manufacture has the meaning given in 40 CFR 1068.30.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW.,Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1039.505.
    Emission-control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.

[[Page 151]]

    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability 
or factors unrelated to emissions.
    Engine family has the meaning given in Sec. 1039.230.
    Engine manufacturer means the manufacturer of the engine. See the 
definition of ``manufacturer'' in this section.
    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.
    Equipment manufacturer means a manufacturer of nonroad equipment. 
All nonroad equipment manufacturing entities under the control of the 
same person are considered to be a single nonroad equipment 
manufacturer. (Note: In Sec. 1039.626, the term ``equipment 
manufacturer'' has a narrower meaning, which applies only to that 
section.)
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec. 1039.5, is not 
subject to this part 1039.
    Exempted has the meaning we give in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places as 
the emission standard it replaces. The family emission limit serves as 
the emission standard for the engine family with respect to all required 
testing.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as diesel fuel or 
natural gas. There can be multiple grades within a single fuel type, 
such as high-sulfur or low-sulfur diesel fuel.
    Generator-set engine means an engine used primarily to operate an 
electrical generator or alternator to produce electric power for other 
applications.
    Good engineering judgment has the meaning we give in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration greater than 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning we give in 
40 CFR part 1065.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type. For alcohol-fueled engines, HC 
means total hydrocarbon equivalent (THCE). For all other engines, HC 
means nonmethane hydrocarbon (NMHC).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Intermediate test speed has the meaning given in 40 CFR 1065.1001.
    Low-hour means relating to an engine with stabilized emissions and 
represents the undeteriorated emission level. This would generally 
involve less than 300 hours of operation.
    Low-sulfur diesel fuel means one of the following:

[[Page 152]]

    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning we give in 
40 CFR part 1065.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling a nonroad engine or a piece of nonroad 
equipment.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine, 
vehicle, or piece of equipment for sale in the United States or 
otherwise introduces a new nonroad engine into commerce in the United 
States. This includes importers who import engines, equipment, or 
vehicles for resale. (Note: In Sec. 1039.626, the term ``equipment 
manufacturer'' has a narrower meaning, which applies only to that 
section.)
    Marine engine means a nonroad engine that is installed or intended 
to be installed on a marine vessel. This includes a portable auxiliary 
marine engine only if its fueling, cooling, or exhaust system is an 
integral part of the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has the meaning given in Sec. 1039.140. Note 
that Sec. 1039.230 generally disallows grouping engines from different 
power categories in the same engine family.
    Maximum test speed has the meaning we give in 40 CFR 1065.1001.
    Maximum test torque has the meaning we give in 40 CFR 1065.1001.
    Model year means one of the following things:
    (1) For freshly manufactured equipment and engines (see definition 
of ``new nonroad engine,'' paragraph (1)), model year means one of the 
following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year.
    (2) For an engine that is converted to a nonroad engine after being 
placed into service as a stationary engine, or being certified and 
placed into service as a motor vehicle engine, model year means the 
calendar year in which the engine was originally produced. For a motor 
vehicle engine that is converted to be a nonroad engine without having 
been certified, model year means the calendar year in which the engine 
becomes a new nonroad engine. (See definition of ``new nonroad engine,'' 
paragraph (2).)
    (3) For a nonroad engine excluded under Sec. 1039.5 that is later 
converted to operate in an application that is not excluded, model year 
means the calendar year in which the engine was originally produced (see 
definition of ``new nonroad engine,'' paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed 
in new nonroad equipment, model year means the calendar year in which 
the engine is installed in the new nonroad equipment (see definition of 
``new nonroad engine,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new nonroad engine,'' model year has the meaning given 
in paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of ``new nonroad engine,'' model year has the meaning given 
in 40 CFR 89.602 for independent commercial importers.
    (iii) For imported engines described in paragraph (5)(iii) of the 
definition of ``new nonroad engine,'' model year means the calendar year 
in which the engine is first assembled in its imported configuration, 
unless specified otherwise in this part or in 40 CFR part 1068.

[[Page 153]]

    Motor vehicle has the meaning we give in 40 CFR 85.1703(a).
    New nonroad engine means any of the following things:
    (1) A freshly manufactured nonroad engine for which the ultimate 
purchaser has never received the equitable or legal title. This kind of 
engine might commonly be thought of as ``brand new.'' In the case of 
this paragraph (1), the engine is new from the time it is produced until 
the ultimate purchaser receives the title or the product is placed into 
service, whichever comes first.
    (2) An engine originally manufactured as a motor vehicle engine or a 
stationary engine that is later used or intended to be used in a piece 
of nonroad equipment. In this case, the engine is no longer a motor 
vehicle or stationary engine and becomes a ``new nonroad engine.'' The 
engine is no longer new when it is placed into nonroad service. This 
paragraph (2) applies if a motor vehicle engine or a stationary engine 
is installed in nonroad equipment, or if a motor vehicle or a piece of 
stationary equipment is modified (or moved) to become nonroad equipment.
    (3) A nonroad engine that has been previously placed into service in 
an application we exclude under Sec. 1039.5, when that engine is 
installed in a piece of equipment that is covered by this part 1039. The 
engine is no longer new when it is placed into nonroad service covered 
by this part 1039. For example, this would apply to marine diesel engine 
that is no longer used in a marine vessel but is instead installed in a 
piece of nonroad equipment subject to the provisions of this part.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in new nonroad equipment. 
This generally includes installation of used engines in new equipment. 
The engine is no longer new when the ultimate purchaser receives a title 
for the equipment or the product is placed into service, whichever comes 
first.
    (5) An imported nonroad engine, subject to the following provisions:
    (i) An imported nonroad engine covered by a certificate of 
conformity issued under this part that meets the criteria of one or more 
of paragraphs (1) through (4) of this definition, where the original 
engine manufacturer holds the certificate, is new as defined by those 
applicable paragraphs.
    (ii) An imported engine covered by a certificate of conformity 
issued under this part, where someone other than the original engine 
manufacturer holds the certificate (such as when the engine is modified 
after its initial assembly), is a new nonroad engine when it is 
imported. It is no longer new when the ultimate purchaser receives a 
title for the engine or it is placed into service, whichever comes 
first.
    (iii) An imported nonroad engine that is not covered by a 
certificate of conformity issued under this part at the time of 
importation is new, but only if it was produced on or after the dates 
shown in the following table. This addresses uncertified engines and 
equipment initially placed into service that someone seeks to import 
into the United States. Importation of this kind of engine (or equipment 
containing such an engine) is generally prohibited by 40 CFR part 1068. 
However, the importation of such an engine is not prohibited if the 
engine has an earlier model year than that identified in the following 
table:

     Applicability of Emission Standards for Nonroad Diesel Engines
------------------------------------------------------------------------
                                            Initial date of  emission
          Maximum engine power                      standards
------------------------------------------------------------------------
kW < 19................................  January 1, 2000.
19 <= kW < 37..........................  January 1, 1999.
37 <= kW < 75..........................  January 1, 1998.
75 <= kW < 130.........................  January 1, 1997.
130 <= kW <= 560.......................  January 1, 1996.
kW  560.....................  January 1, 2000.
------------------------------------------------------------------------

    New nonroad equipment means either of the following things:
    (1) A nonroad piece of equipment for which the ultimate purchaser 
has never received the equitable or legal title. The product is no 
longer new when the ultimate purchaser receives this title or the 
product is placed into service, whichever comes first.
    (2) An imported nonroad piece of equipment with an engine not 
covered by a certificate of conformity issued

[[Page 154]]

under this part at the time of importation and manufactured after the 
requirements of this part start to apply (see Sec. 1039.1).
    Noncommercial fuel means a combustible product that is not marketed 
as a commercial fuel, but is used as a fuel for nonroad engines. For 
example, this includes methane that is produced and released from 
landfills or oil wells, or similar unprocessed fuels that are not 
intended to meet any otherwise applicable fuel specifications. See Sec. 
1039.615 for provisions related to engines designed to burn 
noncommercial fuels.
    Noncompliant engine means an engine that was originally covered by a 
certificate of conformity, but is not in the certified configuration or 
otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate of 
conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon 
species except methane. Refer to 40 CFR 1065.660 for NMHC determination.
    Nonroad means relating to nonroad engines or equipment that includes 
nonroad engines.
    Nonroad engine has the meaning we give in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft. This part does not apply to all nonroad engines (see Sec. 
1039.5).
    Nonroad equipment means a piece of equipment that is powered by one 
or more nonroad engines.
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor, but after the applicability of regeneration 
adjustment factors.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke, as measured by the procedure 
specified in Sec. 1039.501.
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Particulate trap means a filtering device that is designed to 
physically trap all particulate matter above a certain size.
    Piece of equipment means any vehicle, vessel, or other type of 
equipment using engines to which this part applies.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means an equipment dealership, but 
may also include an engine seller or distributor in cases where loose 
engines are sold to the general public for uses such as replacement 
engines.
    Power category means a specific range of maximum engine power that 
defines the applicability of standards. For example, references to the 
56-130 kW power category and 56 <= kW < 130 include all engines with 
maximum engine power at or above 56 kW but below 130 kW. Also references 
to 56-560 kW power categories or 56 <= kW <= 560 include all engines 
with maximum engine power at or above 56 kW but at or below 560 kW, even 
though these engines span multiple power categories. Note that in some 
cases, FEL caps are based on a subset of a power category. The power 
categories are defined as follows:
    (1) Engines with maximum power below 19 kW.
    (2) Engines with maximum power at or above 19 kW but below 56 kW.
    (3) Engines with maximum power at or above 56 kW but below 130 kW.
    (4) Engines with maximum power at or above 130 kW but at or below 
560 kW.
    (5) Engines with maximum power above 560 kW.
    Ramped-modal means relating to the ramped-modal type of steady-state 
test described in Sec. 1039.505.
    Rated speed means the maximum full-load governed speed for governed 
engines and the speed of maximum power for ungoverned engines.

[[Page 155]]

    Revoke has the meaning we give in 40 CFR 1068.30.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Small-volume engine manufacturer means a small business engine 
manufacturer that had engine families certified to meet the requirements 
of 40 CFR part 89 before 2003 (40 CFR part 89, revised as of July 1, 
2002), had annual U.S.-directed production of no more than 2,500 units 
in 2002 and all earlier calendar years, and has 1000 or fewer employees. 
For manufacturers owned by a parent company, the production limit 
applies to the production of the parent company and all its subsidiaries 
and the employee limit applies to the total number of employees of the 
parent company and all its subsidiaries.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Steady-state has the meaning given in 40 CFR 1065.1001.
    Sulfur-sensitive technology means an emission-control technology 
that experiences a significant drop in emission-control performance or 
emission-system durability when an engine is operated on low-sulfur fuel 
(i.e., fuel with a sulfur concentration of 300 to 500 ppm) as compared 
to when it is operated on ultra low-sulfur fuel (i.e., fuel with a 
sulfur concentration less than 15 ppm). Exhaust-gas recirculation is not 
a sulfur-sensitive technology.
    Suspend has the meaning we give in 40 CFR 1068.30.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tier 1 means relating to the Tier 1 emission standards, as shown in 
40 CFR 89.112.
    Tier 2 means relating to the Tier 2 emission standards, as shown in 
40 CFR 89.112.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
40 CFR 89.112.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec. 1039.101 and Sec. 1039.102. This includes the emission standards 
that are shown in Sec. 1039.101 and Sec. 1039.102 that are unchanged 
from Tier 2 or Tier 3 emission standards.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass contributions 
of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic 
compounds that are measured separately as contained in a gas sample, 
expressed as exhaust hydrocarbon from petroleum-fueled engines. The 
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
    Ultimate purchaser means, with respect to any new nonroad equipment 
or new nonroad engine, the first person who in good faith purchases such 
new nonroad equipment or new nonroad engine for purposes other than 
resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel with a maximum sulfur concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning we 
give in 40 CFR part 1065.
    United States has the meaning we give in 40 CFR 1068.30.

[[Page 156]]

    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engine units, 
subject to the requirements of this part, produced by a manufacturer for 
which the manufacturer has a reasonable assurance that sale was or will 
be made to ultimate purchasers in the United States.
    Useful life means the period during which the engine is designed to 
properly function in terms of reliability and fuel consumption, without 
being remanufactured, specified as a number of hours of operation or 
calendar years, whichever comes first. It is the period during which a 
nonroad engine is required to comply with all applicable emission 
standards. See Sec. 1039.101(g).
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Void has the meaning we give in 40 CFR 1068.30.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005; 
72 FR 53133, Sept. 18, 2007; 73 FR 59192, Oct. 8, 2008; 75 FR 22993, 
Apr. 30, 2010]



Sec. 1039.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
kW kilowatts.
N2O nitrous oxide.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed
PM particulate matter.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SEA Selective enforcement audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
TRU transportation refrigeration unit.
U.S.C. United States Code.

[69 FR 39213, June 29, 2004, as amended at 74 FR 56509, Oct. 30, 2009]



Sec. 1039.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec. 1039.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec. 1039.825  What reporting and recordkeeping requirements apply under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines and 
equipment regulated under this part:

[[Page 157]]

    (a) We specify the following requirements related to engine 
certification in this part 1039:
    (1) In Sec. 1039.20 we require engine manufacturers to label 
stationary engines that do not meet the standards in this part.
    (2) In Sec. 1039.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to equipment 
manufacturers.
    (3) [Reserved]
    (4) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (5) [Reserved]
    (6) [Reserved]
    (7) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions. For example, equipment 
manufacturers must submit reports and keep records related to the 
flexibility provisions in Sec. 1039.625.
    (8) In Sec. 1039.725, 1039.730, and 1039.735 we specify certain 
records related to averaging, banking, and trading.
    (b) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines using portable analyzers.
    (c) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require equipment manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.

[72 FR 53134, Sept. 18, 2007]



                 Sec. Appendix I to Part 1039 [Reserved]



         Sec. Appendix II to Part 1039--Steady-State Duty Cycles

    (a) The following duty cycles apply for constant-speed engines:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               D2 mode number                            Engine speed              (percent) \1\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Engine governed....................             100            0.05
2..........................................  Engine governed....................              75            0.25
3..........................................  Engine governed....................              50            0.30
4..........................................  Engine governed....................              25            0.30
5..........................................  Engine governed....................              10            0.10
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.


[[Page 158]]

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)            Engine speed             Torque  (percent) 1, 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              53  Engine governed............  100.
1b Transition......................              20  Engine governed............  Linear transition.
2a Steady-state....................             101  Engine governed............  10.
2b Transition......................              20  Engine governed............  Linear transition.
3a Steady-state....................             277  Engine governed............  75.
3b Transition......................              20  Engine governed............  Linear transition.
4a Steady-state....................             339  Engine governed............  25.
4b Transition......................              20  Engine governed............  Linear transition.
5 Steady-state.....................             350  Engine governed............  50.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.

    (b) The following duty cycles apply for variable-speed engines with 
maximum engine power below 19 kW:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               G2 mode number                          Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................             100            0.09
2..........................................  Maximum test speed.................              75            0.20
3..........................................  Maximum test speed.................              50            0.29
4..........................................  Maximum test speed.................              25            0.30
5..........................................  Maximum test speed.................              10            0.07
6..........................................  Warm idle..........................               0            0.05
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)         Engine speed 1, 3           Torque  (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              41  Warm idle..................  0.
1b Transition......................              20  Linear transition..........  Linear transition.
2a Steady-state....................             135  Maximum test speed.........  100.
2b Transition......................              20  Maximum test speed.........  Linear transition.
3a Steady-state....................             112  Maximum test speed.........  10.
3b Transition......................              20  Maximum test speed.........  Linear transition.
4a Steady-state....................             337  Maximum test speed.........  75.
4b Transition......................              20  Maximum test speed.........  Linear transition.
5a Steady-state....................             518  Maximum test speed.........  25.
5b Transition......................              20  Maximum test speed.........  Linear transition.
6a Steady-state....................             494  Maximum test speed.........  50.
6b Transition......................              20  Linear transition..........  Linear transition.
7 Steady-state.....................              43  Warm idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) The following duty cycles apply for variable-speed engines with 
maximum engine power at or above 19 kW:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               C1 mode number                          Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................             100            0.15
2..........................................  Maximum test speed.................              75            0.15
3..........................................  Maximum test speed.................              50            0.15

[[Page 159]]

 
4..........................................  Maximum test speed.................              10            0.10
5..........................................  Intermediate test speed............             100            0.10
6..........................................  Intermediate test speed............              75            0.10
7..........................................  Intermediate test speed............              50            0.10
8..........................................  Warm idle..........................               0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)         Engine speed 1, 3           Torque  (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................             126  Warm Idle..................  0.
1b Transition......................              20  Linear Transition..........  Linear Transition.
2a Steady-state....................             159  Intermediate Speed.........  100.
2b Transition......................              20  Intermediate Speed.........  Linear Transition.
3a Steady-state....................             160  Intermediate Speed.........  50.
3b Transition......................              20  Intermediate Speed.........  Linear Transition.
4a Steady-state....................             162  Intermediate Speed.........  75.
4b Transition......................              20  Linear Transition..........  Linear Transition.
5a Steady-state....................             246  Maximum Test Speed.........  100.
5b Transition......................              20  Maximum Test Speed.........  Linear Transition.
6a Steady-state....................             164  Maximum Test Speed.........  10.
6b Transition......................              20  Maximum Test Speed.........  Linear Transition.
7a Steady-state....................             248  Maximum Test Speed.........  75.
7b Transition......................              20  Maximum Test Speed.........  Linear Transition.
8a Steady-state....................             247  Maximum Test Speed.........  50.
8b Transition......................              20  Linear Transition..........  Linear Transition.
9 Steady-state.....................             128  Warm Idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.


[69 FR 39213, June 29, 2004, as amended at 73 FR 37241, June 30, 2008]



                 Sec. Appendix V to Part 1039 [Reserved]



 Sec. Appendix VI to Part 1039--Nonroad Compression-ignition Composite 
                             Transient Cycle

------------------------------------------------------------------------
                                                              Normalized
                                                 Normalized     torque
                    Time(s)                        speed      (percent)
                                                 (percent)       \1\
------------------------------------------------------------------------
1.............................................            0            0
2.............................................            0            0
3.............................................            0            0
4.............................................            0            0
5.............................................            0            0
6.............................................            0            0
7.............................................            0            0
8.............................................            0            0
9.............................................            0            0
10............................................            0            0
11............................................            0            0
12............................................            0            0
13............................................            0            0
14............................................            0            0
15............................................            0            0
16............................................            0            0
17............................................            0            0
18............................................            0            0
19............................................            0            0
20............................................            0            0
21............................................            0            0
22............................................            0            0
23............................................            0            0
24............................................            1            3
25............................................            1            3
26............................................            1            3
27............................................            1            3
28............................................            1            3
29............................................            1            3
30............................................            1            6
31............................................            1            6
32............................................            2            1
33............................................            4           13
34............................................            7           18
35............................................            9           21
36............................................           17           20
37............................................           33           42
38............................................           57           46
39............................................           44           33
40............................................           31            0
41............................................           22           27
42............................................           33           43
43............................................           80           49
44............................................          105           47
45............................................           98           70
46............................................          104           36
47............................................          104           65

[[Page 160]]

 
48............................................           96           71
49............................................          101           62
50............................................          102           51
51............................................          102           50
52............................................          102           46
53............................................          102           41
54............................................          102           31
55............................................           89            2
56............................................           82            0
57............................................           47            1
58............................................           23            1
59............................................            1            3
60............................................            1            8
61............................................            1            3
62............................................            1            5
63............................................            1            6
64............................................            1            4
65............................................            1            4
66............................................            0            6
67............................................            1            4
68............................................            9           21
69............................................           25           56
70............................................           64           26
71............................................           60           31
72............................................           63           20
73............................................           62           24
74............................................           64            8
75............................................           58           44
76............................................           65           10
77............................................           65           12
78............................................           68           23
79............................................           69           30
80............................................           71           30
81............................................           74           15
82............................................           71           23
83............................................           73           20
84............................................           73           21
85............................................           73           19
86............................................           70           33
87............................................           70           34
88............................................           65           47
89............................................           66           47
90............................................           64           53
91............................................           65           45
92............................................           66           38
93............................................           67           49
94............................................           69           39
95............................................           69           39
96............................................           66           42
97............................................           71           29
98............................................           75           29
99............................................           72           23
100...........................................           74           22
101...........................................           75           24
102...........................................           73           30
103...........................................           74           24
104...........................................           77            6
105...........................................           76           12
106...........................................           74           39
107...........................................           72           30
108...........................................           75           22
109...........................................           78           64
110...........................................          102           34
111...........................................          103           28
112...........................................          103           28
113...........................................          103           19
114...........................................          103           32
115...........................................          104           25
116...........................................          103           38
117...........................................          103           39
118...........................................          103           34
119...........................................          102           44
120...........................................          103           38
121...........................................          102           43
122...........................................          103           34
123...........................................          102           41
124...........................................          103           44
125...........................................          103           37
126...........................................          103           27
127...........................................          104           13
128...........................................          104           30
129...........................................          104           19
130...........................................          103           28
131...........................................          104           40
132...........................................          104           32
133...........................................          101           63
134...........................................          102           54
135...........................................          102           52
136...........................................          102           51
137...........................................          103           40
138...........................................          104           34
139...........................................          102           36
140...........................................          104           44
141...........................................          103           44
142...........................................          104           33
143...........................................          102           27
144...........................................          103           26
145...........................................           79           53
146...........................................           51           37
147...........................................           24           23
148...........................................           13           33
149...........................................           19           55
150...........................................           45           30
151...........................................           34            7
152...........................................           14            4
153...........................................            8           16
154...........................................           15            6
155...........................................           39           47
156...........................................           39            4
157...........................................           35           26
158...........................................           27           38
159...........................................           43           40
160...........................................           14           23
161...........................................           10           10
162...........................................           15           33
163...........................................           35           72
164...........................................           60           39
165...........................................           55           31
166...........................................           47           30
167...........................................           16            7
168...........................................            0            6
169...........................................            0            8
170...........................................            0            8
171...........................................            0            2
172...........................................            2           17
173...........................................           10           28
174...........................................           28           31
175...........................................           33           30
176...........................................           36            0
177...........................................           19           10
178...........................................            1           18
179...........................................            0           16
180...........................................            1            3
181...........................................            1            4
182...........................................            1            5
183...........................................            1            6
184...........................................            1            5
185...........................................            1            3
186...........................................            1            4
187...........................................            1            4
188...........................................            1            6
189...........................................            8           18
190...........................................           20           51
191...........................................           49           19

[[Page 161]]

 
192...........................................           41           13
193...........................................           31           16
194...........................................           28           21
195...........................................           21           17
196...........................................           31           21
197...........................................           21            8
198...........................................            0           14
199...........................................            0           12
200...........................................            3            8
201...........................................            3           22
202...........................................           12           20
203...........................................           14           20
204...........................................           16           17
205...........................................           20           18
206...........................................           27           34
207...........................................           32           33
208...........................................           41           31
209...........................................           43           31
210...........................................           37           33
211...........................................           26           18
212...........................................           18           29
213...........................................           14           51
214...........................................           13           11
215...........................................           12            9
216...........................................           15           33
217...........................................           20           25
218...........................................           25           17
219...........................................           31           29
220...........................................           36           66
221...........................................           66           40
222...........................................           50           13
223...........................................           16           24
224...........................................           26           50
225...........................................           64           23
226...........................................           81           20
227...........................................           83           11
228...........................................           79           23
229...........................................           76           31
230...........................................           68           24
231...........................................           59           33
232...........................................           59            3
233...........................................           25            7
234...........................................           21           10
235...........................................           20           19
236...........................................            4           10
237...........................................            5            7
238...........................................            4            5
239...........................................            4            6
240...........................................            4            6
241...........................................            4            5
242...........................................            7            5
243...........................................           16           28
244...........................................           28           25
245...........................................           52           53
246...........................................           50            8
247...........................................           26           40
248...........................................           48           29
249...........................................           54           39
250...........................................           60           42
251...........................................           48           18
252...........................................           54           51
253...........................................           88           90
254...........................................          103           84
255...........................................          103           85
256...........................................          102           84
257...........................................           58           66
258...........................................           64           97
259...........................................           56           80
260...........................................           51           67
261...........................................           52           96
262...........................................           63           62
263...........................................           71            6
264...........................................           33           16
265...........................................           47           45
266...........................................           43           56
267...........................................           42           27
268...........................................           42           64
269...........................................           75           74
270...........................................           68           96
271...........................................           86           61
272...........................................           66            0
273...........................................           37            0
274...........................................           45           37
275...........................................           68           96
276...........................................           80           97
277...........................................           92           96
278...........................................           90           97
279...........................................           82           96
280...........................................           94           81
281...........................................           90           85
282...........................................           96           65
283...........................................           70           96
284...........................................           55           95
285...........................................           70           96
286...........................................           79           96
287...........................................           81           71
288...........................................           71           60
289...........................................           92           65
290...........................................           82           63
291...........................................           61           47
292...........................................           52           37
293...........................................           24            0
294...........................................           20            7
295...........................................           39           48
296...........................................           39           54
297...........................................           63           58
298...........................................           53           31
299...........................................           51           24
300...........................................           48           40
301...........................................           39            0
302...........................................           35           18
303...........................................           36           16
304...........................................           29           17
305...........................................           28           21
306...........................................           31           15
307...........................................           31           10
308...........................................           43           19
309...........................................           49           63
310...........................................           78           61
311...........................................           78           46
312...........................................           66           65
313...........................................           78           97
314...........................................           84           63
315...........................................           57           26
316...........................................           36           22
317...........................................           20           34
318...........................................           19            8
319...........................................            9           10
320...........................................            5            5
321...........................................            7           11
322...........................................           15           15
323...........................................           12            9
324...........................................           13           27
325...........................................           15           28
326...........................................           16           28
327...........................................           16           31
328...........................................           15           20
329...........................................           17            0
330...........................................           20           34
331...........................................           21           25
332...........................................           20            0
333...........................................           23           25
334...........................................           30           58
335...........................................           63           96

[[Page 162]]

 
336...........................................           83           60
337...........................................           61            0
338...........................................           26            0
339...........................................           29           44
340...........................................           68           97
341...........................................           80           97
342...........................................           88           97
343...........................................           99           88
344...........................................          102           86
345...........................................          100           82
346...........................................           74           79
347...........................................           57           79
348...........................................           76           97
349...........................................           84           97
350...........................................           86           97
351...........................................           81           98
352...........................................           83           83
353...........................................           65           96
354...........................................           93           72
355...........................................           63           60
356...........................................           72           49
357...........................................           56           27
358...........................................           29            0
359...........................................           18           13
360...........................................           25           11
361...........................................           28           24
362...........................................           34           53
363...........................................           65           83
364...........................................           80           44
365...........................................           77           46
366...........................................           76           50
367...........................................           45           52
368...........................................           61           98
369...........................................           61           69
370...........................................           63           49
371...........................................           32            0
372...........................................           10            8
373...........................................           17            7
374...........................................           16           13
375...........................................           11            6
376...........................................            9            5
377...........................................            9           12
378...........................................           12           46
379...........................................           15           30
380...........................................           26           28
381...........................................           13            9
382...........................................           16           21
383...........................................           24            4
384...........................................           36           43
385...........................................           65           85
386...........................................           78           66
387...........................................           63           39
388...........................................           32           34
389...........................................           46           55
390...........................................           47           42
391...........................................           42           39
392...........................................           27            0
393...........................................           14            5
394...........................................           14           14
395...........................................           24           54
396...........................................           60           90
397...........................................           53           66
398...........................................           70           48
399...........................................           77           93
400...........................................           79           67
401...........................................           46           65
402...........................................           69           98
403...........................................           80           97
404...........................................           74           97
405...........................................           75           98
406...........................................           56           61
407...........................................           42            0
408...........................................           36           32
409...........................................           34           43
410...........................................           68           83
411...........................................          102           48
412...........................................           62            0
413...........................................           41           39
414...........................................           71           86
415...........................................           91           52
416...........................................           89           55
417...........................................           89           56
418...........................................           88           58
419...........................................           78           69
420...........................................           98           39
421...........................................           64           61
422...........................................           90           34
423...........................................           88           38
424...........................................           97           62
425...........................................          100           53
426...........................................           81           58
427...........................................           74           51
428...........................................           76           57
429...........................................           76           72
430...........................................           85           72
431...........................................           84           60
432...........................................           83           72
433...........................................           83           72
434...........................................           86           72
435...........................................           89           72
436...........................................           86           72
437...........................................           87           72
438...........................................           88           72
439...........................................           88           71
440...........................................           87           72
441...........................................           85           71
442...........................................           88           72
443...........................................           88           72
444...........................................           84           72
445...........................................           83           73
446...........................................           77           73
447...........................................           74           73
448...........................................           76           72
449...........................................           46           77
450...........................................           78           62
451...........................................           79           35
452...........................................           82           38
453...........................................           81           41
454...........................................           79           37
455...........................................           78           35
456...........................................           78           38
457...........................................           78           46
458...........................................           75           49
459...........................................           73           50
460...........................................           79           58
461...........................................           79           71
462...........................................           83           44
463...........................................           53           48
464...........................................           40           48
465...........................................           51           75
466...........................................           75           72
467...........................................           89           67
468...........................................           93           60
469...........................................           89           73
470...........................................           86           73
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1210..........................................           54           50
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1212..........................................           27           25
1213..........................................           14           12
1214..........................................            0            0
1215..........................................            0            0
1216..........................................            0            0
1217..........................................            0            0
1218..........................................            0            0
1219..........................................            0            0
1220..........................................            0            0
1221..........................................            0            0
1222..........................................            0            0
1223..........................................            0            0
1224..........................................            0            0
1225..........................................            0            0
1226..........................................            0            0
1227..........................................            0            0
1228..........................................            0            0
1229..........................................            0            0
1230..........................................            0            0
1231..........................................            0            0
1232..........................................            0            0
1233..........................................            0            0
1234..........................................            0            0
1235..........................................            0            0
1236..........................................            0            0
1237..........................................            0            0
1238..........................................            0            0
------------------------------------------------------------------------
\1\ The percent torque is relative to maximum torque at the commanded
  engine speed.


[69 FR 39213, June 29, 2004, as amended at 70 FR 40465, July 13, 2005]



PART 1042_CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE COMPRESSION-IGNITION

ENGINES AND VESSELS--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1042.1 Applicability.
1042.2 Who is responsible for compliance?
1042.5 Exclusions.
1042.10 Organization of this part.
1042.15 Do any other regulation parts apply to me?
1042.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1042.101 Exhaust emission standards for Category 1 engines and Category 
          2 engines.
1042.104 Exhaust emission standards for Category 3 engines.
1042.107 Evaporative emission standards.
1042.110 Recording reductant use and other diagnostic functions.
1042.115 Other requirements.
1042.120 Emission-related warranty requirements.
1042.125 Maintenance instructions.
1042.130 Installation instructions for vessel manufacturers.
1042.135 Labeling.
1042.140 Maximum engine power, displacement, power density, and maximum 
          in-use engine speed.
1042.145 Interim provisions.

                  Subpart C_Certifying Engine Families

1042.201 General requirements for obtaining a certificate of conformity.
1042.205 Application requirements.
1042.210 Preliminary approval.
1042.220 Amending maintenance instructions.
1042.225 Amending applications for certification.
1042.230 Engine families.
1042.235 Emission testing related to certification.
1042.240 Demonstrating compliance with exhaust emission standards.
1042.245 Deterioration factors.
1042.250 Recordkeeping and reporting.
1042.255 EPA decisions.

                Subpart D_Testing Production-Line Engines

1042.301 General provisions.
1042.302 Applicability of this subpart for Category 3 engines.
1042.305 Preparing and testing production-line engines.
1042.310 Engine selection for Category 1 and Category 2 engines.
1042.315 Determining compliance.
1042.320 What happens if one of my production-line engines fails to meet 
          emission standards?
1042.325 What happens if an engine family fails the production-line 
          testing requirements?
1042.330 Selling engines from an engine family with a suspended 
          certificate of conformity.
1042.335 Reinstating suspended certificates.
1042.340 When may EPA revoke my certificate under this subpart and how 
          may I sell these engines again?
1042.345 Reporting.
1042.350 Recordkeeping.

                        Subpart E_In-Use Testing

1042.401 General Provisions.

[[Page 169]]

                        Subpart F_Test Procedures

1042.501 How do I run a valid emission test?
1042.505 Testing engines using discrete-mode or ramped-modal duty 
          cycles.
1042.515 Test procedures related to not-to-exceed standards.
1042.520 What testing must I perform to establish deterioration factors?
1042.525 How do I adjust emission levels to account for infrequently 
          regenerating aftertreatment devices?

                 Subpart G_Special Compliance Provisions

1042.601. General compliance provisions for marine engines and vessels.
1042.605 Dressing engines already certified to other standards for 
          nonroad or heavy-duty highway engines for marine use.
1042.610 Certifying auxiliary marine engines to land-based standards.
1042.615 Replacement engine exemption.
1042.620 Engines used solely for competition.
1042.625 Special provisions for engines used in emergency applications.
1042.630 Personal-use exemption.
1042.635 National security exemption.
1042.640 Special provisions for branded engines.
1042.650 Exemptions for migratory vessels and auxiliary engines on 
          Category 3 vessels.
1042.655 Special certification provisions for--Category 3 engines with 
          aftertreatment.
1042.660 Requirements for vessel manufacturers, owners, and operators.
1042.670 Special provisions for gas turbine engines.

       Subpart H_Averaging, Banking, and Trading for Certification

1042.701 General provisions.
1042.705 Generating and calculating emission credits.
1042.710 Averaging emission credits.
1042.715 Banking emission credits.
1042.720 Trading emission credits.
1042.725 Information required for the application for certification.
1042.730 ABT reports.
1042.735 Recordkeeping.
1042.745 Noncompliance.

     Subpart I_Special Provisions for Remanufactured Marine Engines

1042.801 General provisions.
1042.810 Requirements for owner/operators and installers during 
          remanufacture.
1042.815 Demonstrating availability.
1042.820 Emission standards and required emission reductions for 
          remanufactured engines.
1042.825 Baseline determination.
1042.830 Labeling.
1042.835 Certification of remanufactured engines.
1042.836 Marine certification of locomotive remanufacturing systems.
1042.840 Application requirements for remanufactured engines.
1042.845 Remanufactured engine families.
1042.850 Exemptions and hardship relief.

          Subpart J_Definitions and Other Reference Information

1042.901 Definitions.
1042.905 Symbols, acronyms, and abbreviations.
1042.910 Reference materials.
1042.915 Confidential information.
1042.920 Hearings.
1042.925 Reporting and recordkeeping requirements.

Appendix I to Part 1042--Summary of Previous Emission Standards
Appendix II to Part 1042--Steady-state Duty Cycles
Appendix III to Part 1042--Not-to-Exceed Zones

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 37243, June 30, 2008, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec. 1042.1  Applicability.

    Except as provided in this section and Sec. 1042.5, the regulations 
in this part 1042 apply for all new compression-ignition marine engines 
(including new engines deemed to be compression-ignition engines under 
this section) and vessels containing such engines. See Sec. 1042.901 
for the definitions of engines and vessels considered to be new.
    (a) The emission standards of this part 1042 for freshly 
manufactured engines apply for new marine engines starting with the 
model years noted in the following tables:

                         Table 1 to Sec.  1042.1--Part 1042 Applicability by Model Year
----------------------------------------------------------------------------------------------------------------
                                                                          Displacement (L/cyl) or
             Engine category                 Maximum engine power a             application           Model year
----------------------------------------------------------------------------------------------------------------
Category 1..............................  kW < 75....................  disp. < 0.9.................       b 2009
                                         -----------------------------------------------------------------------

[[Page 170]]

 
                                          75 <= kW <= 3700...........  disp. < 0.9.................         2012
                                                                      ------------------------------------------
                                                                       0.9 <= disp. < 1.2..........         2013
                                                                      ------------------------------------------
                                                                       1.2 <= disp. < 2.5..........         2014
                                                                      ------------------------------------------
                                                                       2.5 <= disp. < 3.5..........         2013
                                                                      ------------------------------------------
                                                                       3.5 <= disp. < 7.0..........         2012
                                         -----------------------------------------------------------------------
                                          kW  3700........  disp. < 7.0.................         2014
----------------------------------------------------------------------------------------------------------------
Category 2..............................  kW <= 3700.................  7.0 < disp. < 15.0..........         2013
                                         -----------------------------------------------------------------------
                                          kW  3700........  7.0 <= disp. < 15.0.........         2014
                                         -----------------------------------------------------------------------
                                          All........................  15 <= disp. < 30............         2014
----------------------------------------------------------------------------------------------------------------
Category 3..............................  All........................  disp. = 30.......         2011
----------------------------------------------------------------------------------------------------------------
a See Sec.  1042.140, which describes how to determine maximum engine power.
b See Table 1 of Sec.  1042.101 for the first model year in which this part 1042 applies for engines with
  maximum engine power below 75 kW and displacement at or above 0.9 L/cyl.

    (b) New engines with maximum engine power below 37 kW and originally 
manufactured and certified before the model years identified in Table 1 
to this section are subject to emission standards and requirements of 40 
CFR part 89. The provisions of this part 1042 do not apply for such 
engines certified under 40 CFR part 89, except as follows beginning June 
29, 2010:
    (1) The allowances of this part apply.
    (2) The definitions of ``new marine engine'' and ``model year'' 
apply.
    (c) Freshly manufactured engines with maximum engine power at or 
above 37 kW and originally manufactured and certified before the model 
years identified in Table 1 to this section are subject to emission 
standards and requirements of 40 CFR part 94. The provisions of this 
part 1042 do not apply for such engines certified under 40 CFR part 89, 
except as follows beginning June 29, 2010:
    (1) The allowances of this part apply.
    (2) The definitions of ``new marine engine'' and ``model year'' 
apply.
    (3) The remanufacturing provisions in subpart I of this part may 
apply for remanufactured engines originally manufactured in model years 
before the model years identified in Table 1 to this section.
    (4) 40 CFR part 94 specifies other provisions from this part 1042 
that apply.
    (d) Engines with model years before those specified in Table 1 to 
this section are generally subject to the Tier 1 or Tier 2 standards of 
40 CFR part 94. Such engines may be certified to those standards under 
this part 1042. All the provisions of this part except the emission 
standards apply to such engines if they are certified under this part. 
Note that engines subject to, but not certified to, the standards of 40 
CFR part 94 are subject to the requirements and prohibitions of this 
part and 40 CFR part 1068.
    (e) The requirements of subpart I of this part apply to 
remanufactured Category 1 and Category 2 engines beginning July 7, 2008.
    (f) The marine engines listed in this paragraph (f) are subject to 
all the requirements of this part even if they do not meet the 
definition of ``compression-ignition'' in Sec. 1042.901. The following 
engines are deemed to be compression-ignition engines for purposes of 
this part:
    (1) Marine engines powered by natural gas or other gaseous fuels 
with maximum engine power at or above 250 kW. Note that gaseous-fueled 
engines with maximum engine power below 250 kW may or may not meet the 
definition of ``compression-ignition'' in Sec. 1042.901.
    (2) Marine gas turbine engines.
    (3) Other marine internal combustion engines that do not meet the 
definition of ``spark-ignition'' in Sec. 1042.901.

[[Page 171]]

    (g) Some of the provisions of this part may apply for other engines 
as specified in 40 CFR part 1043.

[75 FR 22994, Apr. 30, 2010]

    Effective Date Note: At 76 FR 37977, June 28, 2011, Sec. 1042.1 was 
amended by adding paragraph (h), effective August 29, 2011. For the 
convenience of the user, the added text is set forth as follows:



Sec. 1042.1  Applicability

                                * * * * *

    (h) Starting with the model years noted in Table 1 of this section, 
all of the subparts of this part, except subpart I, apply as specified 
in 40 CFR part 60, subpart IIII, to freshly manufactured stationary 
compression-ignition engines subject to the standards of 40 CFR part 60, 
subpart IIII, that have a per-cylinder displacement at or above 10 
liters and below 30 liters per cylinder. Such engines are considered 
Category 2 engines for purposes of this part 1042.



Sec. 1042.2  Who is responsible for compliance?

    The regulations in this part 1042 contain provisions that affect 
both engine manufacturers and others. However, the requirements of this 
part, other than those of subpart I of this part, are generally 
addressed to the engine manufacturer for freshly manufactured marine 
engines or other certificate holders. The term ``you'' generally means 
the engine manufacturer, as defined in Sec. 1042.901, especially for 
issues related to certification (including production-line testing, 
reporting, etc.).

[75 FR 22995, Apr. 30, 2010]



Sec. 1042.5  Exclusions.

    This part does not apply to the following marine engines:
    (a) Foreign vessels. The requirements and prohibitions of this part 
do not apply to engines installed on foreign vessels, as defined in 
Sec. 1042.901. Note however, that the requirements and prohibitions of 
this part do apply to engines installed on any formerly foreign vessels 
that are reflagged as U.S.-flagged vessels.
    (b) Hobby engines. Engines installed in reduced-scale models of 
vessels that are not capable of transporting a person are not subject to 
the provisions of this part 1042.
    (c) Recreational gas turbine engines. The requirements and 
prohibitions of this part do not apply to gas turbine engines installed 
on recreational vessels, as defined in Sec. 1042.901.

[73 37243, June 30, 2008, as amended at 73 FR 59192, Oct. 8, 2008; 75 FR 
22995, Apr. 30, 2010]



Sec. 1042.10  Organization of this part.

    This part 1042 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of this part 
1042 and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec. 1042.145 discusses certain interim requirements and 
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
production-line engines.
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part and 40 CFR 1065 describe how to test your 
engines.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, vessel manufacturers, owners, operators, rebuilders, and 
all others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your engines.
    (i) Subpart I of this part describes how these regulations apply for 
remanufactured engines.
    (j) Subpart J of this part contains definitions and other reference 
information.



Sec. 1042.15  Do any other regulation parts apply to me?

    (a) Part 1043 of this chapter describes requirements related to 
international pollution prevention that apply for some of the engines 
subject to this part.
    (b) The evaporative emission requirements of part 1060 of this 
chapter apply

[[Page 172]]

to vessels that include installed engines fueled with a volatile liquid 
fuel as specified in Sec. 1042.107. (Note: Conventional diesel fuel is 
not considered to be a volatile liquid fuel.)
    (c) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1042 describes how to apply the provisions of part 1065 
of this chapter to determine whether engines meet the exhaust emission 
standards in this part.
    (d) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1042, or vessels containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, vessel 
manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (e) Other parts of this chapter apply if referenced in this part.

[75 FR 22995, Apr. 30, 2010]



Sec. 1042.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec. 1042.925 and 40 CFR 1068.25 regarding 
recordkeeping requirements. Unless we specify otherwise, store these 
records in any format and on any media and keep them readily available 
for one year after you send an associated application for certification, 
or one year after you generate the data if they do not support an 
application for certification. You must promptly send us organized, 
written records in English if we ask for them. We may review them at any 
time.
    (b) The regulations in Sec. 1042.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 1042.901).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.

[75 FR 22996, Apr. 30, 2010]



          Subpart B_Emission Standards and Related Requirements



Sec. 1042.101  Exhaust emission standards for Category 1 engines and Category 2 engines.

    (a) Duty-cycle standards. Exhaust emissions from your engines may 
not exceed emission standards, as follows:
    (1) Measure emissions using the test procedures described in subpart 
F of this part.
    (2) The following CO emission standards in this paragraph (a)(2) 
apply starting with the applicable model year identified in Sec. 
1042.1:
    (i) 8.0 g/kW-hr for engines below 8 kW.
    (ii) 6.6 g/kW-hr for engines at or above 8 kW and below 19 kW.
    (iii) 5.5 g/kW-hr for engines at or above 19 kW and below 37 kW.
    (iv) 5.0 g/kW-hr for engines at or above 37 kW.
    (3) Except as described in paragraphs (a)(4) and (5) of this 
section, the Tier 3 standards for PM and NOX+HC emissions are 
described in the following tables:

[[Page 173]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.104


              Table 2 to Sec.  1042.101--Tier 3 Standards for Category 2 Engines Below 3700 kW \a\
----------------------------------------------------------------------------------------------------------------
                                                                                                  NOX+HC  (g/kW-
         Displacement (L/cyl)             Maximum engine power      Model year     PM  (g/kW-hr)        hr)
----------------------------------------------------------------------------------------------------------------
7.0 <= disp. < 15.0...................  kW < 2000...............           2013+            0.14             6.2
                                        2000 <= kW < 3700.......           2013+            0.14           b 7.8
15.0 <= disp. < 20.0 c................  kW < 2000...............           2014+            0.34             7.0
20.0 <= disp. < 25.0 c................  kW < 2000...............           2014+            0.27             9.8
25.0 <= disp. < 30.0 c................  kW < 2000...............           2014+            0.27            11.0
----------------------------------------------------------------------------------------------------------------
a No Tier 3 standards apply for Category 2 engines at or above 3700 kW. See Sec.  1042.1(c) and paragraph
  (a)(7) of this section for the standards that apply for these engines.
b For engines subject to the 7.8 g/kW-hr NOX+HC standard, FELs may not be higher than the Tier 1 NOX standard
  specified in Appendix I of this part.

[[Page 174]]

 
c No Tier 3 standards apply for Category 2 engines with per-cylinder displacement above 15.0 liters if maximum
  engine power is at or above 2000 kW. See Sec.  1042.1(c) and paragraph (a)(7) of this section for the
  standards that apply for these engines.

    (4) For Tier 3 engines at or above 19 kW and below 75 kW with 
displacement below 0.9 L/cyl, you may alternatively certify some or all 
of your engine families to a PM emission standard of 0.20 g/kW-hr and a 
NOX+HC emission standard of 5.8 g/kW-hr for 2014 and later 
model years.
    (5) Starting with the 2014 model year, recreational marine engines 
at or above 3700 kW (with any displacement) must be certified under this 
part 1042 to the Tier 3 standards specified in this section for 3.5 to 
7.0 L/cyl recreational marine engines.
    (6) Interim Tier 4 PM standards apply for 2014 and 2015 model year 
engines between 2000 and 3700 kW as specified in this paragraph (a)(6). 
These engines are considered to be Tier 4 engines.
    (i) For Category 1 engines, the Tier 3 PM standards from Table 1 to 
this section continue to apply. PM FELs for these engines may not be 
higher than the applicable Tier 2 PM standards specified in Appendix I 
of this part.
    (ii) For Category 2 engines with per-cylinder displacement below 
15.0 liters, the Tier 3 PM standards from Table 2 to this section 
continue to apply. PM FELs for these engines may not be higher than 0.27 
g/kW-hr.
    (iii) For Category 2 engines with per-cylinder displacement at or 
above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or 
above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or 
above 3300 kW and below 3700 kW. PM FELs for these engines may not be 
higher than 0.50 g/kW-hr.
    (7) Except as described in paragraph (a)(8) of this section, the 
Tier 4 standards for PM, NOX, and HC emissions are described 
in the following table:

   Table 3 to Sec.  1042.101--Tier 4 Standards for Category 2 and Commercial Category 1 Engines Above 600 kW
----------------------------------------------------------------------------------------------------------------
                                                                            PM  (g/kW-  NOX  (g/kW-   HC  (g/kW-
        Maximum engine power           Displacement  (L/cyl)   Model year      hr)          hr)          hr)
----------------------------------------------------------------------------------------------------------------
600 <= kW < 1400....................  all...................        2017+         0.04          1.8         0.19
1400 <= kW < 2000...................  all...................        2016+         0.04          1.8         0.19
2000 <= kW < 3700 a.................  all...................        2014+         0.04          1.8         0.19
kW = 3700................  disp. <15.0...........    2014-2015         0.12          1.8         0.19
                                      15.0 <= disp.< 30.0...    2014-2015         0.25          1.8         0.19
                                      all...................        2016+         0.06          1.8         0.19
----------------------------------------------------------------------------------------------------------------
a See paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for
  engines between 2000 and 3700 kW. The Tier 4 NOX FEL cap for engines at or above 2000 kW and below 3700 kW is
  7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 PM FEL cap for engines at or above 2000 kW and below
  3700 kW is 0.34 g/kW-hr.

    (8) The following optional provisions apply for complying with the 
Tier 3 and Tier 4 standards specified in paragraphs (a)(3) and (6) of 
this section:
    (i) You may use NOX credits accumulated through the ABT 
program to certify Tier 4 engines to a NOX+HC emission 
standard of 1.9 g/kW-hr instead of the NOX and HC standards 
that would otherwise apply by certifying your family to a 
NOX+HC FEL. Calculate the NOX credits needed as 
specified in subpart H of this part using the NOX+HC emission 
standard and FEL in the calculation instead of the otherwise applicable 
NOX standard and FEL. You may not generate credits relative 
to the alternate standard or certify to the standard without using 
credits.
    (ii) For engines below 1000 kW, you may delay complying with the 
Tier 4 standards in the 2017 model year for up to nine months, but you 
must comply no later than October 1, 2017.
    (iii) For engines at or above 3700 kW, you may delay complying with 
the Tier 4 standards in the 2016 model year for up to twelve months, but 
you must comply no later than December 31, 2016.
    (iv) For Category 2 engines at or above 1400 kW, you may 
alternatively comply with the Tier 3 and Tier 4 standards specified in 
Table 4 of this section instead of the NOX, HC, 
NOX+HC, and PM standards specified in paragraphs (a)(3) and 
(6) of this section.

[[Page 175]]

The CO standards specified in paragraph (a)(2) of this section apply 
without regard to whether you choose this option. If you choose this 
option, you must do so for all engines at or above 1400 kW in the same 
displacement category (that is, 7-15, 15-20, 20-25, or 25-30 liters per 
cylinder) in model years 2012 through 2015.

   Table 4 to Sec.  1042.101--Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW
----------------------------------------------------------------------------------------------------------------
                                                                            PM  (g/kW-  NOX  (g/kW-   HC  (g/kW-
                Tier                   Maximum engine power    Model year      hr)          hr)          hr)
----------------------------------------------------------------------------------------------------------------
Tier 3..............................  kW = 1400..    2012-2014         0.14         7.8 NOX+HC
Tier 4..............................  1400 <= kW < 3700.....         2015         0.04          1.8         0.19
                                      kW = 3700..         2015         0.06          1.8         0.19
----------------------------------------------------------------------------------------------------------------

    (b) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
as described in subpart H of this part for demonstrating compliance with 
NOX, NOX+HC, and PM emission standards for 
Category 1 and Category 2 engines. You may also use NOX or 
NOX+HC emission credits to comply with the alternate 
NOX+HC standard in paragraph (a)(8)(i) of this section. 
Generating or using emission credits requires that you specify a family 
emission limit (FEL) for each pollutant you include in the ABT program 
for each engine family. These FELs serve as the emission standards for 
the engine family with respect to all required testing instead of the 
standards specified in paragraph (a) of this section. The FELs determine 
the not-to-exceed standards for your engine family, as specified in 
paragraph (c) of this section. Unless otherwise specified, the following 
FEL caps apply:
    (1) FELs for Tier 3 engines may not be higher than the applicable 
Tier 2 standards specified in Appendix I of this part.
    (2) FELs for Tier 4 engines may not be higher than the applicable 
Tier 3 standards specified in paragraph (a)(3) of this section.
    (c) Not-to-exceed standards. Except as noted in Sec. 1042.145(e), 
exhaust emissions from all engines subject to the requirements of this 
part may not exceed the not-to-exceed (NTE) standards as follows:
    (1) Use the following equation to determine the NTE standards:
    (i) NTE standard for each pollutant = STD x M.

Where:

STD = The standard specified for that pollutant in this section if you 
certify without using ABT for that pollutant; or the FEL for that 
pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant.

    (ii) Round each NTE standard to the same number of decimal places as 
the emission standard.
    (2) Determine the applicable NTE zone and subzones as described in 
Sec. 1042.515. Determine NTE multipliers for specific zones and 
subzones and pollutants as follows:
    (i) For commercial marine engines certified using the duty cycle 
specified in Sec. 1042.505(b)(1), except for variable-speed propulsion 
marine engines used with controllable-pitch propellers or with 
electrically coupled propellers, apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards.
    (ii) For recreational marine engines certified using the duty cycle 
specified in Sec. 1042.505(b)(2), except for variable-speed marine 
engines used with controllable-pitch propellers or with electrically 
coupled propellers, apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzones 2 and 3: 1.5 for NOX+HC standards.
    (D) Subzones 2 and 3: 1.9 for PM and CO standards.

[[Page 176]]

    (iii) For variable-speed marine engines used with controllable-pitch 
propellers or with electrically coupled propellers that are certified 
using the duty cycle specified in Sec. 1042.505(b)(1), (2), or (3), 
apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE 
standard in Subzone 2b for PM emissions if the engine family's 
applicable standard for PM is at or above 0.07 g/kW-hr.
    (iv) For constant-speed engines certified using a duty cycle 
specified in Sec. 1042.505(b)(3) or (4), apply the following NTE 
multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE 
standard for PM emissions if the engine family's applicable standard for 
PM is at or above 0.07 g/kW-hr.
    (v) For variable-speed auxiliary marine engines certified using the 
duty cycle specified in Sec. 1042.505(b)(5)(ii) or (iii):
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.2 for Tier 3 NOX+HC standards.
    (D) Subzone 2: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards. However, there is no NTE standard for PM emissions if the 
engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
    (3) The NTE standards apply to your engines whenever they operate 
within the NTE zone for an NTE sampling period of at least thirty 
seconds, during which only a single operator demand set point may be 
selected. Engine operation during a change in operator demand is 
excluded from any NTE sampling period. There is no maximum NTE sampling 
period.
    (4) Collect emission data for determining compliance with the NTE 
standards using the procedures described in subpart F of this part.
    (5) You may ask us to accept as compliant an engine that does not 
fully meet specific requirements under the applicable NTE standards 
where such deficiencies are necessary for safety.
    (d) Fuel types. The exhaust emission standards in this section apply 
for engines using the fuel type on which the engines in the engine 
family are designed to operate.
    (1) You must meet the numerical emission standards for hydrocarbons 
in this section based on the following types of hydrocarbon emissions 
for engines powered by the following fuels:
    (i) Alcohol-fueled engines must comply with Tier 3 HC standards 
based on THCE emissions and with Tier 4 standards based on NMHCE 
emissions.
    (ii) Natural gas-fueled engines must comply with HC standards based 
on NMHC emissions.
    (iii) Diesel-fueled and all other engines not described in paragraph 
(d)(1)(i) or (ii) of this section must comply with Tier 3 HC standards 
based on THC emissions and with Tier 4 standards based on NMHC 
emissions.
    (2) Tier 3 and later engines must comply with the exhaust emission 
standards when tested using test fuels containing 15 ppm or less sulfur 
(ultra low-sulfur diesel fuel). Manufacturers may use low-sulfur diesel 
fuel (without request) to certify an engine otherwise requiring an ultra 
low-sulfur test fuel; however, emissions may not be corrected to account 
for the effects of using higher sulfur fuel.
    (3) Engines designed to operate using residual fuel must comply with 
the standards and requirements of this part when operated using residual 
fuel in addition to complying with the requirements of this part when 
operated using diesel fuel.
    (e) Useful life. Your engines must meet the exhaust emission 
standards of this section over their full useful life, expressed as a 
period in years or hours of engine operation, whichever comes first.

[[Page 177]]

    (1) The minimum useful life values are as follows, except as 
specified by paragraph (e)(2) or (3) of this section:
    (i) 10 years or 1,000 hours of operation for recreational Category 1 
engines
    (ii) 5 years or 3,000 hours of operation for commercial engines 
below 19 kW.
    (iii) 7 years or 5,000 hours of operation for commercial engines at 
or above 19 kW and below 37kW.
    (iv) 10 years or 10,000 hours of operation for commercial Category 1 
engines at or above 37 kW.
    (v) 10 years or 20,000 hours of operation for Category 2 engines.
    (2) Specify a longer useful life in hours for an engine family under 
either of two conditions:
    (i) If you design, advertise, or market your engine to operate 
longer than the minimum useful life (your recommended hours until 
rebuild indicates a longer design life).
    (ii) If your basic mechanical warranty is longer than the minimum 
useful life.
    (3) You may request in your application for certification that we 
approve a shorter useful life for an engine family. We may approve a 
shorter useful life, in hours of engine operation but not in years, if 
we determine that these engines will rarely operate longer than the 
shorter useful life. If engines identical to those in the engine family 
have already been produced and are in use, your demonstration must 
include documentation from such in-use engines. In other cases, your 
demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your demonstration 
must also include any overhaul interval that you recommend, any 
mechanical warranty that you offer for the engine or its components, and 
any relevant customer design specifications. Your demonstration may 
include any other relevant information. The useful life value may not be 
shorter than any of the following:
    (i) 1,000 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (f) Applicability for testing. The duty-cycle emission standards in 
this subpart apply to all testing performed according to the procedures 
in Sec. 1042.505, including certification, production-line, and in-use 
testing. The not-to-exceed standards apply for all testing performed 
according to the procedures of subpart F of this part.

[73 37243, June 30, 2008, as amended at 73 FR 59192, Oct. 8, 2008; 74 FR 
8425, Feb. 24, 2009; 75 FR 22996, Apr. 30, 2010]



Sec. 1042.104  Exhaust emission standards for Category 3 engines.

    (a) Duty-cycle standards. Exhaust emissions from your engines may 
not exceed emission standards, as follows:
    (1) Measure emissions using the test procedures described in subpart 
F of this part. Note that while no PM standards apply for Category 3 
engines, PM emissions must be measured for certification testing and 
reported under Sec. 1042.205. Note also that you are not required to 
measure PM emissions for other testing.
    (2) NOX standards apply based on the engine's model year 
and maximum in-use engine speed as shown in the following table:

               Table 1 to Sec.  1042.104--NOX Emission Standards for Category 3 Engines (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                       Maximum in-use engine speed
                                                        --------------------------------------------------------
        Emission standards              Model year        Less than                                   Over 2000
                                                           130 RPM          130-2000  RPM \a\            RPM
----------------------------------------------------------------------------------------------------------------
Tier 1...........................  2004-2010 \b\.......         17.0  45.0[middot]n (-0.20)                  9.8
Tier 2...........................  2011-2015...........         14.4  44.0[middot]n (-0.23)                  7.7
Tier 3...........................  2016 and later......          3.4  9.0[middot]n (-0.20)                   2.0
----------------------------------------------------------------------------------------------------------------
\a\ Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in Sec.
  1042.140). Round the standards to one decimal place.
\b\ Tier 1 NOX standards apply as specified in 40 CFR part 94 for engines originally manufactured in model years
  2004 through 2010. They are shown here only for reference.


[[Page 178]]

    (3) The HC standard for Tier 2 and later engines is 2.0 g/kW-hr. 
This standard applies as follows:
    (i) Alcohol-fueled engines must comply with HC standards based on 
THCE emissions.
    (ii) Natural gas-fueled engines must comply with HC standards based 
on NMHC emissions.
    (iii) Diesel-fueled and all other engines not described in paragraph 
(a)(3)(i) or (ii) of this section must comply with HC standards based on 
THC emissions.
    (4) The CO standard for Tier 2 and later engines is 5.0 g/kW-hr.
    (b) Averaging, banking, and trading. Category 3 engines are not 
eligible for participation in the averaging, banking, and trading (ABT) 
program as described in subpart H of this part.
    (c) Mode caps. Measured NOX emissions may not exceed the 
cap specified in this paragraph (c) for any applicable duty-cycle test 
modes with power greater than 10 percent maximum engine power. Calculate 
the mode cap by multiplying the applicable NOX standard by 
1.5 and rounding to the nearest 0.1 g/kW-hr. Note that mode caps do not 
apply for pollutants other than NOX and do not apply for any 
modes of operation outside of the applicable duty cycles in Sec. 
1042.505. Category 3 engines are not subject to not-to-exceed standards.
    (d) Useful life. Your engines must meet the exhaust emission 
standards of this section over their full useful life, expressed as a 
period in years or hours of engine operation, whichever comes first.
    (1) The minimum useful life value is 3 years or 10,000 hours of 
operation.
    (2) Specify a longer useful life in hours for an engine family under 
either of two conditions:
    (i) If you design, advertise, or market your engine to operate 
longer than the minimum useful life (your recommended hours until 
rebuild indicates a longer design life).
    (ii) If your basic mechanical warranty is longer than the minimum 
useful life.
    (e) Applicability for testing. The duty-cycle emission standards in 
this section apply to all testing performed according to the procedures 
in Sec. 1042.505, including certification, production-line, and in-use 
testing. See paragraph (g) of this section for standards that apply for 
certain other test procedures, such as some production-line testing.
    (f) Domestic engines. Engines installed on vessels excluded from 40 
CFR part 1043 because they operate only domestically may not be 
certified for use with residual fuels.
    (g) Alternate installed-engine standards. NOX emissions 
may not exceed the standard specified in this paragraph (g) for test of 
engines installed on vessels when you are unable to operate the engine 
at the test points for the specified duty cycle, and you approximate 
these points consistent with the specifications of section 6 of Appendix 
8 to the NOX Technical Code (incorporated by reference in 
Sec. 1042.910). Calculate the alternate installed-engine standard by 
multiplying the applicable NOX standard by 1.1 and rounding 
to the nearest 0.1 g/kW-hr.

[75 FR 22997, Apr. 30, 2010]



Sec. 1042.107  Evaporative emission standards.

    (a) There are no evaporative emission standards for diesel-fueled 
engines, or engines using other nonvolatile or nonliquid fuels (for 
example, natural gas).
    (b) If an engine uses a volatile liquid fuel, such as methanol, the 
engine's fuel system and the vessel in which the engine is installed 
must meet the evaporative emission requirements of 40 CFR part 1045 that 
apply with respect to spark-ignition engines. Manufacturers subject to 
evaporative emission standards must meet the requirements of 40 CFR 
1045.112 as described in 40 CFR part 1060 and do all the following 
things in the application for certification:
    (1) Describe how evaporative emissions are controlled.
    (2) Present test data to show that fuel systems and vessels meet the 
evaporative emission standards we specify in this section if you do not 
use design-based certification under 40 CFR 1060.240. Show these figures 
before and after applying deterioration factors, where applicable.

[73 FR 59193, Oct. 8, 2008]

[[Page 179]]



Sec. 1042.110  Recording reductant use and other diagnostic functions.

    (a) Engines equipped with SCR systems using a reductant other than 
the engine's fuel must meet the following requirements:
    (1) The diagnostic system must monitor reductant quality and tank 
levels and alert operators to the need to refill the reductant tank 
before it is empty, or to replace the reductant if it does not meet your 
concentration specifications. Unless we approve other alerts, use a 
malfunction-indicator light (MIL) and an audible alarm. You do not need 
to separately monitor reductant quality if you include an exhaust 
NOX sensor (or other sensor) that allows you to determine 
inadequate reductant quality. However, tank level must be monitored in 
all cases.
    (2) The onboard computer log must record in nonvolatile computer 
memory all incidents of engine operation with inadequate reductant 
injection or reductant quality. Use good engineering judgment to ensure 
that the operator can readily access the information to submit the 
report required by Sec. 1042.660. For example, you may meet this 
requirement by documenting the incident in a text file that can be 
downloaded or printed by the operator.
    (3) SCR systems must also conform to the provisions of paragraph (d) 
of this section if they are equipped with on-off controls as allowed 
under Sec. 1042.115(g).
    (b) If you determine your emission controls have failure modes that 
may reasonably be expected to affect safety, equip the engines with 
diagnostic features that will alert the operator to such failures. Use 
good engineering judgment to alert the operator before the failure 
occurs.
    (c) You may equip your engine with other diagnostic features. If you 
do, they must be designed to allow us to read and interpret the codes. 
Note that Sec. Sec. 1042.115 and 1042.205 require that you provide us 
any information needed to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units.
    (d) For Category 3 engines equipped with on-off NOX 
controls (as allowed by Sec. 1042.115(g)), you must also equip your 
engine to continuously monitor NOX concentrations in the 
exhaust. See Sec. 1042.650 to determine if this requirement applies for 
a given Category 1 or Category 2 engine. Use good engineering judgment 
to alert operators if measured NOX concentrations indicate 
malfunctioning emission controls. Record any such operation in 
nonvolatile computer memory. You are not required to monitor 
NOX concentrations during operation for which the emission 
controls may be disabled under Sec. 1042.115(g). For the purpose of 
this paragraph (d), ``malfunctioning emission controls'' means any 
condition in which the measured NOX concentration exceeds the 
highest value expected when the engine is in compliance with the 
installed engine standard of Sec. 1042.104(g). Use good engineering 
judgment to determine these expected values during production-line 
testing of the engine using linear interpolation between test points and 
accounting for the degree to which the cycle-weighted emissions of the 
engine are below the standard. You may also use additional intermediate 
test points measured during the production-line test. Note that the 
provisions of paragraph (a) of this section also apply for SCR systems 
covered by this paragraph (d). For engines subject to both the 
provisions of paragraph (a) of this section and this paragraph (d), use 
good engineering judgment to integrate diagnostic features to comply 
with both paragraphs.

[73 FR 37243, June 30, 2008, as amended at 75 FR 22998, Apr. 30, 2010]



Sec. 1042.115  Other requirements.

    Engines that are required to comply with the emission standards of 
this part must meet the following requirements:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do both of the following things:

[[Page 180]]

    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Torque broadcasting. Electronically controlled engines must 
broadcast their speed and output shaft torque (in newton-meters). 
Engines may alternatively broadcast a surrogate value for determining 
torque. Engines must broadcast engine parameters such that they can be 
read with a remote device, or broadcast them directly to their 
controller area networks. This information is necessary for testing 
engines in the field (see Sec. 1042.515).
    (c) EPA access to broadcast information. If we request it, you must 
provide us any hardware or tools we would need to readily read, 
interpret, and record all information broadcast by an engine's on-board 
computers and electronic control modules. If you broadcast a surrogate 
parameter for torque values, you must provide us what we need to convert 
these into torque units. We will not ask for hardware or tools if they 
are readily available commercially.
    (d) Adjustable parameters. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. The following provisions apply for 
adjustable parameters:
    (1) Category 1 engines that have adjustable parameters must meet all 
the requirements of this part for any adjustment in the physically 
adjustable range. We may require that you set adjustable parameters to 
any specification within the adjustable range during any testing, 
including certification testing, selective enforcement auditing, or in-
use testing.
    (2) Category 2 and Category 3 engines that have adjustable 
parameters must meet all the requirements of this part for any 
adjustment in the specified adjustable range. You must specify in your 
application for certification the adjustable range of each adjustable 
parameter on a new engine to--
    (i) Ensure that safe engine operating characteristics are available 
within that range, as required by section 202(a)(4) of the Clean Air Act 
(42 U.S.C. 7521(a)(4)), taking into consideration the production 
tolerances.
    (ii) Limit the physical range of adjustability to the maximum extent 
practicable to the range that is necessary for proper operation of the 
engine.
    (e) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit, that contributes 
to such an unreasonable risk.
    (f) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission control device that 
reduces the effectiveness of emission controls under conditions that the 
engine may reasonably be expected to encounter during normal operation 
and use. (Note that this means emission control for operation outside of 
and between the official test modes is generally expected to be similar 
to emission control demonstrated at the test modes.) This does not apply 
to auxiliary emission control devices you identify in your application 
for certification if any of the following is true:
    (1) The conditions of concern were substantially included in the 
applicable duty-cycle test procedures described in subpart F of this 
part (the portion during which emissions are measured).
    (2) You show your design is necessary to prevent engine (or vessel) 
damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.
    (4) The engine is a Category 3 engine and the AECD conforms to the 
requirements of paragraph (g) of this section. See Sec. 1042.650 to 
determine if this allowance applies for a given Category 1 or Category 2 
engine.

[[Page 181]]

    (g) On-off controls for Category 3 engines. Manufacturers may equip 
Category 3 engines with features that disable Tier 3 NOX 
emission controls subject to the provisions of this paragraph (g). See 
Sec. 1042.650 to determine if this allowance applies for a given 
Category 1 or Category 2 engine. Where this paragraph (g) applies for a 
Category 1 or Category 2 engine, read ``Tier 2'' to mean ``Tier 3'' and 
read ``Tier 3'' to mean ``Tier 4''.
    (1) Features that disable Tier 3 emission controls are considered to 
be AECDs whether or not they meet the definition of an AECD. For 
example, manually operated on-off features are AECDs under this 
paragraph (g). The features must be identified in your application for 
certification as AECDs. For purposes of this paragraph (g), the term 
``features that disable Tier 3 emission controls'' includes (but is not 
limited to) any combination of the following that cause the engine's 
emissions to exceed any Tier 3 emission standard:
    (i) Bypassing of exhaust aftertreatment.
    (ii) Reducing or eliminating flow of reductant to an SCR system.
    (iii) Modulating engine calibration in a manner that increases 
engine-out emissions of a regulated pollutant.
    (2) You must demonstrate that the AECD will not disable emission 
controls while operating in areas where emissions could reasonably be 
expected to adversely affect U.S. air quality. If an ECA has been 
established for U.S. waters, this means you must demonstrate that the 
AECD will not disable emission control while operating in waters within 
the ECA or any ECA associated area. (Note: See the regulations in 40 CFR 
part 1043 for requirements related to operation in ECAs, including 
foreign ECAs.) Compliance with this paragraph will generally require 
that the AECD operation be based on Global Positioning System (GPS) 
inputs. We may consider any relevant information to determine whether 
your AECD conforms to this paragraph (g).
    (3) The onboard computer log must record in nonvolatile computer 
memory all incidents of engine operation with the Tier 3 emission 
controls disabled.
    (4) The engine must comply fully with the Tier 2 standards when the 
Tier 3 emission controls are disabled.

[73 37243, June 30, 2008, as amended at 73 FR 59193, Oct. 8, 2008; 75 FR 
22998, Apr. 30, 2010]



Sec. 1042.120  Emission-related warranty requirements.

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new engine, including all parts 
of its emission control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least as long as the minimum warranty periods listed in this 
paragraph (b) in hours of operation and years, whichever comes first. 
You may offer an emission-related warranty more generous than we 
require. The emission-related warranty for the engine may not be shorter 
than any published warranty you offer without charge for the engine. 
Similarly, the emission-related warranty for any component may not be 
shorter than any published warranty you offer without charge for that 
component. If an engine has no hour meter, we base the warranty periods 
in this paragraph (b) only on the engine's age (in years).
    The warranty period begins when the engine is placed into service. 
The following minimum warranty periods apply:
    (1) For Category 1 and Category 2 engines, your emission-related 
warranty must be valid for at least 50 percent of the engine's useful 
life in hours of operation or a number of years equal to at least 50 
percent of the useful life in years, whichever comes first.
    (2) For Category 3 engines, your emission-related warranty must be 
valid throughout the engine's full useful life as specified in Sec. 
1042.104(d).

[[Page 182]]

    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
regulated pollutant, including components listed in 40 CFR part 1068, 
Appendix I, and components from any other system you develop to control 
emissions. The emission-related warranty for freshly manufactured marine 
engines covers these components even if another company produces the 
component. Your emission-related warranty does not need to cover 
components whose failure would not increase an engine's emissions of any 
regulated pollutant. For remanufactured engines, your emission-related 
warranty is required to cover only those parts that you supply or those 
parts for which you specify allowable part manufacturers. It does not 
need to cover used parts that are not replaced during the remanufacture.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[73 FR 37243, June 30, 2008, as amended at 75 FR 22999, Apr. 30, 2010]



Sec. 1042.125  Maintenance instructions.

    Give the ultimate purchaser of each new engine written instructions 
for properly maintaining and using the engine, including the emission 
control system, as described in this section. The maintenance 
instructions also apply to service accumulation on your emission-data 
engines as described in Sec. 1042.245 and in 40 CFR part 1065. The 
restrictions specified in paragraphs (a) through (e) of this section 
related to allowable maintenance apply only to Category 1 and Category 2 
engines. Manufacturers may specify any maintenance for Category 3 
engines.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that any lack of maintenance that 
increases emissions also unacceptably degrades the engine's performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in your maintenance instructions.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) For engines below 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel 
injector tips (cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 3,000 hours: Fuel injectors, 
turbochargers, catalytic converters, electronic control units, 
particulate traps, trap oxidizers, components related to particulate 
traps and trap oxidizers, EGR systems (including related components, but 
excluding filters and coolers), and other add-on components. For 
particulate traps, trap oxidizers, and components related to either of 
these, maintenance is limited to cleaning and repair only.
    (3) For Category 1 and Category 2 engines at or above 130 kW, you 
may not schedule critical emission-related maintenance more frequently 
than the following minimum intervals, except as specified in paragraphs 
(a)(4), (b), and (c) of this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel 
injector tips

[[Page 183]]

(cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 4500 hours: Fuel injectors, 
turbochargers, catalytic converters, electronic control units, 
particulate traps, trap oxidizers, components related to particulate 
traps and trap oxidizers, EGR systems (including related components, but 
excluding filters and coolers), and other add-on components. For 
particulate traps, trap oxidizers, and components related to either of 
these, maintenance is limited to cleaning and repair only.
    (4) We may approve shorter maintenance intervals than those listed 
in paragraph (a)(3) of this section where technologically necessary.
    (5) If your engine family has an alternate useful life under Sec. 
1042.101(e) that is shorter than the period specified in paragraph 
(a)(2) or (a)(3) of this section, you may not schedule critical 
emission-related maintenance more frequently than the alternate useful 
life, except as specified in paragraph (c) of this section.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
engine operation. You must clearly state that this additional 
maintenance is associated with the special situation you are addressing.
    (d) Noncritical emission-related maintenance. Subject to the 
provisions of this paragraph (d), you may schedule any amount of 
emission-related inspection or maintenance that is not covered by 
paragraph (a) of this section (that is, maintenance that is neither 
explicitly identified as critical emission-related maintenance, nor that 
we approve as critical emission-related maintenance). Noncritical 
emission-related maintenance generally includes maintenance on the 
components we specify in 40 CFR part 1068, Appendix I that is not 
covered in paragraph (a) of this section. You must state in the owners 
manual that these steps are not necessary to keep the emission-related 
warranty valid. If operators fail to do this maintenance, this does not 
allow you to disqualify those engines from in-use testing or deny a 
warranty claim. Do not take these inspection or maintenance steps during 
service accumulation on your emission-data engines.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines at 
the least frequent intervals that you recommend to the ultimate 
purchaser (but not intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:

[[Page 184]]

    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their engines. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:
    (1) Each affected component was not in general use on similar 
engines before the applicable dates shown in paragraph (6) of the 
definition of ``new marine engine'' in Sec. 1042.901.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[73 37243, June 30, 2008, as amended at 75 FR 22999, Apr. 30, 2010]



Sec. 1042.130  Installation instructions for vessel manufacturers.

    (a) If you sell an engine for someone else to install in a vessel, 
give the engine installer instructions for installing it consistent with 
the requirements of this part. Include all information necessary to 
ensure that an engine will be installed in its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a vessel violates federal law (40 CFR 1068.105(b)), 
subject to fines or other penalties as described in the Clean Air 
Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec. 1042.205(u).
    (4) Describe any necessary steps for installing the diagnostic 
system described in Sec. 1042.110.
    (5) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only for 
constant-speed operation, tell vessel manufacturers not to install the 
engines in variable-speed applications or modify the governor.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the vessel, as 
described in 40 CFR 1068.105.''.
    (8) Describe any vessel labeling requirements specified in Sec. 
1042.135.
    (c) You do not need installation instructions for engines you 
install in your own vessels.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.



Sec. 1042.135  Labeling.

    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.

[[Page 185]]

    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec. 1042.640.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) Identify all the emission standards that apply to the engine (or 
FELs, if applicable). If you do not declare an FEL under subpart H of 
this part, you may alternatively state the engine's category, 
displacement (in liters or L/cyl), maximum engine power (in kW), and 
power density (in kW/L) as needed to determine the emission standards 
for the engine family. You may specify displacement, maximum engine 
power, or power density as a range consistent with the ranges listed in 
Sec. 1042.101. See Sec. 1042.140 for descriptions of how to specify 
per-cylinder displacement, maximum engine power, and power density.
    (5) State the date of manufacture [DAY (optional), MONTH, and YEAR]; 
however, you may omit this from the label if you stamp, engrave, or 
otherwise permanently identify it elsewhere on the engine, in which case 
you must also describe in your application for certification where you 
will identify the date on the engine.
    (6) Identify the application(s) for which the engine family is 
certified (such as constant-speed auxiliary, variable-speed propulsion 
engines used with fixed-pitch propellers, etc.). If the engine is 
certified as a recreational engine, state: ``INSTALLING THIS 
RECREATIONAL ENGINE IN A COMMERCIAL VESSEL OR USING THE VESSEL FOR 
COMMERCIAL PURPOSES MAY VIOLATE FEDERAL LAW SUBJECT TO CIVIL PENALTY (40 
CFR 1042.601).''.
    (7) For engines requiring ULSD, state: ``ULTRA LOW SULFUR DIESEL 
FUEL ONLY''.
    (8) State the useful life for your engine family if the applicable 
useful life is based on the provisions of Sec. 1042.101(e)(2) or (3), 
or Sec. 1042.104(d)(2).
    (9) Identify the emission control system. Use terms and 
abbreviations as described in 40 CFR 1068.45. You may omit this 
information from the label if there is not enough room for it and you 
put it in the owners manual instead.
    (10) State: ``THIS MARINE ENGINE COMPLIES WITH U.S. EPA REGULATIONS 
FOR [MODEL YEAR].''.
    (11) For a Category 1 or Category 2 engine that can be modified to 
operate on residual fuel, but has not been certified to meet the 
standards on such a fuel, include the statement: ``THIS ENGINE IS 
CERTIFIED FOR OPERATION ONLY WITH DIESEL FUEL. MODIFYING THE ENGINE TO 
OPERATE ON RESIDUAL OR INTERMEDIATE FUEL MAY BE A VIOLATION OF FEDERAL 
LAW SUBJECT TO CIVIL PENALTIES.''
    (12) For an engine equipped with on-off emissions controls as 
allowed by Sec. 1042.115, include the statement: ``THIS ENGINE IS 
CERTIFIED WITH ON-OFF EMISSION CONTROLS. OPERATION OF THE ENGINE 
CONTRARY TO 40 CFR 1042.115(g) IS A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTIES.''
    (13) For engines intended for installation on domestic or public 
vessels, include the following statement: ``THIS ENGINE DOES NOT COMPLY 
WITH INTERNATIONAL MARINE REGULATIONS FOR COMMERCIAL VESSELS UNLESS IT 
IS ALSO COVERED BY AN EIAPP CERTIFICATE.''
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine meets 
or does not meet (such as international standards). You may include this 
information by adding it to the statement we specify or by including a 
separate statement.
    (2) You may add other information to ensure that the engine will be 
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.

[[Page 186]]

    (e) For engines requiring ULSD, create a separate label with the 
statement: ``ULTRA LOW SULFUR DIESEL FUEL ONLY''. Permanently attach 
this label to the vessel near the fuel inlet or, if you do not 
manufacture the vessel, take one of the following steps to ensure that 
the vessel will be properly labeled:
    (1) Provide the label to each vessel manufacturer and include in the 
emission-related installation instructions the requirement to place this 
label near the fuel inlet.
    (2) Confirm that the vessel manufacturers install their own 
complying labels.
    (f) You may ask us to approve modified labeling requirements in this 
part 1042 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
intent of the labeling requirements of this part.
    (g) If you obscure the engine label while installing the engine in 
the vessel such that the label will be hard to read during normal 
maintenance, you must place a duplicate label on the vessel. If others 
install your engine in their vessels in a way that obscures the engine 
label, we require them to add a duplicate label on the vessel (see 40 
CFR 1068.105); in that case, give them the number of duplicate labels 
they request and keep the following records for at least five years:
    (1) Written documentation of the request from the vessel 
manufacturer.
    (2) The number of duplicate labels you send for each family and the 
date you sent them.

[73 37243, June 30, 2008, as amended at 75 FR 22999, Apr. 30, 2010]



Sec. 1042.140  Maximum engine power, displacement, power density, and maximum in-use engine speed.

    This section describes how to determine the maximum engine power, 
displacement, and power density of an engine for the purposes of this 
part. Note that maximum engine power may differ from the definition of 
``maximum test power'' in Sec. 1042.901. This section also specifies 
how to determine maximum in-use engine speed for Category 3 engines.
    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest whole kilowatt.
    (b) The nominal power curve of an engine configuration is the 
relationship between maximum available engine brake power and engine 
speed for an engine, using the mapping procedures of 40 CFR part 1065, 
based on the manufacturer's design and production specifications for the 
engine. This information may also be expressed by a torque curve that 
relates maximum available engine torque with engine speed.
    (c) An engine configuration's per-cylinder displacement is the 
intended swept volume of each cylinder. The swept volume of the engine 
is the product of the internal cross-section area of the cylinders, the 
stroke length, and the number of cylinders. Calculate the engine's 
intended swept volume from the design specifications for the cylinders 
using enough significant figures to allow determination of the 
displacement to the nearest 0.02 liters. Determine the final value by 
truncating digits to establish the per-cylinder displacement to the 
nearest 0.1 liters. For example, for an engine with circular cylinders 
having an internal diameter of 13.0 cm and a 15.5 cm stroke length, the 
rounded displacement would be: (13.0/2) \2\ x ([pi]) x (15.5) / 1000 = 
2.0 liters.
    (d) The nominal power curve and intended swept volume must be within 
the range of the actual power curves and swept volumes of production 
engines considering normal production variability. If after production 
begins, it is determined that either your nominal power curve or your 
intended swept volume does not represent production engines, we may 
require you to amend your application for certification under Sec. 
1042.225.
    (e) Throughout this part, references to a specific power value for 
an engine are based on maximum engine power. For example, the group of 
engines with maximum engine power above 600 kW may be referred to as 
engines above 600 kW.

[[Page 187]]

    (f) Calculate an engine family's power density in kW/L by dividing 
the unrounded maximum engine power by the engine's unrounded per-
cylinder displacement, then dividing by the number of cylinders. Round 
the calculated value to the nearest whole number.
    (g) Calculate a maximum test speed for the nominal power curve as 
specified in 40 CFR 1065.610. This is the maximum in-use engine speed 
used for calculating the NOX standard in Sec. 1042.104 for 
Category 3 engines. Alternatively, you may use a lower value if engine 
speed will be limited in actual use to that lower value.

[73 37243, June 30, 2008, as amended at 75 FR 23000, Apr. 30, 2010]



Sec. 1042.145  Interim provisions.

    (a) General. The provisions in this section apply instead of other 
provisions in this part. This section describes when these interim 
provisions expire. Only the provisions of paragraph (h) of this section 
apply for Category 3 engines.
    (b) Delayed standards. Post-manufacturer marinizers that are small-
volume engine manufacturers may delay compliance with the Tier 3 
standards for engines below 600 kW as follows:
    (1) You may delay compliance with the Tier 3 standards for one model 
year, as long as the engines meet all the requirements that apply to 
Tier 2 engines.
    (2) You may delay compliance with the NTE standards for Tier 3 
engines for three model years in addition to the one-year delay 
specified in paragraph (b)(1) of this section, as long as the engines 
meet all other Tier 3 requirements for the appropriate model year.
    (c) Part 1065 test procedures for Category 1 and Category 2 engines. 
You must generally use the test procedures specified in subpart F of 
this part, including the applicable test procedures in 40 CFR part 1065. 
As specified in this paragraph (c), you may use a combination of the 
test procedures specified in this part and the test procedures specified 
for Tier 2 engines before January 1, 2015. After this date, you must use 
test procedures only as specified in subpart F of this part.
    (1) You may determine maximum test speed for engines below 37 kW as 
specified in 40 CFR part 89 without request through the 2009 model year.
    (2) Before January 1, 2015, you may ask to use some or all of the 
procedures specified in 40 CFR part 94 (or 40 CFR part 89 for engines 
below 37 kW) for engines certified under this part 1042. If you ask to 
rely on a combination of procedures under this paragraph (c)(2), we will 
approve your request only if you show us that it does not affect your 
ability to demonstrate compliance with the applicable emission 
standards. This generally requires that the combined procedures would 
result in emission measurements at least as high as those that would be 
measured using the procedures specified in this part. Alternatively, you 
may demonstrate that the combined effects of the different procedures is 
small relative to your compliance margin (the degree to which your 
emissions are below the applicable standards).
    (d) [Reserved]
    (e) Delayed compliance with NTE standards. Engines below 56 kW may 
delay complying with the NTE standards specified in Sec. 1042.101(c) 
until the 2013 model year. Engines at or above 56 kW and below 75 kW may 
delay complying with the NTE standards specified in Sec. 1042.101(c) 
until the 2012 model year.
    (f) In-use compliance limits. The provisions of this paragraph (f) 
apply for the first three model years of the Tier 4 standards. For 
purposes of determining compliance based on testing other than 
certification or production-line testing, calculate the applicable in-
use compliance limits by adjusting the applicable standards/FELs. The PM 
adjustment does not apply for engines with a PM standard or FEL above 
0.04 g/kW-hr. The NOX adjustment does not apply for engines 
with a NOX FEL above 2.7 g/kW-hr. Add the applicable 
adjustments in one of the following tables to the otherwise applicable 
standards and NTE limits. You must specify during certification which 
add-ons, if any, will apply for your engines.

[[Page 188]]



Table 1 to Sec.  1042.145--In-use Adjustments for the First Three Model
                      Years of the Tier 4 Standards
------------------------------------------------------------------------
                                         In-use adjustments (g/kW-hr)
                                     -----------------------------------
Fraction of useful life already used   For Tier 4 NOX    For Tier 4  PM
                                          standards         standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life.....               0.9              0.02
50 < hours <= 75% of useful life....               1.3              0.02
hours  75% of useful life               1.7              0.02
------------------------------------------------------------------------


  Table 2 to Sec.  1042.145--Optional In-Use Adjustments for the First
                Three Model Years of the Tier 4 Standards
------------------------------------------------------------------------
                                           In-use adjustments (g/kW-hr)
                                         -------------------------------
                                          For model year  For model year
  Fraction of useful life already used       2017 and        2017 and
                                          earlier Tier 4  earlier Tier 4
                                           NOX standards   PM standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life.........             0.3            0.05
50 < hours <= 75% of useful life........             0.4            0.05
hours  75% of useful life....             0.5            0.05
------------------------------------------------------------------------

    (g) Deficiencies for NTE standards. You may ask us to accept as 
compliant an engine that does not fully meet specific requirements under 
the applicable NTE standards. Such deficiencies are intended to allow 
for minor deviations from the NTE standards under limited conditions. We 
expect your engines to have functioning emission control hardware that 
allows you to comply with the NTE standards.
    (1) Request our approval for specific deficiencies in your 
application for certification, or before you submit your application. We 
will not approve deficiencies retroactively to cover engines already 
certified. In your request, identify the scope of each deficiency and 
describe any auxiliary emission control devices you will use to control 
emissions to the lowest practical level, considering the deficiency you 
are requesting.
    (2) We will approve a deficiency only if compliance would be 
infeasible or unreasonable considering such factors as the technical 
feasibility of the given hardware and the applicable lead time and 
production cycles. We may consider other relevant factors.
    (3) Our approval applies only for a single model year and may be 
limited to specific engine configurations. We may approve your request 
for the same deficiency in the following model year if correcting the 
deficiency would require unreasonable hardware or software modifications 
and we determine that you have demonstrated an acceptable level of 
effort toward complying.
    (4) You may ask for any number of deficiencies in the first three 
model years during which NTE standards apply for your engines. For the 
next four model years, we may approve up to three deficiencies per 
engine family. Deficiencies of the same type that apply similarly to 
different power ratings within a family count as one deficiency per 
family. We may condition approval of any such additional deficiencies 
during these four years on any additional conditions we determine to be 
appropriate. We will not approve deficiencies after the seven-year 
period specified in this paragraph (g)(4), unless they are related to 
safety.
    (h) The following interim provisions apply for Category 3 engines:
    (1) Applicability of Tier 3 standards to Category 3 engines 
operating in Alaska, Hawaii, and U.S. territories. (i) Category 3 
engines are not required to comply with the Tier 3 NOX 
standard when operating in areas of Guam, American Samoa, the 
Commonwealth of the Northern Mariana Islands, Puerto Rico, or U.S. 
Virgin Islands. Category 3 engines are also not required to comply with 
the Tier 3 NOX standards when operating in the waters of the 
smallest Hawaiian islands or in the waters of

[[Page 189]]

Alaska west of Kodiak. For the purpose of this paragraph (h)(1), ``the 
smallest Hawaiian islands'' includes all Hawaiian islands other than 
Hawaii, Kahoolawe, Kauai, Lanai, Maui, Molokai, Niihau, and Oahu. 
Engines must comply fully with the appropriate Tier 2 NOX 
standard and all other applicable requirements when operating in the 
areas identified in this paragraph (h)(1).
    (ii) The provisions of paragraph (h)(1)(i) of this section do not 
apply to ships operating in an ECA or an ECA associated area. The Tier 3 
standards apply in full for any area included in an ECA or an ECA 
associated area.
    (2) Part 1065 test procedures. You must generally use the test 
procedures specified in subpart F of this part for Category 3 engines, 
including the applicable test procedures in 40 CFR part 1065. You may 
use a combination of the test procedures specified in this part and the 
test procedures specified in 40 CFR part 94 before January 1, 2016 
without request. After this date, you must use test procedures only as 
specified in subpart F of this part.
    (i) Limitation of 40 CFR 1068.101 before July 1, 2010. 
Notwithstanding other provisions of this part or 40 CFR part 94, for the 
period June 29, 2010 through July 1, 2010, it is not a violation of 40 
CFR 1068.101 to operate in U.S. waters uncertified engines installed on 
vessels manufactured outside of the United States before June 29, 2010. 
Operation of such vessels in U.S. waters on or after July 1, 2010 is 
deemed to be introduction into U.S. commerce of a new marine engine.

[73 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75 FR 
23000, Apr. 30, 2010]



                  Subpart C_Certifying Engine Families



Sec. 1042.201  General requirements for obtaining a certificate of conformity.

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date, but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec. 1042.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec. 1042.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 1042.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (see Sec. 1042.235(c)).
    (h) For engines that become new after being placed into service, 
such as engines installed on imported vessels, we may specify alternate 
certification provisions consistent with the intent of this part. See 
the definition of ``new marine engine'' in Sec. 1042.901.

[73 37243, June 30, 2008, as amended at 75 FR 23000, Apr. 30, 2010]



Sec. 1042.205  Application requirements.

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
1042.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec. 1042.140.
    (b) Explain how the emission control system operates. Describe in 
detail all system components for controlling exhaust emissions, 
including all auxiliary emission control devices (AECDs) and

[[Page 190]]

all fuel-system components you will install on any production or test 
engine. Identify the part number of each component you describe. For 
this paragraph (b), treat as separate AECDs any devices that modulate or 
activate differently from each other. Include all the following:
    (1) Give a general overview of the engine, the emission control 
strategies, and all AECDs.
    (2) Describe each AECD's general purpose and function.
    (3) Identify the parameters that each AECD senses (including 
measuring, estimating, calculating, or empirically deriving the values). 
Include vessel-based parameters and state whether you simulate them 
during testing with the applicable procedures.
    (4) Describe the purpose for sensing each parameter.
    (5) Identify the location of each sensor the AECD uses.
    (6) Identify the threshold values for the sensed parameters that 
activate the AECD.
    (7) Describe the parameters that the AECD modulates (controls) in 
response to any sensed parameters, including the range of modulation for 
each parameter, the relationship between the sensed parameters and the 
controlled parameters and how the modulation achieves the AECD's stated 
purpose. Use graphs and tables, as necessary.
    (8) Describe each AECD's specific calibration details. This may be 
in the form of data tables, graphical representations, or some other 
description.
    (9) Describe the hierarchy among the AECDs when multiple AECDs sense 
or modulate the same parameter. Describe whether the strategies interact 
in a comparative or additive manner and identify which AECD takes 
precedence in responding, if applicable.
    (10) Explain the extent to which the AECD is included in the 
applicable test procedures specified in subpart F of this part.
    (11) Do the following additional things for AECDs designed to 
protect engines or vessels:
    (i) Identify the engine and/or vessel design limits that make 
protection necessary and describe any damage that would occur without 
the AECD.
    (ii) Describe how each sensed parameter relates to the protected 
components' design limits or those operating conditions that cause the 
need for protection.
    (iii) Describe the relationship between the design limits/parameters 
being protected and the parameters sensed or calculated as surrogates 
for those design limits/parameters, if applicable.
    (iv) Describe how the modulation by the AECD prevents engines and/or 
vessels from exceeding design limits.
    (v) Explain why it is necessary to estimate any parameters instead 
of measuring them directly and describe how the AECD calculates the 
estimated value, if applicable.
    (vi) Describe how you calibrate the AECD modulation to activate only 
during conditions related to the stated need to protect components and 
only as needed to sufficiently protect those components in a way that 
minimizes the emission impact.
    (12) Include any other information required by this part with 
respect to AECDs. For example, see Sec. 1042.115 for requirements 
related to on-off technologies.
    (c) If your engines are equipped with an engine diagnostic system, 
explain how it works, describing especially the engine conditions (with 
the corresponding diagnostic trouble codes) that cause the malfunction-
indicator light to go on.
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including the duty cycle(s) and the corresponding engine applications. 
Also describe any special or alternate test procedures you used.
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.

[[Page 191]]

    (h) Identify the engine family's useful life.
    (i) Include the maintenance and warranty instructions you will give 
to the ultimate purchaser of each new engine (see Sec. Sec. 1042.120 
and 1042.125). Describe your plan for meeting warranty obligations under 
Sec. 1042.120.
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vessel (see Sec. 
1042.130).
    (k) Describe your emission control information label (see Sec. 
1042.135).
    (l) Identify the emission standards and/or FELs to which you are 
certifying engines in the engine family.
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec. 1042.245). Present any emission test 
data you used for this.
    (n) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (o) Present emission data for HC, NOX, PM, and CO on an 
emission-data engine to show your engines meet emission standards as 
specified in Sec. Sec. 1042.101 or 1042.104. Note that you must submit 
PM data for all engines, whether or not a PM standard applies. Show 
emission figures before and after applying adjustment factors for 
regeneration and deterioration factors for each pollutant and for each 
engine. If we specify more than one grade of any fuel type (for example, 
high-sulfur and low-sulfur diesel fuel), you need to submit test data 
only for one grade, unless the regulations of this part specify 
otherwise for your engine. Include emission results for each mode for 
Category 3 engines or for other engines if you do discrete-mode testing 
under Sec. 1042.505. Note that Sec. Sec. 1042.235 and 1042.245 allows 
you to submit an application in certain cases without new emission data.
    (p) For Category 1 and Category 2 engines, state that all the 
engines in the engine family comply with the applicable not-to-exceed 
emission standards in Sec. 1042.101 for all normal operation and use 
when tested as specified in Sec. 1042.515. Describe any relevant 
testing, engineering analysis, or other information in sufficient detail 
to support your statement.
    (q) [Reserved]
    (r) Report test results as follows:
    (1) Report all test results involving measurement of pollutants for 
which emission standards apply. Include test results from invalid tests 
or from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR part 1065.
    (2) Report measured CO2, N2O, and 
CH4 as described in Sec. 1042.235. Small-volume engine 
manufacturers may omit reporting N2O and CH4.
    (s) Describe all adjustable operating parameters (see Sec. 
1042.115(d)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) For Category 1 engines, information showing why the limits, 
stops, or other means of inhibiting adjustment are effective in 
preventing adjustment of parameters on in-use engines to settings 
outside your intended physically adjustable ranges.
    (5) For Category 2 and Category 3 engines, propose a range of 
adjustment for each adjustable parameter, as described in Sec. 
1042.115(d). Include information showing why the limits, stops, or other 
means of inhibiting adjustment are effective in preventing adjustment of 
parameters on in-use engines to settings outside your proposed 
adjustable ranges.
    (t) Provide the information to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. If you broadcast a 
surrogate parameter for torque values, you must provide us what we need 
to convert these into torque units. You may reference any appropriate 
publicly

[[Page 192]]

released standards that define conventions for these messages and 
parameters. Format your information consistent with publicly released 
standards.
    (u) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in vessels and placed in service. 
Show how to sample exhaust emissions in a way that prevents diluting the 
exhaust sample with ambient air.
    (v) State whether your certification is limited for certain engines. 
If this is the case, describe how you will prevent use of these engines 
in applications for which they are not certified. This applies for 
engines such as the following:
    (1) Constant-speed engines.
    (2) Engines used with controllable-pitch propellers.
    (3) Recreational engines.
    (w) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (x) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes if 
they are substantially different than actual production volumes in 
earlier years for similar models.
    (y) Include the information required by other subparts of this part. 
For example, include the information required by Sec. 1042.725 if you 
participate in the ABT program.
    (z) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (aa) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (bb) The following provisions apply for imported engines:
    (1) Describe your normal practice for importing engines. For 
example, this may include identifying the names and addresses of any 
agents you have authorized to import your engines. Engines imported by 
nonauthorized agents are not covered by your certificate.
    (2) For engines below 560 kW, identify a test facility in the United 
States where you can test your engines if we select them for testing 
under a selective enforcement audit, as specified in 40 CFR part 1068.

[73 37243, June 30, 2008, as amended at 74 FR 56509, Oct. 30, 2009; 75 
FR 23000, Apr. 30, 2010]



Sec. 1042.210  Preliminary approval.

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission 
control devices, deterioration factors, useful life, testing for service 
accumulation, maintenance, and compliance with not-to-exceed standards. 
See Sec. 1042.245 for specific provisions that apply for deterioration 
factors. Decisions made under this section are considered to be 
preliminary approval, subject to final review and approval. We will 
generally not reverse a decision where we have given you preliminary 
approval, unless we find new information supporting a different 
decision. If you request preliminary approval related to the upcoming 
model year or the model year after that, we will make best-efforts to 
make the appropriate determinations as soon as practicable. We will 
generally not provide preliminary approval related to a future model 
year more than two years ahead of time.



Sec. 1042.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after 
you submit your application for certification as long as the amended 
instructions remain consistent with the provisions of Sec. 1042.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for an engine family if you 
want to change the emission-related maintenance instructions in a way 
that could affect emissions. In your request, describe the proposed 
changes to the maintenance instructions. If operators follow the 
original maintenance instructions rather than

[[Page 193]]

the newly specified maintenance, this does not allow you to disqualify 
those engines from in-use testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any specified maintenance, 
you may distribute the new maintenance instructions to your customers 30 
days after we receive your request, unless we disapprove your request. 
This would generally include replacing one maintenance step with 
another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of filter changes for 
engines in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).

[75 FR 23001, Apr. 30, 2010]



Sec. 1042.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject to 
the provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified engine configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
that is included or should be included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec. 1042.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification as specified in 
paragraph (a) of this section, send the relevant information to the 
Designated Compliance Officer.
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data engine is still appropriate 
for showing that the amended family complies with all applicable 
requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (see Sec. 1042.920).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration anytime after you send us your amended application and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected engines do not meet applicable 
requirements, we will notify you to cease production of the engines and 
may require

[[Page 194]]

you to recall the engines at no expense to the owner. Choosing to 
produce engines under this paragraph (e) is deemed to be consent to 
recall all engines that we determine do not meet applicable emission 
standards or other requirements and to remedy the nonconformity at no 
expense to the owner. If you do not provide information required under 
paragraph (c) of this section within 30 days after we request it, you 
must stop producing the new or modified engines.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to engines 
you have already introduced into U.S. commerce, except as described in 
this paragraph (f). If we approve a changed FEL after the start of 
production, you must include the new FEL on the emission control 
information label for all engines produced after the change. You may ask 
us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified engine, as described in paragraph (b)(3) of this 
section, use the appropriate FELs with corresponding production volumes 
to calculate emission credits for the model year, as described in 
subpart H of this part. In all other circumstances, you must use the 
higher FEL for the entire family to calculate emission credits under 
subpart H of this part.
    (2) You may ask to lower the FEL for your engine family only if you 
have test data from production engines showing that emissions are below 
the proposed lower FEL. The lower FEL applies only to engines you 
produce after we approve the new FEL. Use the appropriate FELs with 
corresponding production volumes to calculate emission credits for the 
model year, as described in subpart H of this part.

[73 37243, June 30, 2008, as amended at 75 FR 23001, Apr. 30, 2010]



Sec. 1042.230  Engine families.

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this section. 
You may not group engines in different engine categories in the same 
family. Your engine family is limited to a single model year.
    (b) For Category 1 engines, group engines in the same engine family 
if they are the same in all the following aspects:
    (1) The combustion cycle and the fuel with which the engine is 
intended or designed to be operated.
    (2) The cooling system (for example, raw-water vs. separate-circuit 
cooling).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Nominal bore and stroke.
    (7) Cylinder arrangement (such as in-line vs. vee configurations). 
This applies for engines with aftertreatment devices only.
    (8) Method of control for engine operation other than governing 
(i.e., mechanical or electronic).
    (9) Application (commercial or recreational).
    (10) Numerical level of the emission standards that apply to the 
engine, except as allowed under paragraphs (f) and (g) of this section.
    (c) For Category 2 engines, group engines in the same engine family 
if they are the same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The fuel with which the engine is intended or designed to be 
operated and the fuel system configuration.
    (3) The cooling system (for example, air-cooled or water-cooled), 
and procedure(s) employed to maintain engine temperature within desired 
limits (thermostat, on-off radiator fans, radiator shutters, etc.).
    (4) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (5) The turbocharger or supercharger general performance 
characteristics

[[Page 195]]

(e.g., approximate boost pressure, approximate response time, 
approximate size relative to engine displacement).
    (6) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (7) The type of exhaust aftertreatment system (oxidation catalyst, 
particulate trap), and characteristics of the aftertreatment system 
(catalyst loading, converter size vs. engine size).
    (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) Nominal bore and stroke dimensions.
    (10) The location of the piston rings on the piston.
    (11) The intake manifold induction port size and configuration.
    (12) The exhaust manifold port size and configuration.
    (13) The location of the intake and exhaust valves (or ports).
    (14) The size of the intake and exhaust valves (or ports).
    (15) The approximate intake and exhaust event timing and duration 
(valve or port).
    (16) The configuration of the fuel injectors and approximate 
injection pressure.
    (17) The type of fuel injection system controls (i.e., mechanical or 
electronic).
    (18) The overall injection timing characteristics, 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).
    (19) The type of smoke control system.
    (d) For Category 3 engines, group engines into engine families based 
on the criteria specified in Section 4.3 of the NOX Technical 
Code (incorporated by reference in Sec. 1042.910), except as allowed in 
paragraphs (e) and (f) of this section.
    (e) You may subdivide a group of engines that is identical under 
paragraph (b) or (c) of this section into different engine families if 
you show the expected emission characteristics are different during the 
useful life. However, for the purpose of applying small-volume family 
provisions of this part, we will consider the otherwise applicable 
engine family criteria of this section.
    (f) You may group engines that are not identical with respect to the 
things listed in paragraph (b), (c), or (d) of this section in the same 
engine family, as follows:
    (1) In unusual circumstances, you may group such engines in the same 
engine family if you show that their emission characteristics during the 
useful life will be similar.
    (2) If you are a small-volume engine manufacturer, you may group any 
Category 1 engines into a single engine family or you may group any 
Category 2 engines into a single engine family. This also applies if you 
are a post-manufacture marinizer modifying a base engine that has a 
valid certificate of conformity for any kind of nonroad or heavy-duty 
highway engine under this chapter.
    (3) The provisions of this paragraph (f) do not exempt any engines 
from meeting the standards and requirements in subpart B of this part.
    (g) If you combine engines that are subject to different emission 
standards into a single engine family under paragraph (f) of this 
section, you must certify the engine family to the more stringent set of 
standards for that model year. For Category 3 engine families that 
include a range of maximum in-use engine speeds, use the highest value 
of maximum in-use engine speed to establish the applicable 
NOX emission standard.

[73 37243, June 30, 2008, as amended at 75 FR 23001, Apr. 30, 2010]



Sec. 1042.235  Emission testing related to certification.

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec. 1042.101(a) or Sec. 
1042.104. See Sec. 1042.205(p) regarding emission testing related to 
the NTE standards. See Sec. Sec. 1042.240 and 1042.245 and 40 CFR part 
1065, subpart E, regarding service accumulation before emission testing. 
See Sec. 1042.655 for special testing provisions available for Category 
3 engines subject to Tier 3 standards.

[[Page 196]]

    (a) Select an emission-data engine from each engine family for 
testing. For engines at or above 560 kW, you may use a development 
engine that is equivalent in design to the engine being certified. For 
Category 3 engines, you may use a single-cylinder version of the engine. 
Using good engineering judgment, select the engine configuration most 
likely to exceed an applicable emission standard over the useful life, 
considering all exhaust emission constituents and the range of 
installation options available to vessel manufacturers.
    (b) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part.
    (c) We may measure emissions from any of your emission-data engines 
or other engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the engine to a test facility 
we designate. The engine you provide must include appropriate manifolds, 
aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block. 
If we do the testing at your plant, you must schedule it as soon as 
possible and make available the instruments, personnel, and equipment we 
need.
    (2) If we measure emissions from one of your engines, the results of 
that testing become the official emission results for the engine. Unless 
we later invalidate these data, we may decide not to consider your data 
in determining if your engine family meets applicable requirements.
    (3) Before we test one of your engines, we may set its adjustable 
parameters to any point within the specified adjustable ranges (see 
Sec. 1042.115(d)).
    (4) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter. For example, this would apply for an engine 
parameter that is subject to production variability because it is 
adjustable during production, but is not considered an adjustable 
parameter (as defined in Sec. 1042.901) because it is permanently 
sealed.
    (d) You may ask to use carryover emission data from a previous model 
year instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec. 1042.225.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification. For engines originally tested under the provisions of 
40 CFR part 94, you may consider those test procedures to be equivalent 
to the procedures we specify in subpart F of this part.
    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under paragraph 
(b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (g) Measure CO2 with each low-hour certification test 
using the procedures specified in 40 CFR part 1065 starting in the 2011 
model year. Also measure CH4 from Category 1 and Category 2 
engines with each low-hour certification test using the procedures 
specified in 40 CFR part 1065 starting in the 2012 model year. Measure 
N2O from Category 1 and Category 2 engines with each low-hour 
certification test using the procedures specified in 40 CFR part 1065 
for any engine family that depends on NOx aftertreatment to meet 
emission standards. Small-volume engine manufacturers may omit 
measurement of N2O and CH4. These measurements are 
not required for NTE testing. Use the same units and modal calculations 
as for your other results to report a

[[Page 197]]

single weighted value for each constituent. Round the final values as 
follows:
    (1) Round CO2 to the nearest 1 g/kW-hr.
    (2) Round N2O to the nearest 0.001 g/kW-hr.
    (3) Round CH4 to the nearest 0.001 g/kW-hr.

[73 37243, June 30, 2008, as amended at 74 FR 56509, Oct. 30, 2009; 75 
FR 23002, Apr. 30, 2010]



Sec. 1042.240  Demonstrating compliance with exhaust emission standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the emission standards in Sec. 1042.101(a) or Sec. 
1042.104 if all emission-data engines representing that family have test 
results showing official emission results and deteriorated emission 
levels at or below these standards. This also applies for all test 
points for emission-data engines within the family used to establish 
deterioration factors. See paragraph (f) of this section for provisions 
related to demonstrating compliance with non-duty-cycle standards, such 
as NTE standards. Note that your FELs are considered to be the 
applicable emission standards with which you must comply if you 
participate in the ABT program in subpart H of this part.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing an official 
emission result or a deteriorated emission level for any pollutant that 
is above an applicable emission standard. Similarly, your engine family 
is deemed not to comply if any emission-data engine representing that 
family has test results showing any emission level above the applicable 
not-to-exceed emission standard for any pollutant. This also applies for 
all test points for emission-data engines within the family used to 
establish deterioration factors.
    (c) To compare emission levels from the emission-data engine with 
the applicable emission standards, apply deterioration factors to the 
measured emission levels for each pollutant. Section 1042.245 specifies 
how to test your Category 1 or Category 2 engine to develop 
deterioration factors that represent the deterioration expected in 
emissions over your engines' full useful life. See paragraph (e) of this 
section for determining deterioration factors for Category 3 engines. 
Your deterioration factors must take into account any available data 
from in-use testing with similar engines. Small-volume engine 
manufacturers and post-manufacture marinizers may use assigned 
deterioration factors that we establish. Apply deterioration factors as 
follows:
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (c)(2) of this section, use an additive 
deterioration factor for exhaust emissions. An additive deterioration 
factor is the difference between exhaust emissions at the end of the 
useful life and exhaust emissions at the low-hour test point. In these 
cases, adjust the official emission results for each tested engine at 
the selected test point by adding the factor to the measured emissions. 
If the deterioration factor is less than zero, use zero. Additive 
deterioration factors must be specified to one more decimal place than 
the applicable standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested engine at 
the selected test point by multiplying the measured emissions by the 
deterioration factor. If the deterioration factor is less than one, use 
one. A multiplicative deterioration factor may not be appropriate in 
cases where testing variability is significantly greater than engine-to-
engine variability. Multiplicative deterioration factors must be 
specified to one more significant figure than the applicable standard.
    (3) Deterioration factor for crankcase emissions. If your engine 
vents crankcase emissions to the exhaust or to the atmosphere, you must 
account for crankcase emission deterioration, using good engineering 
judgment. You

[[Page 198]]

may use separate deterioration factors for crankcase emissions of each 
pollutant (either multiplicative or additive) or include the effects in 
combined deterioration factors that include exhaust and crankcase 
emissions together for each pollutant.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data engine. In the case of 
NOX+HC standards, apply the deterioration factor to each 
pollutant and then add the results before rounding.
    (e) For Category 3 engines, determine a deterioration factor based 
on an engineering analysis. The engineering analysis must describe how 
the measured emission levels from the emission-data engine show that 
engines comply with applicable emission standards throughout the useful 
life. Include this analysis in your application for certification and 
add a statement that all data, analyses, evaluations, and other 
information you used are available for our review upon request.
    (f) For NTE standards and mode caps, use good engineering judgment 
to demonstrate compliance throughout the useful life. You may, but are 
not required to, apply the same deterioration factors used to show 
compliance with the applicable duty-cycle standards. We will deny your 
application for certification if we determine that your test data show 
that your engines would exceed one or more NTE standard or mode cap 
during their useful lives.

[73 37243, June 30, 2008, as amended at 75 FR 23002, Apr. 30, 2010]



Sec. 1042.245  Deterioration factors.

    This section describes how to determine deterioration factors for 
Category 1 and Category 2 engines, either with an engineering analysis, 
with pre-existing test data, or with new emission measurements. Apply 
these deterioration factors to determine whether your engines will meet 
the duty-cycle emission standards throughout the useful life as 
described in Sec. 1042.240. This section does not apply for Category 3 
engines.
    (a) You may ask us to approve deterioration factors for an engine 
family with established technology based on engineering analysis instead 
of testing. Engines certified to a NOX+HC standard or FEL 
greater than the Tier 3 NOX+HC standard are considered to 
rely on established technology for control of gaseous emissions, except 
that this does not include any engines that use exhaust-gas 
recirculation or aftertreatment. In most cases, technologies used to 
meet the Tier 1 and Tier 2 emission standards would qualify as 
established technology. We must approve your plan to establish a 
deterioration factor under this paragraph (a) before you submit your 
application for certification.
    (b) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar highway, stationary, 
or nonroad engines (including locomotive engines or other marine 
engines) if you have already given us these data for certifying the 
other engines in the same or earlier model years. Use good engineering 
judgment to decide whether the two engines are similar. We must approve 
your plan to establish a deterioration factor under this paragraph (b) 
before you submit your application for certification. We will approve 
your request if you show us that the emission measurements from other 
engines reasonably represent in-use deterioration for the engine family 
for which you have not yet determined deterioration factors.
    (c) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) or (b) of this section, first get us 
to approve a plan for determining deterioration factors based on service 
accumulation and related testing. We will respond to your proposed plan 
within 45 days of receiving your request. Your plan must involve 
measuring emissions from an emission-data engine at least three times, 
which are evenly spaced over the service-accumulation period unless we 
specify otherwise, such that the resulting measurements and calculations

[[Page 199]]

will represent the deterioration expected from in-use engines over the 
full useful life. You may use extrapolation to determine deterioration 
factors once you have established a trend of changing emissions with age 
for each pollutant. You may use an engine installed in a vessel to 
accumulate service hours instead of running the engine only in the 
laboratory. You may perform maintenance on emission-data engines as 
described in Sec. 1042.125 and 40 CFR part 1065, subpart E.
    (d) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you determine your deterioration factors based on engineering 
analysis, explain why this is appropriate and include a statement that 
all data, analyses, evaluations, and other information you used are 
available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.

[73 37243, June 30, 2008, as amended at 75 FR 23003, Apr. 30, 2010]



Sec. 1042.250  Recordkeeping and reporting.

    (a) Send the Designated Compliance Officer information related to 
your U.S.-directed production volumes as described in Sec. 1042.345. In 
addition, within 45 days after the end of the model year, you must send 
us a report describing information about engines you produced during the 
model year as follows:
    (1) State the total production volume for each engine family that is 
not subject to reporting under Sec. 1042.345.
    (2) State the total production volume for any engine family for 
which you produce engines after completing the reports required in Sec. 
1042.345.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec. 1042.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests (valid and invalid), including 
documentation on routine and standard tests, as specified in part 40 CFR 
part 1065, and the date and purpose of each test.
    (v) All tests to diagnose engine or emission control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in this section for eight years after we issue your 
certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.

[73 37243, June 30, 2008, as amended at 75 FR 23003, Apr. 30, 2010]



Sec. 1042.255  EPA decisions.

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of

[[Page 200]]

this part and the Clean Air Act, we will issue a certificate of 
conformity for your engine family for that model year. We may make the 
approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Clean Air Act. We will base our 
decision on all available information. If we deny your application, we 
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Clean Air Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 1042.920).

[73 37243, June 30, 2008, as amended at 75 FR 23003, Apr. 30, 2010]



                Subpart D_Testing Production-line Engines



Sec. 1042.301  General provisions.

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart, except as 
follows:
    (1) Small-volume engine manufacturers may omit testing under this 
subpart.
    (2) We may exempt Category 1 engine families with a projected U.S.-
directed production volume below 100 engines from routine testing under 
this subpart. Request this exemption in your application for 
certification and include your basis for projecting a production volume 
below 100 units. We will approve your request if we agree that you have 
made good-faith estimates of your production volumes. Your exemption is 
approved when we grant your certificate. You must promptly notify us if 
your actual production exceeds 100 units during the model year. If you 
exceed the production limit or if there is evidence of a nonconformity, 
we may require you to test production-line engines under this subpart, 
or under 40 CFR part 1068, subpart E, even if we have approved an 
exemption under this paragraph (a)(2).
    (3) [Reserved]
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line engines do not meet the 
requirements of this part or you do not fulfill your obligations under 
this subpart (see Sec. Sec. 1042.325 and 1042.340).
    (c) Other regulatory provisions authorize us to suspend, revoke, or 
void your certificate of conformity, or order recalls for engine 
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not 
affect our ability to do selective enforcement audits, as described in 
40 CFR part 1068. Individual engines in families that pass these 
production-line testing requirements must also conform to all applicable 
regulations of this part and 40 CFR part 1068.
    (d) You may use alternate programs or measurement methods for 
testing production-line engines in the following circumstances:
    (1) [Reserved]
    (2) You may test your engines using the CumSum procedures specified 
in 40 CFR part 1045 or 1051 instead of the procedures specified in this 
subpart, except that the threshold for establishing

[[Page 201]]

quarterly or annual test periods is based on U.S.-directed production 
volumes of 800 instead of 1600. This alternate program does not require 
prior approval.
    (3) You may ask to use another alternate program or measurement 
method for testing production-line engines. In your request, you must 
show us that the alternate program gives equal assurance that your 
engines meet the requirements of this part. We may waive some or all of 
this subpart's requirements if we approve your alternate program.
    (e) If you certify a Category 1 or Category 2 engine family with 
carryover emission data, as described in Sec. 1042.235(d), and these 
equivalent engine families consistently pass the production-line testing 
requirements over the preceding two-year period, you may ask for a 
reduced testing rate for further production-line testing for that 
family. The minimum testing rate is one engine per engine family. If we 
reduce your testing rate, we may limit our approval to any number of 
model years. In determining whether to approve your request, we may 
consider the number of engines that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
engines available for a reasonable time so we can test or inspect them 
for compliance with the requirements of this part. For Category 3 
engines, you are not required to deliver engines to us, but we may 
inspect and test your engines at any facility at which they are 
assembled or installed in vessels.

[73 37243, June 30, 2008, as amended at 75 FR 23003, Apr. 30, 2010]



Sec. 1042.302  Applicability of this subpart for Category 3 engines.

    If you produce Tier 3 or later Category 3 engines that are certified 
under this part, you must test them as described in this subpart, except 
as specified in this section.
    (a) You must test each engine at the sea trial of the vessel in 
which it is installed or within the first 300 hours of operation, 
whichever occurs first. Since you must test each engine, the provisions 
of Sec. Sec. 1042.310 and 1042.315(b) do not apply for Category 3 
engines. If we determine that an engine failure under this subpart is 
caused by defective components or design deficiencies, we may revoke or 
suspend your certificate for the engine family as described in Sec. 
1042.340. If we determine that an engine failure under this subpart is 
caused only by incorrect assembly, we may suspend your certificate for 
the engine family as described in Sec. 1042.325. If the engine fails, 
you may continue operating only to complete the sea trial and return to 
port. It is a violation of 40 CFR 1068.101(b)(1) to operate the vessel 
further until you remedy the cause of failure. Each two-hour period of 
such operation constitutes a separate offense. A violation lasting less 
than two hours constitutes a single offense.
    (b) You are only required to measure NOX emissions. You 
do not need to measure HC, CO or PM emissions under this subpart.
    (c) If you are unable to operate the engine at the test points for 
the specified duty cycle, you may approximate these points consistent 
with the specifications of section 6 of Appendix 8 to the NOX 
Technical Code (incorporated by reference in Sec. 1042.910) and show 
compliance with the alternate installed-engine standard of Sec. 
1042.104(g). You must obtain EPA approval of your test procedure prior 
to testing the engine. Include in your request a description of your 
basis for concluding that the engine cannot be tested at the actual test 
points of the specified duty cycle.
    (d) You may measure NOX emissions at additional test 
points for the purposes of the continuous NOX monitoring 
requirements of Sec. 1042.110(d). If you do, you must report these 
values along with your other test results. Describe in your application 
for certification how you plan to use these values for continuous 
NOX monitoring.
    (e) You may ask to measure emissions according to the Direct 
Measurement and Monitoring method specified in section 6.4 of the 
NOX Technical Code (incorporated by reference in Sec. 
1042.910).

[75 FR 23003, Apr. 30, 2010]

[[Page 202]]



Sec. 1042.305  Preparing and testing production-line engines.

    This section describes how to prepare and test production-line 
engines. You must assemble the test engine in a way that represents the 
assembly procedures for other engines in the engine family. You must ask 
us to approve any deviations from your normal assembly procedures for 
other production engines in the engine family.
    (a) Test procedures. Test your production-line engines using the 
applicable testing procedures in subpart F of this part to show you meet 
the duty-cycle emission standards in subpart B of this part. For 
Category 1 and Category 2 engines, the not-to-exceed standards apply for 
this testing of Category 1 and Category 2 engines, but you need not do 
additional testing to show that production-line engines meet the not-to-
exceed standards. The mode cap standards apply for the testing of 
Category 3 engines.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec. 1042.310), you may adjust, repair, prepare, or modify it or 
check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Engine malfunction. If an engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair the 
engine or delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may require 
you to adjust any adjustable parameter on a Category 1 engine to any 
setting within its physically adjustable range. We may adjust or require 
you to adjust any adjustable parameter on a Category 2 or Category 3 
engine to any setting within its specified adjustable range.
    (1) We may require you to adjust idle speed outside the physically 
adjustable range as needed, but only until the engine has stabilized 
emission levels (see paragraph (e) of this section). We may ask you for 
information needed to establish an alternate minimum idle speed.
    (2) We may specify adjustments within the physically adjustable 
range or the specified adjustable range by considering their effect on 
emission levels. We may also consider how likely it is that someone will 
make such an adjustment with in-use engines.
    (e) Stabilizing emission levels. You may stabilize emission levels 
(or establish a Green Engine Factor for Category 2 engines) before you 
test production-line engines, as follows:
    (1) You may stabilize emission levels by operating the engine in a 
way that represents the way production engines will be used, using good 
engineering judgment, for no more than the greater of two periods:
    (i) 300 hours.
    (ii) The number of hours you operated your emission-data engine for 
certifying the engine family (see 40 CFR part 1065, subpart E, or the 
applicable regulations governing how you should prepare your test 
engine).
    (2) For Category 2 or Category 3 engines, you may ask us to approve 
a Green Engine Factor for each regulated pollutant for each engine 
family. Use the Green Engine Factor to adjust measured emission levels 
to establish a stabilized low-hour emission level.
    (f) Damage during shipment. If shipping an engine to a remote 
facility for production-line testing makes necessary an adjustment or 
repair, you must wait until after the initial emission test to do this 
work. We may waive this requirement if the test would be impossible or 
unsafe, or if it would permanently damage the engine. Report to us in 
your written report under Sec. 1042.345 all adjustments or repairs you 
make on test engines before each test.
    (g) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid under subpart F of this part. 
Explain in your written report reasons for invalidating any test and the 
emission results from all tests. If we determine that you improperly 
invalidated a test, we may require you to ask for our approval for

[[Page 203]]

future testing before substituting results of the new tests for invalid 
ones.

[73 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]



Sec. 1042.310  Engine selection for Category 1 and Category 2 engines.

    (a) Determine minimum sample sizes as follows:
    (1) For Category 1 engines, the minimum sample size is one engine or 
one percent of the projected U.S.-directed production volume for all 
your Category 1 engine families, whichever is greater.
    (2) For Category 2 engines, the minimum sample size is one engine or 
one percent of the projected U.S.-directed production volume for all 
your Category 2 engine families, whichever is greater.
    (b) Randomly select one engine from each engine family early in the 
model year. For further testing to reach the minimum sample size, 
randomly select a proportional sample from each engine family, with 
testing distributed evenly over the course of the model year, unless we 
specify a different schedule for your tests. For example, we may require 
you to disproportionately select engines from the early part of a model 
year for a new engine model that has not previously been subject to 
production-line testing.
    (c) For each engine that fails to meet emission standards, test two 
engines from the same engine family from the next fifteen engines 
produced or within seven days, whichever is later. If an engine fails to 
meet emission standards for any pollutant, count it as a failing engine 
under this paragraph (c).
    (d) Continue testing until one of the following things happens:
    (1) You test the number of engines specified in paragraphs (a) and 
(c) of this section.
    (2) The engine family does not comply according to Sec. 1042.315 or 
you choose to declare that the engine family does not comply with the 
requirements of this subpart.
    (3) You test 30 engines from the engine family.
    (e) You may elect to test more randomly chosen engines than we 
require under this section.



Sec. 1042.315  Determining compliance.

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family 
basis. See Sec. 1042.320 for the requirements that apply to individual 
engines that fail a production-line test.
    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate and round the test 
results for each engine. If you do several tests on an engine, calculate 
the initial results for each test, then add all the test results 
together and divide by the number of tests. Round this final calculated 
value for the final test results on that engine. Include the Green 
Engine Factor to determine low-hour emission results, if applicable.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec. 1042.240(c)).
    (3) Round deteriorated test results. Round the results to the number 
of decimal places in the emission standard expressed to one more decimal 
place.
    (b) For Category 1 and Category 2 engines, if a production-line 
engine fails to meet emission standards and you test two additional 
engines as described in Sec. 1042.310, calculate the average emission 
level for each pollutant for the three engines. If the calculated 
average emission level for any pollutant exceeds the applicable emission 
standard, the engine family fails the production-line testing 
requirements of this subpart. Tell us within ten working days if this 
happens. You may request to amend the application for certification to 
raise the FEL of the engine family as described in Sec. 1042.225(f).

[73 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]



Sec. 1042.320  What happens if one of my production-line engines fails to meet emission standards?

    (a) If you have a production-line engine with final deteriorated 
test results exceeding one or more emission standards (see Sec. 
1042.315(a)), the certificate of conformity is automatically suspended 
for that failing engine. You must take

[[Page 204]]

the following actions before your certificate of conformity can cover 
that engine:
    (1) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (2) Include the test results and describe the remedy for each engine 
in the written report required under Sec. 1042.345.
    (b) You may request to amend the application for certification to 
raise the FEL of the entire engine family at this point (see Sec. 
1042.225).
    (c) For catalyst-equipped engines, you may ask us to allow you to 
exclude an initial failed test if all of the following are true:
    (1) The catalyst was in a green condition when tested initially.
    (2) The engine met all emission standards when retested after 
degreening the catalyst.
    (3) No additional emission-related maintenance or repair was 
performed between the initial failed test and the subsequent passing 
test.

[73 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]



Sec. 1042.325  What happens if an engine family fails the production-line testing requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails under Sec. 1042.315. The suspension may apply to all 
facilities producing engines from an engine family, even if you find 
noncompliant engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when you 
receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec. 1042.920). If we agree 
before a hearing occurs that we used erroneous information in deciding 
to suspend the certificate, we will reinstate the certificate.
    (d) Section 1042.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the engines 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.
    (e) You may request to amend the application for certification to 
raise the FEL of the entire engine family before or after we suspend 
your certificate as described in Sec. 1042.225(f). We will approve your 
request if the failure is not caused by a defect and it is clear that 
you used good engineering judgment in establishing the original FEL.

[73 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]



Sec. 1042.330  Selling engines from an engine family with a suspended certificate of conformity.

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity under Sec. 1042.315 only if one of 
the following occurs:
    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines and 
remedy any noncompliance at no expense to the owner if later testing 
shows that the engine family still does not comply.



Sec. 1042.335  Reinstating suspended certificates.

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.



Sec. 1042.340  When may EPA revoke my certificate under this subpart and 

how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:

[[Page 205]]

    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under Sec. 1042.325 is inadequate to solve the problem or requires you 
to change the engine's design or emission control system.
    (b) To sell engines from an engine family with a revoked certificate 
of conformity, you must modify the engine family and then show it 
complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec. 1042.345  Reporting.

    (a) Within 45 days of the end of each quarter in which production-
line testing occurs, send us a report with the following information:
    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe each test engine, including the engine family's 
identification and the engine's model year, build date, model number, 
identification number, and number of hours of operation before testing. 
Also describe how you developed and applied the Green Engine Factor, if 
applicable.
    (5) Identify how you accumulated hours of operation on the engines 
and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; all initial test results; final test results; and final 
deteriorated test results for all tests. Provide the emission results 
for all measured pollutants. Include information for both valid and 
invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure or 
type of engine.
    (8) Report on each failed engine as described in Sec. 1042.320.
    (9) Identify when the model year ends for each engine family.
    (b) We may ask you to add information to your written report so we 
can determine whether your new engines conform with the requirements of 
this subpart. We may also ask you to send less information.
    (c) An authorized representative of your company must sign the 
following statement:

    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1042. We have not changed production 
processes or quality-control procedures for test engines in a way that 
might affect emission controls. All the information in this report is 
true and accurate to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized Company 
Representative)

    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. See Sec. 1042.915 for information on how we treat 
information you consider confidential.

[73 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]



Sec. 1042.350  Recordkeeping.

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.

[[Page 206]]

    (b) Keep paper or electronic records of your production-line testing 
for eight years after you complete all the testing required for an 
engine family in a model year.
    (c) Keep a copy of the written reports described in Sec. 1042.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine and the names of all supervisors 
who oversee this work.
    (4) If you shipped the engine for testing, the date you shipped it, 
the associated storage or port facility, and the date the engine arrived 
at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (7) Any information specified in Sec. 1042.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us a more detailed description of 
projected or actual production figures for an engine family. We may ask 
you to divide your production figures by maximum engine power, 
displacement, fuel type, or assembly plant (if you produce engines at 
more than one plant).
    (f) Keep records of the engine identification number for each engine 
you produce under each certificate of conformity. You may identify these 
numbers as a range. Give us these records within 30 days if we ask for 
them.
    (g) We may ask you to keep or send other information necessary to 
implement this subpart.

[73 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]



                        Subpart E_In-use Testing



Sec. 1042.401  General Provisions.

    We may perform in-use testing of any engine subject to the standards 
of this part.



                        Subpart F_Test Procedures



Sec. 1042.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for compression-ignition 
engines in 40 CFR part 1065 to determine whether engines meet the duty-
cycle emission standards in Sec. Sec. 1042.101 or 1042.104. Measure the 
emissions of all regulated pollutants as specified in 40 CFR part 1065. 
Use the applicable duty cycles specified in Sec. 1042.505.
    (b) Section 1042.515 describes the supplemental test procedures for 
evaluating whether engines meet the not-to-exceed emission standards in 
Sec. 1042.101(c).
    (c) Use the fuels and lubricants specified in 40 CFR part 1065, 
subpart H, for all the testing we require in this part, except as 
specified in this section and Sec. 1042.515.
    (1) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use engines 
will use.
    (2) For diesel-fueled engines, use the appropriate diesel fuel 
specified in 40 CFR part 1065, subpart H, for emission testing. Unless 
we specify otherwise, the appropriate diesel test fuel for Category 1 
and Category 2 engines is the ultra low-sulfur diesel fuel. If we allow 
you to use a test fuel with higher sulfur levels, identify the test fuel 
in your application for certification. Unless we specify otherwise, the 
appropriate diesel test fuel for Category 3 engines is the high-sulfur 
diesel fuel. For Category 2 and Category 3 engines, you may ask to use 
commercially available diesel fuel similar but not necessarily identical 
to the applicable fuel specified in 40 CFR part 1065, subpart H; we will 
approve your request if you show us that it does not affect your ability 
to demonstrate compliance with the applicable emission standards.
    (3) For Category 1 and Category 2 engines that are expected to use a 
type of fuel (or mixed fuel) other than diesel

[[Page 207]]

fuel (such as natural gas, methanol, or residual fuel), use a 
commercially available fuel of that type for emission testing. If a 
given engine is designed to operate on different fuels, we may (at our 
discretion) require testing on each fuel. Propose test fuel 
specifications that take into account the engine design and the 
properties of commercially available fuels. Describe these test fuel 
specifications in the application for certification.
    (d) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (e) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.
    (f) Duty-cycle testing is limited to ambient temperatures of 20 to 
30 [deg]C. Atmospheric pressure must be between 91.000 and 103.325 kPa, 
and must be within 5 percent of the value recorded 
at the time of the last engine map. Testing may be performed with any 
ambient humidity level. Correct duty-cycle NOX emissions for 
humidity as specified in 40 CFR part 1065.
    (g) For Category 3 engines, instead of test data collected as 
specified in 40 CFR part 1065, you may submit test data for 
NOX, HC, and CO emissions that were collected as specified in 
the NOX Technical Code (incorporated by reference in Sec. 
1042.910). For example, this allowance includes the allowance to perform 
the testing using test fuels allowed under the NOX Technical 
Code that do not meet the sulfur specifications of this section. We may 
require you to include a brief engineering analysis showing how these 
data demonstrate that your engines would meet the applicable emission 
standards if you had used the test procedures specified in 40 CFR part 
1065.

[73 37243, June 30, 2008, as amended at 74 FR 56509, Oct. 30, 2009; 75 
FR 23005, Apr. 30, 2010]



Sec. 1042.505  Testing engines using discrete-mode or ramped-modal duty cycles.

    This section describes how to test engines under steady-state 
conditions. In some cases, we allow you to choose the appropriate 
steady-state duty cycle for an engine. In these cases, you must use the 
duty cycle you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will use the duty cycles 
you select for your own testing. We may also perform other testing as 
allowed by the Clean Air Act.
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. Calculate cycle 
statistics and compare with the established criteria as specified in 40 
CFR 1065.514 to confirm that the test is valid. Operate the engine and 
sampling system as follows:
    (i) Engines with NOX aftertreatment. For engines that 
depend on aftertreatment to meet the NOX emission standard, 
operate the engine for 5-6 minutes, then sample emissions for 1-3 
minutes in each mode. You may extend the sampling time to improve 
measurement accuracy of PM emissions, using good engineering judgment. 
If you have a longer sampling time for PM emissions, calculate and 
validate cycle statistics separately for the gaseous and PM sampling 
periods.
    (ii) Engines without NOX aftertreatment. For other 
engines, operate the engine for at least 5 minutes, then sample 
emissions for at least 1 minute in each mode.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing as specified in 40 CFR part 1065, subpart G.
    (b) Measure emissions by testing the engine on a dynamometer with 
one of the following duty cycles (as specified) to determine whether it 
meets the emission standards in Sec. Sec. 1042.101 or 1042.104:
    (1) General cycle. Use the 4-mode duty cycle or the corresponding 
ramped-modal cycle described in paragraph (a) of Appendix II of this 
part for commercial propulsion marine engines that are

[[Page 208]]

used with (or intended to be used with) fixed-pitch propellers, 
propeller-law auxiliary engines, and any other engines for which the 
other duty cycles of this section do not apply. Use this duty cycle also 
for commercial variable-speed propulsion marine engines that are used 
with (or intended to be used with) controllable-pitch propellers or with 
electrically coupled propellers, unless these engines are not intended 
for sustained operation (e.g., for at least 30 minutes) at all four 
modes when installed in the vessel.
    (2) Recreational marine engines. Except as specified in paragraph 
(b)(3) of this section, use the 5-mode duty cycle or the corresponding 
ramped-modal cycle described in paragraph (b) of Appendix II of this 
part for recreational marine engines with maximum engine power at or 
above 37 kW.
    (3) Controllable-pitch and electrically coupled propellers. Use the 
4-mode duty cycle or the corresponding ramped-modal cycle described in 
paragraph (c) of Appendix II of this part for constant-speed propulsion 
marine engines that are used with (or intended to be used with) 
controllable-pitch propellers or with electrically coupled propellers. 
Use this duty cycle also for variable-speed propulsion marine engines 
that are used with (or intended to be used with) controllable-pitch 
propellers or with electrically coupled propellers if the duty cycles in 
paragraph (b)(1) and (b)(2) of this section do not apply.
    (4) Constant-speed auxiliary engines. Use the 5-mode duty cycle or 
the corresponding ramped-modal cycle described in 40 CFR part 1039, 
Appendix II, paragraph (a) for constant-speed auxiliary engines.
    (5) Variable-speed auxiliary engines. (i) Use the duty cycle 
specified in paragraph (b)(1) of this section for propeller-law 
auxiliary engines.
    (ii) Use the 6-mode duty cycle or the corresponding ramped-modal 
cycle described in 40 CFR part 1039, Appendix II, paragraph (b) for 
variable-speed auxiliary engines with maximum engine power below 19 kW 
that are not propeller-law engines.
    (iii) Use the 8-mode duty cycle or the corresponding ramped-modal 
cycle described in 40 CFR part 1039, Appendix III, paragraph (c) for 
variable-speed auxiliary engines with maximum engine power at or above 
19 kW that are not propeller-law engines.
    (c) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR part 1065.
    (d) For constant-speed engines whose design prevents full-load 
operation for extended periods, you may ask for approval under 40 CFR 
1065.10(c) to replace full-load operation with the maximum load for 
which the engine is designed to operate for extended periods.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.

[73 37243, June 30, 2008, as amended at 75 FR 23005, Apr. 30, 2010]



Sec. 1042.515  Test procedures related to not-to-exceed standards.

    (a) This section describes the procedures to determine whether your 
engines meet the not-to-exceed emission standards in Sec. 1042.101(c). 
These procedures may include any normal engine operation and ambient 
conditions that the engines may experience in use. Paragraphs (c) 
through (e) of this section define the limits of what we will consider 
normal engine operation and ambient conditions.
    (b) Measure emissions with one of the following procedures:
    (1) Remove the selected engines for testing in a laboratory. You may 
use an engine dynamometer to simulate normal operation, as described in 
this section. Use the equipment and procedures specified in 40 CFR part 
1065 to conduct laboratory testing.
    (2) Test the selected engines while they remain installed in a 
vessel. Use the equipment and procedures specified in 40 CFR part 1065 
subpart J, to conduct field testing. Use fuel meeting the specifications 
of 40 CFR part 1065, subpart H, or a fuel typical of what you would 
expect the engine to use in service.
    (c) Engine testing may occur under the following ranges of ambient 
conditions without correcting measured emission levels:
    (1) Atmospheric pressure must be between 96.000 and 103.325 kPa, 
except that manufacturers may test at lower atmospheric pressures if 
their test facility is located at an altitude that

[[Page 209]]

makes it impractical to stay within this range. This pressure range is 
intended to allow testing under most weather conditions at all altitudes 
up to 1,100 feet above sea level.
    (2) Ambient air temperature must be between 13 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).
    (3) Ambient water temperature must be between 5 and 27 [deg]C.
    (4) Ambient humidity must be between 7.1 and 10.7 grams of moisture 
per kilogram of dry air.
    (d) Engine testing may occur at any conditions expected during 
normal operation but that are outside the conditions described in 
paragraph (b) of this section, as long as measured values are corrected 
to be equivalent to the nearest end of the specified range, using good 
engineering judgment. Correct NOX emissions for humidity as 
specified in 40 CFR part 1065, subpart G.
    (e) The sampling period may not begin until the engine has reached 
stable operating temperatures. For example, this would include only 
engine operation after starting and after the engine thermostat starts 
modulating the engine's coolant temperature. The sampling period may not 
include engine starting.
    (f) Apply the NTE standards specified in Sec. 1042.101(c) to an 
engine family based on the zones and subzones corresponding to specific 
duty cycles and engine types as defined in Appendix III of this part. 
For an engine family certified to multiple duty cycles, the broadest 
applicable NTE zone applies for that family at the time of 
certification. Whenever an engine family is certified to multiple duty 
cycles and a specific engine from that family is tested for NTE 
compliance in use, determine the applicable NTE zone for that engine 
according to its in-use application. An engine family's NTE zone may be 
modified as follows:
    (1) You may ask us to approve a narrower NTE zone for an engine 
family at the time of certification, based on information such as how 
that engine family is expected to normally operate in use. For example, 
if an engine family is always coupled to a pump or jet drive, the engine 
might be able to operate only within a narrow range of engine speed and 
power.
    (2) You may ask us to approve a Limited Testing Region (LTR). An LTR 
is a region of engine operation, within the applicable NTE zone, where 
you have demonstrated that your engine family operates for no more than 
5.0 percent of its normal in-use operation, on a time-weighted basis. 
You must specify an LTR using boundaries based on engine speed and power 
(or torque), where the LTR boundaries must coincide with some portion of 
the boundary defining the overall NTE zone. Any emission data collected 
within an LTR for a time duration that exceeds 5.0 percent of the 
duration of its respective NTE sampling period (as defined in paragraph 
(c)(3) of this section) will be excluded when determining compliance 
with the applicable NTE standards. Any emission data collected within an 
LTR for a time duration of 5.0 percent or less of the duration of the 
respective NTE sampling period will be included when determining 
compliance with the NTE standards.
    (3) You must notify us if you design your engines for normal in-use 
operation outside the applicable NTE zone. If we learn that normal in-
use operation for your engines includes other speeds and loads, we may 
specify a broader NTE zone, as long as the modified zone is limited to 
normal in-use operation for speeds greater than 70 percent of maximum 
test speed and loads greater than 30 percent of maximum power at maximum 
test speed (or 30 percent of maximum test torque for constant-speed 
engines).
    (4) You may exclude emission data based on ambient or engine 
parameter limit values as follows:
    (i) NOX catalytic aftertreatment minimum temperature. For an engine 
equipped with a catalytic NOX aftertreatment system, exclude 
NOX emission data that is collected when the exhaust 
temperature is less than 250 [deg]C, as measured within 30 cm downstream 
of the last NOX aftertreatment device. Where there are 
parallel paths, measure the temperature 30 cm downstream of the last 
NOX aftertreatment device in the path with the greatest 
exhaust flow.

[[Page 210]]

    (ii) Oxidizing aftertreatment minimum temperature. For an engine 
equipped with an oxidizing catalytic aftertreatment system, exclude HC, 
CO, and PM emission data that is collected when the exhaust temperature 
is less than 250 [deg]C, as measured within 30 cm downstream of the last 
oxidizing aftertreatment device. Where there are parallel paths, measure 
the temperature 30 cm downstream of the last oxidizing aftertreatment 
device in the path with the greatest exhaust flow.
    (iii) Other parameters. You may request our approval for other 
minimum or maximum ambient or engine parameter limit values at the time 
of certification.
    (g) For engines equipped with emission controls that include 
discrete regeneration events, if a regeneration event occurs during the 
NTE test, the averaging period must be at least as long as the time 
between the events multiplied by the number of full regeneration events 
within the sampling period. This requirement applies only for engines 
that send an electronic signal indicating the start of the regeneration 
event.



Sec. 1042.520  What testing must I perform to establish deterioration factors?

    Sections 1042.240 and 1042.245 describe the required methods for 
testing to establish deterioration factors for an engine family.



Sec. 1042.525  How do I adjust emission levels to account for infrequently 

regenerating aftertreatment devices?

    This section describes how to adjust emission results from engines 
using aftertreatment technology with infrequent regeneration events. See 
paragraph (e) of this section for how to adjust ramped-modal testing. 
See paragraph (f) of this section for how to adjust discrete-mode 
testing. For this section, ``regeneration'' means an intended event 
during which emission levels change while the system restores 
aftertreatment performance. For example, exhaust gas temperatures may 
increase temporarily to remove sulfur from adsorbers or to oxidize 
accumulated particulate matter in a trap. For this section, 
``infrequent'' refers to regeneration events that are expected to occur 
on average less than once over the applicable transient duty cycle or 
ramped-modal cycle, or on average less than once per typical mode in a 
discrete-mode test.
    (a) Developing adjustment factors. Develop an upward adjustment 
factor and a downward adjustment factor for each pollutant based on 
measured emission data and observed regeneration frequency. Adjustment 
factors should generally apply to an entire engine family, but you may 
develop separate adjustment factors for different engine configurations 
within an engine family. If you use adjustment factors for 
certification, you must identify the frequency factor, F, from paragraph 
(b) of this section in your application for certification and use the 
adjustment factors in all testing for that engine family. You may use 
carryover or carry-across data to establish adjustment factors for an 
engine family, as described in Sec. 1042.235(d), consistent with good 
engineering judgment. All adjustment factors for regeneration are 
additive. Determine adjustment factors separately for different test 
segments. For example, determine separate adjustment factors for 
different modes of a discrete-mode steady-state test. You may use either 
of the following different approaches for engines that use 
aftertreatment with infrequent regeneration events:
    (1) You may disregard this section if regeneration does not 
significantly affect emission levels for an engine family (or 
configuration) or if it is not practical to identify when regeneration 
occurs. If you do not use adjustment factors under this section, your 
engines must meet emission standards for all testing, without regard to 
regeneration.
    (2) If your engines use aftertreatment technology with extremely 
infrequent regeneration and you are unable to apply the provisions of 
this section, you may ask us to approve an alternate methodology to 
account for regeneration events.
    (b) Calculating average adjustment factors. Calculate the average 
adjustment factor (EFA) based on the following equation:

EFA = (F)(EFH) + (1-F)(EFL)


[[Page 211]]


Where:

F = The frequency of the regeneration event during normal in-use 
          operation, expressed in terms of the fraction of equivalent 
          tests during which the regeneration occurs. You may determine 
          F from in-use operating data or running replicate tests. For 
          example, if you observe that the regeneration occurs 125 times 
          during 1,000 MW-hrs of operation, and your engine typically 
          accumulates 1 MW-hr per test, F would be (125) / (1,000) / (1) 
          = 0.125. No further adjustments, including weighting factors, 
          may be applied to F.
EFH = Measured emissions from a test segment in which the 
          regeneration occurs.
EFL = Measured emissions from a test segment in which the 
          regeneration does not occur.
    (c) Applying adjustment factors. Apply adjustment factors based on 
whether regeneration occurs during the test run. You must be able to 
identify regeneration in a way that is readily apparent during all 
testing.
    (1) If regeneration does not occur during a test segment, add an 
upward adjustment factor to the measured emission rate. Determine the 
upward adjustment factor (UAF) using the following equation:

UAF = EFA-EFL

    (2) If regeneration occurs or starts to occur during a test segment, 
subtract a downward adjustment factor from the measured emission rate. 
Determine the downward adjustment factor (DAF) using the following 
equation:

DAF = EFH-EFA

    (d) Sample calculation. If EFL is 0.10 g/kW-hr, 
EFH is 0.50 g/kW-hr, and F is 0.1 (the regeneration occurs 
once for each ten tests), then:

EFA = (0.1)(0.5 g/kW-hr) + (1.0-0.1)(0.1 g/kW-hr) = 0.14 g/
    kW-hr.
UAF = 0.14 g/kW-hr-0.10 g/kW-hr = 0.04 g/kW-hr.
DAF = 0.50 g/kW-hr-0.14 g/kW-hr = 0.36 g/kW-hr.

    (e) Ramped-modal testing. Develop a single sets of adjustment 
factors for the entire test. If a regeneration has started but has not 
been completed when you reach the end of a test, use good engineering 
judgment to reduce your downward adjustments to be proportional to the 
emission impact that occurred in the test.
    (f) Discrete-mode testing. Develop separate adjustment factors for 
each test mode. If a regeneration has started but has not been completed 
when you reach the end of the sampling time for a test mode extend the 
sampling period for that mode until the regeneration is completed.
    (g) Category 3 engines. We may specify an alternate methodology to 
account for regeneration events from Category 3 engines. If we do not, 
the provisions of this section apply as specified.

[73 37243, June 30, 2008, as amended at 75 FR 23005, Apr. 30, 2010]



                 Subpart G_Special Compliance Provisions



Sec. 1042.601  General compliance provisions for marine engines and vessels.

    Engine and vessel manufacturers, as well as owners, operators, and 
rebuilders of engines and vessels subject to the requirements of this 
part, and all other persons, must observe the provisions of this part, 
the requirements and prohibitions in 40 CFR part 1068, and the 
provisions of the Clean Air Act. The provisions of 40 CFR part 1068 
apply for compression-ignition marine engines as specified in that part, 
subject to the following provisions:
    (a) The following prohibitions apply with respect to recreational 
marine engines and recreational vessels:
    (1) Installing a recreational marine engine in a vessel that is not 
a recreational vessel is a violation of 40 CFR 1068.101(a)(1).
    (2) For a vessel with an engine that is certified and labeled as a 
recreational marine engine, using it in a manner inconsistent with its 
intended use as a recreational vessel violates 40 CFR 1068.101(a)(1), 
except as allowed by this chapter.
    (b) Subpart I of this part describes how the prohibitions of 40 CFR 
1068.101(a)(1) apply for certain remanufactured engines. The provisions 
of 40 CFR 1068.105 do not allow the installation of a new remanufactured 
engine in a vessel that is defined as a new vessel unless the 
remanufactured engine is subject to the same standards as the

[[Page 212]]

standards applicable to freshly manufactured engines of the required 
model year.
    (c) The provisions of 40 CFR 1068.120 apply when rebuilding marine 
engines, except as specified in subpart I of this part. The following 
additional requirements also apply when rebuilding marine engines 
equipped with exhaust aftertreatment:
    (1) Follow all instructions from the engine manufacturer and 
aftertreatment manufacturer for checking, repairing, and replacing 
aftertreatment components. For example, you must replace the catalyst if 
the catalyst assembly is stamped with a build date more than ten years 
ago and the manufacturer's instructions state that catalysts over ten 
years old must be replaced when the engine is rebuilt.
    (2) Measure pressure drop across the catalyst assembly to ensure 
that it is neither higher nor lower than the manufacturer's 
specifications and repair or replace exhaust-system components as needed 
to bring the pressure drop within the manufacturer's specifications.
    (3) For engines equipped with exhaust sensors, verify that sensor 
outputs are within the manufacturer's recommended range and repair or 
replace any malfunctioning components (sensors, catalysts, or other 
components).
    (d) The provisions of Sec. 1042.635 for the national security 
exemption apply instead of 40 CFR 1068.225.
    (e) For replacement engines, apply the provisions of 40 CFR 1068.240 
as described in Sec. 1042.615.
    (f) For the purpose of meeting the defect-reporting requirements in 
40 CFR 1068.501, if you manufacture other nonroad engines that are 
substantially similar to your marine engines, you may consider defects 
using combined marine and non-marine families.
    (g) The selective enforcement audit provisions of 40 CFR part 1068 
do not apply for Category 3 engines.
    (h) The defect reporting requirements of 40 CFR 1068.501 apply for 
Category 3 engines, except the threshold for filing a defect report is 
two engines.
    (i) You may not circumvent the requirements of this part or the 
Clean Air Act by manufacturing a vessel outside the United States or 
initially flagging a vessel in another country. The definition of ``new 
marine engine'' in Sec. 1042.901 includes provisions for U.S.-flagged 
vessels that are manufactured or reflagged outside of U.S. waters. These 
provisions have the effect of applying the prohibitions of 40 CFR 
1068.101(a)(1) to such vessels no later than when they first enter U.S. 
waters. The inclusion of these provisions does not affect requirements 
or prohibitions of the Clean Air Act or other statutes that may apply to 
the vessel before it first enters U.S. waters.

[73 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75 FR 
23005, Apr. 30, 2010]



Sec. 1042.605  Dressing engines already certified to other 

standards for nonroad or heavy-duty highway engines for marine use.

    (a) General provisions. If you are an engine manufacturer (including 
someone who marinizes a land-based engine), this section allows you to 
introduce new marine engines into U.S. commerce if they are already 
certified to the requirements that apply to compression-ignition engines 
under 40 CFR parts 85 and 86 or 40 CFR part 89, 92, 1033, or 1039 for 
the appropriate model year. If you comply with all the provisions of 
this section, we consider the certificate issued under 40 CFR part 86, 
89, 92, 1033, or 1039 for each engine to also be a valid certificate of 
conformity under this part 1042 for its model year, without a separate 
application for certification under the requirements of this part 1042. 
This section does not apply for Category 3 engines.
    (b) Vessel-manufacturer provisions. If you are not an engine 
manufacturer, you may install an engine certified for the appropriate 
model year under 40 CFR part 86, 89, 92, 1033, or 1039 in a marine 
vessel as long as you do not make any of the changes described in 
paragraph (d)(3) of this section and you meet the requirements of 
paragraph (e) of this section. If you modify the non-marine engine in 
any of the ways described in paragraph (d)(3) of this section, we will 
consider you a manufacturer of a new marine engine. Such engine 
modifications prevent you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section

[[Page 213]]

are exempt from all the requirements and prohibitions of this part, 
except for those specified in this section. Engines exempted under this 
section must meet all the applicable requirements from 40 CFR parts 85 
and 86 or 40 CFR part 89, 92, 1033, or 1039. This paragraph (c) applies 
to engine manufacturers, vessel manufacturers that use such an engine, 
and all other persons as if the engine were used in its originally 
intended application. The prohibited acts of 40 CFR 1068.101(a)(1) apply 
to these new engines and vessels; however, we consider the certificate 
issued under 40 CFR part 86, 89, 92, 1033, or 1039 for each engine to 
also be a valid certificate of conformity under this part 1042 for its 
model year. If we make a determination that these engines do not conform 
to the regulations during their useful life, we may require you to 
recall them under 40 CFR part 85, 89, 92, or 1068.
    (d) Specific criteria and requirements. If you are an engine 
manufacturer and meet all the following criteria and requirements 
regarding your new marine engine, the engine is eligible for an 
exemption 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 compression-ignition nonroad engines (40 CFR part 89 
or 1039).
    (iii) Locomotives (40 CFR part 92 or 1033). To be eligible for 
dressing under this section, the engine must be from a locomotive 
certified to standards that are at least as stringent as either the 
standards applicable to new marine engines or freshly manufactured 
locomotives in the model year that the engine is being dressed.
    (2) The engine must have the label required under 40 CFR part 86, 
89, 92, 1033, or 1039.
    (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) Change any fuel system parameters from the certified 
configuration, or change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (ii) Replacing an original turbocharger, except that small-volume 
engine manufacturers may replace an original turbocharger on a 
recreational engine 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 show that fewer than 10 percent of the engine family's 
total sales in the United States are used in marine applications. This 
includes engines used in any application, without regard to which 
company manufactures the vessel or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must confirm this based on your best 
estimate of the original manufacturer's sales information.
    (e) Labeling and documentation. If you are an engine manufacturer or 
vessel manufacturer using 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 the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we

[[Page 214]]

tell you) with all the following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine models for which you expect to use this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(4) of this section.
    (iii) State: ``We prepare each listed engine model for marine 
application without making any changes that could increase its certified 
emission levels, as described in 40 CFR 1042.605.''.
    (f) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1042 and the 
certificate issued under 40 CFR part(s) 86, 89, 92, 1033, or 1039 will 
not be deemed to also be a certificate issued under this part 1042. 
Introducing these engines into U.S. commerce as marine engines without a 
valid exemption or certificate of conformity under this part violates 
the prohibitions in 40 CFR 1068.101(a)(1).
    (g) Data submission. (1) If you are both 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 are requested you will be allowed a reasonable amount of time 
to collect the data.
    (h) Participation in averaging, banking and trading. Engines adapted 
for marine use under this section may not generate or use emission 
credits under this part 1042. These engines may generate credits under 
the ABT provisions in 40 CFR part(s) 86, 89, 92, 1033, or 1039, as 
applicable. These engines must use emission credits under 40 CFR part(s) 
86, 89, 92, 1033, or 1039 as applicable if they are certified to an FEL 
that exceeds an emission standard.
    (i) Operator requirements. The requirements specified for vessel 
manufacturers, owners, and operators in this subpart (including 
requirements in 40 CFR part 1068) apply to these engines whether they 
are certified under this part 1042 or another part as allowed by this 
section.

[73 37243, June 30, 2008, as amended at 75 FR 23005, Apr. 30, 2010]



Sec. 1042.610  Certifying auxiliary marine engines to land-based standards.

    This section applies to auxiliary marine engines that are identical 
to certified land-based engines. See Sec. 1042.605 for provisions that 
apply to propulsion marine engines or auxiliary marine engines that are 
modified for marine applications. This section does not apply for 
Category 3 engines.
    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce new marine engines into U.S. commerce if 
they are already certified to the requirements that apply to 
compression-ignition engines under 40 CFR part 89 or 1039 for the 
appropriate model year. If you comply with all the provisions of this 
section, we consider the certificate issued under 40 CFR part 89 or 1039 
for each engine to also be a valid certificate of conformity under this 
part 1042 for its model year, without a separate application for 
certification under the requirements of this part 1042.
    (b) Vessel-manufacturer provisions. If you are not an engine 
manufacturer, you may install an engine certified for land-based 
applications in a marine vessel as long as you meet all the qualifying 
criteria and requirements specified in paragraphs (d) and (e) of this 
section. If you modify the non-marine engine, we will consider you a 
manufacturer of a new marine engine. Such engine modifications prevent 
you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR part 
89 or 1039. This paragraph (c) applies to engine manufacturers, vessel

[[Page 215]]

manufacturers that use such an engine, and all other persons as if the 
engine were used in its originally intended application. The prohibited 
acts of 40 CFR 1068.101(a)(1) apply to these new engines and vessels; 
however, we consider the certificate issued under 40 CFR part 89 or 1039 
for each engine to also be a valid certificate of conformity under this 
part 1042 for its model year. If we make a determination that these 
engines do not conform to the regulations during their useful life, we 
may require you to recall them under 40 CFR part 89 or 1068.
    (d) Qualifying criteria. If you are an engine manufacturer and meet 
all the following criteria and requirements regarding your new marine 
engine, the engine is eligible for an exemption under this section:
    (1) The marine engine must be identical in all material respects to 
a land-based engine covered by a valid certificate of conformity for the 
appropriate model year showing that it meets emission standards for 
engines of that power rating under 40 CFR part 89 or 1039.
    (2) The engines may not be used as propulsion marine engines.
    (3) You must show that the number of auxiliary marine engines from 
the engine family must be smaller than the number of land-based engines 
from the engine family sold in the United States, as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (e) Specific requirements. If you are an engine manufacturer or 
vessel manufacturer using 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. This label or a supplemental label 
must identify that the original certification is valid for auxiliary 
marine applications.
    (2) Send a signed letter to the Designated Compliance 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 and describe your basis for meeting the 
sales restrictions of paragraph (d)(3) of this section.
    (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 1042.610.''.
    (3) If you are the certificate holder, you must describe in your 
application for certification how you plan to produce engines for both 
land-based and auxiliary marine applications, including projected sales 
of auxiliary marine engines to the extent this can be determined. If the 
projected marine sales are substantial, we may ask for the year-end 
report of production volumes to include actual auxiliary marine engine 
sales.
    (f) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1042 and the 
certificate issued under 40 CFR part 89 or 1039 will not be deemed to 
also be a certificate issued under this part 1042. Introducing these 
engines into U.S. commerce as marine engines without a valid exemption 
or certificate of conformity under this part 1042 violates the 
prohibitions in 40 CFR 1068.101(a)(1).
    (g) Participation in averaging, banking and trading. Engines using 
this exemption may not generate or use emission credits under this part 
1042. These engines may generate credits under the ABT provisions in 40 
CFR part 89 or 1039, as applicable. These engines must use emission 
credits under 40 CFR part 89 or 1039 as applicable if they are certified 
to an FEL that exceeds an emission standard.
    (h) Operator requirements. The requirements specified for vessel 
manufacturers, owners, and operators in this subpart (including 
requirements in 40 CFR part 1068) apply to these engines whether they 
are certified under this part 1042 or another part as allowed by this 
section.

[73 37243, June 30, 2008, as amended at 75 FR 23006, Apr. 30, 2010]

[[Page 216]]



Sec. 1042.615  Replacement engine exemption.

    For Category 1 and Category 2 replacement engines, apply the 
provisions of 40 CFR 1068.240 as described in this section. In unusual 
circumstances, you may ask us to allow you to apply these provisions for 
a new Category 3 engine.
    (a) This paragraph (a) applies instead of the provisions of 40 CFR 
1068.240(b)(3). The prohibitions in 40 CFR 1068.101(a)(1) do not apply 
to a new replacement engine if all the following conditions are met:
    (1) You use good engineering judgment to determine that no engine 
certified to the current requirements of this part is produced by any 
manufacturer with the appropriate physical or performance 
characteristics to repower the vessel.
    (2) You make a record of your determination for each replacement 
engine with the following information and keep these records for eight 
years:
    (i) If you determine that no engine certified to the current 
requirements of this part is available with the appropriate performance 
characteristics, explain why certified engines produced by you and other 
manufacturers cannot be used as a replacement because they are not 
similar to the engine being replaced in terms of power or speed.
    (ii) You may determine that all engines certified to the current 
requirements of this part that have appropriate performance 
characteristics are not available because they do not have the 
appropriate physical characteristics. If this is the case, explain why 
these certified engines produced by you and other manufacturers cannot 
be used as a replacement because their weight or dimensions are 
substantially different than those of the engine being replaced, or 
because they will not fit within the vessel's engine compartment or 
engine room.
    (iii) In evaluating appropriate physical or performance 
characteristics, you may account for compatibility with vessel 
components you would not otherwise replace when installing a new engine, 
including transmissions or reduction gears, drive shafts or propeller 
shafts, propellers, cooling systems, operator controls, or electrical 
systems for generators or indirect-drive configurations. If you make 
your determination on this basis, you must identify the vessel 
components that are incompatible with engines certified to current 
standards and explain how they are incompatible and why it would be 
unreasonable to replace them.
    (iv) In evaluating appropriate physical or performance 
characteristics, you may account for compatibility in a set of two or 
more propulsion engines on a vessel where only one of the engines needs 
replacement, but only if each engine not needing replacement has 
operated for less than 75 percent of its applicable useful life in hours 
or years (see Sec. 1042.101). If any engine not otherwise needing 
replacement exceeds this 75 percent threshold, your determination must 
consider replacement of all the propulsion engines.
    (v) In addition to the determination specified in paragraph (a)(1) 
of this section, you must make a separate determination for your own 
product line addressing every tier of emission standards that is more 
stringent than the emission standards for the engine being replaced. For 
example, if the engine being replaced was built before the Tier 1 
standards started to apply and engines of that size are currently 
subject to Tier 3 standards, you must consider whether any Tier 1 or 
Tier 2 engines that you produce have the appropriate physical and 
performance characteristics for replacing the old engine; if you can 
produce a Tier 2 engine with the appropriate physical and performance 
characteristics, you must use it as the replacement engine.
    (3) You must notify us within 30 days after you ship each 
replacement engine under this section. Your notification must include 
all the following things and be signed by an authorized representative 
of your company:
    (i) A copy of your records describing how you made the determination 
described in paragraph (a)(2) of this section for this particular 
engine.
    (ii) The total number of replacement engines you have shipped in the 
applicable calendar year, from all your marine engine models.
    (iii) The following statement:


[[Page 217]]


    I certify that the statements and information in the enclosed 
document are true, accurate, and complete to the best of my knowledge. I 
am aware that there are significant civil and criminal penalties for 
submitting false statements and information, or omitting required 
statements and information.

    (4) The replacement engine must conform to the applicable 
requirements of 40 CFR part 1043. Note that 40 CFR 1043.10 specifies 
allowances for vessels that operate only domestically.
    (b) Modifying a vessel to significantly increase its value within 
six months after installing a replacement engine produced under this 
section is a violation of 40 CFR 1068.101(a)(1).
    (c) We may void an exemption for an engine if we determine that any 
of the conditions described in paragraph (a) of this section are not 
met.
    (d) We may reduce the reporting and recordkeeping requirements in 
this section.

[73 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75 FR 
23006, Apr. 30, 2010]



Sec. 1042.620  Engines used solely for competition.

    The provisions of this section apply for new Category 1 engines and 
vessels built on or after January 1, 2009.
    (a) We may grant you an exemption from the standards and 
requirements of this part for a new engine on the grounds that it is to 
be used solely for competition. The requirements of this part, other 
than those in this section, do not apply to engines that we exempt for 
use solely for competition.
    (b) We will exempt engines that we determine will be used solely for 
competition. The basis of our determination is described in paragraphs 
(c) and (d) of this section. Exemptions granted under this section are 
good for only one model year and you must request renewal for each 
subsequent model year. We will not approve your renewal request if we 
determine the engine will not be used solely for competition.
    (c) Engines meeting all the following criteria are considered to be 
used solely for competition:
    (1) Neither the engine nor any vessels containing the engine may be 
displayed for sale in any public dealership or otherwise offered for 
sale to the general public. Note that this does not preclude display of 
these engines as long as they are not available for sale to the general 
public.
    (2) Sale of the vessel in which the engine is installed must be 
limited to professional racing teams, professional racers, or other 
qualified racers. For replacement engines, the sale of the engine itself 
must be limited to professional racing teams, professional racers, other 
qualified racers, or to the original vessel manufacturer.
    (3) The engine and the vessel in which it is installed must have 
performance characteristics that are substantially superior to 
noncompetitive models.
    (4) The engines are intended for use only as specified in paragraph 
(e) of this section.
    (d) You may ask us to approve an exemption for engines not meeting 
the criteria listed in paragraph (c) of this section as long as you have 
clear and convincing evidence that the engines will be used solely for 
competition.
    (e) Engines are considered to be used solely for competition only if 
their use is limited to competition events sanctioned by the U.S. Coast 
Guard or another public organization with authorizing permits for 
participating competitors. Operation of such engines may include only 
racing events, trials to qualify for racing events, and practice 
associated with racing events. Authorized attempts to set speed records 
are also considered racing events. Engines will not be considered to be 
used solely for competition if they are ever used for any recreational 
or other noncompetitive purpose. Use of exempt engines in any 
recreational events, such as poker runs and lobsterboat races, is a 
violation of 40 CFR 1068.101(b)(4).
    (f) You must permanently label engines exempted under this section 
to clearly indicate that they are to be used only for competition. 
Failure to properly label an engine will void the exemption for that 
engine.
    (g) If we request it, you must provide us any information we need to 
determine whether the engines are used solely for competition. This 
would include documentation regarding the number of engines and the 
ultimate purchaser of each engine as well as any

[[Page 218]]

documentation showing a vessel manufacturer's request for an exempted 
engine. Keep these records for five years.

[75 FR 23006, Apr. 30, 2010]



Sec. 1042.625  Special provisions for engines used in emergency applications.

    This section describes an exemption that is available for certain 
Category 1 and Category 2 engines. This exemption is not available for 
Category 3 engines.
    (a) Except as specified in paragraph (d) of this section, the 
prohibitions in Sec. 1068.101(a)(1) do not apply to a new engine that 
is subject to Tier 4 standards if the following conditions are met:
    (1) The engine is intended for installation in one of the following 
vessels or applications:
    (i) A lifeboat approved by the U.S. Coast Guard under approval 
series 160.135 (see for example 46 CFR 199.201(a)(1)), as long as such a 
vessel is not also used as a launch or tender.
    (ii) A rescue boat approved by the U.S. Coast Guard under approval 
series 160.156 (see for example 46 CFR 199.202(a)).
    (iii) Generator sets or other auxiliary equipment that qualify as 
final emergency power sources under 46 CFR part 112.
    (2) The engine meets the Tier 3 emission standards specified in 
Sec. 1042.101 as specified in 40 CFR 1068.265.
    (3) The engine is used only for its intended purpose, as specified 
on the emission control information label.
    (b) Except as specified in paragraph (d) of this section, the 
prohibitions in Sec. 1068.101(a)(1) do not apply to a new engine that 
is subject to Tier 3 standards according to the following provisions:
    (1) The engine must be intended for installation in a lifeboat or a 
rescue boat as specified in paragraph (a)(1)(i) or (ii) of this section.
    (2) This exemption is available from the initial effective date for 
the Tier 3 standards until the engine model (or one of comparable size, 
weight, and performance) has been certified as complying with the Tier 3 
standards and Coast Guard requirements.
    (3) The engine must meet the Tier 2 emission standards specified in 
Appendix I of this part as specified in 40 CFR 1068.265.
    (c) If you introduce an engine into U.S. commerce under this 
section, you must meet the labeling requirements in Sec. 1042.135, but 
add one of the following statements instead of the compliance statement 
in Sec. 1042.135(c)(10):
    (1) For lifeboats and rescue boats, add the following statement:

    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS 
UNDER 40 CFR 1042.625 AND IS FOR USE SOLELY IN LIFEBOATS OR RESCUE BOATS 
(COAST GUARD APPROVAL SERIES 160.135 OR 160.156). INSTALLATION OR USE OF 
THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW 
SUBJECT TO CIVIL PENALTY.

    (2) For engines serving as final emergency power sources, add the 
following statement:

    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS 
UNDER 40 CFR 1042.625 AND IS FOR USE SOLELY IN EMERGENCY EQUIPMENT 
REGULATED BY 46 CFR 112. INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER 
APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (d) Introducing into commerce a vessel containing an engine exempted 
under this section violates the prohibitions in 40 CFR 1068.101(a)(1) 
where the vessel is not covered by paragraph (a) or (b) of this section, 
unless it is exempt under a different provision. Similarly, using such 
an engine or vessel as something other than a lifeboat, rescue boat, or 
emergency engine as specified in paragraph (a)(1) of this section 
violates the prohibitions in 40 CFR 1068.101(a)(1), unless it is exempt 
under a different provision.

[73 37243, June 30, 2008, as amended at 75 FR 23006, Apr. 30, 2010]



Sec. 1042.630  Personal-use exemption.

    This section applies to individuals who manufacture vessels for 
personal use with used Category 1 engines. If you and your vessel meet 
all the conditions of this section, the vessel and its engine are 
considered to be exempt from the standards and requirements of this part 
that apply to new engines and new vessels. The prohibitions in

[[Page 219]]

Sec. 1068.101(a)(1) do not apply to engines exempted under this 
section. For example, you may install an engine that was not certified 
as a marine engine.
    (a) The vessel may not be manufactured from a previously certified 
vessel, nor may it be manufactured from a partially complete vessel that 
is equivalent to a certified vessel. The vessel must be manufactured 
primarily from unassembled components, but may incorporate some 
preassembled components. For example, fully preassembled steering 
assemblies may be used. You may also power the vessel with an engine 
that was previously used in a highway or land-based nonroad application.
    (b) The vessel may not be sold within five years after the date of 
final assembly.
    (c) No individual may manufacture more than one vessel in any ten-
year period under this exemption.
    (d) You may not use the vessel in any revenue-generating service or 
for any other commercial purpose, except that you may use a vessel 
exempt under this section for commercial fishing that you personally do.
    (e) This exemption may not be used to circumvent the requirements of 
this part or the requirements of the Clean Air Act. For example, this 
exemption would not cover a case in which a person sells an almost 
completely assembled vessel to another person, who would then complete 
the assembly. This would be considered equivalent to the sale of the 
complete new vessel. This section also does not allow engine 
manufacturers to produce new engines that are exempt from emission 
standards and it does not provide an exemption from the prohibition 
against tampering with certified engines.
    (f) The vessel must be a vessel that is not classed or subject to 
Coast Guard inspections or surveys.

[73 37243, June 30, 2008, as amended at 75 FR 23006, Apr. 30, 2010]



Sec. 1042.635  National security exemption.

    The standards and requirements of this part and prohibitions in 
Sec. 1068.101(a)(1) do not apply to engines exempted under this 
section.
    (a) An engine is exempt without a request if it will be used or 
owned by an agency of the Federal government responsible for national 
defense, where the vessel in which it is installed has armor, 
permanently attached weaponry, specialized electronic warfare systems, 
unique stealth performance requirements, and/or unique combat 
maneuverability requirements. This applies to both remanufactured and 
freshly manufactured marine engines. Gas turbine engines are also exempt 
without a request if they will be owned by an agency of the Federal 
government responsible for national defense.
    (b) Manufacturers may request a national security exemption for 
engines not meeting the conditions of paragraph (a) of this section, as 
long as the request is endorsed by an agency of the federal government 
responsible for national defense. Agencies of the federal government 
responsible for national defense may request exemptions for 
remanufactured engines. In your request, explain why you need the 
exemption.
    (c) [Reserved]
    (d) Add a legible label, written in English, to all engines exempted 
under this section. The label must be permanently secured to a readily 
visible part of the engine needed for normal operation and not normally 
requiring replacement, such as the engine block. This label must include 
at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, family identification, and model year of 
the engine (as applicable), or whom to contact for further information.
    (4) The statement ``THIS ENGINE HAS AN EXEMPTION FOR NATIONAL 
SECURITY UNDER 40 CFR 1042.635.''.

[73 37243, June 30, 2008, as amended at 74 FR 8426, Feb. 24, 2009; 75 FR 
23006, Apr. 30, 2010]



Sec. 1042.640  Special provisions for branded engines.

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec. 1042.135(c)(2):

[[Page 220]]

    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec. 
1042.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.



Sec. 1042.650  Exemptions for migratory vessels and auxiliary engines on Category 3 vessels.

    The provisions of this section apply for Category 1 and Category 2 
engines, including auxiliary engines installed on vessels with Category 
3 propulsion engines. These provisions do not apply for any Category 3 
engines. All engines exempted under this section must comply with the 
applicable requirements of 40 CFR part 1043.
    (a) Temporary exemption. A vessel owner may ask us for a temporary 
exemption from the tampering prohibition in 40 CFR 1068.101(b)(1) for a 
vessel if it will operate only in areas outside the United States where 
ULSD is not available. In your request, describe where the vessel will 
operate, how long it will operate there, why ULSD will be unavailable, 
and how you will modify the engine, including its emission controls. If 
we approve your request, you may modify the engine, but only as needed 
to disable or remove the emission controls needed for meeting the Tier 4 
standards. You must return the engine to its original certified 
configuration before the vessel returns to the United States to avoid 
violating the tampering prohibition in 40 CFR 1068.101(b)(1). We may set 
additional conditions to prevent circumvention of the provisions of this 
part.
    (b) SOLAS exemption. We may approve a permanent exemption from the 
prohibitions in 40 CFR 1068.101(a)(1) for an engine that is subject to 
Tier 4 standards as described in this paragraph (b).
    (1) Vessel owners may ask for a permanent exemption from the Tier 4 
standards for an engine that will be installed on vessels that will 
operate for extended periods outside the United States, provided they 
demonstrate all of the following are true:
    (i) Prior to introduction into service, the vessel will comply with 
applicable certification requirements for international safety pursuant 
to the U.S. Coast Guard and the International Convention for the 
Protection of Life at Sea (SOLAS). The vessel owner must maintain 
compliance with these requirements for the life of the exempted engine.
    (ii) The vessel will be used in areas outside of the United States 
where ULSD will not be available.
    (iii) The mix of vessels with engines certified to Tier 3 or earlier 
standards in the owner's current fleet and the owner's current business 
operation of those vessels makes the exemption necessary. Note that 
because of the large fraction of pre-Tier 4 engines in the fleet prior 
to 2021, a request for a Tier 4 exemption prior to that year must 
clearly demonstrate that unusual circumstances apply.
    (2) An engine exempted under this paragraph (b) must meet the Tier 3 
emission standards described in Sec. 1402.101, subject to the 
procedural requirements of 40 CFR 1068.265.
    (3) If you introduce an engine into U.S. commerce under this 
section, you must meet the labeling requirements in Sec. 1042.135, but 
add the following statement instead of the compliance statement in Sec. 
1042.135(c)(10):

    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS 
UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN SOLAS VESSELS. 
INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER APPLICATION MAY BE A 
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (4) Operating a vessel containing an engine exempted under this 
paragraph (b) violates the prohibitions in 40 CFR 1068.101(a)(1) if the 
vessel in not in full compliance with applicable requirements for 
international safety specified in paragraph (b)(1)(i) of this section.

[[Page 221]]

    (c) Vessels less than 500 gross tons. In unusual circumstances for 
vessels less than 500 gross tons, we may approve a vessel owner's 
request for a permanent exemption from the prohibitions in 40 CFR 
1068.101(a)(1) for an engine that is subject to Tier 4 standards that 
will operate for extended periods outside the United States without it 
being in compliance with applicable certification requirements for 
international safety. We may set appropriate additional conditions on 
such exemptions, and may void the exemption if those conditions are not 
met.
    (d) Auxiliary engines on Category 3 vessels. As specified in this 
paragraph (d), auxiliary engines on vessels with Category 3 propulsion 
engines are exempt from the standards of this part.
    (1) To be eligible for this exemption, the engine must meet all of 
the following criteria.
    (i) The engine must conform fully to the applicable NOX 
standards of Annex VI and meet all other applicable requirements of 40 
CFR part 1043. Engines installed on vessels constructed on or after 
January 1, 2016 must conform fully to the Annex VI Tier III 
NOX standards under 40 CFR part 1043 and meet all other 
applicable requirements in 40 CFR part 1043. Engines that would 
otherwise be subject to the Tier 4 standards of this part must also 
conform fully to the Annex VI Tier III NOX standards under 40 
CFR part 1043.
    (ii) The engine may not be used for propulsion (except for emergency 
engines).
    (iii) The engine may be equipped with on-off NOX 
controls, provided it conforms to the requirements of Sec. 1042.115(g).
    (2) You must notify the Designated Compliance Officer of your intent 
to use this exemption when applying for the EIAPP certificate for the 
engine under 40 CFR part 1043.
    (3) The remanufactured engine requirements of subpart I of this part 
do not apply.
    (4) If you introduce an engine into U.S. commerce under this 
paragraph (d), you must meet the labeling requirements in Sec. 
1042.135, but add the following statement instead of the compliance 
statement in Sec. 1042.135(c)(10):
    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS 
UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN VESSELS WITH CATEGORY 3 
PROPULSION ENGINES. INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER 
APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

[73 37243, June 30, 2008, as amended at 75 FR 23007, Apr. 30, 2010]



Sec. 1042.655  Special certification provisions for--Category 3 engines with aftertreatment.

    This section describes an optional approach for demonstrating for 
certification that catalyst-equipped engines (or engines equipped with 
other aftertreatment devices) comply with applicable emission standards. 
You must use good engineering judgment for all aspects of this 
allowance.
    (a) Eligibility. You may use the provisions of this section without 
our prior approval to demonstrate that aftertreatment-equipped Category 
3 engines meet the Tier 3 standards. In unusual circumstances, we may 
also allow you to use this approach to demonstrate that aftertreatment-
equipped Category 2 engines meet the Tier 4 standards. We will generally 
approve this for Category 2 engines only if the engines are too large to 
be practically tested in a laboratory with a fully assembled 
aftertreatment system. If we approve this approach for a Category 2 
engine, interpret references to Tier 3 in this section to mean Tier 4, 
and interpret references to Tier 2 in this section to mean Tier 3.
    (b) Required testing. The emission-data engine must be tested as 
specified in Subpart F to verify that the engine-out emissions comply 
with the Tier 2 standards. The catalyst material or other aftertreatment 
device must be tested under conditions that accurately represent actual 
engine conditions for the test points. This catalyst or aftertreatment 
testing may be performed on a benchscale.
    (c) Engineering analysis. Include with your application a detailed 
engineering analysis describing how the test data collected for the 
engine and aftertreatment demonstrate that all

[[Page 222]]

engines in the family will meet all applicable emission standards. We 
may require that you submit this analysis separately from your 
application, or that you obtain preliminary approval under Sec. 
1042.210.
    (d) Verification. You must verify your design by testing a complete 
production engine with installed aftertreatment in the final assembled 
configuration. Unless we specify otherwise, do this by complying with 
production-line testing requirements of subpart D of this part.
    (e) Other requirements. All other requirements of this part, 
including the non-testing requirements for certification, apply for 
these engines. Nothing in this section affects requirements in other 
regulatory parts, such as Coast Guard safety requirements.

[75 FR 23007, Apr. 30, 2010]



Sec. 1042.660  Requirements for vessel manufacturers, owners, and operators.

    (a) For vessels equipped with emission controls requiring the use of 
specific fuels, lubricants, or other fluids, owners and operators must 
comply with the manufacturer/remanufacturer's specifications for such 
fluids when operating the vessels. Failure to comply with the 
requirements of this paragraph is a violation of 40 CFR 1068.101(b)(1). 
For marine vessels that are excluded from the requirements of 40 CFR 
part 1043 because they operate only domestically, it is also a violation 
of 40 CFR 1068.101(b)(1) to operate the vessel using residual fuel on or 
after January 1, 2015. Note that 40 CFR part 80 also includes provisions 
that restrict the use of certain fuels by certain marine engines.
    (b) For vessels equipped with SCR systems requiring the use of urea 
or other reductants, owners and operators must report to us within 30 
days any operation of such vessels without the appropriate reductant. 
Failure to comply with the requirements of this paragraph is a violation 
of 40 CFR 1068.101(a)(2). Note that such operation is a violation of 40 
CFR 1068.101(b)(1).
    (c) The provisions of this paragraph (c) apply for marine vessels 
containing Category 3 engines.
    (1) The requirements of this paragraph (c)(1) apply only for 
Category 3 engines. All maintenance, repair, adjustment, and alteration 
of Category 3 engines subject to the provisions of this part performed 
by any owner, operator or other maintenance provider must be perform 
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. This includes but is not limited to complying with the 
maintenance instructions described in Sec. 1042.125. Adjustments are 
limited to the range specified by the engine manufacturer in the 
approved application for certification. Note that where a repair (or 
other maintenance) cannot be completed while at sea, it is not a 
violation to continue operating the engine to reach your destination.
    (2) It is a violation of 40 CFR 1068.101(b)(1) to operate the vessel 
with the engine adjusted outside of the specified adjustable range. Each 
two-hour period of such operation constitutes a separate offense. A 
violation lasting less than two hours constitutes a single offense.
    (3) The owner and operator of the engine must maintain on board the 
vessel records of all maintenance, repair, and adjustment that could 
reasonably affect the emission performance of any engine subject to the 
provision of this part. Owners and operators must 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 must make these records available to EPA upon request. These 
records must include the following:
    (i) The Technical File, Record Book of Engine Parameters, and bunker 
delivery notes as specified in 40 CFR 1043.70. The Technical File must 
be transferred to subsequent purchasers in the event of a sale of the 
engine or vessel. (ii) Specific descriptions of engine maintenance, 
repair, adjustment, and alteration (including rebuilding). The 
descriptions must include at least the

[[Page 223]]

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.
    (iii) Emission-related maintenance instructions provided by the 
manufacturer. These instructions must be transferred to subsequent 
purchasers in the event of a sale of the engine or vessel.
    (4) Owners and operators of engines equipped with on-off emission 
controls must comply with the requirements of this paragraph (c)(4) 
whenever a malfunction of the emission controls is indicated as 
specified in Sec. 1042.110(d). You must determine the cause of the 
malfunction and remedy it consistent with paragraph (c)(1) of this 
section. See paragraph (b) of this section if the malfunction is due to 
either a lack of reductant or inadequate reductant quality. If the 
malfunction occurs during the useful life, report the malfunction to the 
certificate holder for investigation and compliance with defect 
reporting requirements of 40 CFR 1068.501 (unless the malfunction is due 
to operation without adequate urea or other malmaintenance).
    (d) For each marine vessel containing a Category 3 engine, the owner 
must 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 must 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 
must 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.
    (e) Manufacturers, owners and operators must allow emission tests 
and inspections required by this part to be conducted and must provide 
reasonable assistance to perform such tests or inspections.

[75 FR 23007, Apr. 30, 2010]



Sec. 1042.670  Special provisions for gas turbine engines.

    The provisions of this section apply for gas turbine engines.
    (a) Implementation schedule. The requirements of this part do not 
apply for gas turbine engines below 600 kW before the 2014 model year. 
The requirements of this part do not apply for Tier 3 or earlier gas 
turbine engines at or above 600 kW. The provisions of 40 CFR part 1068 
also do not apply for gas turbine engines produced in these earlier 
model years.
    (b) Special test procedures. Manufacturers seeking certification of 
gas turbine engines must obtain preliminary approval of the test 
procedures to be used, consistent with Sec. 1042.210 and 40 CFR 
1065.10.
    (c) Remanufacturing. The requirements of subpart I of this part do 
not apply for gas turbine engines.
    (d) Equivalent displacement. Apply displacement-based provisions of 
this part by calculating an equivalent displacement from the maximum 
engine power. The equivalent per-cylinder displacement (in liters) 
equals the maximum engine power in kW multiplied by 0.00311, except that 
all gas turbines with maximum engine power above 9,300 kW are considered 
to have an equivalent per-cylinder displacement of 29.0 liters.

[[Page 224]]

    (e) Emission-related components. All components meeting the criteria 
of 40 CFR 1068.501(a)(1) are considered to be emission-related 
components with respect to maintenance, warranty, and defect reporting 
for gas turbine engines.
    (f) Engines used for national defense. See Sec. 1042.635 for 
provisions related to exempting gas turbine engines used for national 
defense.

[75 FR 23008, Apr. 30, 2010]



       Subpart H_Averaging, Banking, and Trading for Certification



Sec. 1042.701  General provisions.

    This subpart describes how you may use emission credits to 
demonstrate that Category 1 and Category 2 engines comply with emission 
standards under this part. The provisions of this subpart do not apply 
for Category 3 engines.
    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. Participation in this 
program is voluntary.
    (b) The definitions of subpart J of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Applicable emission standard means an emission standard that is 
specified in subpart B of this part. Note that for other subparts, 
``applicable emission standard'' is defined to also include FELs.
    (3) Averaging set means a set of engines in which emission credits 
may be exchanged only with other engines in the same averaging set.
    (4) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a 
result of a trade.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Standard means the emission standard that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart.
    (9) Trade means to exchange emission credits, either as a buyer or 
seller.
    (c) Emission credits may be exchanged only within an averaging set. 
Except as specified in paragraph (d) of this section, the following 
criteria define the applicable averaging sets:
    (1) Recreational engines.
    (2) Commercial Category 1 engines.
    (3) Category 2 engines.
    (d) Emission credits generated by commercial Category 1 engine 
families may be used for compliance by Category 2 engine families. Such 
credits must be discounted by 25 percent.
    (e) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
emissions from an engine exceed an FEL or standard (for example, during 
a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FEL that applies only to 
future production.
    (f) Engine families that use emission credits for one or more 
pollutants may not generate positive emission credits for another 
pollutant.
    (g) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.
    (h) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec. 1042.225.
    (i) You may use NOX+HC credits to show compliance with a 
NOX emission standard or use NOX credits to show 
compliance with a NOX+HC emission standard.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23008, Apr. 30, 2010]

[[Page 225]]



Sec. 1042.705  Generating and calculating emission credits.

    The provisions of this section apply separately for calculating 
emission credits for NOX, NOX+HC, or PM.
    (a) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard. 
Calculate positive emission credits for a family that has an FEL below 
the standard. Calculate negative emission credits for a family that has 
an FEL above the standard. Sum your positive and negative credits for 
the model year before rounding. Round the sum of emission credits to the 
nearest kilogram (kg) using consistent units throughout the following 
equation:

Emission credits (kg) = (Std - FEL) x (Volume) x (Power) x (LF) x (UL) x 
    (10-\3\)

Where:

Std = The emission standard, in g/kW-hr.
FEL = The family emission limit for the engine family, in g/kW-hr.
Volume = The number of engines eligible to participate in the averaging, 
banking, and trading program within the given engine family during the 
model year, as described in paragraph (c) of this section.
Power = The average value of maximum engine power of all the engine 
configurations within an engine family, calculated on a production-
weighted basis, in kilowatts.
LF = Load factor. Use 0.69 for propulsion marine engines and 0.51 for 
auxiliary marine engines. We may specify a different load factor if we 
approve the use of special test procedures for an engine family under 40 
CFR 1065.10(c)(2), consistent with good engineering judgment.
UL = The useful life for the given engine family, in hours.

    (b) [Reserved]
    (c) In your application for certification, base your showing of 
compliance on projected production volumes for engines whose point of 
first retail sale is in the United States. As described in Sec. 
1042.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
engines whose point of first retail sale is in the United States. Do not 
include any of the following engines to calculate emission credits:
    (1) Engines permanently exempted under subpart G of this part or 
under 40 CFR part 1068.
    (2) Exported engines.
    (3) Engines not subject to the requirements of this part, such as 
those excluded under Sec. 1042.5.
    (4) [Reserved]
    (5) Any other engines, where we indicate elsewhere in this part 1042 
that they are not to be included in the calculations of this subpart.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23008, Apr. 30, 2010]



Sec. 1042.710  Averaging emission credits.

    (a) Averaging is the exchange of emission credits among your engine 
families.
    (b) You may certify one or more engine families to an FEL above the 
emission standard, subject to the FEL caps and other provisions in 
subpart B of this part, if you show in your application for 
certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the 
otherwise applicable emission standard, you must obtain enough emission 
credits to offset the engine family's deficit by the due date for the 
final report required in Sec. 1042.730. The emission credits used to 
address the deficit may come from your other engine families that 
generate emission credits in the same model year, from emission credits 
you have banked, or from emission credits you obtain through trading.



Sec. 1042.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the manufacturer 
generating the emission credits for use in future model years for 
averaging or trading.
    (b) You may designate any emission credits you plan to bank in the 
reports you submit under Sec. 1042.730 as reserved credits. During the 
model year and before the due date for the final report, you may 
designate your reserved emission credits for averaging or trading.
    (c) Reserved credits become actual emission credits when you submit 
your final report. However, we may revoke these emission credits if we 
are unable

[[Page 226]]

to verify them after reviewing your reports or auditing your records.

[75 FR 23009, Apr. 30, 2010]



Sec. 1042.720  Trading emission credits.

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits. You may 
trade banked credits within an averaging set to any certifying 
manufacturer.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec. 1042.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer having a negative balance of 
emission credits. See Sec. 1042.745.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23009, Apr. 30, 2010]



Sec. 1042.725  Information required for the application for certification.

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs 
you select for the engine family for each pollutant for which you are 
using the ABT program. Your FELs must comply with the specifications of 
subpart B of this part, including the FEL caps. FELs must be expressed 
to the same number of decimal places as the emission standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes. We may require you to 
include similar calculations from your other engine families to 
demonstrate that you will be able to avoid a negative credit balance for 
the model year. If you project negative emission credits for a family, 
state the source of positive emission credits you expect to use to 
offset the negative emission credits.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23009, Apr. 30, 2010]



Sec. 1042.730  ABT reports.

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of-year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family participating in the ABT program:
    (1) Engine-family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you change the FEL after the 
start of production, identify the date that you started using the new 
FEL and/or give the engine identification number for the first engine 
covered by the new FEL. In this case, identify each applicable FEL and 
calculate the positive or negative emission credits under each FEL.
    (4) The projected and actual U.S.-directed production volumes for 
the model year, as described in Sec. 1042.705(c). If you changed an FEL 
during the model year, identify the actual production volume associated 
with each FEL.
    (5) Maximum engine power for each engine configuration, and the 
average engine power weighted by U.S.-directed production volumes for 
the engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine family. Identify any emission credits that you traded, as 
described in paragraph (d)(1) of this section.

[[Page 227]]

    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating engine families in each averaging set in the applicable 
model year is not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) Sellers must include the following information in their report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) Buyers must include the following information in their report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.

[73 37243, June 30, 2008, as amended at 75 FR 23009, Apr. 30, 2010]



Sec. 1042.735  Recordkeeping.

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for at least eight 
years after the due date for the end-of-year report. You may not use 
emission credits for any engines if you do not keep all the records 
required under this section. You must therefore keep these records to 
continue to bank valid credits. Store these records in any format and on 
any media as long as you can promptly send us organized, written records 
in English if we ask for them. You must keep these records readily 
available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec. 1042.730.
    (d) Keep records of the engine identification number for each engine 
you produce that generates or uses emission credits under the ABT 
program. You may identify these numbers as a range. If you change the 
FEL after the start of production, identify the date you started using 
each FEL and the range of engine identification numbers associated with 
each FEL. You must also identify the purchaser and destination for each 
engine you produce to the extent this information is available.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section in accordance with the 
Clean Air Act.

[73 37243, June 30, 2008, as amended at 75 FR 23009, Apr. 30, 2010]



Sec. 1042.745  Noncompliance.

    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model

[[Page 228]]

year. You are responsible to establish to our satisfaction that you 
fully comply with applicable requirements. We may void the certificate 
of conformity for an engine family if you fail to comply with any 
provisions of this subpart.
    (b) You may certify your engine family to an FEL above an emission 
standard based on a projection that you will have enough emission 
credits to offset the deficit for the engine family. However, we may 
void the certificate of conformity if you cannot show in your final 
report that you have enough actual emission credits to offset a deficit 
for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec. 1042.920).



     Subpart I_Special Provisions for Remanufactured Marine Engines



Sec. 1042.801  General provisions.

    This subpart describes how the provisions of this part 1042 apply 
for certain remanufactured marine engines.
    (a) The requirements of this subpart apply for remanufactured Tier 2 
and earlier commercial Category 1 and Category 2 marine engines at or 
above 600 kW, excluding those engines originally manufactured before 
1973. Note that the requirements of this subpart do not apply for 
engines below 600 kW, Category 3 engines, engines installed on 
recreational vessels, or Tier 3 and later engines.
    (b) Any person meeting the definition of ``remanufacturer'' in Sec. 
1042.901 may apply for a certificate of conformity for a remanufactured 
engine family.
    (c) The rebuilding requirements of 40 CFR 1068.120 do not apply to 
remanufacturing of engines using a certified remanufacturing system 
under this subpart. However, the requirements of 40 CFR 1068.120 do 
apply to all other remanufacturing of engines.
    (d) Unless specified otherwise, engines certified under this subpart 
are also subject to the other requirements of this part.
    (e) For remanufactured engines required to have a valid certificate 
of conformity, placing a new marine engine back into service following 
remanufacturing is a violation of 40 CFR 1068.101(a)(1), unless it has a 
valid certificate of conformity for its model year and the required 
label.
    (f) Remanufacturing systems that require a fuel change or use of a 
fuel additive may be certified under this part. However, they are not 
considered to be ``available'' with respect to triggering the 
requirement for an engine to be covered by a certificate of conformity 
under Sec. 1042.815. The following provisions apply:
    (1) Only fuels and additives registered under 40 CFR part 79 may be 
used under this paragraph (f).
    (2) You must demonstrate in your application that the fuel or 
additive will actually be used by operators, including a description of 
how the vessels and dispensing tanks will be labeled. We may require you 
to provide the labels to the operators.
    (3) You must also describe analytical methods that can be used by 
EPA or others to verify that fuel meets your specifications.
    (4) You must provide clear instructions to the operators specifying 
that they may only use the specified fuel/additive, label their vessels 
and fuel dispensing tanks, and keep records of their use of the fuel/
additive in order for their engine to be covered by your certificate. 
Use of the incorrect fuel (or fuel without the specified additive) or 
any other failure to comply with the requirements of this paragraph is a 
violation of 40 CFR 1068.101(b)(1).
    (g) Vessels equipped with emission controls as part of a state or 
local retrofit program prior to January 1, 2017 are exempt from the 
requirements of this subpart, as specified in this paragraph (g).
    (1) This exemption only applies for retrofit programs sponsored by a 
state government (or one of its political subdivisions) for the purpose 
of reducing emissions. The exemption does not apply where the sponsoring 
government specifies that inclusion in the retrofit program is not 
intended to provide an exemption from the requirements of this subpart.
    (2) The prohibitions against tampering and defeat devices in 40 CFR

[[Page 229]]

1068.101(b) and the rebuilding requirements in 40 CFR 1068.120 apply for 
the exempt engines in the same manner as if they were covered by a 
certificate.
    (3) Vessel owners must request an exemption prior to remanufacturing 
the engine. Your request must include documentation that your vessel has 
been retrofitted consistent with the specifications of paragraph (g)(1) 
of this section, and a signed statement declaring that to be true. 
Except for the initial request for a specific vessel and a specific 
retrofit, you may consider your request to be approved unless we notify 
you otherwise within 30 days of the date that we receive your request.

[73 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75 FR 
23009, Apr. 30, 2010]



Sec. 1042.810  Requirements for owner/operators and installers during remanufacture.

    This section describes how the remanufacturing regulations affect 
owner/operators and installers for engines subject to this subpart.
    (a) See the definition of ``remanufacture'' in Sec. 1042.901 to 
determine if you are remanufacturing your engine. (Note: Replacing 
cylinders one at a time may qualify as remanufacturing, depending on the 
interval between replacement.)
    (b) See the definition of ``new marine engine'' in Sec. 1042.901 to 
determine if remanufacturing your engine makes it subject to the 
requirements of this part. If the engine is considered to be new, it is 
subject to the certification requirements of this subpart, unless it is 
exempt under subpart G of this part.
    (c) Your engine is not subject to the standards of this part if we 
determine that no certified remanufacturing system is available for your 
engine as described in Sec. 1042.815. For engines that are 
remanufactured during multiple events within a five-year period, you are 
not required to use a certified system until all of your engine's 
cylinders have been replaced after the system became available. For 
example, if you remanufacture your 16-cylinder engine by replacing four 
cylinders each January and a system becomes available for your engine 
June 1, 2010, your engine must be in a certified configuration when you 
replace four cylinders in January of 2014. At that point, all 16 
cylinders would have been replaced after June 1, 2010.
    (d) You may comply with the certification requirements of this part 
for your remanufactured engine by either obtaining your own certificate 
of conformity as specified in subpart C of this part or by having a 
certifying remanufacturer include your engine under its certificate of 
conformity. In either case, your remanufactured engine must be covered 
by a certificate before it is reintroduced into service.
    (e) Contact a certifying remanufacturer to have your engine included 
under its certificate of conformity. You must comply with the 
certificate holder's emission-related installation instructions.



Sec. 1042.815  Demonstrating availability.

    (a) A certified remanufacturing system is considered to be available 
for a specific engine only if EPA has certified the remanufacturing 
system as being in compliance with the provisions of this part and the 
certificate holder has demonstrated during certification that the system 
meets the criteria of this paragraph (a). We may issue a certificate for 
a remanufacturing system that does not meet these criteria, but such 
systems would not be considered available.
    (1) The engine configuration must be included in the engine family 
for the remanufacturing system.
    (2) The total marginal cost of the remanufacturing system, as 
calculated under paragraph (c) of this section, must be less than 
$45,000 per ton of PM reduction.
    (3) It must be possible to obtain and install the remanufacturing 
system in a timely manner consistent with normal remanufacturing 
procedures. For example, a remanufacturing system would generally not be 
considered to be available if it required that the engine be removed 
from the vessel and shipped to a factory to be remanufactured.
    (4) The remanufacturing system may result in increased maintenance 
costs, provided the incremental maintenance costs are included in the 
total costs. The remanufacturing system may not adversely affect engine 
reliability or power. Note that owner/operators may

[[Page 230]]

ask us to determine that a remanufacturing system is not considered 
available for their vessels because of excessive costs under Sec. 
1042.850.
    (b) We will maintain a list of available remanufacturing systems. A 
new remanufacturing system is considered to be available 120 days after 
we first issue a certificate of conformity for it. Where we issue a 
certificate of conformity based on carryover data for a system that is 
already considered to be available for the configuration, the 120-day 
delay does not apply and the new system is considered to be available 
when we issue the certificate.
    (c) For the purpose of paragraph (a)(2) of this section, marginal 
cost means the difference in costs between remanufacturing the engine 
using the remanufacturing system and remanufacturing the engine 
conventionally, divided by the projected amount that PM emissions will 
be reduced over the engine's useful life.
    (1) Total costs include:
    (i) Incremental hardware costs.
    (ii) Incremental labor costs.
    (iii) Incremental operating costs over one useful life period.
    (iv) Other costs (such as shipping).
    (2) Calculate the projected amount that PM emissions will be reduced 
over the engine's useful life using the following equation:

PM tons = (EFbase - EFcont) x (PR) x (UL) x (LF) x 
    (10-6)

Where:

EFbase = deteriorated baseline PM emission rate (g/kW-hr).
EFcont = deteriorated controlled PM emission rate (g/kW-hr).
PR = maximum engine power for the engine (kW).
UL = useful life (hr).
LF = the load factor that would apply for your engine under Sec. 
1042.705.



Sec. 1042.820  Emission standards and required emission reductions for remanufactured engines.

    (a) The requirements of this section apply with respect to emissions 
as measured according to subpart F of this part. See paragraph (g) of 
this section for special provisions related to remanufacturing systems 
certified for both locomotive and marine engines. Remanufactured Tier 2 
and earlier engines may be certified under this subpart only if they 
have NOX emissions equivalent to or less than baseline 
NOX levels and PM emissions at least 25.0 percent less than 
baseline PM emission levels. See Sec. 1042.825 for provisions for 
determining baseline NOX and PM emissions. See Sec. 1042.835 
for provisions related to demonstrating compliance with these 
requirements.
    (b) The NTE and ABT provisions of this part do not apply for 
remanufactured engines.
    (c) The exhaust emission standards in this section apply for engines 
using the fuel type on which the engines in the engine family are 
designed to operate. Engines designed to operate using residual fuel 
must comply with the standards and requirements of this part when 
operated using residual fuel.
    (d) Your engines must meet the exhaust emission standards of this 
section over their full useful life, as defined in Sec. 1042.101(e).
    (e) The duty-cycle emission standards in this subpart apply to all 
testing performed according to the procedures in Sec. 1042.505, 
including certification, production-line, and in-use testing.
    (f) Sections 1042.120, 1042.125, 1042.130, 1042.140 apply for 
remanufactured engines as written. Section 1042.115 applies for 
remanufactured engines as written, except for the requirement that 
electronically controlled engines broadcast their speed and output shaft 
torque.
    (g) A remanufacturing system certified for locomotive engines under 
40 CFR part 1033 may be deemed to also meet the requirements of this 
section, as specified in Sec. 1042.836.



Sec. 1042.825  Baseline determination.

    (a) For the purpose of this subpart, the term ``baseline emissions'' 
means the average measured emission rate specified by this section. 
Baseline emissions are specific to a given certificate holder and a 
given engine configuration.
    (b) Select a used engine to be the emission-data engine for the 
engine family for testing. Using good engineering judgment, select the 
engine configuration expected to represent the most common configuration 
in the family.

[[Page 231]]

    (c) Remanufacture the engine according to OEM specifications (or 
equivalent). The engine is considered ``the baseline engine'' at this 
point. If the OEM specifications include a range of adjustment for any 
parameter, set the parameter to the midpoint of the range. You may ask 
us to allow you to adjust it differently, consistent with good 
engineering judgment.
    (d) Test the baseline engine four times according to the test 
procedures in subpart F of this part. The baseline emissions are the 
average of those four tests.
    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under this 
section. If we require you to test the same configuration, average the 
results of the testing with previous results, unless we determine that 
your previous results are not valid.
    (f) Use good engineering judgment for all aspects of the baseline 
determination. We may reject your baseline if we determine that you did 
not use good engineering judgment, consistent with the provisions of 40 
CFR 1068.5.



Sec. 1042.830  Labeling.

    (a) At the time of remanufacture, affix a permanent and legible 
label identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire useful life.
    (4) Written in English.
    (b) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark.
    (3) Include EPA's standardized designation for the engine family.
    (4) State the engine's category, displacement (in liters or L/cyl), 
maximum engine power (in kW), and power density (in kW/L) as needed to 
determine the emission standards for the engine family. You may specify 
displacement, maximum engine power, and power density as ranges 
consistent with the ranges listed in Sec. 1042.101. See Sec. 1042.140 
for descriptions of how to specify per-cylinder displacement, maximum 
engine power, and power density.
    (5) State: ``THIS MARINE ENGINE COMPLIES WITH 40 CFR 1042, SUBPART 
I, FOR [CALENDAR YEAR OF REMANUFACTURE].''.
    (c) You may add information to the emission control information 
label to identify other emission standards that the engine meets or does 
not meet (such as international standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (d) You may ask us to approve modified labeling requirements in this 
section if you show that it is necessary or appropriate. We will approve 
your request if your alternate label is consistent with the intent of 
the labeling requirements of this section.



Sec. 1042.835  Certification of remanufactured engines.

    (a) General requirements. See Sec. Sec. 1042.201, 1042.210, 
1042.220, 1042.225, 1042.250, and 1042.255 for the general requirements 
related to obtaining a certificate of conformity. See Sec. 1042.836 for 
special certification provisions for remanufacturing systems certified 
for locomotive engines under 40 CFR 1033.936.
    (b) Applications. See Sec. 1042.840 for a description of what you 
must include in your application.
    (c) Engine families. See Sec. 1042.845 for instruction about 
dividing your engines into engine families.
    (d) Test data. (1) Measure baseline emissions for the test 
configuration as specified in Sec. 1042.825.
    (2) Measure emissions from the test engine for your remanufacturing 
system according to the procedures of subpart F of this part.
    (3) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (i) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test engine to a test 
facility we designate.

[[Page 232]]

The test engine you provide must include appropriate manifolds, 
aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block. 
If we do the testing at your plant, you must schedule it as soon as 
possible and make available the instruments, personnel, and equipment we 
need.
    (ii) If we measure emissions from one of your test engines, the 
results of that testing become the official emission results for the 
engine. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your engine family meets applicable 
requirements.
    (iii) Before we test one of your engines, we may set its adjustable 
parameters to any point within the specified adjustable ranges (see 
Sec. 1042.115(d)).
    (iv) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter.
    (4) You may ask to use emission data from a previous model year 
instead of doing new tests, but only if all the following are true:
    (i) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec. 1042.225.
    (ii) The emission-data engine from the previous model year remains 
the appropriate emission-data engine.
    (iii) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification.
    (5) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under this 
section.
    (6) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (e) Demonstrating compliance. (1) For purposes of certification, 
your engine family is considered in compliance with the emission 
standards in Sec. 1042.820 if all emission-data engines representing 
that family have test results showing compliance with the standards and 
percent reductions required by that section. To compare emission levels 
from the emission-data engine with the applicable emission standards, 
apply an additive deterioration factor of 0.015 g/kW-hr to the measured 
emission levels for PM. Alternatively, you may test your engine as 
specified in Sec. 1042.245 to develop deterioration factors that 
represent the deterioration expected in emissions over your engines' 
full useful life.
    (2) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, then round the adjusted figure to the same 
number of decimal places as the emission standard. Compare the rounded 
emission levels to the emission standard for each emission-data engine.
    (3) Your applicable NOX standard for each configuration 
is the baseline NOX emission rate for that configuration plus 
5.0 percent (to account for test-to-test and engine-to-engine 
variability). Your applicable PM standard for each configuration is the 
baseline PM emission rate for that configuration multiplied by 0.750 
plus the deterioration factor. If you choose to include configurations 
in your engine family for which you do not measure baseline emissions, 
you must demonstrate through engineering analysis that your 
remanufacturing system will reduce PM emissions by at least 25.0 percent 
for those configurations and not increase NOX emissions.
    (4) Your engine family is deemed not to comply if any emission-data 
engine representing that family for certification has test results 
showing a deteriorated emission level above an applicable emission 
standard for any pollutant.
    (f) Safety Evaluation. You must exercise due diligence in ensuring 
that your system will not adversely affect safety or otherwise violate 
the prohibition of Sec. 1042.115(e).

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    (g) Compatibility Evaluation. If you are not the original 
manufacturer of the engine, you must contact the original manufacturer 
of the engine to verify that your system is compatible with the engine. 
Keep records of your contact with the original manufacturer.



Sec. 1042.836  Marine certification of locomotive remanufacturing systems.

    If you certify a Tier 0, Tier 1, or Tier 2 remanufacturing system 
for locomotives under 40 CFR part 1033, you may also certify the system 
under this part 1042, according to the provisions of this section. Note 
that in certain cases before 2013, locomotives may be certified under 40 
CFR part 1033 to the standards of 40 CFR part 92.
    (a) Include the following with your application for certification 
under 40 CFR part 1033 (or as an amendment to your application):
    (1) A statement of your intent to use your remanufacturing system 
for marine engines. Include a list of marine engine models for which 
your system may be used.
    (2) If there are significant differences in how your remanufacture 
system will be applied to marine engines relative to locomotives, in an 
engineering analysis demonstrating that your system will achieve 
emission reductions from marine engines similar to those from 
locomotives.
    (3) A description of modifications needed for marine applications.
    (4) A demonstration of availability as described in Sec. 1042.815, 
except that the total marginal cost threshold does not apply.
    (5) An unconditional statement that all the engines in the engine 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (b) Sections 1042.835 and 1042.840 do not apply for engines 
certified under this section.
    (c) Systems certified to the standards of 40 CFR part 92 are subject 
to the following restrictions:
    (1) Tier 0 locomotives systems may not be used for any Category 1 
engines or Tier 1 or later Category 2 engines.
    (2) Where systems certified to the standards of 40 CFR part 1033 are 
also available for an engine, you may not use a system certified to the 
standards of 40 CFR part 92.

[73 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75 FR 
23009, Apr. 30, 2010]



Sec. 1042.840  Application requirements for remanufactured engines.

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
1042.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec. 1042.140.
    (b) Explain how the emission control system operates. Describe in 
detail all system components for controlling exhaust emissions, 
including any auxiliary emission control devices (AECDs) you add to the 
engine. Identify the part number of each component you describe.
    (c) Summarize your cost effectiveness analysis used to demonstrate 
your system will meet the availability criteria of Sec. 1042.815. 
Identify the maximum allowable costs for vessel modifications to meet 
the these criteria.
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including the duty cycle(s) and the corresponding engine applications. 
Also describe any special or alternate test procedures you used.
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.

[[Page 234]]

    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065. See Sec. 
1042.801 if your certification is based on the use of special fuels or 
additives.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance and warranty instructions you will give 
to the owner/operator (see Sec. Sec. 1042.120 and 1042.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vessel (see Sec. 
1042.130).
    (k) Describe your emission control information label (see Sec. 
1042.830).
    (l) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec. 1042.245). Present any emission test 
data you used for this.
    (m) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (n) Present emission data for HC, NOX, PM, and CO as 
required by Sec. 1042.820. Show emission figures before and after 
applying adjustment factors for regeneration and deterioration factors 
for each pollutant and for each engine.
    (o) Report all test results, including those from invalid tests, 
whether or not they were conducted according to the test procedures of 
subpart F of this part. If you measure CO2, report those 
emission levels. We may ask you to send other information to confirm 
that your tests were valid under the requirements of this part and 40 
CFR part 1065.
    (p) Describe all adjustable operating parameters (see Sec. 
1042.115(d)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) For Category 1 engines, information showing why the limits, 
stops, or other means of inhibiting adjustment are effective in 
preventing adjustment of parameters on in-use engines to settings 
outside your intended physically adjustable ranges.
    (5) For Category 2 engines, propose a range of adjustment for each 
adjustable parameter, as described in Sec. 1042.115(d). Include 
information showing why the limits, stops, or other means of inhibiting 
adjustment are effective in preventing adjustment of parameters on in-
use engines to settings outside your proposed adjustable ranges.
    (q) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (r) Include the information required by other subparts of this part.
    (s) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (t) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (u) If you are not the original manufacturer of the engine, include 
a summary of your contact with the original manufacturer of the engine 
and provide to us any documentation provided to you by the original 
manufacturer.



Sec. 1042.845  Remanufactured engine families.

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this section. 
You may not group Category 1 and Category 2 engines in the same family.
    (b) In general, group engines in the same engine family if they are 
the same in all the following aspects:
    (1) The combustion cycle and fuel (the fuels with which the engine 
is intended or designed to be operated).
    (2) The cooling system (for example, raw-water vs. separate-circuit 
cooling).
    (3) Method of air aspiration.

[[Page 235]]

    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Nominal bore and stroke.
    (7) Method of control for engine operation other than governing 
(i.e., mechanical or electronic).
    (8) Original engine manufacturer.
    (c) Alternatively, you may ask us to allow you to include other 
engine configurations in your engine family, consistent with good 
engineering judgment.
    (d) Do not include in your family any configurations for which good 
engineering judgment indicates that your emission controls are unlikely 
to provide PM emission reductions similar to the configuration(s) 
tested.



Sec. 1042.850  Exemptions and hardship relief.

    This section describes exemption and hardship provisions that are 
available for owner/operators of engine subject to the provisions of 
this subpart.
    (a) Vessels owned and operated by entities that meet the size 
criterion of this paragraph (a) are exempt from the requirements of this 
subpart I. To be exempt, your gross annual revenue for the calendar year 
before the remanufacture must be less than $5,000,000 in 2008 dollars or 
the equivalent value for future years based on the Bureau of Labor 
Statistics' Producer Price Index (see www.bls.gov). Include all revenues 
from any parent company and its subsidiaries. The exemption applies only 
for years in which you meet this criterion.
    (b) In unusual circumstances, we may exempt you from an otherwise 
applicable requirement that you apply a certified remanufacturing system 
when remanufacturing your marine engine.
    (1) To be eligible, you must demonstrate that all of the following 
are true:
    (i) Unusual circumstances prevent you from meeting requirements from 
this chapter.
    (ii) You have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (iii) Not having the exemption will jeopardize the solvency of your 
company.
    (iv) No other allowances are available under the regulations in this 
chapter to avoid the impending violation.
    (2) Send the Designated Compliance Officer a written request for an 
exemption before you are in violation.
    (3) We may impose other conditions, including provisions to use an 
engine meeting less stringent emission standards or to recover the lost 
environmental benefit.
    (4) In determining whether to grant the exemptions, we will consider 
all relevant factors, including the following:
    (i) The number of engines to be exempted.
    (ii) The size of your company and your ability to endure the 
hardship.
    (iii) The length of time a vessel is expected to remain in service.
    (c) If you believe that a remanufacturing system that we identified 
as being available cannot be installed without significant modification 
of your vessel, you may ask us to determine that a remanufacturing 
system is not considered available for your vessel because the cost 
would exceed the total marginal cost threshold in Sec. 1042.815(a)(2).
    (d) Other exemptions specified in subpart G of this part and 40 CFR 
part 1068, subparts C and D also apply to remanufactured engines. For 
example, the national security exemption applies to remanufactured 
engines as described in Sec. 1042.635.

[73 37243, June 30, 2008, as amended at 74 FR 8426, Feb. 24, 2009; 75 FR 
23009, Apr. 30, 2010]



          Subpart J_Definitions and Other Reference Information



Sec. 1042.901  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that,

[[Page 236]]

if adjusted, may affect emissions or engine performance during emission 
testing or normal in-use operation. This includes, but is not limited 
to, parameters related to injection timing and fueling rate. You may ask 
us to exclude a parameter that is difficult to access if it cannot be 
adjusted to affect emissions without significantly degrading engine 
performance, or if you otherwise show us that it will not be adjusted in 
a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation and turbochargers are not 
aftertreatment.
    Alcohol-fueled engine means an engine that is designed to run using 
an alcohol fuel. For purposes of this definition, alcohol fuels do not 
include fuels with a nominal alcohol content below 25 percent by volume.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    2008 Annex VI means MARPOL Annex VI, which is an annex to the 
International Convention on the Prevention of Pollution from Ships, 
1973, as modified by the protocol of 1978 relating thereto (incorporated 
by reference in Sec. 1042.910).
    Applicable emission standard or applicable standard means an 
emission standard to which an engine is subject; or, where an engine has 
been or is being certified to another standard or FEL, applicable 
emission standards means the FEL and other standards to which the engine 
has been or is being certified. This definition does not apply to 
subpart H of this part.
    Auxiliary emission control device means any element of design that 
senses temperature, vessel 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.
    Base engine means a land-based engine to be marinized, as configured 
prior to marinization.
    Baseline emissions has the meaning given in Sec. 1042.825.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Carryover means relating to certification based on emission data 
generated from an earlier model year as described in Sec. 1042.235(d).
    Category 1 means relating to a marine engine with specific engine 
displacement below 7.0 liters per cylinder. See Sec. 1042.670 to 
determine equivalent per-cylinder displacement for nonreciprocating 
marine engines (such as gas turbine engines).
    Category 2 means relating to a marine engine with a specific engine 
displacement at or above 7.0 liters per cylinder but less than 30.0 
liters per cylinder. See Sec. 1042.670 to determine equivalent per-
cylinder displacement for nonreciprocating marine engines (such as gas 
turbine engines).
    Category 3 means relating to a reciprocating marine engine with a 
specific engine displacement at or above 30.0 liters per cylinder.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient or 
steady-state testing.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Commercial means relating to an engine or vessel that is not a 
recreational marine engine or a recreational vessel.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine. Note 
that certain

[[Page 237]]

other marine engines (such as those powered by natural gas with maximum 
engine power at or above 250 kW) are deemed to be compression-ignition 
engines in Sec. 1042.1.
    Constant-speed engine means an engine whose certification is limited 
to constant-speed operation. Engines whose constant-speed governor 
function is removed or disabled are no longer constant-speed engines.
    Constant-speed operation has the meaning given in 40 CFR 1065.1001.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Date of manufacture has the meaning given in 40 CFR 1068.30.
    Days means calendar days, unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point (see 
Sec. Sec. 1042.240 and 1042.245), expressed in one of the following 
ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Diesel fuel has the meaning given in 40 CFR 80.2. This generally 
includes No. 1 and No. 2 petroleum diesel fuels and biodiesel fuels.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1042.505.
    ECA associated area has the meaning given in 40 CFR 1043.20.
    Emission control area (ECA) has the meaning given in 40 CFR 1043.20.
    Emission control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine has the meaning given in 40 CFR 1068.30. This includes 
complete and partially complete engines.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability 
or factors unrelated to emissions.
    Engine family has the meaning given in Sec. 1042.230.
    Engine manufacturer means a manufacturer of an engine. See the 
definition of ``manufacturer'' in this section.
    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.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec. 1042.5, is not 
subject to this part 1042.

[[Page 238]]

    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places as 
the emission standard it replaces. The family emission limit serves as 
the emission standard for the engine family with respect to all required 
testing.
    Freshly manufactured marine engine means a marine engine that has 
not been placed into service. An engine becomes freshly manufactured 
when it is originally manufactured. See the definition of ``New marine 
engine'' for provisions that specify that certain other types of new 
engines are treated as freshly manufactured engines.
    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 all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as gasoline, diesel 
fuel, residual fuel, or natural gas. There can be multiple grades within 
a single fuel type, such as high-sulfur or low-sulfur diesel fuel.
    Gas turbine engine has the meaning given in 40 CFR 1068.30. In 
general, this means anything commercially known as a gas turbine engine. 
It does not include external combustion steam engines.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    Green Engine Factor means a factor that is applied to emission 
measurements from a Category 2 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.
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration above 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type, as described in Sec. 
1042.101(d) and Sec. 1042.104(a).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Low-hour means relating to an engine that has stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 125 hours of operation for engines below 560 kW and 
less than 300 hours for engines at or above 560 kW.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
market as low-sulfur diesel fuel having a maximum sulfur concentration 
of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling an engine or a vessel, or modifying or 
operating an engine or vessel in a way that makes it

[[Page 239]]

a new marine engine or new marine vessel.
    Manufacturer means any person who manufactures (see definition of 
``manufacture'' in this section) a new engine or vessel or imports such 
engines or vessels for resale. All manufacturing entities under the 
control of the same person are considered to be a single manufacturer.
    (1) This term includes, but is not limited to:
    (i) Any person who manufactures an engine or vessel for sale in the 
United States or otherwise introduces a new marine engine into U.S. 
commerce.
    (ii) Importers who import engines or vessels for resale.
    (iii) Post-manufacture marinizers.
    (iv) Vessel owners/operators that reflag a formerly foreign vessel 
as a U.S.-flagged vessel.
    (v) Any person who modifies or operates an engine or vessel in a way 
that makes it a new marine engine or new marine vessel.
    (2) Dealers that do not cause an engine or vessel to become new are 
not manufacturers.
    Marine engine means a nonroad engine that is installed or intended 
to be installed on a marine vessel. This includes a portable auxiliary 
marine engine only if its fueling, cooling, or exhaust system is an 
integral part of the vessel. A fueling system is considered integral to 
the vessel only if one or more essential elements are permanently 
affixed to the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has the meaning given in Sec. 1042.140.
    Maximum in-use engine speed has the meaning given in Sec. 1042.140.
    Maximum test power means the power output observed at the maximum 
test speed with the maximum fueling rate possible.
    Maximum test speed has the meaning given in 40 CFR 1065.1001.
    Maximum test torque has the meaning given in 40 CFR 1065.1001.
    Model year means any of the following:
    (1) For freshly manufactured marine engines (see definition of ``new 
marine engine,'' paragraph (1)), model year means one of the following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year. For seasonal production periods not including January 1, 
model year means the calendar year in which the production occurs, 
unless you choose to certify the applicable engine family with the 
following model year. For example, if your production period is June 1, 
2010 through November 30, 2010, your model year would be 2010 unless you 
choose to certify the engine family for model year 2011.
    (2) For an engine that is converted to a marine engine after being 
certified and placed into service as a motor vehicle engine, a nonroad 
engine that is not a marine engine, or a stationary engine, model year 
means the calendar year in which the engine was originally produced. For 
an engine that is converted to a marine engine after being placed into 
service as a motor vehicle engine, a nonroad engine that is not a marine 
engine, or a stationary engine without having been certified, model year 
means the calendar year in which the engine becomes a new marine engine. 
(See definition of ``new marine engine,'' paragraph (2)).
    (3) For an uncertified marine engine excluded under Sec. 1042.5 
that is later subject to this part 1042 as a result of being installed 
in a different vessel, model year means the calendar year in which the 
engine was installed in the non-excluded vessel. For a marine engine 
excluded under Sec. 1042.5 that is later subject to this part 1042 as a 
result of reflagging the vessel, model

[[Page 240]]

year means the calendar year in which the engine was originally 
manufactured. For a marine engine that become new under paragraph (7) of 
the definition of ``new marine engine,'' model year means the calendar 
year in which the engine was originally manufactured. (See definition of 
``new marine engine,'' paragraphs (3) and (7)).
    (4) For engines that do not meet the definition of ``freshly 
manufactured'' but are installed in new vessels, model year means the 
calendar year in which the engine is installed in the new vessel. (See 
definition of ``new marine engine,'' paragraph (4)).
    (5) For remanufactured engines, model year means the calendar year 
in which the remanufacture takes place.
    (6) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new marine engine,'' model year has the meaning given in 
paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of ``new marine engine,'' model year means the calendar year 
in which the engine is remanufactured.
    (iii) For imported engines described in paragraph (5)(iii) of the 
definition of ``new marine engine,'' model year means the calendar year 
in which the engine is first assembled in its imported configuration, 
unless specified otherwise in this part or in 40 CFR part 1068.
    (iv) For imported engines described in paragraph (5)(iv) of the 
definition of ``new marine engine,'' model year means the calendar year 
in which the engine is imported.
    (7) [Reserved]
    (8) For freshly manufactured vessels, model year means the calendar 
year in which the keel is laid or the vessel is at a similar stage of 
construction. For vessels that become new under paragraph (2) of the 
definition of ``new vessel'' (as a result of modifications), model year 
means the calendar year in which the modifications physically begin.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New marine engine means any of the following:
    (1) A freshly manufactured marine engine for which the ultimate 
purchaser has never received the equitable or legal title. This kind of 
engine might commonly be thought of as ``brand new.'' In the case of 
this paragraph (1), the engine is new from the time it is produced until 
the ultimate purchaser receives the title or the product is placed into 
service, whichever comes first.
    (2) An engine originally manufactured as a motor vehicle engine, a 
nonroad engine that is not a marine engine, or a stationary engine that 
is later used or intended to be used as a marine engine. In this case, 
the engine is no longer a motor vehicle, nonmarine, or stationary engine 
and becomes a ``new marine engine.'' The engine is no longer new when it 
is placed into marine service as a marine engine. This paragraph (2) 
applies for engines we exclude under Sec. 1042.5, where that engine is 
later installed as a marine engine in a vessel that is covered by this 
part 1042. For example, this would apply to an engine that is no longer 
used in a foreign vessel. An engine converted to a marine engine without 
having been certified is treated as a freshly manufactured engine under 
this part 1042.
    (3) A marine engine that has been previously placed into service in 
an application we exclude under Sec. 1042.5, where that engine is 
installed in a vessel that is covered by this part 1042. The engine is 
new when it first enters U.S. waters on a vessel covered by this part 
1042. For example, this would apply to an engine that is no longer used 
in a foreign vessel and for engines on a vessel that is reflagged as a 
U.S. vessel. Note paragraph (7) of this definition may also apply.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in a new vessel. This 
generally includes installation of used engines in new vessels. The 
engine is no longer new when the ultimate purchaser receives a title for 
the vessel or it is placed into service, whichever comes first. Such an 
engine is treated as a freshly manufactured engine under this part 1042, 
whether or not it meets the definition of ``freshly manufactured marine 
engine.''

[[Page 241]]

    (5) A remanufactured marine engine. An engine becomes new when it is 
remanufactured (as defined in this section) and ceases to be new when 
placed back into service.
    (6) An imported marine engine, subject to the following provisions:
    (i) An imported marine engine covered by a certificate of conformity 
issued under this part that meets the criteria of one or more of 
paragraphs (1) through (4) of this definition, where the original engine 
manufacturer holds the certificate, is new as defined by those 
applicable paragraphs.
    (ii) An imported remanufactured engine that would have been required 
to be certified if it had been remanufactured in the United States.
    (iii) An imported engine that will be covered by a certificate of 
conformity issued under this part, where someone other than the original 
engine manufacturer holds the certificate (such as when the engine is 
modified after its initial assembly), is a new marine engine when it is 
imported. It is no longer new when the ultimate purchaser receives a 
title for the engine or it is placed into service, whichever comes 
first.
    (iv) An imported marine engine that is not covered by a certificate 
of conformity issued under this part at the time of importation is new, 
but only if it was produced on or after the dates shown in the following 
table. This addresses uncertified engines and vessels initially placed 
into service that someone seeks to import into the United States. 
Importation of this kind of engine (or vessel containing such an engine) 
is generally prohibited by 40 CFR part 1068.

                   Applicability of Emission Standards for Compression-Ignition Marine Engines
----------------------------------------------------------------------------------------------------------------
                                                                                                       Initial
                                                                         Per-cylinder displacement    model year
         Engine category and type                  Power  (kW)                    (L/cyl)            of emission
                                                                                                      standards
----------------------------------------------------------------------------------------------------------------
Category 1...............................  P < 19.....................  All........................         2000
Category 1...............................  19 <= P < 37...............  All........................         1999
Category 1, Recreational.................  P = 37..........  disp. < 0.9................         2007
Category 1, Recreational.................  All........................  0.9 <= disp. < 2.5.........         2006
Category 1, Recreational.................  All........................  disp. = 2.5.....         2004
Category 1, Commercial...................  P = 37..........  disp. < 0.9................         2005
Category 1, Commercial...................  All........................  disp. = 0.9.....         2004
Category 2 and Category 3................  All........................  disp. = 5.0.....         2004
----------------------------------------------------------------------------------------------------------------

    (7) A marine engine that is not covered by a certificate of 
conformity issued under this part on a U.S.-flag vessel entering U.S. 
waters is new, but only if it was produced on or after the dates 
identified in paragraph (6)(iv) of this definition. Such entrance is 
deemed to be introduction into U.S. commerce.
    New vessel means any of the following:
    (1) A vessel for which the ultimate purchaser has never received the 
equitable or legal title. The vessel is no longer new when the ultimate 
purchaser receives this title or it is placed into service, whichever 
comes first.
    (2) 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, excluding temporary modifications (as 
defined in this section). 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. The vessel 
is no longer new when it is placed into service. 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)
    (3) For vessels with Category 3 engines, a vessel that has undergone 
a modification that substantially alters the dimensions or carrying 
capacity of the vessel, changes the type of vessel, or substantially 
prolongs the vessel's life.

[[Page 242]]

    (4) An imported vessel that has already been placed into service, 
where it has an engine not covered by a certificate of conformity issued 
under this part at the time of importation that was manufactured after 
the requirements of this part start to apply (see Sec. 1042.1).
    Noncompliant engine means an engine that was originally covered by a 
certificate of conformity but is not in the certified configuration or 
otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate of 
conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines, or vessels, or equipment 
that include nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general, 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft.
    NOX 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. 
1042.910). The Technical Code is part of 2008 Annex VI.
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor, but after the applicability of regeneration 
adjustment factors.
    Operator demand has the meaning given in 40 CFR 1065.1001.
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale. The owners manual may be in paper or electronic format.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Particulate trap means a filtering device that is designed to 
physically trap particulate matter above a certain size.
    Passenger means a person that provides payment as a condition of 
boarding a vessel. This does not include the owner or any paid crew 
members.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means a vessel dealership or 
manufacturing facility, but may also include an engine seller or 
distributor in cases where loose engines are sold to the general public 
for uses such as replacement engines.
    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 the 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.
    Power density has the meaning given in Sec. 1042.140.
    Ramped-modal means relating to the ramped-modal type of steady-state 
test described in Sec. 1042.505.
    Rated speed means the maximum full-load governed speed for governed 
engines and the speed of maximum power for ungoverned engines.
    Recreational marine engine means a Category 1 propulsion marine 
engine that is intended by the manufacturer to be installed on a 
recreational vessel.
    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. However, this does not 
include the following vessels:
    (1) Vessels below 100 gross tons that carry more than 6 passengers.

[[Page 243]]

    (2) Vessels at or above 100 gross tons that carry one or more 
passengers.
    (3) Vessels used solely for competition (see Sec. 1042.620).
    Reflag means to register as a U.S. vessel any vessel that previously 
had a foreign registry or had been placed into service without 
registration.
    Remanufacture means to replace every cylinder liner in a commercial 
engine with maximum engine power at or above 600 kW, whether during a 
single maintenance event or cumulatively within a five-year period. For 
the purpose of this definition, ``replace'' includes removing, 
inspecting, and requalifying a liner. Rebuilding a recreational engine 
or an engine with maximum engine power below 600 kW is not 
remanufacturing.
    Remanufacture system or remanufacturing system means all components 
(or specifications for components) and instructions necessary to 
remanufacture an engine in accordance with applicable requirements of 
this part 1042.
    Remanufacturer has the meaning given to ``manufacturer'' in section 
216(1) of the Clean Air Act (42 U.S.C. 7550(1)) with respect to 
remanufactured marine engines. This term includes any person that is 
engaged in the manufacture or assembly of remanufactured engines, such 
as persons who:
    (1) Design or produce the emission-related parts used in 
remanufacturing.
    (2) Install parts in or on an existing engine to remanufacture it.
    (3) Own or operate the 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).
    Residual fuel means any fuel with a T90 greater than 700 
[deg]F as measured with the distillation test method specified in 40 CFR 
1065.1010. This generally includes all RM grades of marine fuel without 
regard to whether they are known commercially as residual fuel. For 
example, fuel marketed as intermediate fuel may be residual fuel.
    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine family.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Small-volume boat builder means a boat manufacturer with fewer than 
500 employees and with annual worldwide 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. Manufacturers that produce vessels with 
Category 3 engines are not small-volume boat builders.
    Small-volume engine manufacturer means a manufacturer of Category 1 
and/or Category 2 engines with annual worldwide 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. Manufacturers 
that certify or produce any Category 3 engines are not small-volume 
engine manufacturers.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Specified adjustable range means a range of adjustment for an 
adjustable parameter that is approved as part of certification. Note 
that Category 1 engines must comply with emission standards over the 
full physically adjustable range for any adjustable parameters.
    Steady-state has the meaning given in 40 CFR 1065.1001.

[[Page 244]]

    Sulfur-sensitive technology means an emission control technology 
that experiences a significant drop in emission control performance or 
emission-system durability when an engine is operated on low-sulfur fuel 
(i.e., fuel with a sulfur concentration of 300 to 500 ppm) as compared 
to when it is operated on ultra low-sulfur fuel (i.e., fuel with a 
sulfur concentration less than 15 ppm). Exhaust-gas recirculation is not 
a sulfur-sensitive technology.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Temporary modification means a modification to a vessel based on a 
written contract for marine services such that the modifications will be 
removed from the vessel when the contract expires. This provision is 
intended to address short-term contracts that would generally be less 
than 12 months in duration. You may ask us to consider modifications 
that will be in place longer than 12 months as temporary modifications.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tier 1 means relating to the Tier 1 emission standards, as shown in 
Appendix I.
    Tier 2 means relating to the Tier 2 emission standards, as shown in 
Sec. 1042.104 and Appendix I.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
Sec. 1042.101 and Sec. 1042.104.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec. 1042.101.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass contributions 
of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic 
compounds that are measured separately as contained in a gas sample, 
expressed as exhaust hydrocarbon from petroleum-fueled engines. The 
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
    Ultimate purchaser means, with respect to any new vessel or new 
marine engine, the first person who in good faith purchases such new 
vessel or new marine engine for purposes other than resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur 
concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning given 
in 40 CFR part 1065.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engine units, 
subject to the requirements of this part, produced by a manufacturer for 
which the manufacturer has a reasonable assurance that sale was or will 
be made to ultimate purchasers in the United States.
    U.S. waters includes U.S. navigable waters and the U.S. EEZ.
    Useful life means the period during which the engine is designed to 
properly function in terms of reliability and fuel consumption, without 
being remanufactured, specified as a number of hours of operation or 
calendar years, whichever comes first. It is the period during which an 
engine is required to comply with all applicable emission standards. See 
Sec. Sec. 1042.101(e) and 1042.104(d).
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    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 245]]

    Vessel owner means the individual or company that holds legal title 
to a vessel.
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile liquid fuel means any fuel other than diesel fuel or 
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor 
Pressure higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23010, Apr. 30, 2010]



Sec. 1042.905  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:

ABT Averaging, banking, and trading.
AECD auxiliary-emission control device.
CFR Code of Federal Regulations.
CH4 methane
CO carbon monoxide.
CO2 carbon dioxide.
cyl cylinder.
disp. displacement.
ECA Emission Control Area.
EEZ Exclusive Economic Zone.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g grams.
HC hydrocarbon.
hr hours.
IMO International Maritime Organization.
kPa kilopascals.
kW kilowatts.
L liters.
LTR Limited Testing Region.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed.
PM particulate matter.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
ULSD ultra low-sulfur diesel fuel.
U.S.C. United States Code.

[73 37243, June 30, 2008, as amended at 74 FR 56509, Oct. 30, 2009; 75 
FR 23012, Apr. 30, 2010]



Sec. 1042.910  Reference materials.

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460, (202) 566-1744, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    (a) IMO material. This paragraph (a) lists material from the 
International Maritime Organization that we have incorporated by 
reference. Anyone may purchase copies of these materials from the 
International Maritime Organization, 4 Albert Embankment, London SE1 
7SR, United Kingdom, or http://www.imo.org, or 44-(0)20-7735-7611.
    (1) Revised MARPOL Annex VI, Regulations for the Prevention of Air 
Pollution from Ships, and NOX Technical Code 2008, 2009 
edition.
    (i) Revised MARPOL Annex VI, Regulations for the Prevention of 
Pollution from Ships (``2008 Annex VI''); IBR approved for Sec. 
1042.901.
    (ii) NOX Technical Code 2008 (``NOX Technical 
Code''); IBR approved for Sec. Sec. 1042.104(g), 1042.230(d), 
1042.302(c) and (e), 1042.501(g), and 1042.901.
    (2) [Reserved]
    (b) [Reserved]

[75 FR 23012, Apr. 30, 2010]



Sec. 1042.915  Confidential information.

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.

[[Page 246]]

    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec. 1042.920  Hearings.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec. 1042.925  Reporting and recordkeeping requirements.

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines regulated 
under this part:
    (a) We specify the following requirements related to engine 
certification in this part 1042:
    (1) In Sec. 1042.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to vessel 
manufacturers.
    (2) In Sec. 1042.145 we state the requirements for interim 
provisions.
    (3) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (4) In Sec. Sec. 1042.345 and 1042.350 we specify certain records 
related to production-line testing.
    (5) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions.
    (6) In Sec. Sec. 1042.725, 1042.730, and 1042.735 we specify 
certain records related to averaging, banking, and trading.
    (7) In subpart I of this part we specify certain records related to 
meeting requirements for remanufactured engines.
    (b) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines using portable analyzers.
    (c) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require vessel manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.

[[Page 247]]

    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.



  Sec. Appendix I to Part 1042--Summary of Previous Emission Standards

    The following standards apply to compression-ignition marine engines 
produced before the model years specified in Sec. 1042.1:
    (a) Engines below 37 kW. Tier 1 and Tier 2 standards for engines 
below 37 kW apply as specified in 40 CFR part 89 and summarized in the 
following table:

                   Table 1 to Appendix I--Emission Standards for Engines Below 37 kW (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
       Rated power (kW)               Tier          Model year      NMHC + NOX          CO              PM
----------------------------------------------------------------------------------------------------------------
kW<8..........................  Tier 1..........            2000            10.5             8.0            1.0
                                Tier 2..........            2005             7.5             8.0            0.80
8<=kW<19......................  Tier 1..........            2000             9.5             6.6            0.80
                                Tier 2..........            2005             7.5             6.6            0.80
19<=kW<37.....................  Tier 1..........            1999             9.5             5.5            0.8
                                Tier 2..........            2004             7.5             5.5            0.6
----------------------------------------------------------------------------------------------------------------

    (b) Engines at or above 37 kW. Tier 1 and Tier 2 standards for 
engines at or above 37 kW apply as specified in 40 CFR part 94 and 
summarized as follows:
    (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 or above 
130 but below 2000 rpm, where N is the maximum test speed of the engine 
in revolutions per minute. Round the calculated standard to the nearest 
0.1 g/kW-hr.
    (ii) 9.8 g/kW-hr when maximum test speed is 2000 rpm or more.
    (2) Tier 2 primary standards. Exhaust emissions from Category 1 
engines at or above 37 kW and all Category 2 engines may not exceed the 
values shown in the following table:

           Table 2 to Appendix I--Primary Tier 2 Emission Standards for Commercial and Recreational Marine Engines at or Above 37 kW (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                    NOX + THC
       Engine size  liters/cylinder            Maximum engine power                Category           Model  year    g/kW-hr    CO  g/kW-hr  PM  g/kW-hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
disp. < 0.9..............................  power [gteqt]37 kW..........  Category 1 Commercial......         2005          7.5          5.0         0.40
                                                                         Category 1 Recreational....         2007          7.5          5.0         0.40
0.9 <= disp. < 1.2.......................  All.........................  Category 1 Commercial......         2004          7.2          5.0         0.30
                                                                         Category 1 Recreational....         2006          7.2          5.0         0.30
1.2 <= disp. < 2.5.......................  All.........................  Category 1 Commercial......         2004          7.2          5.0         0.20
                                                                         Category 1 Recreational....         2006          7.2          5.0         0.20
2.5 <= disp. < 5.0.......................  All.........................  Category 1 Commercial......         2007          7.2          5.0         0.20
                                                                         Category 1 Recreational....         2009          7.2          5.0         0.20
5.0 <= disp. < 15.0......................  All.........................  Category 2.................         2007          7.8          5.0         0.27
15.0 <= disp. < 20.0.....................  power < 3300 kW.............  Category 2.................         2007          8.7          5.0         0.50
                                           power [gteqt]3300 kW........  Category 2.................         2007          9.8          5.0         0.50
20.0 <= disp. < 25.0.....................  All.........................  Category 2.................         2007          9.8          5.0         0.50
25.0 <= disp. < 30.0.....................  All.........................  Category 2.................         2007           11          5.0          0.5
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (3) Tier 2 supplemental standards. The not-to-exceed emission 
standards specified in 40 CFR 94.8(e) apply for all engines subject to 
the Tier 2 standards described in paragraph (b)(2) of this appendix.

[73 37243, June 30, 2008, as amended at 75 FR 23012, Apr. 30, 2010]



         Sec. Appendix II to Part 1042--Steady-State Duty Cycles

    (a) The following duty cycles apply as specified in Sec. 
1042.505(b)(1):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                            Percent of
    E3 mode No.       Engine speed \1\     maximum test      Weighting
                                               power          factors
------------------------------------------------------------------------
1.................  Maximum test speed..             100            0.2

[[Page 248]]

 
2.................  91%.................              75            0.5
3.................  80%.................              50            0.15
4.................  63%.................              25            0.15 
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values
  are relative to maximum test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)         Engine speed 1, 3         Power (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             229  Maximum test speed........  100%.
1b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
2a Steady-state.........................             166  63%.......................  25%.
2b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
3a Steady-state.........................             570  91%.......................  75%.
3b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
4a Steady-state.........................             175  80%.......................  50%.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (b) The following duty cycles apply as specified in Sec. 
1042.505(b)(2):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                            Percent of
    E5 mode No.       Engine speed \1\     maximum test      Weighting
                                               power          factors
------------------------------------------------------------------------
1.................  Maximum test speed..             100            0.08
2.................  91%.................              75            0.13
3.................  80%.................              50            0.17
4.................  63%.................              25            0.32
5.................  Warm idle...........               0            0.3
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values
  are relative to maximum test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)         Engine speed 1, 3         Power (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             167  Warm idle.................  0.
1b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
2a Steady-state.........................              85  Maximum test speed........  100%.
2b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
3a Steady-state.........................             354  63%.......................  25%.
3b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
4a Steady-state.........................             141  91%.......................  75%.
4b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
5a Steady-state.........................             182  80%.......................  50%.
5b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
6 Steady-state..........................             171  Warm idle.................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) The following duty cycles apply as specified in Sec. 
1042.505(b)(3):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                              Torque         Weighting
    E2 mode No.       Engine speed \1\     (percent) \2\      factors
------------------------------------------------------------------------
1.................  Engine Governed.....             100            0.2
2.................  Engine Governed.....              75            0.5
3.................  Engine Governed.....              50            0.15

[[Page 249]]

 
4.................  Engine Governed.....              25            0.15
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum test torque as defined
  in 40 CFR part 1065.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                        Time in mode
               RMC mode                   (seconds)          Engine speed             Torque  (percent)1 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state......................             229  Engine Governed........  100.
1b Transition........................              20  Engine Governed........  Linear transition.
2a Steady-state......................             166  Engine Governed........  25.
2b Transition........................              20  Engine Governed........  Linear transition.
3a Steady-state......................             570  Engine Governed........  75.
3b Transition........................              20  Engine Governed........  Linear transition.
4a Steady-state......................             175  Engine Governed........  50.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.


[73 FR 37243, June 30, 2008, as amended at 75 FR 68461, Nov. 8, 2010]



           Sec. Appendix III to Part 1042--Not-to-Exceed Zones

    (a) The following definitions apply for this Appendix III:
    (1) Percent power means the percentage of the maximum power achieved 
at Maximum Test Speed (or at Maximum Test Torque for constant-speed 
engines).
    (2) Percent speed means the percentage of Maximum Test Speed.
    (b) Figure 1 of this Appendix illustrates the default NTE zone for 
commercial marine engines certified using the duty cycle specified in 
Sec. 1042.505(b)(1), except for variable-speed propulsion marine 
engines used with controllable-pitch propellers or with electrically 
coupled propellers, as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power = 3.0 [middot] (100%--percent speed).
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power < 3.0 [middot] (100% - percent speed).
    (iv) Percent speed = 70 percent.

[[Page 250]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.013

    (c) Figure 2 of this Appendix illustrates the default NTE zone for 
recreational marine engines certified using the duty cycle specified in 
Sec. 1042.505(b)(2), except for variable-speed marine engines used with 
controllable-pitch propellers or with electrically coupled propellers, 
as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power = 3.0 [middot] (100%-percent speed).
    (iv) Percent power <= 95 percent.
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power < 3.0 [middot] (100%-percent speed).
    (iv) Percent speed = 70 percent.
    (3) Subzone 3 is defined by the following boundaries:
    (i) Percent power <= (percent speed/0.9)3.5.
    (ii) Percent power  95 percent.

[[Page 251]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.014

    (d) Figure 3 of this Appendix illustrates the default NTE zone for 
variable-speed marine engines used with controllable-pitch propellers or 
with electrically coupled propellers that are certified using the duty 
cycle specified in Sec. 1042.505(b)(1), (2), or (3), as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power = 3.0 [middot] (100%-percent speed).
    (iii) Percent speed = 78.9 percent.
    (2) Subzone 2a is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent speed = 70 percent.
    (iii) Percent speed < 78.9 percent, for Percent power  
63.3 percent.
    (iv) Percent power < 3.0 [middot] (100%-percent speed), for Percent 
speed = 78.9 percent.
    (3) Subzone 2b is defined by the following boundaries:
    (i) The line formed by connecting the following two points on a plot 
of speed-vs.-power:
    (A) Percent speed = 70 percent; Percent power = 28.7 percent.
    (B) Percent speed = 40 percent at governed speed; Percent power = 40 
percent.
    (ii) Percent power < 0.7 [middot] (percent speed)2.5.

[[Page 252]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.015

    (e) Figure 4 of this Appendix illustrates the default NTE zone for 
constant-speed engines certified using a duty cycle specified in Sec. 
1042.505(b)(3) or (b)(4), as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power = 70 percent.
    (ii) [Reserved]
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power < 70 percent.
    (ii) Percent power = 40 percent.

[[Page 253]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.016

    (f) Figure 5 of this Appendix illustrates the default NTE zone for 
variable-speed auxiliary marine engines certified using the duty cycle 
specified in Sec. 1042.505(b)(5)(ii) or (iii), as follows:
    (1) The default NTE zone is defined by the boundaries specified in 
40 CFR 86.1370-2007(b)(1) and (2).
    (2) A special PM subzone is defined in 40 CFR 1039.515(b).

[[Page 254]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.017



PART 1043_CONTROL OF NOX, SOX, AND PM EMISSIONS FROM MARINE ENGINES

AND VESSELS SUBJECT TO THE MARPOL PROTOCOL--Table of Contents



Sec.
1043.1 Overview.
1043.5 Effective dates.
1043.10 Applicability.
1043.20 Definitions.
1043.30 General obligations.
1043.40 EIAPP certificates.
1043.41 EIAPP certification process.
1043.50 Approval of methods to meet Tier 1 retrofit NOX 
          standards.
1043.55 Applying equivalent controls instead of complying with fuel 
          requirements.
1043.60 Operating requirements for engines and vessels subject to this 
          part.
1043.70 General recordkeeping and reporting requirements.
1043.80 Recordkeeping and reporting requirements for fuel suppliers.
1043.90 [RESERVED]
1043.95 Interim provisions.
1043.100 Reference materials.

    Authority: 33 U.S.C. 1901-1915.

    Source: 75 FR 23013, Apr. 30, 2010, unless otherwise noted.



Sec. 1043.1  Overview.

    The Act to Prevent Pollution from Ships (APPS) requires engine 
manufacturers, owners and operators of vessels, and other persons to 
comply with Annex VI of the MARPOL Protocol. This part implements 
portions of APPS as it relates to Regulations 13, 14 and 18 of Annex VI. 
These regulations clarify the application of some Annex VI provisions; 
provide procedures and criteria for the issuance of EIAPP certificates; 
and specify requirements applicable to ships that are not registered by 
Parties to Annex VI. This part includes provisions to apply the 
equivalency provisions of Regulation 4 of Annex VI with respect to 
Regulations 14 and 18 of Annex VI. Additional regulations may also apply 
with respect to the Annex VI, such as those issued separately by the 
U.S. Coast Guard. Note that references in this part to a specific 
subsection of an Annex VI regulation (such as Regulation 13.5.1) reflect 
the regulation numbering of the 2008 Annex VI (incorporated by reference 
in Sec. 1043.100).

[[Page 255]]

    (a) The general requirements for non-public U.S.-flagged and other 
Party vessels are specified in Annex VI, as implemented by 33 U.S.C. 
1901-1915. These requirements apply to engine manufacturers, owners and 
operators of vessels, and other persons.
    (b) The provisions of this part specify how Regulations 13, 14 and 
18 of Annex VI, as implemented by APPS, will be applied to U.S.-flagged 
vessels that operate only domestically.
    (c) This part implements section 33 U.S.C. 1902(e) by specifying 
that non-public vessels flagged by a country that is not a party to 
Annex VI are subject to certain provisions under this part that are 
equivalent to the substantive requirements of Regulations 13, 14 and 18 
of Annex VI as implemented by APPS.
    (d) This part also describes where the requirements of Regulation 
13.5.1 of Annex VI and Regulation 14.4 of Annex VI will apply.
    (e) This part 1043 does not limit the requirements specified in 
Annex VI, as implemented by APPS, except as specified in Sec. 
1043.10(a)(2) and (b)(3).
    (f) Nothing in this part limits the operating requirements and 
restrictions applicable for engines and vessels subject to 40 CFR part 
1042 or the requirements and restrictions applicable for fuels subject 
to 40 CFR part 80.
    (g) The provisions of this part specify how to obtain EIAPP 
certificates and certificates for Approved Methods.



Sec. 1043.5  Effective dates.

    (a) The requirement of APPS for marine vessels to comply with Annex 
VI of the MARPOL Protocol is in effect.
    (b) The amendments to Annex VI adopted on October 8, 2008 enter into 
force July 1, 2010. The requirement of APPS for marine vessels to comply 
with the amended Annex VI is effective July 1, 2010, although some 
requirements do not become applicable until later dates.
    (c) Compliance with the applicable regulations of this part is 
required for all persons as of July 1, 2010. (Note that certain 
requirements begin later, as described in paragraph (d) of this 
section.) Note also that compliance with Sec. Sec. 1043.40 and 1043.41 
is required to obtain EIAPP certificates under this part whether the 
application is submitted before July 1, 2010 or later.
    (d) Compliance with the requirements related to ECAs are effective 
as follows:
    (1) Compliance with the ECA NOX requirements (see Sec. 
1043.60(a)) is required beginning on the date on which the ECA enters 
into force for the United States under Annex VI.
    (2) Compliance with the fuel content requirements applicable within 
ECAs and ECA associated areas (see Sec. 1043.60(b)) is required 
beginning 12 months after date on which the ECA enters into force for 
the United States under Annex VI.



Sec. 1043.10  Applicability.

    (a) U.S.-flagged vessels. The provisions of this part apply for all 
U.S.-flagged vessels wherever they are located (including engines 
installed or intended to be installed on such vessels), except as 
specified in this paragraph (a) or in Sec. 1043.95.
    (1) Public vessels are excluded from this part.
    (2) Vessels that operate only domestically and conform to the 
requirements of this paragraph (a)(2) are excluded from Regulation 13 of 
Annex VI (including the requirement to obtain an EIAPP certificate) and 
the NOX-related requirements of this part. For the purpose of 
this exclusion, the phrase ``operate only domestically'' means the 
vessels do not enter waters subject to the jurisdiction or control of 
any foreign country, except for Canadian portions of the Great Lakes. 
(See Sec. Sec. 1043.60 and 1043.70 for provisions related to fuel use 
by such vessels). To be excluded, the vessel must conform to each of the 
following provisions:
    (i) All compression-ignition engines on the vessel must conform 
fully to all applicable provisions of 40 CFR parts 94 and 1042.
    (ii) The vessel may not contain any engines with a specific engine 
displacement at or above 30.0 liters per cylinder.
    (iii) Any engine installed in the vessel that is not covered by an 
EIAPP must be labeled as specified in 40 CFR 1042.135 with respect to 
whether it meets the requirements of Regulation 13 of Annex VI.

[[Page 256]]

    (b) Foreign-flagged vessels. The provisions of this part apply for 
all non-public foreign-flagged vessels (including engines installed on 
such vessels) as follows:
    (1) The requirements of this part apply for foreign-flagged vessels 
operating in U.S. navigable waters or the U.S. EEZ.
    (2) For non-public vessels flagged by a country that is not a party 
to Annex VI, the requirements of this part apply in the same manner as 
apply for Party vessels, except as otherwise provided in this part. For 
example, see Sec. 1043.30(b)(3) for provisions related to showing 
compliance with this requirement without an EIAPP certificate. See Sec. 
1043.60 for specific operating requirements.
    (3) Canadian vessels that operate only within the Great Lakes and 
are subject to an alternative NOX control measure established 
by the Canadian government are excluded from the NOX-related 
requirements of this part.
    (c) Fuel suppliers. The provisions of Sec. 1043.80 apply for all 
persons supplying fuel to any vessel subject to this part.
    (d) Sea bed mineral exploration. This part does not apply to 
emissions directly arising from the exploration, exploitation, and 
associated offshore processing of sea-bed mineral resources. Note that 
other regulations apply with respect to these emissions in certain 
circumstances, and that engines that are not solely dedicated to such 
activities are otherwise subject to all requirements of this part.



Sec. 1043.20  Definitions.

    The following definitions apply to this part:
    2008 Annex VI means Annex VI to the MARPOL Protocol, including 
amendments adopted in October 2008. The 2008 Annex VI is incorporated by 
reference in Sec. 1043.100. Note that this version of Annex VI does not 
include any amendments that may be adopted in the future. This 2008 
version applies for certain provisions of this part such as those 
applicable for internal waters and for non-Party vessels.
    Administrator means the Administrator of the Environmental 
Protection Agency.
    Annex VI means Annex VI of the MARPOL Protocol.
    APPS means the Act to Prevent Pollution from Ships (33 U.S.C. 1901-
1915).
    Designated Certification Officer means the EPA official to whom the 
Administrator has delegated authority to issue EIAPP certificates. Note 
that the Designated Certification Officer is also delegated certain 
authorities under this part in addition to the authority to issue EIAPP 
certificates.
    ECA associated area means the U.S. internal waters that are 
navigable from the ECA. This term does not include internal waters that 
are shoreward of ocean waters that are not part of an emission control 
area.
    EIAPP certificate means a certificate issued to certify initial 
compliance with Regulation 13 of Annex VI. (Note that EIAPP stands for 
Engine International Air Pollution Prevention under Annex VI.)
    Emission control area (ECA) means an area designated pursuant to 
Annex VI as an Emission Control Area that:
    (1) Is in force; and
    (2) Includes waters of the U.S. territorial sea and/or EEZ.
    Engine has the meaning given in 40 CFR 1068.30.
    EPA means the United States Environmental Protection Agency.
    Foreign-flagged vessel means a vessel of foreign registry or a 
vessel operated under the authority of a country other than the United 
States.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
We will evaluate engineering judgments as described in 40 CFR 1068.5.
    Great Lakes means all the streams, rivers, lakes, and other bodies 
of water that are within the drainage basin of the St. Lawrence River, 
west of Anticosti Island.
    IMO means the International Maritime Organization.
    Major conversion has the meaning given in 2008 Annex VI 
(incorporated by reference in Sec. 1043.100).
    MARPOL Protocol has the meaning given in 33 U.S.C. 1901.
    Navigable waters has the meaning given in 33 U.S.C. 1901.
    Non-Party vessel means a vessel flagged by a country that is not a 
party to Annex VI.

[[Page 257]]

    NOX Technical Code means the ``Technical Code on Control of Emission 
of Nitrogen Oxides from Marine Diesel Engines'' adopted by IMO 
(incorporated by reference in Sec. 1043.100). The Technical Code is 
part of 2008 Annex VI.
    Operator has the meaning given in 33 U.S.C. 1901.
    Owner has the meaning given in 33 U.S.C. 1901.
    Party vessel means a vessel flying the flag of, registered in, or 
operating under the authority of a country that is a party to Annex VI.
    Person has the meaning given in 33 U.S.C. 1901.
    Public vessels means warships, naval auxiliary vessels, and other 
vessels owned or operated by a sovereign country when engaged in 
noncommercial service.
    Secretary has the meaning given in 33 U.S.C. 1901.
    U.S. EEZ means the Exclusive Economic Zone of the United States, as 
defined in Presidential Proclamation 5030 of March 10, 1983.
    U.S.-flagged vessel means a vessel of U.S. registry or a vessel 
operated under the authority of the United States.
    Vessel has the meaning given to ``ship'' in APPS.
    We means EPA.



Sec. 1043.30  General obligations.

    (a) 33 U.S.C. 1907 prohibits any person from violating any 
provisions of the MARPOL Protocol, whether or not they are a 
manufacturer, owner or operator. For manufacturers, owners and operators 
of vessels subject to this part, it is the responsibility of such 
manufacturers, owners and operators to ensure that all employees and 
other agents operating on their behalf comply with these requirements.
    (b) Manufacturers of engines to be installed on U.S. vessels subject 
to this part must obtain an EIAPP certificate for an engine prior to it 
being installed in a vessel.
    (c) Engines with power output of more than 130 kW that are listed in 
this paragraph (c) must be covered by a valid EIAPP certificate, 
certifying the engine meets the applicable emission standards of Annex 
VI, unless the engine is excluded under Sec. 1043.10 or paragraph (d) 
of this section. An EIAPP certificate is valid for a given engine only 
if it certifies compliance with the tier of standards applicable to that 
engine and the vessel into which it is being installed (or a later 
tier). Note that none of the requirements of this paragraph (c) are 
limited to new engines.
    (1) Engines meeting any of the following criteria must be covered by 
a valid EIAPP certificate:
    (i) Engines installed (or intended to be installed) on vessels that 
were constructed on or after January 1, 2000. This includes engines that 
met the definition of ``new marine engine'' in 40 CFR 1042.901 at any 
time on or after January 1, 2000, unless such engines are installed on 
vessels that were constructed before January 1, 2000.
    (ii) Engines that undergo a major conversion on or after January 1, 
2000, unless the engines have been exempt from this requirement under 
paragraph (e) of this section.
    (2) For such engines intended to be installed on U.S.-flagged 
vessels, the engine may not be introduced into U.S. commerce before it 
is covered by a valid EIAPP certificate, except as allowed by this 
paragraph (c)(2).
    (i) This paragraph (c)(2) does not apply for engines installed on 
vessels excluded under this part 1043.
    (ii) Engines without a valid EIAPP certificate (because they are 
intended for domestic use only) may be introduced into U.S. commerce, 
but may not be installed on vessels that do not meet the requirements of 
Sec. 1043.10(a)(2).
    (iii) Engines that have been temporarily exempted by EPA under 40 
CFR part 1042 or part 1068 may be introduced into U.S. commerce without 
a valid EIAPP certificate to the same extent they are allowed to be 
introduced into U.S. commerce without a valid part 1042 certificate of 
conformity, however, this allowance does not affect whether the engine 
must ultimately be covered by an EIAPP certificate. Unless otherwise 
excluded or exempted under this part 1043, the engine must be covered by 
an EIAPP certificate before being placed into service. For example, 
engines allowed to be temporarily distributed in an uncertified 
configuration under 40 CFR 1068.260 would not be

[[Page 258]]

required to be covered by an EIAPP certificate while it is covered by 
the temporary exemption under 40 CFR 1068.260; however, it would be 
required to be covered by an EIAPP certificate before being placed into 
service.
    (iv) All uninstalled marine engines within the United States are 
presumed to be intended to be installed on a U.S.-flagged vessel, unless 
there is clear and convincing evidence to the contrary.
    (3) For engines installed on Party vessels, the engine may not 
operate in the U.S. navigable waters or the U.S. exclusive economic 
zone, or other areas designated under 33 U.S.C. 1902(a)(5)(B)(iii), 
(C)(iii), or (D)(iv) unless it is covered by a valid EIAPP certificate.
    (4) Engines installed on non-Party vessels are not required to have 
EIAPP certificates, but the operator must have evidence of conformity 
with Regulation 13 of Annex VI issued by either the government of a 
country that is party to Annex VI or a recognized classification 
society. For the purposes of this paragraph, ``recognized classification 
society'' means a classification society that is a participating member 
of the International Association of Classification Societies (IACS).
    (d) In addition to the engines excluded under Sec. 1043.10, the 
following engines are excluded from the requirement to have an EIAPP 
certificate (or equivalent demonstration of compliance in the case of 
non-Party vessels) or otherwise meet the requirements of Regulation 13 
of Annex VI.
    (1) Spark-ignition engines.
    (2) Non-reciprocating engines.
    (3) Engines that do not use liquid fuel.
    (4) Engines intended to be used solely for emergencies. This 
includes engines that power equipment such as pumps that are intended to 
be used solely for emergencies and engines installed in lifeboats 
intended to be used solely for emergencies. It does not include engines 
to be used for both emergency and non-emergency purposes.
    (e) The following requirements apply to Party vessels, including 
U.S.-flagged vessels:
    (1) The requirements specified in Annex VI apply for vessels subject 
to this part for operation in U.S. navigable waters or the U.S. EEZ. 
(See Sec. 1043.60 for a summary of the standards included in these 
requirements.)
    (2) Vessels operating in an ECA must also comply with the 
requirements of Annex VI applicable to operation in an ECA.
    (3) Vessels operating in waters of an ECA associated area must also 
comply with the requirements in Sec. 1043.60.
    (f) The following requirements apply to non-Party vessels:
    (1) Non-Party vessels operating in U.S. navigable waters or the U.S. 
EEZ must comply with the operating and recordkeeping requirements of the 
2008 Annex VI (incorporated by reference in Sec. 1043.100) related to 
Regulations 13, 14 and 18 of the 2008 Annex VI. This paragraph (f)(1) 
does not address requirements of other portions of Annex VI.
    (2) Non-Party vessels operating in an ECA or ECA associated area 
must also comply with the requirements in Sec. 1043.60.
    (g) A replacement engine may be exempted by EPA from Regulation 13 
of Annex VI and the NOX-related requirements of this part if 
it is identical to the engine being replaced and the old engine was not 
subject to Regulation 13 of Annex VI. Send requests for such exemptions 
to the Designated Certification Officer.
    (h) Compliance with the provisions of this part 1043 does not affect 
your responsibilities under 40 CFR part 1042 for engines subject to that 
part 1042.



Sec. 1043.40  EIAPP certificates.

    (a) Engine manufacturers seeking EIAPP certificates for new engines 
to be used in U.S.-flagged vessels must apply to EPA for an EIAPP 
certificate in compliance with the requirements of this section (which 
references 40 CFR part 1042). Note that under APPS engine manufacturers 
must comply with the applicable requirements of Regulation 13 of Annex 
VI to obtain a certificate. Note also that only the Administrator or the 
EPA official designated by the Administrator may issue EIAPP 
certificates on behalf of the U.S. Government.
    (b) Persons other than engine manufacturers may apply for and obtain 
EIAPP certificates for new engines to

[[Page 259]]

be used in U.S.-flagged vessels by complying with the requirements of 
this section (which references 40 CFR part 1042) and the applicable 
requirements of Regulation 13 of Annex VI.
    (c) In appropriate circumstances, EPA may issue an EIAPP certificate 
under this section for non-new engines or engines for vessels that will 
not initially be flagged in the U.S.
    (d) The process for obtaining an EIAPP certificate is described in 
Sec. 1043.41. That section references regulations in 40 CFR part 1042, 
which apply under the Clean Air Act. References in that part to 
certificates of conformity are deemed to mean EIAPP certificates. 
References in that part to the Clean Air Act as the applicable statute 
are deemed to mean 33 U.S.C. 1901-1915.
    (e) For engines that undergo a major conversion or for engines 
installed on imported vessels that become subject to the requirements of 
this part, we may specify alternate certification provisions consistent 
with the intent of this part.
    (f) This paragraph (f) applies for engines that were originally 
excluded from this part because they were intended for domestic use and 
were introduced into U.S. commerce without an EIAPP certificate. Note 
that such engines must be labeled as specified under 40 CFR 1042.135 to 
indicate that they are intended for domestic use. Such engines may be 
installed on vessels not intended only for domestic operation provided 
the engine manufacturer, vessel manufacturer, or vessel owner obtains an 
EIAPP certificate. Similarly, vessels originally intended only for 
domestic operation may be used internationally provided the engine 
manufacturer, vessel manufacturer, or vessel owner obtains an EIAPP 
certificate. In either case, the Technical File must specify that the 
engine was originally certified for domestic use only, prior to being 
covered by an EIAPP certificate. Engine manufacturers may provide a 
supplemental label to clarify that the engine is no longer limited to 
domestic service. An engine manufacturer, vessel manufacturer, or vessel 
owner may also ask to apply the provisions of this paragraph to engines 
originally certified for public vessels.



Sec. 1043.41  EIAPP certification process.

    This section describes the process for obtaining the EIAPP 
certificate required by Sec. 1043.40.
    (a) You must send the Designated Certification Officer a separate 
application for an EIAPP certificate for each engine family. An EIAPP 
certificate is valid starting with the indicated effective date and is 
valid for any production until such time as the design of the engine 
family changes or more stringent emission standards become applicable, 
whichever comes first. You may obtain preliminary approval of portions 
of the application under 40 CFR 1042.210.
    (b) The application must contain all the information required by 
this part. It must not include false or incomplete statements or 
information (see 40 CFR 1042.255). Include the information specified in 
40 CFR 1042.205 except as follows:
    (1) You must include the dates on which the test engines were built 
and the locations where the test engines were built.
    (2) Include a copy of documentation required by this part related to 
maintenance and in-use compliance for operators, such as the Technical 
File and onboard NOX verification procedures as specified by 
the NOX Technical Code (incorporated by reference in Sec. 
1043.100).
    (3) You are not required to provide information specified in 40 CFR 
1042.205 regarding useful life, emission labels, deterioration factors, 
PM emissions, or not-to-exceed standards.
    (4) You must include a copy of your warranty instructions, but are 
not required to describe how you will meet warranty obligations.
    (c) We may ask you to include less information than we specify in 
this section as long as you maintain all the information required by 
paragraph (b) of this section.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See 40 CFR 1042.255 for provisions describing how we will 
process your application.

[[Page 260]]

    (g) Your application, including the Technical File and onboard 
NOX verification procedures, is subject to amendment as 
described in 40 CFR 1042.225.
    (h) Perform emission tests as follows:
    (1) Select an emission-data engine from each engine family for 
testing. For engines at or above 560 kW, you may use a development 
engine that is equivalent in design to the engine being certified. For 
Category 3 engines, you may use a single-cylinder version of the engine. 
Using good engineering judgment, select the engine configuration most 
likely to exceed an applicable emission standard, considering all 
exhaust emission constituents and the range of installation options 
available to vessel manufacturers.
    (2) Test your emission-data engines using the procedures and 
equipment specified in 40 CFR part 1042, subpart F, or in the 
NOX Technical Code (incorporated by reference in Sec. 
1043.100). We may require that your test be witnessed by an EPA 
official.
    (3) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (i) We may decide to do the testing at your plant or any other 
facility. You must deliver the test engine to any test facility we 
designate. The test engine you provide must include appropriate 
manifolds, aftertreatment devices, electronic control units, and other 
emission-related components not normally attached directly to the engine 
block. If we do the testing at your plant, you must schedule it as soon 
as possible and make available the instruments, personnel, and equipment 
we need.
    (ii) If we measure emissions from one of your test engines, the 
results of that testing become the official emission results for the 
engine. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your engine family meets applicable 
requirements.
    (iii) Before we test one of your engines, we may set its adjustable 
parameters to any point within the specified adjustable ranges (see 40 
CFR 1042.115(d)).
    (iv) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter.
    (4) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under paragraph 
(b) of this section.
    (5) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures otherwise required by this part, we may 
reject data you generated using the alternate procedure.
    (i) Collect emission data using measurements to one more decimal 
place than the applicable standard, then round the value to the same 
number of decimal places as the emission standard. Compare the rounded 
emission levels to the emission standard for each emission-data engine.
    (j) Your engine family is considered in compliance with the emission 
standards in Regulation 13 of Annex VI if all emission-data engines 
representing that family have test results showing emission levels at or 
below these standards. Your engine family is deemed not to comply if any 
emission-data engine representing that family has test results showing 
an emission level above an applicable emission standard for any 
pollutant.
    (k) If we determine your application is complete and shows that the 
engines meet all the requirements of this part, we will issue an EIAPP 
certificate for your engines. We may make the approval subject to 
additional conditions.



Sec. 1043.50  Approval of methods to meet Tier 1 retrofit NOX standards.

    Regulation 13 of Annex VI provides for certification of Approved 
Methods, which are retrofit procedures that enable Pre-Tier 1 engines to 
meet the Tier 1 NOX standard of regulation 13 of Annex VI. 
Any person may request approval of such a method by submitting an 
application for certification of an Approve Method to the Designated 
Certification Officer. If we determine that your application conforms to 
the requirements of Regulation 13 of Annex

[[Page 261]]

VI, we will issue a certificate and notify IMO that your Approved Method 
has been certified.



Sec. 1043.55  Applying equivalent controls instead of complying with fuel requirements.

    Regulation 4 of Annex VI allows Administrations to approve the use 
of fuels not meeting the requirements of Regulation 14 of the Annex, 
provided the vessel applies a method that results in equivalent emission 
reductions. This section describes provisions related to applying this 
allowance.
    (a) Any person may request approval of such equivalent methods for 
controlling emissions on U.S.-flagged vessels by submitting an 
application for certification of an equivalent control method to the 
Designated Certification Officer. If we determine that your control 
method achieves emission levels equivalent to those achieved by the use 
of fuels meeting the requirements of Regulation 14 of Annex VI, we will 
issue a certificate and notify IMO that your method has been certified.
    (b) The provisions of this paragraph (b) apply for vessels equipped 
with controls certified by the Administration of a foreign flag vessel 
to achieve emission levels equivalent to those achieved by the use of 
fuels meeting the applicable fuel sulfur limits of Regulation 14 of 
Annex VI. Fuels not meeting the applicable fuel sulfur limits of 
Regulation 14 of Annex VI may be used on such vessels consistent with 
the provisions of the IAPP certificate, APPS and Annex VI.
    (c) Compliance with the requirements of this section does not affect 
the applicability of requirements or prohibitions specified by other 
statutes or regulations with respect to water pollution.



Sec. 1043.60  Operating requirements for engines and vessels subject to this part.

    This section specifies the operating requirements of this part. Note 
that it does not limit the operating requirements of APPS or Annex VI 
that are applicable to U.S.-flagged vessels outside of U.S. domestic 
waters.
    (a) Except as specified otherwise in this part, NOX 
emission limits apply to all vessels subject to this part as specified 
in the following table:

                       Table 1 to Sec.  1043.60 Annex VI NOX Emission Standards (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                              Maximum in-use engine speed
                                      Area of                        -------------------------------------------
             Tier                  applicability        Model year     Less than                      Over 2000
                                                                        130 RPM     130-2000 RPM\a\      RPM
----------------------------------------------------------------------------------------------------------------
Tier 1.......................  All U.S. navigable    2004-2010......         17.0   45.0[middot]n(-          9.8
                                waters and EEZ.                                               0.20)
Tier 2.......................  All U.S. navigable    2011-2015......         14.4   44.0[middot]n(-          7.7
                                waters and EEZ.                                               0.23)
Tier 2.......................  All U.S. navigable    2016 and later.         14.4   44.0[middot]n(-          7.7
                                waters and EEZ,                                               0.23)
                                exluding ECA and
                                ECA associated
                                areas.
Tier 3.......................  ECA and ECA           2016 and later.          3.4    9.0[middot]n(-          2.0
                                associated areas.                                             0.20)
----------------------------------------------------------------------------------------------------------------
\a\ Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in Sec.
  1042.140). Round the standards to one decimal place.

    (b) Except as specified otherwise in this part, fuel sulfur limits 
apply to all vessels subject to this part as specified in the following 
table:

                              Table 2 to Sec.  1043.60 Annex VI Fuel Sulfur Limits
                                                     [wt %]
----------------------------------------------------------------------------------------------------------------
                                                                  Sulfur limit in all    Sulfur limit in ECA and
                        Calendar years                           U.S. navigable waters     ECA associated areas
                                                                   and EEZ  (percent)           (percent)
----------------------------------------------------------------------------------------------------------------
2010-2011.....................................................                     4.50                     1.00
2012-2015.....................................................                     3.50                     1.00
2016-2019.....................................................                     3.50                     0.10
2020 and later................................................                     0.50                     0.10
----------------------------------------------------------------------------------------------------------------


[[Page 262]]

    (c) Operators of non-Party vessels must comply with the requirements 
of paragraphs (a) and (b) of this section as well as other operating 
requirements and restrictions specified in 2008 Annex VI (incorporated 
by reference in Sec. 1043.100) related to Regulations 13, 14, and 18.
    (d) This paragraph (d) applies for vessels that are excluded from 
Regulation 13 of Annex VI and the NOX-related requirements of 
this part under Sec. 1043.10(a)(2) or (b)(3) because they operate only 
domestically. Where the vessels operate using only fuels meeting the 
specifications of 40 CFR part 80 for distillate fuel, they are deemed to 
be in full compliance with the fuel use requirements and prohibitions of 
this part and of Regulations 14 and 18 of Annex VI.
    (e) Except as noted in paragraph (d) of this section, nothing in 
this section limits the operating requirements and restrictions of Annex 
VI, as implemented by APPS, for Party vessels, including U.S.-flagged 
vessels. Note also that nothing in this part limits the operating 
requirements and restrictions applicable for engines and vessels subject 
to 40 CFR part 1042 or the requirements and restrictions applicable for 
fuels subject to 40 CFR part 80.
    (f) We may exempt historic steamships from the fuel requirements of 
this part for operation in U.S. internal waters. Send requests for 
exemptions to the Designated Certification Officer.



Sec. 1043.70  General recordkeeping and reporting requirements.

    (a) Under APPS, owners and operators of Party vessels must keep 
records related to NOX standards and in-use fuel 
specifications such as the Technical File, the Engine Book of Record 
Parameters, and bunker delivery notes. Owners and operators of non-Party 
vessels must keep these records as specified in the NOX 
Technical Code and Regulations 13, 14, and 18 of Annex VI (incorporated 
by reference in Sec. 1043.100). We may inspect these records as allowed 
by APPS. As part of our inspection, we may require that the owner submit 
copies of these records to us.
    (b) Nothing in this part limits recordkeeping and reporting the 
Secretary may require, nor does it preclude the Secretary from providing 
copies of any records to EPA.
    (c) Nothing in this part limits the recordkeeping and reporting 
requirements applicable with respect to engines and vessels subject to 
40 CFR part 1042 or with respect to fuels subject to 40 CFR part 80.
    (d) This paragraph (d) applies for vessels that are excluded from 
Regulation 13 of Annex VI and the NOX-related requirements of 
this part under Sec. 1043.10(a)(2) or (b)(3) because they operate only 
domestically. Where the vessel operator has fuel receipts (or equivalent 
records) for the preceding three years showing it operated using only 
fuels meeting the specifications of 40 CFR part 80 for distillate fuel, 
they are deemed to be in full compliance with the fuel recordkeeping 
requirements and prohibitions of this part and Annex VI.



Sec. 1043.80  Recordkeeping and reporting requirements for fuel suppliers.

    Under APPS, fuel suppliers must provide bunker delivery notes to 
vessel operators for any fuel for an engine on any vessel identified in 
paragraph (a) of this section. Fuel suppliers must also keep copies of 
these records.
    (a) The requirements of this section apply for fuel delivered to any 
of the following vessels:
    (1) Vessels of 400 gross tonnage and above engaged in voyages to 
ports or offshore terminals under the jurisdiction of other Parties.
    (2) Platforms and drilling rigs engaged in voyages to waters under 
the sovereignty or jurisdiction of other Parties.
    (b) Except as allowed by paragraph (c) of this section, the bunker 
delivery note must contain the following:
    (1) The name and IMO number of the receiving vessel.
    (2) Port (or other description of the location, if the delivery does 
not take place at a port).
    (3) Date the fuel is delivered to the vessel (or date on which the 
delivery begins where the delivery begins on one day and ends on a later 
day).
    (4) Name, address, and telephone number of fuel supplier.
    (5) Fuel type and designation under 40 CFR part 80.

[[Page 263]]

    (6) Quantity in metric tons.
    (7) Density at 15 [deg]C, in kg/m\3\.
    (8) Sulfur content in weight percent.
    (9) A signed statement by an authorized representative of fuel 
supplier certifying that the fuel supplied conforms to Regulations 14 
and 18 of Annex VI consistent with it designation, intended use, and the 
date on which it is to be used. For example, with respect to conformity 
to Regulation 14 of Annex VI, a fuel designated and intended for use in 
an ECA any time between July 1, 2010 and January 1, 2015 may not have a 
sulfur content above 1.00 weight percent. This statement is not required 
where the vessel conforms to the requirements of Sec. 1043.55.
    (c) You may measure density and sulfur content according to the 
specifications of Annex VI, or according to other equivalent methods 
that we approve. Where the density and/or sulfur content of the 
delivered fuel cannot be measured, we may allow the use of alternate 
methods to specify the density and/or sulfur content of the fuel. For 
example, where fuel is supplied from multiple tanks on a supply vessel, 
we may allow the density and sulfur content of the fuel to be calculated 
as a weighted average of the measured densities and sulfur contents of 
the fuel that is supplied from each tank.



Sec. 1043.90  [Reserved]



Sec. 1043.95  Interim provisions.

    The interim provisions of this section apply for vessels operating 
exclusively in the Great Lakes.
    (a) Notwithstanding other provisions of this part, the requirements 
of this part do not apply for vessels propelled by steam turbine engines 
or reciprocating steam engines (also known as steamships), provided they 
were propelled by steam engines and operated within the Great Lakes 
before October 30, 2009 and continue to operate exclusively within the 
Great Lakes.
    (b) In cases of serious economic hardship, we may exempt Great Lakes 
vessels from the otherwise applicable fuel use requirements under this 
part.
    (1) To be eligible, you must demonstrate that all of the following 
are true:
    (i) Unusual circumstances exist that impose serious economic 
hardship and significantly affect your ability to comply.
    (ii) You have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (iii) No other allowances are available under the regulations in 
this chapter to avoid the impending violation.
    (2) Send the Designated Certification Officer a written request for 
an exemption no later than January 1, 2014.
    (3) Applicants must provide, at a minimum, the following 
information:
    (i) Detailed description of existing contract freight rates, the 
additional operating costs attributed to complying with the regulations, 
any loan covenants or other requirements regarding vessel financial 
instruments or agreements.
    (ii) Bond rating of entity that owns the vessels in question (in the 
case of joint ventures, include the bond rating of the joint venture 
entity and the bond ratings of all partners; in the case of 
corporations, include the bond ratings of any parent or subsidiary 
corporations).
    (iii) Estimated capital investment needed to comply with the 
requirements of this part by the applicable date.
    (4) In determining whether to grant the exemptions, we will consider 
all relevant factors, including the following:
    (i) The number of vessels to be exempted.
    (ii) The size of your company and your ability to endure the 
hardship.
    (iii) The length of time a vessel is expected to remain out of 
compliance with this part.
    (iv) The ability of an individual vessel to recover capital 
investments incurred to repower or otherwise modify a vessel to reduce 
air emissions.
    (5) In addition to the application requirements of paragraphs (b)(1) 
through (4) of this section, your application for temporary relief under 
this paragraph (b) must also include a compliance plan that shows the 
period over which the waiver is needed.
    (6) We may impose conditions on the waiver, including conditions to 
limit or recover any environmental loss.

[[Page 264]]

    (c) Prior to January 1, 2015, it is not a violation of this part for 
vessels operating exclusively in the Great Lakes to use a residual fuel 
not meeting the sulfur limits of Regulation 14.4.2 of Annex VI, where 
the operator bunkers with the lowest sulfur marine residual fuel that 
was available within the port area where the vessel bunkered the fuel. 
For purposes of this paragraph (c), port area means the geographic 
limits of the port as specified by the Army Corps of Engineers. The 
reporting and recordkeeping requirements of this part continue to apply 
for such operation. In addition, if you operate using a residual fuel 
not meeting the sulfur limits of Regulation 14.4.2 under this paragraph 
(c), you must send a report to the Designated Certification Officer that 
identifies the fuel that was used and documents how you determined that 
no compliant fuel was available. You must send this report within three 
months after the fueling event.



Sec. 1043.100  Reference materials.

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460, (202) 566-1744, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    (a) IMO material. This paragraph (a) lists material from the 
International Maritime Organization that we have incorporated by 
reference. Anyone may purchase copies of these materials from the 
International Maritime Organization, 4 Albert Embankment, London SE1 
7SR, United Kingdom, or http://www.imo.org, or 44-(0)20-7735-7611.
    (1) Revised MARPOL Annex VI, Regulations for the Prevention of Air 
Pollution from Ships, and NOX Technical Code 2008, 2009 
edition.
    (i) Revised MARPOL Annex VI, Regulations for the Prevention of 
Pollution from Ships (``2008 Annex VI''); IBR approved for Sec. 1043.1, 
1043.20, 1043.30(f), and 1043.60(c), and 1043.70(a).
    (ii) NOX Technical Code 2008 (``NOX Technical 
Code''); IBR approved for Sec. Sec. 1043.20, 1043.41(b) and (h), and 
1043.70(a).
    (2) [Reserved]
    (b) [Reserved]



PART 1045_CONTROL OF EMISSIONS FROM SPARK-IGNITION PROPULSION MARINE ENGINES AND VESSELS--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1045.1 Does this part apply for my products?
1045.2 Who is responsible for compliance?
1045.5 Which engines are excluded from this part's requirements?
1045.10 How is this part organized?
1045.15 Do any other CFR parts apply to me?
1045.20 What requirements apply to my vessels?
1045.25 How do the requirements related to evaporative emissions apply 
          to engines and their fuel systems?
1045.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1045.101 What exhaust emission standards and requirements must my 
          engines meet?
1045.103 What exhaust emission standards must my outboard and personal 
          watercraft engines meet?
1045.105 What exhaust emission standards must my sterndrive/inboard 
          engines meet?
1045.107 What are the not-to-exceed emission standards?
1045.110 How must my engines diagnose malfunctions?
1045.112 What are the standards for evaporative emissions?
1045.115 What other requirements apply?
1045.120 What emission-related warranty requirements apply to me?
1045.125 What maintenance instructions must I give to buyers?
1045.130 What installation instructions must I give to vessel 
          manufacturers?
1045.135 How must I label and identify the engines I produce?
1045.140 What is my engine's maximum engine power?

[[Page 265]]

1045.145 Are there interim provisions that apply only for a limited 
          time?

                  Subpart C_Certifying Engine Families

1045.201 What are the general requirements for obtaining a certificate 
          of conformity?
1045.205 What must I include in my application?
1045.210 May I get preliminary approval before I complete my 
          application?
1045.220 How do I amend the maintenance instructions in my application?
1045.225 How do I amend my application for certification to include new 
          or modified engines or change an FEL?
1045.230 How do I select engine families?
1045.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1045.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1045.245 How do I determine deterioration factors from exhaust 
          durability testing?
1045.250 What records must I keep and what reports must I send to EPA?
1045.255 What decisions may EPA make regarding my certificate of 
          conformity?

                Subpart D_Testing Production-Line Engines

1045.301 When must I test my production-line engines?
1045.305 How must I prepare and test my production-line engines?
1045.310 How must I select engines for production-line testing?
1045.315 How do I know when my engine family fails the production-line 
          testing requirements?
1045.320 What happens if one of my production-line engines fails to meet 
          emission standards?
1045.325 What happens if an engine family fails the production-line 
          testing requirements?
1045.330 May I sell engines from an engine family with a suspended 
          certificate of conformity?
1045.335 How do I ask EPA to reinstate my suspended certificate?
1045.340 When may EPA revoke my certificate under this subpart and how 
          may I sell these engines again?
1045.345 What production-line testing records must I send to EPA?
1045.350 What records must I keep?

                        Subpart E_In-Use Testing

1045.401 What testing requirements apply to my engines that have gone 
          into service?
1045.405 How does this program work?
1045.410 How must I select, prepare, and test my in-use engines?
1045.415 What happens if in-use engines do not meet requirements?
1045.420 What in-use testing information must I report to EPA?
1045.425 What records must I keep?

                        Subpart F_Test Procedures

1045.501 How do I run a valid emission test?
1045.505 How do I test engines using discrete-mode or ramped-modal duty 
          cycles?
1045.515 What are the test procedures related to not-to-exceed 
          standards?
1045.520 What testing must I perform to establish deterioration factors?

                 Subpart G_Special Compliance Provisions

1045.601 What compliance provisions apply to these engines?
1045.605 What provisions apply to engines already certified under the 
          motor vehicle or Large SI programs?
1045.610 What provisions apply to using engines already certified to 
          Small SI emission standards?
1045.620 What are the provisions for exempting engines used solely for 
          competition?
1045.625 What requirements apply under the Diurnal Transition Program?
1045.630 What is the personal-use exemption.
1045.635 What special provisions apply for small-volume engine 
          manufacturers?
1045.640 What special provisions apply to branded engines?
1045.645 What special provisions apply for converting an engine to use 
          an alternate fuel?
1045.650 Do delegated-assembly provisions apply for marine engines?
1045.655 What special provisions apply for installing and removing 
          altitude kits?
1045.660 How do I certify outboard or personal watercraft engines for 
          use in jet boats?

       Subpart H_Averaging, Banking, and Trading for Certification

1045.701 General provisions.
1045.705 How do I generate and calculate exhaust emission credits?
1045.706 How do I generate and calculate evaporative emission credits?
1045.710 How do I average emission credits?
1045.715 How do I bank emission credits?
1045.720 How do I trade emission credits?
1045.725 What must I include in my application for certification?
1045.730 What ABT reports must I send to EPA?
1045.735 What records must I keep?
1045.745 What can happen if I do not comply with the provisions of this 
          subpart?

[[Page 266]]

          Subpart I_Definitions and Other Reference Information

1045.801 What definitions apply to this part?
1045.805 What symbols, acronyms, and abbreviations does this part use?
1045.810 What materials does this part reference?
1045.815 What provisions apply to confidential information?
1045.820 How do I request a hearing?
1045.825 What reporting and recordkeeping requirements apply under this 
          part?

Appendix I to Part 1045--Summary of Previous Emission Standards
Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 59194, Oct. 8, 2008, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec. 1045.1  Does this part apply for my products?

    (a) Except as provided in Sec. 1045.5, the regulations in this part 
1045 apply as follows:
    (1) The requirements of this part related to exhaust emissions apply 
to new, spark-ignition propulsion marine engines beginning with the 2010 
model year.
    (2) The requirements of this part related to evaporative emissions 
apply to fuel lines and fuel tanks used with marine engines that use a 
volatile liquid fuel (such as gasoline) as specified in 40 CFR part 
1045.112. This includes fuel lines and fuel tanks used with auxiliary 
marine engines. This also includes portable marine fuel tanks and 
associated fuel lines.
    (b) We specify optional standards for certifying sterndrive/inboard 
engines before the 2010 model year in Sec. 1045.145(a). Engines 
certified to these standards are subject to all the requirements of this 
part as if these optional standards were mandatory.
    (c) See 40 CFR part 91 for requirements that apply to outboard and 
personal watercraft engines not yet subject to the requirements of this 
part 1045.
    (d) The provisions of Sec. Sec. 1045.620 and 1045.801 apply for new 
engines used solely for competition beginning January 1, 2010.



Sec. 1045.2  Who is responsible for compliance?

    The requirements and prohibitions of this part apply to 
manufacturers of engines and fuel-system components as described in 
Sec. 1045.1. The requirements of this part are generally addressed to 
manufacturers subject to this part's requirements. The term ``you'' 
generally means the certifying manufacturer. For provisions related to 
exhaust emissions, this generally means the engine manufacturer, 
especially for issues related to certification (including production-
line testing, reporting, etc.). For provisions related to certification 
with respect to evaporative emissions, this generally means the vessel 
manufacturer. Vessel manufacturers must meet applicable requirements as 
described in Sec. 1045.20. Engine manufacturers must meet requirements 
related to evaporative emissions as described in Sec. 1045.25.



Sec. 1045.5  Which engines are excluded from this part's requirements?

    (a) Auxiliary engines. The exhaust emission standards of this part 
do not apply to auxiliary marine engines. See 40 CFR part 90, 1048, or 
1054 for the exhaust emission standards that apply. Evaporative emission 
standards apply as specified in Sec. 1045.112.
    (b) Hobby engines and vessels. This part does not apply with respect 
to reduced-scale models of vessels that are not capable of transporting 
a person.
    (c) Large natural gas engines. Propulsion marine engines powered by 
natural gas with maximum engine power at or above 250 kW are deemed to 
be compression-ignition engines. These engines are therefore subject to 
all the requirements of 40 CFR part 1042 instead of this part even if 
they would otherwise meet the definition of ``spark-ignition'' in Sec. 
1045.801.



Sec. 1045.10  How is this part organized?

    This part 1045 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of this part 
1045 and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify

[[Page 267]]

engines under this part 1045. Note that Sec. 1045.145 discusses certain 
interim requirements and compliance provisions that apply only for a 
limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
production-line engines.
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, vessel manufacturers, owners, operators, rebuilders, and 
all others.
    (h) Subpart H of this part describes how you may generate and use 
exhaust and evaporative emission credits to certify your engines and 
vessels.
    (i) Subpart I of this part contains definitions and other reference 
information.



Sec. 1045.15  Do any other CFR parts apply to me?

    (a) Part 1060 of this chapter describes standards and procedures 
that apply for controlling evaporative emissions from engines fueled by 
gasoline or other volatile liquid fuels and the associated fuel systems. 
See Sec. 1045.112 for information about how that part applies.
    (b) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1045 describes how to apply the provisions of part 1065 
of this chapter to determine whether engines meet the exhaust emission 
standards in this part.
    (c) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1045, or vessels powered by these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, vessel 
manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (d) Other parts of this chapter apply if referenced in this part 
1045.



Sec. 1045.20  What requirements apply to my vessels?

    (a) If you manufacture vessels with engines certified to the exhaust 
emission standards in this part, your vessels must meet all emission 
standards with the engine and fuel system installed.
    (b) You may need to certify your vessels or fuel systems as 
described in 40 CFR 1060.1 and 1060.601. If you produce vessels subject 
to this part without obtaining a certificate, you must still meet the 
requirements of 40 CFR 1060.101(e) and (f) and keep records as described 
in 40 CFR 1060.210.
    (c) You must identify and label vessels you produce under this 
section consistent with the requirements of Sec. 1045.135 and 40 CFR 
part 1060.
    (d) You must follow all emission-related installation instructions 
from the certifying manufacturers as described in Sec. 1045.130 and 40 
CFR 1068.105. If you do not follow the installation instructions, we may 
consider your vessel to be not covered by the certificates of 
conformity. Introduction of such vessels into U.S. commerce violates 40 
CFR 1068.101.



Sec. 1045.25  How do the requirements related to evaporative emissions apply 

to engines and their fuel systems?

    (a) Engine manufacturers must provide the installation instructions 
required by Sec. 1045.130 to the ultimate purchasers of the engine. 
These instructions may be combined with the maintenance instructions 
required by Sec. 1045.125.
    (b) Engines sold with attached fuel lines or installed fuel tanks 
must be covered by the appropriate certificates

[[Page 268]]

of conformity issued under 40 CFR part 1060.
    (c) Fuel lines intended to be used with new engines and new portable 
marine fuel tanks must be certified to the applicable requirements of 40 
CFR part 1060. Similarly, fuel tanks intended to be used with new 
enignes must be certified to the applicable requirements of 40 CFR part 
1060.
    (d) All persons installing engines certified under this part 1045 
must follow the certifying manufacturer's emission-related installation 
instructions (see Sec. 1045.130 and 40 CFR 1068.105).



Sec. 1045.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec. 1045.825 and 40 CFR 1068.25 regarding 
recordkeeping requirements. If recordkeeping requirements are not 
specified, store these records in any format and on any media and keep 
them readily available for one year after you send an associated 
application for certification, or one year after you generate the data 
if they do not support an application for certification. You must 
promptly send us organized, written records in English if we ask for 
them. We may review them at any time.
    (b) The regulations in Sec. 1045.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 1045.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.



          Subpart B_Emission Standards and Related Requirements



Sec. 1045.101  What exhaust emission standards and requirements must my engines meet?

    (a) You must show that your engines meet the following requirements:
    (1) Outboard and personal watercraft engines must meet the exhaust 
emission standards specified in Sec. 1045.103.
    (2) Sterndrive/inboard engines must meet the exhaust emission 
standards specified in Sec. 1045.105. You may optionally meet these 
standards earlier than we require, as specified in Sec. 1045.145(b).
    (3) Sterndrive/inboard engines must meet the engine-diagnostic 
requirements in Sec. 1045.110.
    (4) All engines must meet the requirements in Sec. 1045.115.
    (b) It is important that you read Sec. 1045.145 to determine if 
there are other interim requirements or interim compliance provisions 
that apply for a limited time.



Sec. 1045.103  What exhaust emission standards must my outboard and personal watercraft engines meet?

    (a) Duty-cycle emission standards. Starting in the 2010 model year, 
exhaust emissions from your outboard and personal watercraft engines may 
not exceed emission standards as follows:
    (1) Measure emissions using the applicable steady-state test 
procedures described in subpart F of this part.
    (2) The exhaust emission standards from the following table apply:

      Table 1 to Sec.  1045.103--Emission Standards for Outboard and Personal Watercraft Engines (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
              Pollutant                       Power \1\                         Emission standard
----------------------------------------------------------------------------------------------------------------
HC + NOX.............................  P <= 4.3 kW............  30.0
                                       P  4.3 kW...   2.1 + 0.09 x (151 + 557/P\0.9\)
CO...................................  P <= 40 kW.............  500 - 5.0 x P
                                       P  40 kW....  300
----------------------------------------------------------------------------------------------------------------
\1\ Power (P) = maximum engine power for the engine family, in kilowatts (kW).


[[Page 269]]

    (3) For engines whose standard depends on maximum engine power, 
round the calculated HC+NOX emission standard to the nearest 
0.1 g/kW-hr; round the calculated CO emission standard to the nearest g/
kW-hr. Determine maximum engine power for the engine family as described 
in Sec. 1045.140.
    (b) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
described in subpart H of this part for demonstrating compliance with 
HC+NOX emission standards. For CO emissions, you may generate 
or use emission credits for averaging as described in subpart H of this 
part, but such credits may not be banked or traded. To generate or use 
emission credits, you must specify a family emission limit for each 
pollutant you include in the ABT program for each engine family. These 
family emission limits serve as the emission standards for the engine 
family with respect to all required testing instead of the standards 
specified in this section. An engine family meets emission standards 
even if its family emission limit is higher than the standard, as long 
as you show that the whole averaging set of applicable engine families 
meets the emission standards using emission credits and the engines 
within the family meet the family emission limit. The following FEL caps 
apply:
    (1) For engines with maximum engine power at or below 4.3 kW, the 
maximum value of the family emission limit for HC+NOX is 81.0 
g/kW-hr. For all other engines, the maximum value of the family emission 
limit for HC+NOX is defined by the following formula, with 
results rounded to the nearest 0.1 g/kW-hr:
[GRAPHIC] [TIFF OMITTED] TR08OC08.088

    (2) For engines with maximum engine power above 40 kW, the maximum 
value of the family emission limit for CO is 450 g/kW-hr. For all other 
engines, the maximum value is defined by the following formula, with 
results rounded to the nearest g/kW-hr:

FELmax,CO = 650 - 5.0 x P
    (c) Not-to-exceed emission standards. Exhaust emissions may not 
exceed the not-to-exceed standards specified in Sec. 1045.107.
    (d) Fuel types. The exhaust emission standards in this section apply 
for engines using the fuel type on which the engines in the engine 
family are designed to operate. You must meet the numerical emission 
standards for hydrocarbons in this section based on the following types 
of hydrocarbon emissions for engines powered by the following fuels:
    (1) Alcohol-fueled engines: THCE emissions.
    (2) Natural gas-fueled engines: NMHC emissions.
    (3) Other engines: THC emissions.
    (e) Useful life. Your engines must meet the exhaust emission 
standards in paragraphs (a) through (c) of this section over the full 
useful life as follows:
    (1) For outboard engines, the minimum useful life is 350 hours of 
engine operation or 10 years, whichever comes first.
    (2) For personal watercraft engines, the minimum useful life is 350 
hours of engine operation or 5 years, whichever comes first.
    (3) You must specify a longer useful life in terms of hours for the 
engine family if the average service life of your vehicles is longer 
than the minimum value, as follows:
    (i) Except as allowed by paragraph (e)(3)(ii) of this section, your 
useful life (in hours) may not be less than either of the following:
    (A) Your projected operating life from advertisements or other 
marketing materials for any engines in the engine family.
    (B) Your basic mechanical warranty for any engines in the engine 
family.

[[Page 270]]

    (ii) Your useful life may be based on the average service life of 
vehicles in the engine family if you show that the average service life 
is less than the useful life required by paragraph (e)(3)(i) of this 
section, but more than the minimum useful life (350 hours of engine 
operation). In determining the actual average service life of vehicles 
in an engine family, we will consider all available information and 
analyses. Survey data is allowed but not required to make this showing.
    (f) Applicability for testing. The duty-cycle emission standards in 
this subpart apply to all testing performed according to the procedures 
in Sec. 1045.505, including certification, production-line, and in-use 
testing. The not-to-exceed standards apply for all testing performed 
according to the procedures of subpart F of this part.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]



Sec. 1045.105  What exhaust emission standards must my sterndrive/inboard engines meet?

    (a) Duty-cycle emission standards. Starting in the 2010 model year, 
exhaust emissions from your sterndrive/inboard engines may not exceed 
emission standards as follows:
    (1) Measure emissions using the applicable steady-state test 
procedures described in subpart F of this part.
    (2) For conventional sterndrive/inboard engines, the 
HC+NOX emission standard is 5.0 g/kW-hr and the CO emission 
standard is 75.0 g/kW-hr.
    (3) The exhaust emission standards from the following table apply 
for high-performance engines:

   Table 1 to Sec.  1045.105--Emission Standards for High-Performance
                            Engines (g/kW-hr)
------------------------------------------------------------------------
           Model year                 Power \1\       HC+NOX       CO
------------------------------------------------------------------------
2010............................  P<= 485 kW......       20.0        350
                                  P 485       25.0        350
                                   kW.
2011+...........................  P<= 485 kW......       16.0        350
                                  P 485       22.0       350
                                   kW.
------------------------------------------------------------------------
\1\ Power (P) = maximum engine power in kilowatts (kW).

    (b) Averaging, banking, and trading. You may not generate or use 
emission credits for high-performance engines. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
described in subpart H of this part for demonstrating compliance with 
HC+NOX and CO emission standards for conventional sterndrive-
inboard engines. To generate or use emission credits, you must specify a 
family emission limit for each pollutant you include in the ABT program 
for each engine family. These family emission limits serve as the 
emission standards for the engine family with respect to all required 
testing instead of the standards specified in this section. An engine 
family meets emission standards even if its family emission limit is 
higher than the standard, as long as you show that the whole averaging 
set of applicable engine families meets the emission standards using 
emission credits and the engines within the family meet the family 
emission limit. Family emission limits for conventional sterndrive/
inboard engines may not be higher than 16.0 g/kW-hr for 
HC+NOX and 150 g/kW-hr for CO except as specified in Sec. 
1045.145(c).
    (c) Not-to-exceed emission standards. Exhaust emissions may not 
exceed the not-to-exceed standards specified in Sec. 1045.107 for 
conventional sterndrive/inboard engines. These standards do not apply 
for high-performance engines.
    (d) Fuel types. The exhaust emission standards in this section apply 
for engines using the fuel type on which the engines in the engine 
family are designed to operate. You must meet the numerical emission 
standards for hydrocarbons in this section based on the following types 
of hydrocarbon emissions for engines powered by the following fuels:
    (1) Alcohol-fueled engines: THCE emissions.
    (2) Natural gas-fueled engines: NMHC emissions.
    (3) Other engines: THC emissions.
    (e) Useful life. Your engines must meet the exhaust emission 
standards in paragraphs (a) through (c) of this section over their full 
useful life, as follows:
    (1) For high-performance engines with maximum engine power above 485 
kW, the useful life is 50 hours of operation or 1 year, whichever comes 
first. For high-performance engines with maximum engine power at or 
below 485

[[Page 271]]

kW, the useful life is 150 hours of operation or 3 years, whichever 
comes first.
    (2) For conventional sterndrive/inboard engines, the minimum useful 
life is 480 hours of operation or ten years, whichever comes first. 
However, you may request in your application for certification that we 
approve a shorter useful life for an engine family. We may approve a 
shorter useful life, in hours of engine operation but not in years, if 
we determine that these engines will rarely operate longer than the 
shorter useful life. If engines identical to those in the engine family 
have already been produced and are in use, your demonstration must 
include documentation from such in-use engines. In other cases, your 
demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your demonstration 
must also include any overhaul interval that you recommend, any 
mechanical warranty that you offer for the engine or its components, and 
any relevant customer design specifications. Your demonstration may 
include any other relevant information. The useful life value may not be 
shorter than any of the following:
    (i) 150 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (3) You must specify a longer useful life for conventional 
sterndrive/inboard engines in terms of hours if the average service life 
of engines from the engine family is longer than the minimum useful life 
value, as follows:
    (i) Except as allowed by paragraph (e)(3)(ii) of this section, your 
useful life (in hours) may not be less than either of the following:
    (A) Your projected operating life from advertisements or other 
marketing materials for any engines in the engine family.
    (B) Your basic mechanical warranty for any engines in the engine 
family.
    (ii) Your useful life may be based on the average service life of 
engines in the engine family if you show that the average service life 
is less than the useful life required by paragraph (e)(3)(i) of this 
section, but more than the minimum useful life (480 hours of engine 
operation). In determining the actual average service life of engines in 
an engine family, we will consider all available information and 
analyses. Survey data is allowed but not required to make this showing.
    (f) Applicability for testing. The duty-cycle emission standards in 
this section apply to all testing performed according to the procedures 
in Sec. 1045.505, including certification, production-line, and in-use 
testing. The not-to-exceed standards apply for all testing performed 
according to the procedures of subpart F of this part.



Sec. 1045.107  What are the not-to-exceed emission standards?

    Not-to-exceed emission standards apply as follows:
    (a) Measure emissions using the not-to-exceed procedures in subpart 
F of this part:
    (b) Determine the not-to-exceed standard, rounded to the same number 
of decimal places as the emission standard in Table 1 to this section 
from the following equation:
Not-to-exceed standard = (STD) x (M)

Where:

STD = The standard specified in paragraph (a) of this section if you 
certify without using ABT for that pollutant; or the FEL for that 
pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraphs (c) 
through (e) of this section.

    (c) For engines equipped with a catalyst, use NTE multipliers from 
the following table across the applicable zone specified in Sec. 
1045.515:

    Table 1 to Sec.  1045.107--NTE Multipliers for Catalyst-Equipped
                                 Engines
------------------------------------------------------------------------
                    Pollutant                      Subzone 1   Subzone 2
------------------------------------------------------------------------
HC+NOX..........................................        1.50        1.00
CO..............................................         N/A        1.00
------------------------------------------------------------------------

    (d) For two-stroke engines not equipped with a catalyst, use an NTE 
multiplier of 1.2 for HC+NOX and CO. Compare the weighted 
value specified in Sec. 1045.515(c)(5) to the NTE standards specified 
in paragraph (b) of this section.
    (e) For engines not covered by paragraphs (c) and (d) of this 
section, use

[[Page 272]]

the NTE multipliers from the following table across the applicable zone 
specified in Sec. 1045.515:

   Table 2 to Sec.  1045.107--NTE Multipliers for Four-Stroke Engines
                            without Catalysts
------------------------------------------------------------------------
                    Pollutant                      Subzone 1   Subzone 2
------------------------------------------------------------------------
HC+NOX..........................................        1.40        1.60
CO..............................................        1.50        1.50
------------------------------------------------------------------------



Sec. 1045.110  How must my engines diagnose malfunctions?

    The following engine-diagnostic requirements apply for engines 
equipped with three-way catalysts and closed-loop control of air-fuel 
ratios:
    (a) Equip your engines with a diagnostic system. Equip each engine 
with a diagnostic system that will detect significant malfunctions in 
its emission control system using one of the following protocols:
    (1) If your emission control strategy depends on maintaining air-
fuel ratios at stoichiometry, an acceptable diagnostic design would 
identify a malfunction whenever the air-fuel ratio does not cross 
stoichiometry for one minute of intended closed-loop operation. You may 
use other diagnostic strategies if we approve them in advance.
    (2) If the protocol described in paragraph (a)(1) of this section 
does not apply to your engine, you must use an alternative approach that 
we approve in advance. Your alternative approach must generally detect 
when the emission control system is not functioning properly.
    (3) Diagnostic systems approved by the California Air Resources 
Board for use with sterndrive/inboard engines fully satisfy the 
requirements of this section.
    (b) Use a malfunction indicator. The malfunction indicator must be 
designed such that the operator can readily see or hear it; visible 
signals may be any color except red. Visible malfunction indicators must 
display ``Check Engine,'' ``Service Engine Soon,'' or a similar message 
that we approve. The malfunction indicator must go on under each of the 
following circumstances:
    (1) When a malfunction occurs, as described in paragraph (a) of this 
section.
    (2) When the diagnostic system cannot send signals to meet the 
requirement of paragraph (b)(1) of this section.
    (3) When the engine's ignition is in the ``key-on'' position before 
starting or cranking. The malfunction indicator should turn off after 
engine starting if the system detects no malfunction.
    (c) Control when the malfunction can turn off. If the malfunction 
indicator goes on to show a malfunction, it must remain on during all 
later engine operation until servicing corrects the malfunction. If the 
engine is not serviced, but the malfunction does not recur for three 
consecutive engine starts during which the malfunctioning system is 
evaluated and found to be working properly, the malfunction indicator 
may stay off during later engine operation.
    (d) Store trouble codes in computer memory. Record and store in 
computer memory any diagnostic trouble codes showing a malfunction that 
should activate the malfunction indicator. The stored codes must 
identify the malfunctioning system or component as uniquely as possible. 
Make these codes available through the data link connector as described 
in paragraph (g) of this section. You may store codes for conditions 
that do not activate the malfunction indicator. The system must store a 
separate code to show when the diagnostic system is disabled (from 
malfunction or tampering).
    (e) Make data, access codes, and devices accessible. Make all 
required data accessible to us without any access codes or devices that 
only you can supply. Ensure that anyone servicing your engine can read 
and understand the diagnostic trouble codes stored in the onboard 
computer with generic tools and information.
    (f) Consider exceptions for certain conditions. Your diagnostic 
systems may disregard trouble codes for the first three minutes after 
engine starting. You may ask us to approve diagnostic-system designs 
that disregard trouble codes under other conditions that would produce 
an unreliable reading, damage systems or components, or cause other 
safety risks.
    (g) Follow standard references for formats, codes, and connections. 
Follow conventions defined in SAE J1939-05

[[Page 273]]

(incorporated by reference in Sec. 1045.810) or ask us to approve using 
updated versions of (or variations from) this standard.



Sec. 1045.112  What are the standards for evaporative emissions?

    Fuel systems must meet the evaporative emission requirements of 40 
CFR part 1060 as specified in this section. These standards apply over a 
useful life period of five years for personal watercraft and ten years 
for all other vessels and for portable marine fuel tanks.
    (a) Fuel line permeation. Nonmetal fuel lines must meet the 
permeation requirements specified in 40 CFR 1060.102 for EPA NRFL fuel 
lines as described in this paragraph (a).
    (1) Except as specified in paragraphs (a)(2) and (3) of this 
section, the emission standard for fuel lines starts for vessels or 
portable marine fuel tanks with a date of manufacture on or after 
January 1, 2009.
    (2) The emission standard for primer bulbs applies starting January 
1, 2011.
    (3) The emission standard for under-cowl fuel lines used with 
outboard engines apply over a phase-in period as specified in this 
paragraph (a)(3).
    (i) Except as specified in paragraph (a)(3)(ii) of this section, the 
phase-in period is based on total length of fuel lines as specified in 
Table 1 to this section. For example, at least 30 percent of the length 
of under-cowl fuel lines used on your full lineup of 2010 model year 
outboard engines must meet the specified permeation standards. See Sec. 
1045.145(k) for administrative requirements related to this phase-in.

 Table 1 to Sec.  1045.112--phase-in Schedule for Under-Cowl Fuel Lines
                           on Outboard Engines
------------------------------------------------------------------------
                                                              Percentage
                         Model year                            phase-in
------------------------------------------------------------------------
2010.......................................................           30
2011.......................................................           60
2012-2014..................................................           90
2015+......................................................          100
------------------------------------------------------------------------

    (ii) You may instead meet the permeation standards of this paragraph 
(a) by complying with the specified standards with 100 percent of your 
under-cowl fuel lines across your full lineup of 2011 model year 
outboard engines. In this case, the requirements of this part would not 
apply to under-cowl fuel lines before the 2011 model year. To use this 
option, you must notify the Designated Compliance Officer before 
December 31, 2009 of your intent to meet permeation standards on all 
your under-cowl fuel lines in the 2011 model year.
    (b) Tank permeation. Fuel tanks must meet the permeation 
requirements specified in 40 CFR 1060.103. Portable marine fuel tanks 
must meet permeation standards starting January 1, 2011. Fuel tanks for 
personal watercraft must meet permeation standards starting in the 2011 
model year. Other installed fuel tanks must meet permeation standards 
starting in the 2012 model year. Vessel manufacturers may generate or 
use emission credits to show compliance with the requirements of this 
paragraph under the averaging, banking, and trading (ABT) program, as 
described in subpart H of this part. Starting in the 2014 model year for 
personal watercraft and in the 2015 model year for other installed fuel 
tanks, family emission limits may not exceed 5.0 g/m\2\/day if testing 
occurs at a nominal temperature of 28 [deg]C, or 8.3 g/m\2\/day if 
testing occurs at a nominal temperature of 40 [deg]C. These FEL caps do 
not apply to fuel caps that are certified separately to meet permeation 
standards. Portable marine fuel tank manufacturers may not generate or 
use emission credits under subpart H of this part.
    (c) Running loss. The running loss requirements specified in 40 CFR 
part 1060 do not apply.
    (d) Diurnal emissions. Installed fuel tanks must meet the diurnal 
emission requirements specified in 40 CFR 1060.105. Fuel tanks for 
personal watercraft must meet diurnal emission standards starting in the 
2010 model year. Other installed fuel tanks must meet diurnal emission 
standards for vessels produced on or after July 31, 2011, except as 
allowed by Sec. 1045.625. Fuel tanks meeting the definition of portable 
marine fuel tank in Sec. 1045.801 must comply with the diurnal 
requirements specified in 40 CFR part 1060 starting January 1, 2010.

[[Page 274]]

    (e) Other requirements. The requirements of 40 CFR 1060.101(e) and 
(f) apply to vessel manufacturers even if they do not obtain a 
certificate.
    (f) Engine manufacturers. To the extent that engine manufacturers 
produce engines with fuel lines or fuel tanks, those fuel-system 
components must meet the requirements specified in this section. The 
timing of new standards is based on the date of manufacture of the 
engine.



Sec. 1045.115  What other requirements apply?

    The following requirements apply with respect to engines that are 
required to meet the emission standards of this part:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life.
    (b) Torque broadcasting. Starting in the 2013 model year, 
electronically controlled engines must broadcast their speed and output 
shaft torque (in newton-meters). Engines may alternatively broadcast a 
surrogate value for determining torque. Engines must broadcast engine 
parameters such that they can be read with a remote device, or broadcast 
them directly to their controller area networks. Your broadcasting 
protocol must allow for valid measurements using the field-testing 
procedures in 40 CFR part 1065, subpart J.
    (c) EPA access to broadcast information. If we request it, you must 
provide us any hardware or tools we would need to readily read, 
interpret, and record all information broadcast by an engine's on-board 
computers and electronic control modules. If you broadcast a surrogate 
parameter for torque values, you must provide us what we need to convert 
these into torque units. We will not ask for hardware or tools if they 
are readily available commercially.
    (d) Altitude adjustments. Engines must meet applicable emission 
standards for valid tests conducted under the ambient conditions 
specified in 40 CFR 1065.520. Engines must meet applicable emission 
standards at all specified atmospheric pressures, except that for 
atmospheric pressures below 94.0 kPa you may rely on an altitude kit for 
all testing if you meet the requirements specified in Sec. 1054.205(s). 
If your rely on an altitude kit for certification, you must identify in 
the owners manual the altitude range for which you expect proper engine 
performance and emission control with and without the altitude kit; you 
must also state in the owners manual that operating the engine with the 
wrong engine configuration at a given altitude may increase its 
emissions and decrease fuel efficiency and performance.
    (e) Adjustable parameters. Engines that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. We may require that you set adjustable 
parameters to any specification within the adjustable range during any 
testing, including certification testing, production-line testing, or 
in-use testing.
    (f) Prohibited controls. You may not design your engines with 
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.
    (g) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission control device that 
reduces the effectiveness of emission controls under conditions that the 
engine may reasonably be expected to encounter during normal operation 
and use. This does not apply for altitude kits installed or removed 
consistent with Sec. 1045.655. This also does not apply to auxiliary 
emission control devices you identify in your application for 
certification if any of the following is true:
    (1) The conditions of concern were substantially included in the 
applicable duty-cycle test procedures described in subpart F of this 
part.
    (2) You show your design is necessary to prevent engine (or vessel) 
damage or

[[Page 275]]

accidents. For example, you may design your engine to include emergency 
operating modes (sometimes known as limp-home operation) that would 
allow a vessel to return to land in the event of a malfunction even if 
such operating modes result in higher emissions.
    (3) The reduced effectiveness applies only to starting the engine.



Sec. 1045.120  What emission-related warranty requirements apply to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new engine, including all parts 
of its emission control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
during the periods specified in this paragraph (b). You may offer an 
emission-related warranty more generous than we require. The emission-
related warranty for an engine may not be shorter than any published 
warranty you offer without charge for that engine. Similarly, the 
emission-related warranty for any component may not be shorter than any 
published warranty you offer without charge for that component. If an 
engine has no hour meter, we base the warranty periods in this paragraph 
(b) only on the engine's age (in years). The warranty period begins when 
the engine is placed into service.
    (1) The minimum warranty period for outboard engines is 175 hours of 
engine operation or 5 years, whichever comes first. The minimum warranty 
period for personal watercraft engines is 175 hours of engine operation 
or 30 months, whichever comes first.
    (2) The minimum warranty period for sterndrive/inboard engines is 
shown in the following table:

   Table 1 to Sec.  1045.120--Warranty Periods for Sterndrive/Inboard
                               Engines \1\
------------------------------------------------------------------------
                                  Electronic
         Engine type              components     Mechanical  components
------------------------------------------------------------------------
Conventional.................  3 years/480      3 years/480 hours.
                                hours.
High-performance with maximum  3 years/480      3 years/150 hours.
 engine power at or below 485   hours.
 kW.
High-performance with maximum  3 years/480      1 year/50 hours.
 engine power above 485 kW.     hours.
------------------------------------------------------------------------
\1\ The warranty period expires after the specified time period or
  number of operating hours, whichever comes first.

    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
regulated pollutant, including components listed in 40 CFR part 1068, 
Appendix I, and components from any other system you develop to control 
emissions. The emission-related warranty covers these components even if 
another company produces the component. Your emission-related warranty 
does not cover components whose failure would not increase an engine's 
emissions of any regulated pollutant.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.



Sec. 1045.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new engine written instructions 
for properly maintaining and using the engine, including the emission 
control system as described in this section. The maintenance 
instructions also apply to service accumulation on your emission-data 
engines as described in Sec. 1045.245 and in 40 CFR part 1065.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components.

[[Page 276]]

This may also include additional emission-related maintenance that you 
determine is critical if we approve it in advance. You may schedule 
critical emission-related maintenance on these components if you meet 
the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that any lack of maintenance that 
increases emissions also unacceptably degrades the engine's performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in your maintenance instructions.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) You may not schedule critical emission-related maintenance 
within the useful life period for aftertreatment devices, pulse-air 
valves, fuel injectors, oxygen sensors, electronic control units, 
superchargers, or turbochargers, except as specified in paragraph 
(a)(3), (b), or (c) of this section.
    (3) You may ask us to approve a maintenance interval shorter than 
that specified in paragraph (a)(2) of this section. In your request you 
must describe the proposed maintenance step, recommend the maximum 
feasible interval for this maintenance, include your rationale with 
supporting evidence to support the need for the maintenance at the 
recommended interval, and demonstrate that the maintenance will be done 
at the recommended interval on in-use engines. In considering your 
request, we will evaluate the information you provide and any other 
available information to establish alternate specifications for 
maintenance intervals, if appropriate.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
engine operation. You must clearly state that this additional 
maintenance is associated with the special situation you are addressing. 
We may disapprove your maintenance instructions if we determine that you 
have specified special maintenance steps to address engine operation 
that is not atypical, or that the maintenance is unlikely to occur in 
use. If we determine that certain maintenance items do not qualify as 
special maintenance under this paragraph (c), you may identify this as 
recommended additional maintenance under paragraph (b) of this section.
    (d) Noncritical emission-related maintenance. Subject to the 
provisions of this paragraph (d), you may schedule any amount of 
emission-related inspection or maintenance that is not covered by 
paragraph (a) of this section (i.e., maintenance that is neither 
explicitly identified as critical emission-related maintenance, nor that 
we approve as critical emission-related maintenance). Noncritical 
emission-related maintenance generally includes changing spark plugs, 
re-seating valves, or any other emission-related maintenance on the 
components we specify in 40 CFR part 1068, Appendix I that is not 
covered in paragraph (a) of this section. You must state in the owners 
manual that these steps are not necessary to keep the emission-related 
warranty valid. If operators fail to do this maintenance, this does not 
allow you to disqualify those engines from in-use testing or deny a 
warranty claim. Do not take these inspection or maintenance steps during 
service accumulation on your emission-data engines.

[[Page 277]]

    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines at 
the least frequent intervals that you recommend to the ultimate 
purchaser (but not the intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their engines. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:
    (1) Each affected component was not in general use on similar 
engines before the applicable dates shown in paragraph (5) of the 
definition of new propulsion marine engine in Sec. 1045.801.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]



Sec. 1045.130  What installation instructions must I give to vessel manufacturers?

    (a) If you sell an engine for someone else to install in a vessel, 
give the engine installer instructions for installing it consistent with 
the requirements of this part. Include all information necessary to 
ensure that an engine will be installed in its certified configuration.
    (b) Make sure the instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a vessel violates federal law (40 CFR 1068.105(b)), 
subject to fines or other penalties as described in the Clean Air Act.''
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec. 1045.205(u) related to in-use measurement and 
the requirements of Sec. 1045.655 related to altitude kits.
    (4) Describe the steps needed to control evaporative emissions as 
described in Sec. 1045.112. This will generally require notification 
that the installer and/or vessel manufacturer must meet the requirements 
of Sec. 1045.112 and 40 CFR part 1060.
    (5) Describe any necessary steps for installing the diagnostic 
system described in Sec. 1045.110.
    (6) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified

[[Page 278]]

only for personal watercraft, tell vessel manufacturers not to install 
the engines in vessels longer than 4.0 meters.
    (7) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. For example, this may include specified 
limits for catalyst systems, such as exhaust backpressure, catalyst 
location, and temperature profiles during engine operation.
    (8) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the vessel, as 
described in 40 CFR 1068.105.''
    (c) You do not need installation instructions for engines you 
install in your own vessels.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.



Sec. 1045.135  How must I label and identify the engines I produce?

    The provisions of this section apply to engine manufacturers.
    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec. 1045.640.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) State the engine's displacement (in liters) and maximum engine 
power (in kW); however, you may omit the displacement from the label if 
all the engines in the engine family have the same per-cylinder 
displacement and total displacement.
    (5) State the date of manufacture [DAY (optional), MONTH, and YEAR]; 
however, you may omit this from the label if you stamp, engrave, or 
otherwise permanently identify it elsewhere on the engine, in which case 
you must also describe in your application for certification where you 
will identify the date on the engine.
    (6) State the FELs to which the engines are certified (in g/kW-hr) 
if certification depends on the ABT provisions of subpart H of this 
part.
    (7) Identify the emission control system. Use terms and 
abbreviations as described in 40 CFR 1068.45. You may omit this 
information from the label if there is not enough room for it and you 
put it in the owners manual instead.
    (8) List specifications and adjustments for engine tuneups; however, 
you may omit this information from the label if there is not enough room 
for it and you put it in the owners manual instead.
    (9) Identify the fuel type and any requirements for fuel and 
lubricants; however, you may omit this information from the label if 
there is not enough room for it and you put it in the owners manual 
instead.
    (10) State: ``THIS MARINE ENGINE COMPLIES WITH U.S. EPA EXHAUST 
REGULATIONS FOR [MODEL YEAR].''
    (11) If your durability demonstration for sterndrive/inboard engines 
is limited to fresh water, state: ``THIS ENGINE IS NOT INTENDED FOR USE 
IN SALTWATER.''
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine meets 
or does not meet (such as California

[[Page 279]]

standards). You may include this information by adding it to the 
statement we specify or by including a separate statement.
    (2) You may add other information to ensure that the engine will be 
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) You may ask us to approve modified labeling requirements in this 
part 1045 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (f) If you obscure the engine label while installing the engine in 
the vessel such that the label cannot be read during normal maintenance, 
you must place a duplicate label on the vessel. If others install your 
engine in their vessels in a way that obscures the engine label, we 
require them to add a duplicate label on the vessel (see 40 CFR 
1068.105); in that case, give them the number of duplicate labels they 
request and keep the following records for at least five years:
    (1) Written documentation of the request from the vessel 
manufacturer.
    (2) The number of duplicate labels you send for each engine family 
and the date you sent them.



Sec. 1045.140  What is my engine's maximum engine power?

    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest whole kilowatt for engines above 30 kW and to the nearest 0.1 
kilowatt for engines at or below 30 kW.
    (b) The nominal power curve of an engine configuration is the 
relationship between maximum available engine brake power and engine 
speed for an engine, using the mapping procedures of 40 CFR part 1065, 
based on the manufacturer's design and production specifications for the 
engine. This information may also be expressed by a torque curve that 
relates maximum available engine torque with engine speed.
    (c) The nominal power curve must be within the range of the actual 
power curves of production engines considering normal production 
variability. If after production begins it is determined that your 
nominal power curve does not represent production engines, we may 
require you to amend your application for certification under Sec. 
1045.225.
    (d) Maximum engine power for an engine family is generally the 
weighted average value of maximum engine power of each engine 
configuration within the engine family based on your total U.S.-directed 
production volume of engines you produce from the engine family. 
However, alternative approaches for defining an engine family's maximum 
engine power apply in the following circumstances:
    (1) For outboard or personal watercraft engines for which you 
neither generate nor use emission credits, you may identify the greatest 
value for maximum engine power from all the different configurations 
within the engine family to determine the appropriate emission standard 
under Sec. 1045.103.
    (2) For high-performance engines, you must use the smallest value 
for maximum engine power from all the different configurations within 
the engine family to determine the standards and other requirements that 
apply under this subpart B.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]



Sec. 1045.145  Are there interim provisions that apply only for a limited time?

    The provisions in this section apply instead of other provisions in 
this part. This section describes how and when these interim provisions 
apply.
    (a) Small-volume engine manufacturers. Special provisions apply to 
you for sterndrive/inboard engines if you are a small-volume engine 
manufacturer subject to the requirements of this part. You may delay 
complying with emission standards and other requirements that would 
otherwise apply until the 2011 model year for conventional sterndrive/
inboard engines and until

[[Page 280]]

the 2013 model year for high-performance engines. For an engine to be 
exempt under this paragraph (a), you must contact us before January 1, 
2011 or before you introduce such engines into U.S. commerce, whichever 
comes first. Add a permanent label to a readily visible part of each 
engine exempted under this paragraph (a). This label must include at 
least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement (in liters), rated power, and model year of 
the engine or whom to contact for further information.
    (4) The following statement: ``THIS ENGINE IS EXEMPT UNDER 40 CFR 
1045.145(a) FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''
    (b) Early banking. You may generate exhaust emission credits for 
conventional sterndrive/inboard engines before the 2010 model year (or 
before the 2011 model year for small-volume engine manufacturers) as 
follows:
    (1) You must begin actual production of early-compliant engines by 
September 1, 2009 (or before September 1, 2010 for small-volume engine 
manufacturers).
    (2) You may not generate emission credits under this paragraph (b) 
with engines you produce after December 31, 2009 (or December 31, 2010 
for small-volume engine manufacturers).
    (3) Early-compliant engines must be certified to the standards and 
requirements for conventional sterndrive/inboard engines under this part 
1045, with all family emission limits at or below the specified emission 
standards.
    (4) Calculate emission credits by setting STD equal to 16 g/kW-hr 
for HC+NOX and 150 g/kW-hr for CO (see Sec. 1045.705).
    (5) Small-volume engine manufacturers may calculate emission credits 
using a multiplier based on the number of model years before the 2011 
model year. The multipliers are 1.25 for one year early, 1.5 for two 
years early, and 2.0 for three years early. For example, multiply your 
calculated emission credits generated from compliant 2009 model year 
engines by 1.5.
    (6) You may not use the provisions of this paragraph (b) to generate 
emission credits for engines whose point of first retail sale is in 
California.
    (7) HC+NOX or CO credits you generate under this 
paragraph (b) may not be used after the 2012 model year (or the 2013 
model year for small-volume engine manufacturers).
    (c) Assigned emission factors. Through the 2013 model year, small-
volume engine manufacturers may establish emission levels for 
certification without testing for conventional four-stroke sterndrive/
inboard engines by selecting a family emission limit of 22.0 g/kW-hr for 
HC+NOX emissions and 150 g/kW-hr for CO emissions. Note that 
you must use emission credits under the provisions of subpart H of this 
part to show that you meet applicable requirements if you use these 
family emission limits. Also, if you use these family emission limits, 
you must use them for both HC+NOX and CO emissions.
    (d) Early compliance with evaporative emission standards. You may 
sell or install fuel tanks that do not meet the specified permeation 
standards without violating the prohibition in 40 CFR 1068.101(a)(1) if 
you earn evaporative emission allowances, as follows:
    (1) You may earn an evaporative emission allowance from one fuel 
tank certified to EPA's evaporative emission standards by producing it 
before EPA's evaporative emission standards start to apply. You may use 
this evaporative emission allowance by selling one fuel tank that does 
not meet the specified permeation emission standards. For example, you 
can earn an evaporative emission allowance by selling a low-permeation 
fuel tank for personal watercraft before the 2011 model year, in which 
case you could sell a high-permeation fuel tank for a personal 
watercraft in 2011. You must meet all the other requirements related to 
evaporative emissions that apply for fuel tanks covered by an EPA 
certificate of conformity.
    (2) You must add a label to exempted fuel tanks you produce under 
this paragraph (d) with the following statement:

[[Page 281]]

``EXEMPT FROM EMISSION STANDARDS UNDER 40 CFR 1045.145(d)''.
    (3) Evaporative emission allowances you earn under this paragraph 
(d) from portable marine fuel tanks may be used only for other portable 
marine fuel tanks. Similarly, evaporative emission allowances from 
personal watercraft fuel tanks may be used only for personal watercraft 
fuel tanks and evaporative emission allowances from other installed fuel 
tanks may be used only for other installed fuel tanks.
    (4) You may not use the allowances you generate under this paragraph 
(d) for portable marine fuel tanks and personal watercraft fuel tanks in 
2014 or later model years. Similarly, you may not use the allowances you 
generate under this paragraph (d) for other installed fuel tanks in 2015 
or later model years.
    (5) Send the Designated Compliance Officer the following information 
for each year in which you use the provisions of this paragraph (d):
    (i) Send us a report within 45 days after the end of the model year 
describing how many pieces of equipment you produced in the preceding 
model year that generate allowances. You may combine this with the 
reports specified in Sec. 1045.250(a) if applicable.
    (ii) Describe the number of equipment using allowances under this 
paragraph (d) in your end-of-year reports and final reports after the 
end of the model year as described in Sec. 1045.730(a). If you do not 
participate in averaging, banking, and trading program, send this 
information separately within 90 days after the end of the model year.
    (e) Useful life for evaporative emission standards. A useful life 
period of two years applies for fuel tanks certified to meet the 
permeation emission standards in Sec. 1045.112(b) in 2013 and earlier 
model years. However, for fuel tanks with a family emission limit above 
or below the specified emission standard, calculate emission credits 
under Sec. 1045.706 based on the useful life values specified in Sec. 
1045.112.
    (f) Delayed FEL caps for stand-up personal watercraft. The FEL caps 
specified in Sec. 1045.103(b) do not apply in the 2010 and 2011 model 
years for personal watercraft that are designed for operation from a 
standing position.
    (g) Delayed compliance with not-to-exceed emission standards. The 
not-to-exceed standards specified in Sec. 1045.107 do not apply in the 
2010 through 2012 model years for engine families that are certified 
based on carryover emission data from the 2009 model year. This includes 
models that were certified only in California, as long as no new testing 
is otherwise required to get a new certificate.
    (h) Carryover of California ARB emission data. The provisions of 40 
CFR 1065.10(c)(5) allow for the use of emission data generated for the 
California Air Resources Board as the basis for EPA certification. For 
sterndrive/inboard engines certified in California before the 2010 model 
year, you may use such emission data as the basis for meeting the 
standards of Sec. 1045.105, as long as you meet the conditions 
specified in Sec. 1045.235(d).
    (i) Hardship for obsolete engines. We have made the determination 
under 40 CFR 1068.255 that secondary engine manufacturers may use the 
hardship exemption to sell uncertified 4.3-liter and 8.1-liter engines 
from General Motors in the 2010 model year. These engines are exempt 
without request. You must label the engines as specified in 40 CFR 
1068.255(b).
    (j) Adjusted NTE subzones for noncatalyzed four-stroke engines. For 
supercharged four-stroke outboard engines above 150 kW without 
catalysts, you may divide the NTE zone specified in Sec. 1045.515(c)(6) 
based on a speed cutpoint of 70 percent of maximum test speed instead of 
50 percent of maximum test speed through the 2014 model year.
    (k) Averaging for under-cowl fuel lines. Section 1045.112 specifies 
phased-in standards for under-cowl fuel lines for 2010 through 2014 
model years, subject to the following provisions:
    (1) You must comply with these requirements based on total lengths 
of compliant and noncompliant fuel lines. For each model year, calculate 
the percentage of compliant under-cowl fuel line by adding up the length 
of under-cowl fuel line certified to meet the applicable permeation 
standards and dividing this sum by the total length of under-cowl fuel 
line from all your outboard engines. You may count a fuel line as 
compliant only if you certify

[[Page 282]]

that its emission levels will be at or below the specified standard 
throughout the useful life.
    (2) In your application for certification for each outboard engine 
family, identify the part numbers, descriptions, and locations of all 
the compliant fuel lines. You must include a drawing of any fuel lines 
in addition to the description if that is necessary for us to find which 
fuel lines you intend to be certified. Your descriptions must include 
the lengths of compliant and noncompliant fuel lines for each engine, 
including aggregated lengths for the whole set of fuel lines used on an 
engine. If the engine family includes noncompliant fuel lines, you must 
also include a statement that you will have enough compliant fuel lines 
to meet the phase-in requirements and provide detailed calculations to 
support your statement.
    (3) Send the Designated Compliance Officer end-of-year reports and 
final reports after the end of each model year that you use noncompliant 
fuel lines as described in Sec. 1045.730(a). Include the production 
volumes with a point of retail sale in the United States, as described 
in Sec. Sec. 1045.701(j). State your production volumes in terms of 
total engine sales by model and in terms of total lengths of compliant 
and noncompliant fuel lines. If a single engine family includes 
configurations with different lengths of compliant or noncompliant fuel 
lines, count each configuration separately. If you changed your designs 
during the model year in a way that affects these compliance 
calculations, identify the actual production volumes associated with 
each unique design.
    (4) Keep a copy of the reports we require in this paragraph (k) 
until December 31, 2022 as described in Sec. 1045.735(b). We may 
require you to keep additional records or to send us relevant 
information not required by this paragraph (k), as allowed under the 
Clean Air Act.
    (5) Label your compliant low-permeation fuel lines as specified in 
Sec. 1060.137. Any fuel line observed without a complete identification 
as specified in Sec. 1060.137 will be considered noncompliant. In 
addition, for each model year in which you use noncompliant fuel lines, 
you must include one of the following statements on the engine label 
described in Sec. 1045.135:
    (i) ``LOW-PERM/HIGH-PERM = [x/y]'', where x is the percentage of 
low-permeation under-cowl fuel line and y is the percentage of high-
permeation under-cowl fuel line (x and y must sum to 100).
    (ii) ``LOW-PERM = [x mm]; HIGH-PERM = [y mm]'', where x is the 
length of low-permeation under-cowl fuel line and y is the length of 
high-permeation under-cowl fuel line, in mm.
    (l) [Reserved]
    (m) Delayed labeling for fuel lines. You may omit fuel-line labeling 
requirements specified in 40 CFR part 1060 in the 2009 model year.
    (n) Continued use of 40 CFR part 91 test procedures. You may 
continue to use the test procedures in 40 CFR part 91 instead of those 
in subpart F of this part for 2010 through 2012 model year outboard and 
personal watercraft engines. This applies for certification, production-
line, and in-use testing. You may continue to use test data based on the 
test procedures in 40 CFR part 91 for engine families in 2013 and later 
model years, provided that we allow you to use carryover emission data 
under 40 CFR 1045.235(d) for your engine family. You may also use the 
test procedures in 40 CFR part 91 for production-line testing with any 
engine family whose certification is based on testing with those 
procedures.
    (o) Banking early credits for jet boat engines. Banked emission 
credits that were originally generated from outboard and personal 
watercraft engines under 40 CFR part 91 may be used to certify jet boat 
engines under the provisions Sec. 1045.660.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010; 75 
FR 68462, Nov. 8, 2010]



                  Subpart C_Certifying Engine Families



Sec. 1045.201  What are the general requirements for obtaining a certificate of conformity?

    Engine manufacturers must certify their engines with respect to the 
exhaust emission standards in this part. Manufacturers of engines, 
equipment, or fuel-system components may need

[[Page 283]]

to certify their products with respect to evaporative emission standards 
as described in 40 CFR 1060.1 and 1060.601. The following general 
requirements apply for obtaining a certificate of conformity:
    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec. 1045.255).
    (c) We may ask you to include less information than we specify in 
this subpart as long as you maintain all the information required by 
Sec. 1045.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 1045.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (see Sec. 1045.235(c)).
    (h) For engines that become new after being placed into service, 
such as engines installed on imported vessels or engines converted to 
run on a different fuel, we may specify alternate certification 
provisions consistent with the intent of this part. See Sec. 1045.645 
and the definition of ``new propulsion marine engine'' in Sec. 
1045.801.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]



Sec. 1045.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
1045.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, all-
season gasoline). List each distinguishable engine configuration in the 
engine family. For each engine configuration, list the maximum engine 
power and the range of values for maximum engine power resulting from 
production tolerances, as described in Sec. 1045.140. Describe why your 
engines qualify as high-performance engines, if applicable.
    (b) Explain how the emission control systems operate. Describe in 
detail all system components for controlling exhaust emissions, 
including all auxiliary emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine. 
Identify the part number of each component you describe. For this 
paragraph (b), treat as separate AECDs any devices that modulate or 
activate differently from each other. Include sufficient detail to allow 
us to evaluate whether the AECDs are consistent with the defeat device 
prohibition of Sec. 1045.115.
    (c) Explain how the engine diagnostic system works, if applicable, 
describing especially the engine conditions (with the corresponding 
diagnostic trouble codes) that cause the malfunction indicator to go on. 
Propose the conditions under which the diagnostic system should 
disregard trouble codes, as described in Sec. 1045.110(f).
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used.
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the engine family's useful life.

[[Page 284]]

    (i) Include the maintenance and warranty instructions you will give 
to the ultimate purchaser of each new engine (see Sec. Sec. 1045.120 
and 1045.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vessel (see Sec. 
1045.130).
    (k) Describe your emission control information label (see Sec. 
1045.135).
    (l) Identify the emission standards or FELs to which you are 
certifying engines in the engine family.
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec. 1045.245). Present any emission test 
data you used for this.
    (n) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (o) Present emission data to show that you meet emission standards, 
as follows:
    (1) Present emission data by mode for hydrocarbons (such as THC or 
THCE, as applicable), NOX, and CO on an emission-data engine 
to show your engines meet the duty-cycle emission standards we specify 
in Sec. Sec. 1045.103(a) and 1045.105(a). Show weighted emission 
figures before and after applying deterioration factors for each engine. 
If we specify more than one grade of any fuel type (for example, low-
temperature and all-season gasoline), you need to submit test data only 
for one grade, unless the regulations of this part specify otherwise for 
your engine.
    (2) Note that Sec. Sec. 1045.235 and 1045.245 allow you to submit 
an application in certain cases without new emission data.
    (p) State that all the engines in the engine family comply with the 
not-to-exceed emission standards we specify in subpart B of this part 
for all normal operation and use when tested as specified in Sec. 
1045.515, if applicable. Describe any relevant testing, engineering 
analysis, or other information in sufficient detail to support your 
statement.
    (q) Report test results as follows:
    (1) Report all test results involving measurement of pollutants for 
which emission standards apply. Include test results from invalid tests 
or from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR parts 1060 and 1065.
    (2) Report measured CO2, N2O, and 
CH4 as described in Sec. 1045.235. Small-volume engine 
manufacturers may omit reporting N2O and CH4.
    (r) Describe all adjustable operating parameters (see Sec. 
1045.115(e)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of 
inhibiting adjustment are effective in preventing adjustment of 
parameters on in-use engines to settings outside your intended 
physically adjustable ranges.
    (s) Describe how your engines comply with emission standards at 
varying atmospheric pressures. Include a description of altitude kits 
you design to comply with the requirements of Sec. 1045.115(d). 
Identify the part number of each component you describe. Identify the 
altitude range for which you expect proper engine performance and 
emission control with and without the altitude kit. State that your 
engines will comply with applicable emission standards throughout the 
useful life with the altitude kit installed according to your 
instructions. Describe any relevant testing, engineering analysis, or 
other information in sufficient detail to support your statement. In 
addition, describe your plan for making information and parts available 
such that you would reasonably expect that altitude kits would be widely 
used in the high-altitude counties specified in 40 CFR part 1068, 
Appendix III. For example, engine owners should have ready access to 
information describing when an altitude kit is needed and how to obtain 
this service. Similarly, parts and service information should be 
available to qualified service facilities

[[Page 285]]

in addition to authorized service centers if that is needed for owners 
to have such altitude kits installed locally.
    (t) Provide the information needed to read, record, and interpret 
all the information broadcast by an engine's onboard computers and 
electronic control units. State that, upon request, you will give us any 
hardware, software, or tools we would need to do this. If you broadcast 
a surrogate parameter for torque values, you must provide us what we 
need to convert these into torque units. You may reference any 
appropriate publicly released standards that define conventions for 
these messages and parameters. Format your information consistent with 
publicly released standards.
    (u) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in vessels and placed in service. 
Show how to sample exhaust emissions in a way that prevents diluting the 
exhaust sample with ambient air.
    (v) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (w) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes if 
they are substantially different than actual production volumes in 
earlier years for similar models.
    (x) Include the information required by other subparts of this part. 
For example, include the information required by Sec. 1045.725 if you 
participate in the ABT program.
    (y) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (z) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (aa) For imported engines, identify the following:
    (1) The port(s) at which you have imported engines over the previous 
12 months.
    (2) The names and addresses of the agents you have authorized to 
import your engines.
    (3) The location of a test facility in the United States where you 
can test your engines if we select them for testing under a selective 
enforcement audit, as specified in 40 CFR part 1068, subpart E.

[73 FR 59194, Oct. 8, 2008, as amended at 73 FR 73789, Dec. 4, 2008; 74 
FR 56509, Oct. 30, 2009]



Sec. 1045.210  May I get preliminary approval before I complete my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission 
control devices, deterioration factors, testing for service 
accumulation, maintenance, and compliance with not-to-exceed standards. 
Decisions made under this section are considered to be preliminary 
approval, subject to final review and approval. We will generally not 
reverse a decision where we have given you preliminary approval, unless 
we find new information supporting a different decision. If you request 
preliminary approval related to the upcoming model year or the model 
year after that, we will make the appropriate determinations as soon as 
practicable. We will generally not provide preliminary approval related 
to a future model year more than two years ahead of time.



Sec. 1045.220  How do I amend the maintenance instructions in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification as long as the amended 
instructions remain consistent with the provisions of Sec. 1045.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for an engine family if you 
want to change the emission-related maintenance instructions in a way 
that could affect emissions. In your request, describe the proposed

[[Page 286]]

changes to the maintenance instructions. If operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those engines from 
in-use testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any specified maintenance, 
you may distribute the new maintenance instructions to your customers 30 
days after we receive your request, unless we disapprove your request. 
This would generally include replacing one maintenance step with 
another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]



Sec. 1045.225  How do I amend my application for certification to include

new or modified engines or change an FEL?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject to 
the provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified engine configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec. 1045.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data engine is still appropriate 
for showing that the amended family complies with all applicable 
requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (see Sec. 1045.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration anytime after you send us your amended application and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected engines do not meet applicable 
requirements, we will notify you to cease production of the engines and 
may require

[[Page 287]]

you to recall the engines at no expense to the owner. Choosing to 
produce engines under this paragraph (e) is deemed to be consent to 
recall all engines that we determine do not meet applicable emission 
standards or other requirements and to remedy the nonconformity at no 
expense to the owner. If you do not provide information required under 
paragraph (c) of this section within 30 days after we request it, you 
must stop producing the new or modified engines.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to engines 
you have already introduced into U.S. commerce, except as described in 
this paragraph (f). If we approve a changed FEL after the start of 
production, you must include the new FEL on the emission control 
information label for all engines produced after the change. You may ask 
us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified engine, as described in paragraph (b)(3) of this 
section, use the appropriate FELs with corresponding production volumes 
to calculate emission credits for the model year, as described in 
subpart H of this part. In all other circumstances, you must use the 
higher FEL for the entire family to calculate emission credits under 
subpart H of this part.
    (2) You may ask to lower the FEL for your engine family only if you 
have test data from production engines showing that emissions are below 
the proposed lower FEL. The lower FEL applies only to engines you 
produce after we approve the new FEL. Use the appropriate FELs with 
corresponding production volumes to calculate emission credits for the 
model year, as described in subpart H of this part.



Sec. 1045.230  How do I select engine families?

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout their useful life as described in this 
section. Your engine family is limited to a single model year.
    (b) Group engines into the same engine family if they are the same 
in all the following aspects:
    (1) The combustion cycle and fuel. See paragraph (e) of this section 
for special provisions that apply for dual-fuel engines.
    (2) Method of air aspiration (for example, turbocharged vs. 
naturally aspirated).
    (3) The number, location, volume, and composition of catalytic 
converters.
    (4) The number, arrangement (such as in-line or vee configuration), 
and approximate bore diameter of cylinders.
    (5) Method of control for engine operation, other than governing 
(i.e., mechanical or electronic).
    (6) The numerical level of the applicable emission standards. For 
example, an engine family may not include engines certified to different 
family emission limits, though you may change family emission limits 
without recertifying as specified in Sec. 1045.225.
    (c) You may subdivide a group of engines that is identical under 
paragraph (b) of this section into different engine families if you show 
the expected emission characteristics are different during the useful 
life.
    (d) You may group engines that are not identical with respect to the 
things listed in paragraph (b) of this section into the same engine 
family, as follows:
    (1) In unusual circumstances, you may group such engines into the 
same engine family if you show that their emission characteristics 
during the useful life will be similar.
    (2) If you are a small-volume engine manufacturer, you may group all 
your high-performance engines into a single engine family.
    (3) The provisions of this paragraph (e) do not exempt any engines 
from meeting all the emission standards and requirements in subpart B of 
this part.

[[Page 288]]

    (e) You may certify dual-fuel or flexible-fuel engines in a single 
engine family. You may include dedicated-fuel versions of this same 
engine model in the same engine family, as long as they are identical to 
the engine configuration with respect to that fuel type for the dual-
fuel or flexible-fuel version of the engine. For example, if you produce 
an engine that can alternately run on gasoline and natural gas, you can 
include the gasoline-only and natural gas-only versions of the engine in 
the same engine family as the dual-fuel engine if engine operation on 
each fuel type is identical with or without installation of components 
for operating on the other fuel.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]



Sec. 1045.235  What emission testing must I perform for my application for 

a certificate of conformity?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec. Sec. 1045.103 and 
1045.105. See Sec. 1045.205(p) regarding emission testing related to 
the not-to-exceed standards. See Sec. Sec. 1045.240 and 1045.245 and 40 
CFR part 1065, subpart E, regarding service accumulation before emission 
testing.
    (a) Select an emission-data engine from each engine family for 
testing as described in 40 CFR 1065.401. Select the engine with a 
configuration that is most likely to exceed the exhaust emission 
standards, using good engineering judgment. Consider the emission levels 
of all exhaust constituents over the full useful life of the engine when 
operated in a vessel.
    (b) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part. In the case of dual-fuel 
engines, measure emissions when operating with each type of fuel for 
which you intend to certify the engine. In the case of flexible-fuel 
engines, measure emissions when operating with the fuel mixture that is 
most likely to cause the engine to exceed the applicable 
HC+NOX emission standard, though you may ask us to exclude 
fuel mixtures that you can show are not likely to occur in use.
    (c) We may measure emissions from any of your emission-data engines 
or other engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the engine to a test facility 
we designate. The engine you provide must include appropriate manifolds, 
aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block. 
If we do the testing at your plant, you must schedule it as soon as 
possible and make available the instruments, personnel, and equipment we 
need.
    (2) If we measure emissions on one of your engines, the results of 
that testing become the official emission results for the engine. Unless 
we later invalidate these data, we may decide not to consider your data 
in determining if your engine family meets applicable requirements.
    (3) We may set the adjustable parameters of your engine to any point 
within the physically adjustable ranges (see Sec. 1045.115(e)).
    (4) We may calibrate your engine within normal production tolerances 
for anything we do not consider an adjustable parameter. For example, 
this would apply where we determine that an engine parameter is not an 
adjustable parameter (as defined in Sec. 1045.801) but that it is 
subject to production variability.
    (d) You may ask to use carryover emission data from a previous model 
year instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification. For engines originally tested under the provisions of 
40 CFR part 91, you may consider those test procedures to be equivalent 
to the procedures we specify in subpart F of this part.

[[Page 289]]

    (e) We may require you to test another engine of the same or 
different configuration in addition to the engine(s) tested under 
paragraph (b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (g) Measure CO2 and CH4 with each low-hour 
certification test using the procedures specified in 40 CFR part 1065 
starting in the 2011 and 2012 model years, respectively. Also measure 
N2O with each low-hour certification test using the 
procedures specified in 40 CFR part 1065 starting in the 2013 model year 
for any engine family that depends on NOX aftertreatment to 
meet emission standards. Small-volume engine manufacturers may omit 
measurement of N2O and CH4. These measurements are 
not required for NTE testing. Use the same units and modal calculations 
as for your other results to report a single weighted value for each 
constituent. Round the final values as follows:
    (1) Round CO2 to the nearest 1 g/kW-hr.
    (2) Round N2O to the nearest 0.001 g/kW-hr.
    (3) Round CH4 to the nearest 0.001 g/kW-hr.

[73 FR 59194, Oct. 8, 2008, as amended at 74 FR 56510, Oct. 30, 2009]



Sec. 1045.240  How do I demonstrate that my engine family complies with exhaust emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the duty-cycle emission standards in Sec. 1045.103 
or Sec. 1045.105 if all emission-data engines representing that family 
have test results showing official emission results and deteriorated 
emission levels at or below these standards. This also applies for all 
test points for emission-data engines within the family used to 
establish deterioration factors. Note that your FELs are considered to 
be the applicable emission standards with which you must comply if you 
participate in the ABT program in subpart H of this part. See paragraph 
(e) of this section for provisions related to demonstrating compliance 
with NTE standards.
    (b) Your engine family is deemed not to comply with the duty-cycle 
emission standards in Sec. 1045.103 or Sec. 1045.105 if any emission-
data engine representing that family has test results showing an 
official emission result or a deteriorated emission level for any 
pollutant that is above an applicable emission standard. Similarly, your 
engine family is deemed not to comply if any emission-data engine 
representing that family has test results showing any emission level 
above the applicable not-to-exceed emission standard for any pollutant. 
This also applies for all test points for emission-data engines within 
the family used to establish deterioration factors.
    (c) Determine a deterioration factor to compare emission levels from 
the emission-data engine with the applicable emission standards. Section 
1045.245 specifies how to test engines to develop deterioration factors 
that represent the expected deterioration in emissions over your 
engines' full useful life. Your deterioration factors must take into 
account any available data from in-use testing with similar engines. You 
may ask us to give you an assigned deterioration factor for your high-
performance engines. Small-volume engine manufacturers may use assigned 
deterioration factors that we establish for any engine families 
certified under this part. Apply deterioration factors as follows:
    (1) Additive deterioration factor for exhaust emissions. For engines 
that do not use aftertreatment technology, use an additive deterioration 
factor for exhaust emissions. An additive deterioration factor is the 
difference between exhaust emissions at the end of useful life and 
exhaust emissions at the low-hour test point. Adjust the official 
emission results for each tested engine at the selected test point by 
adding the factor to the measured emissions. If the deterioration factor 
is less than zero, use zero. Additive deterioration factors must be 
specified to one more decimal place than the emission standard.

[[Page 290]]

    (2) Multiplicative deterioration factor for exhaust emissions. For 
engines that use aftertreatment technology, such as catalytic 
converters, use a multiplicative deterioration factor for exhaust 
emissions. A multiplicative deterioration factor is the ratio of exhaust 
emissions at the end of useful life to exhaust emissions at the low-hour 
test point. Adjust the official emission results for each tested engine 
at the selected test point by multiplying the measured emissions by the 
deterioration factor. If the deterioration factor is less than one, use 
one. Multiplicative deterioration factors must be specified to one more 
significant figure than the emission standard.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data engine. In the case of 
HC+NOX standards, add the official emission results and apply 
the deterioration factor to the sum of the pollutants before rounding. 
However, if your deterioration factors are based on emission 
measurements that do not cover the vehicle's full useful life, apply the 
deterioration factor to each pollutant and then add the results before 
rounding.
    (e) Use good engineering judgment to demonstrate compliance with NTE 
standards throughout the useful life. You may, but are not required to, 
apply the same deterioration factors used to show compliance with the 
applicable duty-cycle standards.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]



Sec. 1045.245  How do I determine deterioration factors from exhaust durability testing?

    This section describes how to determine deterioration factors, 
either with pre-existing test data or with new emission measurements.
    (a) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar engines if you have 
already given us these data for certifying the other engines in the same 
or earlier model years. Use good engineering judgment to decide whether 
the two engines are similar.
    (b) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) of this section, select engines, 
subsystems, or components for testing. Determine deterioration factors 
based on service accumulation and related testing. Include consideration 
of wear and other causes of deterioration expected under typical 
consumer use, including exposure to saltwater if applicable. Determine 
deterioration factors as follows:
    (1) You must measure emissions from the emission-data engine at a 
low-hour test point and the end of the useful life. You may also test at 
evenly spaced intermediate points. Collect emission data using 
measurements to one more decimal place than the emission standard.
    (2) Operate the engine over a representative duty cycle for a period 
at least as long as the useful life (in hours). You may operate the 
engine continuously. You may also use an engine installed in a vessel to 
accumulate service hours instead of running the engine only in the 
laboratory.
    (3) In the case of dual-fuel or flexible-fuel engines, you may 
accumulate service hours on a single emission-data engine using the type 
or mixture of fuel expected to have the highest combustion and exhaust 
temperatures. For dual-fuel engines, you must measure emissions on each 
fuel type at each test point.
    (4) You may perform maintenance on emission-data engines as 
described in Sec. 1045.125 and 40 CFR part 1065, subpart E.
    (5) If you measure emissions at only two points to calculate your 
deterioration factor, base your calculations on a linear relationship 
connecting these two data points for each pollutant. If you measure 
emissions at three or more points, use a linear least-squares fit of 
your test data for each pollutant to calculate your deterioration 
factor.
    (6) If you test more than one engine to establish deterioration 
factors, calculate the deterioration factor for each

[[Page 291]]

engine and average the deterioration factors from all the engines before 
rounding.
    (7) Use good engineering judgment for all aspects of the effort to 
establish deterioration factors under this paragraph (b).
    (8) You may use other testing methods to determine deterioration 
factors, consistent with good engineering judgment, as long as we 
approve those methods in advance.
    (c) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including the method you 
use to accumulate hours.



Sec. 1045.250  What records must I keep and what reports must I send to EPA?

    (a) Send the Designated Compliance Officer information related to 
your U.S.-directed production volumes as described in Sec. 1045.345. In 
addition, within 45 days after the end of the model year, you must send 
us a report describing information about engines you produced during the 
model year as follows:
    (1) State the total production volume for each engine family that is 
not subject to reporting under Sec. 1045.345.
    (2) State the total production volume for any engine family for 
which you produce engines after completing the reports required in Sec. 
1045.345.
    (3) For production volumes you report under this paragraph (a), 
identify whether or not the figures include California sales. Include a 
separate count of production volumes for California sales if those 
figures are available.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec. 1045.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in this section for eight years after we issue your 
certificate.
    (d) Store these records in any format and on any media as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.



Sec. 1045.255  What decisions may EPA make regarding my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Clean Air 
Act, we will issue a certificate of conformity for your engine family 
for that model

[[Page 292]]

year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Clean Air Act. We will base our 
decision on all available information. If we deny your application, we 
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Clean Air Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 1045.820).



                Subpart D_Testing Production-line Engines



Sec. 1045.301  When must I test my production-line engines?

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart, except as 
follows:
    (1) Small-volume engine manufacturers may omit testing under this 
subpart.
    (2) We may exempt engine families with a projected U.S.-directed 
production volume below 150 units from routine testing under this 
subpart. Request this exemption in your application for certification 
and include your basis for projecting a production volume below 150 
units. We will approve your request if we agree that you have made good-
faith estimates of your production volumes. Your exemption is approved 
when we grant your certificate. You must promptly notify us if your 
actual production exceeds 150 units during the model year. If you exceed 
the production limit or if there is evidence of a nonconformity, we may 
require you to test production-line engines under this subpart, or under 
40 CFR part 1068, subpart E, even if we have approved an exemption under 
this paragraph (a)(2).
    (3) The requirements of this subpart do not apply to sterndrive/
inboard engines.
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line engines do not meet the 
requirements of this part or you do not fulfill your obligations under 
this subpart (see Sec. Sec. 1045.325 and 1045.340).
    (c) Other regulatory provisions authorize us to suspend, revoke, or 
void your certificate of conformity, or order recalls for engine 
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not 
affect our ability to do selective enforcement audits, as described in 
40 CFR part 1068. Individual engines in families that pass these 
production-line testing requirements must also conform to all applicable 
regulations of this part and 40 CFR part 1068.
    (d) You may use alternate programs for testing production-line 
engines in the following circumstances:
    (1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the 
otherwise applicable requirements in 40 CFR part 1065 for laboratory 
testing, to demonstrate compliance with duty-cycle emission

[[Page 293]]

standards if you double the minimum sampling rate specified in Sec. 
1045.310(b). Use measured test results to determine whether engines 
comply with applicable standards without applying a measurement 
allowance. This alternate program does not require prior approval but we 
may disallow use of this option where we determine that use of field-
grade equipment would prevent you from being able to demonstrate that 
your engines are being produced to conform to the specifications in your 
application for certification.
    (2) You may ask to use another alternate program for testing 
production-line engines. In your request, you must show us that the 
alternate program gives equal assurance that your products meet the 
requirements of this part. We may waive some or all of this subpart's 
requirements if we approve your alternate approach. For example, in 
certain circumstances you may be able to give us equal assurance that 
your products meet the requirements of this part by using less rigorous 
measurement methods if you offset that by increasing the number of test 
engines.
    (e) If you certify an engine family with carryover emission data, as 
described in Sec. 1045.235(d), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one engine per engine family. If we reduce your testing rate, we 
may limit our approval to any number of model years. In determining 
whether to approve your request, we may consider the number of engines 
that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
engines available for a reasonable time so we can test or inspect them 
for compliance with the requirements of this part.



Sec. 1045.305  How must I prepare and test my production-line engines?

    This section describes how to prepare and test production-line 
engines. You must assemble the test engine in a way that represents the 
assembly procedures for other engines in the engine family. You must ask 
us to approve any deviations from your normal assembly procedures for 
other production engines in the engine family.
    (a) Test procedures. Test your production-line engines using the 
applicable testing procedures in subpart F of this part to show you meet 
the duty-cycle emission standards in subpart B of this part. The not-to-
exceed standards apply for this testing, but you need not do additional 
testing to show that production-line engines meet the not-to-exceed 
standards.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec. 1045.310), you may adjust, repair, prepare, or modify it or 
check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Engine malfunction. If an engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair the 
engine or delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may require 
you to adjust any adjustable parameter to any setting within its 
physically adjustable range.
    (1) We may require you to adjust idle speed outside the physically 
adjustable range as needed, but only until the engine has stabilized 
emission levels (see paragraph (e) of this section). We may ask you for 
information needed to establish an alternate minimum idle speed.
    (2) We may specify adjustments within the physically adjustable 
range by considering their effect on emission levels. We may also 
consider how likely it is that someone will make such an adjustment with 
in-use engines.
    (e) Stabilizing emission levels. You may operate the engine to 
stabilize the emission levels before you test production-line engines. 
Using good engineering judgment, operate your engines in

[[Page 294]]

a way that represents the way production engines will be used. You may 
operate each engine for no more than the greater of two periods:
    (1) 12 hours.
    (2) The number of hours you operated your emission-data engine for 
certifying the engine family (see 40 CFR part 1065, subpart E, or the 
applicable regulations governing how you should prepare your test 
engine).
    (f) Damage during shipment. If shipping an engine to a remote 
facility for production-line testing makes necessary an adjustment or 
repair, you must wait until after the initial emission test to do this 
work. We may waive this requirement if the test would be impossible or 
unsafe or if it would permanently damage the engine. Report to us in 
your written report under Sec. 1045.345 all adjustments or repairs you 
make on test engines before each test.
    (g) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid under subpart F of this part. 
Explain in your written report reasons for invalidating any test and the 
emission results from all tests. If we determine that you improperly 
invalidated a test, we may require you to ask for our approval for 
future testing before substituting results of the new tests for invalid 
ones.



Sec. 1045.310  How must I select engines for production-line testing?

    (a) Test engines from each engine family as described in this 
section based on test periods, as follows:
    (1) For engine families with projected U.S.-directed production 
volume of at least 1,600, the test periods are consecutive quarters (3 
months). However, if your annual production period is less than 12 
months long, you may take the following alternative approach to define 
quarterly test periods:
    (i) If your annual production period is 120 days or less, the whole 
model year constitutes a single test period.
    (ii) If your annual production period is 121 to 210 days, divide the 
annual production period evenly into two test periods.
    (iii) If your annual production period is 211 to 300 days, divide 
the annual production period evenly into three test periods.
    (iv) If your annual production period is 301 days or longer, divide 
the annual production period evenly into four test periods.
    (2) For engine families with projected U.S.-directed production 
volume below 1,600, the whole model year constitutes a single test 
period.
    (b) Early in each test period, randomly select and test an engine 
from the end of the assembly line for each engine family.
    (1) In the first test period for newly certified engines, randomly 
select and test one more engine. Then, calculate the required sample 
size for the model year as described in paragraph (c) of this section.
    (2) In later test periods of the same model year, combine the new 
test result with all previous testing in the model year. Then, calculate 
the required sample size for the model year as described in paragraph 
(c) of this section.
    (3) In the first test period for engine families relying on 
previously submitted test data, combine the new test result with the 
last test result from the previous model year. Then, calculate the 
required sample size for the model year as described in paragraph (c) of 
this section. Use the last test result from the previous model year only 
for this first calculation. For all subsequent calculations, use only 
results from the current model year.
    (c) Calculate the required sample size for each engine family. 
Separately calculate this figure for HC+NOX and CO. The 
required sample size is the greater of these calculated values. Use the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.089


[[Page 295]]


Where:

N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number 
of tests completed, n, as specified in the table in paragraph (c)(1) of 
this section. It defines 95% confidence intervals for a one-tail 
distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of this 
section).
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).

    (1) Determine the 95% confidence coefficient, t95, from 
the following table:

------------------------------------------------------------------------
     n           t95           n          t95          n          t95
------------------------------------------------------------------------
        2         6.31          12        1.80          22        1.72
        3         2.92          13        1.78          23        1.72
        4         2.35          14        1.77          24        1.71
        5         2.13          15        1.76          25        1.71
        6         2.02          16        1.75          26        1.71
        7         1.94          17        1.75          27        1.71
        8         1.90          18        1.74          28        1.70
        9         1.86          19        1.73          29        1.70
       10         1.83          20        1.73         30+        1.70
       11         1.81          21        1.72    ..........  ..........
------------------------------------------------------------------------

    (2) Calculate the standard deviation, [sigma], for the test sample 
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.090

Where:

Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.

    (d) Use final deteriorated test results to calculate the variables 
in the equations in paragraph (c) of this section (see Sec. 
1045.315(a)(2)).
    (e) After each new test, recalculate the required sample size using 
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
    (f) Distribute the remaining engine tests evenly throughout the rest 
of the year. You may need to adjust your schedule for selecting engines 
if the required sample size changes. If your scheduled quarterly testing 
for the remainder of the model year is sufficient to meet the calculated 
sample size, you may wait until the next quarter to do additional 
testing. Continue to randomly select engines from each engine family.
    (g) Continue testing until one of the following things happens:
    (1) After completing the minimum number of tests required in 
paragraph (b) of this section, the number of tests completed in an 
engine family, n, is greater than the required sample size, N, and the 
sample mean, x, is less than or equal to the emission standard. For 
example, if N = 5.1 after the fifth test, the sample-size calculation 
does not allow you to stop testing.
    (2) The engine family does not comply according to Sec. 1045.315.
    (3) You test 30 engines from the engine family.
    (4) You test one percent of your projected annual U.S.-directed 
production volume for the engine family, rounded to the nearest whole 
number. Do not count an engine under this paragraph (g)(4) if it fails 
to meet an applicable emission standard.
    (5) You choose to declare that the engine family does not comply 
with the requirements of this subpart.
    (h) If the sample-size calculation allows you to stop testing for 
one pollutant but not another, you must continue measuring emission 
levels of all pollutants for any additional tests required under this 
section. However, you need not continue making the calculations 
specified in this subpart for the pollutant for which testing is not 
required. This paragraph (h) does not affect the number of tests 
required under this section, the required calculations in Sec. 
1045.315, or the remedial steps required under Sec. 1045.320.
    (i) You may elect to test more randomly chosen engines than we 
require under this section. Include these engines in the sample-size 
calculations.

[[Page 296]]



Sec. 1045.315  How do I know when my engine family fails the production-line testing requirements?

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family 
basis. See Sec. 1045.320 for the requirements that apply to individual 
engines that fail a production-line test.
    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate and round the test 
results for each engine. If you do several tests on an engine, calculate 
the initial results for each test, then add all the test results 
together and divide by the number of tests. Round this final calculated 
value for the final test results on that engine.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec. 1045.240(c)).
    (3) Round deteriorated test results. Round the results to the number 
of decimal places in the emission standard expressed to one more decimal 
place.
    (b) Construct the following CumSum Equation for each engine family 
for HC+NOX and CO emissions:


Ci = Max [0 or Ci-1 + Xi - (STD + 0.25 
x [sigma])]

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, the 
CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual 
engine.
STD = Emission standard (or family emission limit, if applicable).

    (c) Use final deteriorated test results to calculate the variables 
in the equation in paragraph (b) of this section (see Sec. 
1045.315(a)).
    (d) After each new test, recalculate the CumSum statistic.
    (e) If you test more than the required number of engines, include 
the results from these additional tests in the CumSum Equation.
    (f) After each test, compare the current CumSum statistic, Ci, to 
the recalculated Action Limit, H, defined as H = 5.0 x [sigma].
    (g) If the CumSum statistic exceeds the Action Limit in two 
consecutive tests, the engine family fails the production-line testing 
requirements of this subpart. Tell us within ten working days if this 
happens. You may request to amend the application for certification to 
raise the FEL of the entire engine family as described in Sec. 
1045.225(f).
    (h) If you amend the application for certification for an engine 
family under Sec. 1045.225, do not change any previous calculations of 
sample size or CumSum statistics for the model year.



Sec. 1045.320  What happens if one of my production-line engines fails to meet emission standards?

    (a) If you have a production-line engine with final deteriorated 
test results exceeding one or more emission standards (see Sec. 
1045.315(a)), the certificate of conformity is automatically suspended 
for that failing engine. You must take the following actions before your 
certificate of conformity can cover that engine:
    (1) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (2) Include the test results and describe the remedy for each engine 
in the written report required under Sec. 1045.345.
    (b) You may request to amend the application for certification to 
raise the FEL of the entire engine family at this point (see Sec. 
1045.225).

[73 FR 59194, Oct.8, 2008, as amended at 73 FR 73789, Dec. 4, 2008]



Sec. 1045.325  What happens if an engine family fails the production-line testing requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails under Sec. 1045.315. The suspension may apply to all 
facilities producing engines from an engine family even if you find 
noncompliant engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when you 
receive our notice.

[[Page 297]]

    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec. 1045.820). If we agree 
before a hearing occurs that we used erroneous information in deciding 
to suspend the certificate, we will reinstate the certificate.
    (d) Section 1045.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the engines 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.
    (e) You may request to amend the application for certification to 
raise the FEL of the engine family before or after we suspend your 
certificate as described in Sec. 1045.225(f). We will approve your 
request if the failure is not caused by a defect and it is clear that 
you used good engineering judgment in establishing the original FEL.



Sec. 1045.330  May I sell engines from an engine family with a suspended 

certificate of conformity?

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity under Sec. 1045.315 only if one of 
the following occurs:
    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines and 
remedy any noncompliance at no expense to the owner if later testing 
shows that the engine family still does not comply.



Sec. 1045.335  How do I ask EPA to reinstate my suspended certificate?

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.



Sec. 1045.340  When may EPA revoke my certificate under this subpart and 

how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under Sec. 1045.335 is inadequate to solve the problem or requires you 
to change the engine's design or emission control system.
    (b) To sell engines from an engine family with a revoked certificate 
of conformity, you must modify the engine family and then show it 
complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec. 1045.345  What production-line testing records must I send to EPA?

    (a) Within 45 days of the end of each test period, send us a report 
with the following information:
    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe each test engine, including the engine family's 
identification and the engine's model year, build

[[Page 298]]

date, model number, identification number, and number of hours of 
operation before testing.
    (5) Identify how you accumulated hours of operation on the engines 
and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; all initial test results; final test results; and final 
deteriorated test results for all tests. Provide the emission results 
for all measured pollutants. Include information for both valid and 
invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure or 
type of engine.
    (8) Provide the CumSum analysis required in Sec. 1045.315 and the 
sample-size calculation required in Sec. 1045.310 for each engine 
family.
    (9) Report on each failed engine as described in Sec. 1045.320.
    (10) State the date the test period ended for each engine family.
    (b) We may ask you to add information to your written report so we 
can determine whether your new engines conform with the requirements of 
this subpart. We may also ask you to send less information.
    (c) An authorized representative of your company must sign the 
following statement:

    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1045. We have not changed production 
processes or quality-control procedures for test engines in a way that 
might affect emission controls. All the information in this report is 
true and accurate to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized Company 
Representative).

    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. Section 1045.815 describes how we treat information 
you consider confidential.



Sec. 1045.350  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.
    (b) Keep paper or electronic records of your production-line testing 
for eight years after you complete all the testing required for an 
engine family in a model year.
    (c) Keep a copy of the written reports described in Sec. 1045.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine and the names of all supervisors 
who oversee this work.
    (4) If you shipped the engine for testing, the date you shipped it, 
the associated storage or port facility, and the date the engine arrived 
at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (7) Any information specified in Sec. 1045.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us a more detailed description of 
projected or actual production figures for an engine family. We may ask 
you to divide your production figures by maximum engine power, 
displacement, fuel type, or assembly plant (if you produce engines at 
more than one plant).
    (f) Keep records of the engine identification number for each engine 
you produce under each certificate of conformity. You may identify these 
numbers as a range. Give us these records within 30 days if we ask for 
them.

[[Page 299]]

    (g) We may ask you to keep or send other information necessary to 
implement this subpart.



                        Subpart E_In-Use Testing



Sec. 1045.401  What testing requirements apply to my engines that have gone into service?

    (a) We may perform in-use testing of any engines subject to the 
standards of this part. If you produce outboard or personal watercraft 
engines that are subject to the requirements of this part, you must test 
them as described in this subpart. The testing requirements described in 
this subpart do not apply to sterndrive/inboard engines. This generally 
involves testing engines in the field or removing them for measurement 
in a laboratory.
    (b) We may approve an alternate plan for showing that in-use engines 
comply with the requirements of this part if one of the following is 
true:
    (1) You produce 200 or fewer engines per year in the selected engine 
family.
    (2) You identify a unique aspect of your engine applications that 
keeps you from doing the required in-use testing.
    (c) We may void your certificate of conformity for an engine family 
if you do not meet your obligations under this part.
    (d) Independent of your responsibility to test in-use engines, we 
may choose at any time to do our own testing of your in-use engines.
    (e) If in-use testing shows that engines fail to meet emission 
standards or other requirements of this part, we may pursue a recall or 
other remedy as allowed by the Clean Air Act (see Sec. 1045.415).



Sec. 1045.405  How does this program work?

    (a) You must test in-use engines for exhaust emissions from the 
families we select. We may select up to 25 percent of your engine 
families in any model year--or one engine family if you have three or 
fewer families. When we select an engine family for testing, we may 
specify that you preferentially test engines based on the type of 
vessel. In addition, we may identify specific modes of operation or 
sampling times. You may choose to test additional engine families that 
we do not select.
    (b) The provisions of this paragraph (b) describe how test families 
are selected, depending on when we receive the application for 
certification.
    (1) If we receive the application by December 31 of a given calendar 
year for the following model year (for example, by December 31, 2009 for 
model year 2010), we would expect to select engine families for testing 
by February 28 of the model year. If we have not completed the selection 
of engine families by February 28, you may select your own engine 
families for in-use testing. In this case, you must make your selections 
and notify us which engine families you have selected by March 31. You 
should consider the following factors in selecting engine families, in 
priority order:
    (i) Select an engine family that has not recently been tested in an 
in-use testing regimen (and passed) under the provisions of this 
subpart. This should generally involve engine families that have not 
been selected in the previous two model years. If design changes have 
required new testing for certification, we would consider that this 
engine family has not been selected for in-use testing.
    (ii) Select an engine family if we have approved an alternative 
approach to establishing a deterioration factor under Sec. 
1045.245(b)(8).
    (iii) Select the engine family with the highest projected U.S.-
directed production volume.
    (2) If we receive an application for a given model year after 
December 31 of the previous calendar year, you must conduct in-use 
testing with that engine family without regard to the limitations 
specified in paragraph (a) of this section, unless we waive this 
requirement. We will generally waive testing under this paragraph (b)(2) 
only for small-volume engine manufacturers or in the case where similar 
testing was recently completed for a related engine family.
    (c) Send us an in-use testing plan for engine families selected for 
testing as described in this paragraph (c). Complete the testing within 
36 months after we direct you to test a particular engine family. Send 
us a complete in-

[[Page 300]]

use testing plan according to the following deadlines:
    (1) Within six months after we direct you to test a particular 
engine family.
    (2) By February 28 of the following year if you select engine 
families for testing under paragraph (b)(1) of this section.
    (3) Within six months after we approve certification for engine 
families subject to the requirements of paragraph (b)(2) of this 
section.
    (4) If we request additional information or require you to modify 
your plan to meet the requirements of this subpart, you must provide the 
information or the modified plan within 30 days of our request.
    (d) You may need to test engines from more than one model year at a 
given time.
    (e) In appropriate extreme and unusual circumstances that are 
clearly outside your control and could not have been avoided by the 
exercise of prudence, diligence, and due care, we may allow more time to 
complete testing or we may waive the in-use testing requirement for an 
engine family. For example, if your test fleet is destroyed by severe 
weather during service accumulation and we agree that completion of 
testing is not possible, we would generally waive testing requirements 
for that engine family.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]



Sec. 1045.410  How must I select, prepare, and test my in-use engines?

    (a) You may make arrangements to select representative test engines 
from your own fleet or from other independent sources.
    (b) For the selected engine families, select engines that you or 
your customers have--
    (1) Operated for at least 50 percent of the engine family's useful 
life (see Sec. 1045.103(e));
    (2) Not maintained or used in an abnormal way; and
    (3) Documented in terms of total hours of operation, maintenance, 
operating conditions, and storage.
    (c) Use the following methods to determine the number of engines you 
must test in each engine family:
    (1) Test at least two engines if you produce 2,000 or fewer engines 
in the model year from all engine families, or if you produce 500 or 
fewer engines from the selected engine family. Otherwise, test at least 
four engines.
    (2) If you successfully complete an in-use test program on an engine 
family and later certify an equivalent engine family with carryover 
emission data, as described in Sec. 1045.235(d)(1), then test at least 
one engine instead of the testing rates in paragraph (c)(1) of this 
section.
    (3) If you test the minimum required number of engines and all 
comply fully with emission standards, you may stop testing.
    (4) For each engine that fails any applicable emission standard, 
test two more. Regardless of measured emission levels, you do not have 
to test more than ten engines in an engine family. You may do more tests 
than we require.
    (5) You may concede that the engine family does not comply before 
testing a total of ten engines.
    (6) In appropriate extreme and unusual circumstances that could not 
have been avoided by the exercise of prudence, diligence, and due care, 
we may waive the in-use testing requirement for an engine family.
    (d) You may do minimal maintenance to set components of a test 
engine to specifications for anything we do not consider an adjustable 
parameter (see Sec. 1045.205(r)). Limit maintenance to what is in the 
owner's instructions for engines with that amount of service and age. 
Document all maintenance and adjustments.
    (e) You may do repeat measurements with a test engine; however, you 
must conduct the same number of tests on each engine.
    (f) For a test program on an engine family, choose one of the 
following methods to test your engines:
    (1) Remove the selected engines for testing in a laboratory. Use the 
applicable procedures in subpart F of this part to show compliance with 
the duty-cycle standards in Sec. 1045.103(a) or Sec. 1045.105(a). We 
may direct you to measure emissions on the dynamometer using the test 
procedures in

[[Page 301]]

Sec. 1045.515 to show compliance with the not-to-exceed standards in 
Sec. 1045.107.
    (2) Test the selected engines while they remain installed in the 
vessel. Use the procedures in Sec. 1045.515. Measure emissions during 
normal operation of the vessel to show compliance with the not-to-exceed 
standards in Sec. 1045.107. We may direct you to include specific areas 
of normal operation.
    (g) You may ask us to waive parts of the prescribed test procedures 
if they are not necessary to determine in-use compliance.
    (h) Calculate the average emission levels for an engine family from 
the results for the set of tested engines. Round them to the number of 
decimal places in the emission standards expressed to one more decimal 
place.



Sec. 1045.415  What happens if in-use engines do not meet requirements?

    (a) Determine the reason each in-use engine exceeds the emission 
standards.
    (b) If the average emission levels calculated in Sec. 1045.410(h) 
exceed any of the emission standards that apply, notify us within 
fifteen days of completing testing on this family. Otherwise follow the 
reporting instructions in Sec. 1045.420.
    (c) We will consider failure rates, average emission levels, and any 
defects--among other things--to decide on taking remedial action under 
this subpart (see 40 CFR 1068.505). We may consider the results from any 
voluntary additional testing you perform. We may also consider 
information related to testing from other engine families showing that 
you designed them to exceed the minimum requirements for controlling 
emissions. We may order a recall before or after you complete testing of 
an engine family if we determine a substantial number of engines do not 
conform to section 213 of the Clean Air Act or to this part. The scope 
of the recall may include other engine families in the same or different 
model years if the cause of the problem identified in paragraph (a) of 
this section applies more broadly than the tested engine family, as 
allowed by the Clean Air Act.
    (d) If in-use testing reveals a design or manufacturing defect that 
prevents engines from meeting the requirements of this part, you must 
correct the defect as soon as possible for any future production for 
engines in every family affected by the defect. See 40 CFR 1068.501 for 
additional requirements related to defect reporting.
    (e) You may voluntarily recall an engine family for emission 
failures, as described in 40 CFR 1068.535, unless we have ordered a 
recall for that family under 40 CFR 1068.505.
    (f) You have the right to a hearing before we order you to recall 
your engines or implement an alternative remedy (see Sec. 1045.820).



Sec. 1045.420  What in-use testing information must I report to EPA?

    (a) In a report to us within three months after you finish testing 
an engine family, do all the following:
    (1) Identify the engine family, model, serial number, and date of 
manufacture.
    (2) [Reserved]
    (3) Describe the specific reasons for disqualifying any engines for 
not being properly maintained or used.
    (4) For each engine selected for testing, include the following 
information:
    (i) Estimate the hours each engine was used before testing.
    (ii) Describe all maintenance, adjustments, modifications, and 
repairs to each test engine.
    (5) State the date and time of each test attempt.
    (6) Include the results of all emission testing, including 
incomplete or invalidated tests, if any.
    (b) Send electronic reports of in-use testing to the Designated 
Compliance Officer using an approved information format. If you want to 
use a different format, send us a written request with justification for 
a waiver.
    (c) We will send copies of your reports to anyone from the public 
who asks for them. See Sec. 1045.815 for information on how we treat 
information you consider confidential.
    (d) We may ask for more information.



Sec. 1045.425  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time, so it is important to keep 
required information readily available.

[[Page 302]]

    (b) Keep paper records of your in-use testing for one full year 
after you complete all the testing required for an engine family in a 
model year. You may use any additional storage formats or media if you 
like.
    (c) Keep a copy of the written reports described in Sec. 1045.420.
    (d) Keep any additional records related to the procurement process.



                        Subpart F_Test Procedures



Sec. 1045.501  How do I run a valid emission test?

    (a) Applicability. This subpart is addressed to you as a 
manufacturer but it applies equally to anyone who does testing for you, 
and to us when we perform testing to determine if your engines meet 
emission standards.
    (b) General requirements. Use the equipment and procedures for 
spark-ignition engines in 40 CFR part 1065 to determine whether engines 
meet the duty-cycle emission standards in Sec. Sec. 1045.103 and 
1045.105. Measure the emissions of all exhaust constituents subject to 
emissions standards as specified in 40 CFR part 1065. Measure 
CO2, N2O, and CH4 as described in Sec. 
1045.235. Use the applicable duty cycles specified in Sec. 1045.505. 
Section 1045.515 describes the supplemental procedures for evaluating 
whether engines meet the not-to-exceed emission standards in Sec. 
1045.107.
    (c) Fuels. Use the fuels and lubricants specified in 40 CFR part 
1065, subpart H, for all the testing we require in this part, except as 
specified in Sec. 1045.515. Use gasoline meeting the specifications 
described in 40 CFR 1065.710 for general testing. For service 
accumulation, use the test fuel or any commercially available fuel that 
is representative of the fuel that in-use engines will use. You may 
alternatively use gasoline blended with ethanol as follows:
    (1) You may use the ethanol-blended fuel for certifying engines 
under this part without our advance approval. If you use the blended 
fuel for certifying a given engine family, you may also use it for 
production-line testing or any other testing you perform for that engine 
family under this part. If you use the blended fuel for certifying a 
given engine family, we may use the blended fuel or the specified 
gasoline test fuel with that engine family.
    (2) The blended fuel must consist of a mix of gasoline meeting the 
specifications described in 40 CFR 1065.710 for general testing and 
fuel-grade ethanol meeting the specifications described in 40 CFR 
1060.501(c) such that the blended fuel has 10.0+1.0 percent ethanol by 
volume. You may also use ethanol with a higher or lower purity if you 
show us that it will not affect your ability to demonstrate compliance 
with the applicable emission standards. You do not need to measure the 
ethanol concentration of such blended fuels and may instead calculate 
the blended composition by assuming that the ethanol is pure and mixes 
perfectly with the base fuel.
    (d) Laboratory conditions. Ambient conditions for duty-cycle testing 
must be within ranges specified in 40 CFR 1065.520, subject to the 
provisions of Sec. 1045.115(d). Emissions may not be corrected for the 
effects of test temperature or pressure. Humidity levels must represent 
actual in-use humidity levels; however, you may correct emissions for 
humidity as specified in 40 CFR 1065.670.
    (e) Engine stabilization. Instead of the provisions of 40 CFR 
1065.405, you may consider emission levels stable without measurement 
after 12 hours of engine operation.
    (f) Maximum test speed. Instead of the provisions of 40 CFR 
1065.510(f), you may declare a value of maximum test speed for 
laboratory testing that is within 500 rpm of the corresponding measured 
value for maximum test speed.
    (g) Special and alternate procedures. If you are unable to run the 
duty cycle specified in this part for your engine (such as with 
constant-speed engines), use an alternate test cycle that will result in 
a cycle-weighted emission measurement equivalent to the expected average 
in-use emissions. This cycle must be approved under 40 CFR 1065.10. You 
may use other special or alternate procedures to the extent we allow 
them under 40 CFR 1065.10.
    (h) Laboratory testing with portable analyzers. You may use field-
grade equipment for any laboratory testing with high-performance 
engines, as

[[Page 303]]

specified in 40 CFR 1065.901(b), without requesting approval.

[73 FR 59194, Oct. 8, 2008, as amended at 74 FR 56510, Oct. 30, 2009]



Sec. 1045.505  How do I test engines using discrete-mode or ramped-modal duty cycles?

    (a) This section describes how to test engines under steady-state 
conditions. We allow you to perform tests with either discrete-mode or 
ramped-modal sampling. You must use the modal testing method for 
certification and all other testing you perform for an engine family. If 
we test your engines to confirm that they meet emission standards, we 
will use the modal testing method you select for your own testing. If 
you submit certification test data collected with both discrete-mode and 
ramped-modal testing (either in your original application or in an 
amendment to your application), either method may be used for subsequent 
testing. We may also perform other testing as allowed by the Clean Air 
Act. Conduct duty-cycle testing as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. In each mode, operate the 
engine for at least 5 minutes, then sample emissions for at least 1 
minute. Calculate cycle statistics and compare with the established 
criteria as specified in 40 CFR 1065.514 to confirm that the test is 
valid.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing as specified in 40 CFR part 1065.
    (b) Measure emissions by testing the engine on a dynamometer to 
determine whether it meets the emission standards in Sec. Sec. 
1045.103(a) and 1045.105(a). Use the 5-mode duty cycle or the 
corresponding ramped-modal cycle described in Appendix I of this part.
    (c) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR 1065.510; this may involve a nonzero torque setting 
if that represents in-use operation.
    (d) For full-load operating modes, operate the engine at wide-open 
throttle.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.



Sec. 1045.515  What are the test procedures related to not-to-exceed standards?

    (a) This section describes the procedures to determine whether your 
engines meet the not-to-exceed emission standards in Sec. 1045.107. 
These procedures may include any normal engine operation and ambient 
conditions that the engines may experience in use. Paragraphs (b) and 
(c) of this section define the limits of what we will consider normal 
engine operation and ambient conditions. Use the test procedures we 
specify in Sec. 1045.501, except for the provisions we specify in this 
section. Measure emissions with one of the following procedures:
    (1) Remove the selected engines for testing in a laboratory. You may 
use an engine dynamometer to simulate normal operation, as described in 
this section.
    (2) Test the selected engines while they remain installed on a 
vessel. In 40 CFR part 1065, subpart J, we describe the equipment and 
sampling methods for testing engines in the field. Use fuel meeting the 
specifications of 40 CFR part 1065, subpart H, or a fuel typical of what 
you would expect the engine to use in service.
    (b) Engine testing may occur under a range of ambient conditions as 
follows:
    (1) Engine testing may occur under the following ranges of ambient 
conditions without correcting measured emission levels:
    (i) Barometric pressure must be between 94.0 and 103.325 kPa.
    (ii) Ambient air temperature must be between 13 and 35 [deg]C.
    (iii) Ambient water temperature must be between 5 and 27 [deg]C.
    (iv) Any ambient humidity level.
    (2) Engine testing may occur outside the conditions described in 
paragraph (b)(1) of this section, as long as measured values are 
corrected to be equivalent to the nearest end of the specified range 
using good engineering practice.

[[Page 304]]

    (c) An engine's emissions may not exceed the NTE standards in Sec. 
1045.107 under the following ranges of engine operation:
    (1) The sampling period may not begin until the engine has reached 
stable operating temperatures. For example, this would exclude engine 
operation after starting until the thermostat starts modulating coolant 
temperature. The sampling period may also not include engine starting. 
For testing under paragraphs (c)(4) and (6) of this section, the NTE 
standards apply for any continuous sampling period of at least 30 
seconds.
    (2) Engine operation during the emission sampling period may include 
any nominally steady-state combination of speeds and loads within the 
applicable zone defined by segments on an engine's power vs. speed map 
specified in paragraphs (c)(3) through (6) of this section, except as 
follows:
    (i) You may request that we specify a narrower zone, as long as the 
modified zone includes all points where your engines are expected to 
normally operate in use, but not including any points at which engine 
speed is below 40 percent of maximum test speed or engine load is below 
25.3 percent of maximum torque at maximum test speed. However, we may 
perform valid tests at any speeds and loads within the zones specified 
in paragraphs (c)(3) through (6) of this section that we observe with 
in-use engines. The engine must comply with emission standards at all 
such speeds and loads unless we determine that one of following criteria 
are true:
    (A) Such speeds and loads occur very infrequently. This 
determination may consider whether the operation would be expected to 
result in damage to the engine or vessel or be inherently unsafe.
    (B) Such speeds and loads result from the engine being installed in 
a manner that is not consistent with your emission-related installation 
instructions.
    (ii) You must notify us if you design your engines for normal in-use 
operation outside the specified zone. If we learn that normal in-use 
operation for your engines includes other speeds and loads, we may 
specify a broader zone, as long as the modified zone is limited to 
normal in-use operation for speeds greater than 40 percent of maximum 
test speed and loads greater than 25.3 percent of maximum torque at 
maximum test speed.
    (3) The NTE zone for testing engines under this section is defined 
by the following segments on an engine's torque vs. speed map, as 
illustrated in Figures 1 through 3 of this section:
    (i) Speed at or above 40 percent of maximum test speed.
    (ii) Speeds and torques below the line defined by the following 
equation:

Normalized torque = 1.5 x normalized speed-0.16

    (iii) Speeds and torques at or below the engine's mapped torque 
values.
    (iv) Speeds at or below 100 percent of maximum test speed, except as 
specified in paragraph (c)(5) of this section.
    (v) Speeds and torques above the line defined by the following 
equation:

    Normalized torque = (normalized speed)\1.5\-0.08

    (vi) Torques at or above 25.3 percent of maximum torque at maximum 
test speed, except as specified in paragraph (c)(5) of this section.
    (4) For engines equipped with a catalyst, the NTE zone described in 
paragraph (c)(3) of this section is divided into the following subzones 
for determining the applicable NTE standards, as illustrated in Figure 1 
of this section:
    (i) Subzone 1 includes all operation in the NTE zone characterized 
by speeds and torques above the line represented by the following 
equation:

(percent torque) = 1.2-0.5 x (percent speed)

    (ii) Subzone 2 includes all operation in the NTE zone not included 
in Subzone 1.

[[Page 305]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.075

    (5) For two-stroke engines not equipped with a catalyst, the NTE 
zone described in paragraph (c)(3) of this section is divided into 
subzones for testing to determine compliance with the applicable NTE 
standards. Measure emissions to get an NTE result by collecting 
emissions at five points as described in this paragraph (c)(5). 
Calculate a weighted test result for these emission measurements using 
the weighting factors from Appendix II of this part for the 
corresponding modal result (similar to discrete-mode testing for 
certification). Test engines over the following modes corresponding to 
the certification duty cycle:
    (i) Mode 1: Operate the engine at wide open throttle. For laboratory 
testing, this may involve any torque value between the boundaries 
specified in paragraph (c)(3) of this section.
    (ii) Mode 2: Operate the engine at a nominal speed that is 80 
percent of maximum test speed at any torque value between the boundaries 
specified in paragraph (c)(3) of this section.
    (iii) Mode 3: Operate the engine at a nominal speed that is 60 
percent of maximum test speed at any torque value between the boundaries 
specified in paragraph (c)(3) of this section.
    (iv) Mode 4: Operate the engine at a nominal speed that is 40 
percent of maximum test speed at any torque value between the boundaries 
specified in paragraphs (c)(3)(ii) and (v) of this section.
    (v) Mode 5: Operate the engine at idle.

[[Page 306]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.076

    (6) For any engines not covered by paragraphs (c)(4) and (5) of this 
section, the NTE zone described in paragraph (c)(3) of this section is 
divided into the following subzones for determining the applicable NTE 
standards, as illustrated in Figure 2 of this section:
    (i) Subzone 1 includes all operation in the NTE zone at speeds above 
50 percent of maximum test speed.
    (ii) Subzone 2 includes all operation in the NTE zone not included 
in Subzone 1.

[[Page 307]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.077


[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]



Sec. 1045.520  What testing must I perform to establish deterioration factors?

    Sections 1045.240 and 1045.245 describe the required methods for 
testing to establish deterioration factors for an engine family.



                 Subpart G_Special Compliance Provisions



Sec. 1045.601  What compliance provisions apply to these engines?

    Engine and vessel manufacturers, as well as owners, operators, and 
rebuilders of engines subject to the requirements of this part, and all 
other persons, must observe the provisions of this part, the 
requirements and prohibitions in 40 CFR part 1068, and the provisions of 
the Clean Air Act.



Sec. 1045.605  What provisions apply to engines already certified under

the motor vehicle or Large SI programs?

    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce new propulsion marine engines into U.S. 
commerce if they are already certified to the requirements that apply to 
spark-ignition engines under 40 CFR parts 85 and 86 or part 1048 for the 
appropriate model year. If you comply with all the provisions of this 
section, we consider the certificate issued under 40 CFR part 86 or 1048 
for each engine to also be a valid certificate of conformity under this 
part 1045 for its model year, without a separate application for 
certification under the requirements of this part 1045.
    (b) Vessel-manufacturer provisions. If you are not an engine 
manufacturer, you may produce vessels using motor vehicle engines or 
nonroad spark-ignition engines under this section as long

[[Page 308]]

as you meet all the requirements and conditions specified in paragraph 
(d) of this section. If you modify the engine in any of the ways 
described in paragraph (d)(2) of this section, we will consider you a 
manufacturer of a new propulsion marine engine. Such engine 
modifications prevent you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR parts 
85 and 86, or part 1048. This applies to engine manufacturers, vessel 
manufacturers who use these engines, and all other persons as if these 
engines were used in applications other than for installation as 
propulsion marine engines. The prohibited acts of 40 CFR 1068.101(a)(1) 
apply to these new engines and vessels; however, we consider the 
certificate issued under 40 CFR part 86 or 1048 for each engine to also 
be a valid certificate of conformity under this part 1045 for its model 
year. If we make a determination that these engines do not conform to 
the regulations during their useful life, we may require you to recall 
them under 40 CFR part 86 or 1068.
    (d) Specific requirements. If you are an engine or vessel 
manufacturer and meet all the following criteria and requirements 
regarding your new propulsion marine engine, the engine is eligible for 
an exemption under this section:
    (1) Your engine must be covered by a valid certificate of conformity 
issued under 40 CFR part 86 or 1048.
    (2) You must not make any changes to the certified engine that could 
reasonably be expected to increase its exhaust emissions for any 
pollutant, or its evaporative emissions. For example, if you make any of 
the following changes to one of these engines, you do not qualify for 
this exemption:
    (i) Change any fuel-system or evaporative-system parameters from the 
certified configuration (this does not apply to refueling controls).
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the marine engine cooling system so that 
temperatures or heat rejection rates are outside the original engine 
manufacturer's specified ranges.
    (3) You must show that fewer than 10 percent of the engine family's 
total sales in the United States are used in marine applications. This 
includes engines used in any application without regard to which company 
manufactures the vessel or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (4) You must ensure that the engine has the label we require under 
40 CFR part 86 or 1048.
    (5) You must add a permanent supplemental label to the engine in a 
position where it will remain clearly visible after installation in the 
vessel. In the supplemental label, do the following:
    (i) Include the heading: ``MARINE ENGINE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR MARINE USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS.''
    (iv) If the modified engine is certified as a motor vehicle engine, 
also state: ``THE EMISSION CONTROL SYSTEM DEPENDS ON THE USE OF FUEL 
MEETING SPECIFICATIONS THAT APPLY FOR MOTOR VEHICLE APPLICATIONS. 
OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF FEDERAL LAW.''
    (v) State the date you finished modifying the engine (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible 
after the engine is installed in the vessel or, if

[[Page 309]]

the vessel obscures the engine's emission control information label, the 
vessel manufacturer must attach duplicate labels, as described in 40 CFR 
1068.105.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine or vessel models you expect to produce under 
this exemption in the coming year and describe your basis for meeting 
the sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produce each listed [engine or vessel] model 
without making any changes that could increase its certified emission 
levels, as described in 40 CFR 1045.605.''
    (e) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1045 and the 
certificate issued under 40 CFR part 86 or 1048 will not be deemed to 
also be a certificate issued under this part 1045. Introducing these 
engines into U.S. commerce without a valid exemption or certificate of 
conformity under this part violates the prohibitions in 40 CFR 
1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on one of the duty cycles specified in subpart F of this part.
    (g) Participation in averaging, banking and trading. Engines adapted 
for marine use under this section may not generate or use emission 
credits under this part 1045. These engines may generate credits under 
the ABT provisions in 40 CFR part 86. These engines must use emission 
credits under 40 CFR part 86 if they are certified to an FEL above a 
standard that applies under 40 CFR part 86.



Sec. 1045.610  What provisions apply to using engines already certified 

to Small SI emission standards?

    This section applies to marine engines that are identical to land-
based engines certified under 40 CFR part 90 or 1054. See Sec. 1045.605 
for provisions that apply to marine engines that are certified under 
other programs.
    (a) If an engine meets all the following criteria, it is exempt from 
the requirements of this part:
    (1) The engine must be in an engine family that has a valid 
certificate of conformity showing that it meets emission standards for 
nonhandheld engines under 40 CFR part 90 or 1054 for the appropriate 
model year.
    (2) You must show that fewer than 5 percent of the engine family's 
total sales in the United States are used in marine applications. This 
includes engines used in any application without regard to which company 
manufactures the vessel or equipment.
    Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (b) The only requirements or prohibitions from this part that apply 
to an engine that meets the criteria in paragraph (a) of this section 
are in this section.
    (c) Engines exempted under this section are subject to all the 
requirements affecting engines under 40 CFR part 90 or 1054. The 
requirements and restrictions of 40 CFR part 90 or 1054 apply to anyone 
manufacturing these engines, anyone manufacturing equipment that uses 
these engines, and all other persons in the same manner as if these 
engines were not used as propulsion marine engines.
    (d) You may use the provisions of Sec. 1045.605 in addition to the 
provisions of this section for engines certified under 40 CFR part 1054. 
Where Sec. 1045.605 references 40 CFR parts 85, 86, and/or 1048, apply 
the applicable provisions of 40 CFR part 1054 instead. Include the 
engines you sell under this section in your demonstration that you meet 
the sales limit in Sec. 1045.605(d)(3).



Sec. 1045.620  What are the provisions for exempting engines used solely for competition?

    The provisions of this section apply for new engines and vessels 
built on or after January 1, 2010.

[[Page 310]]

    (a) We may grant you an exemption from the standards and 
requirements of this part for a new engine on the grounds that it is to 
be used solely for competition. The requirements of this part, other 
than those in this section, do not apply to engines that we exempt for 
use solely for competition.
    (b) We will exempt engines that we determine will be used solely for 
competition. The basis of our determination is described in paragraphs 
(c) and (d) of this section. Exemptions granted under this section are 
good for only one model year and you must request renewal for each 
subsequent model year. We will not approve your renewal request if we 
determine the engine will not be used solely for competition.
    (c) Engines meeting all the following criteria are considered to be 
used solely for competition:
    (1) Neither the engine nor any vessels containing the engine may be 
displayed for sale in any public dealership or otherwise offered for 
sale to the general public. Note that this does not preclude display of 
these engines as long as they are not available for sale to the general 
public.
    (2) Sale of the vessel in which the engine is installed must be 
limited to professional racing teams, professional racers, or other 
qualified racers. For replacement engines, the sale of the engine itself 
must be limited to professional racing teams, professional racers, other 
qualified racers, or to the original vessel manufacturer.
    (3) The engine and the vessel in which it is installed must have 
performance characteristics that are substantially superior to 
noncompetitive models.
    (4) The engines are intended for use only as specified in paragraph 
(e) of this section.
    (d) You may ask us to approve an exemption for engines not meeting 
the criteria listed in paragraph (c) of this section as long as you have 
clear and convincing evidence that the engines will be used solely for 
competition.
    (e) Engines are considered to be used solely for competition only if 
their use is limited to competition events sanctioned by the U.S. Coast 
Guard or another public organization with authorizing permits for 
participating competitors. Operation of such engines may include only 
racing events, trials to qualify for racing events, and practice 
associated with racing events. Authorized attempts to set speed records 
are also considered racing events. Engines will not be considered to be 
used solely for competition if they are ever used for any recreational 
or other noncompetitive purpose. Use of exempt engines in any 
recreational events, such as poker runs and lobsterboat races, is a 
violation of 40 CFR 1068.101(b)(4).
    (f) You must permanently label engines exempted under this section 
to clearly indicate that they are to be used only for competition. 
Failure to properly label an engine will void the exemption for that 
engine.
    (g) If we request it, you must provide us any information we need to 
determine whether the engines are used solely for competition. This 
would include documentation regarding the number of engines and the 
ultimate purchaser of each engine as well as any documentation showing a 
vessel manufacturer's request for an exempted engine. Keep these records 
for five years.



Sec. 1045.625  What requirements apply under the Diurnal Transition Program?

    The provisions of this section allow vessel manufacturers to produce 
a certain number of vessels with installed fuel tanks that do not meet 
the diurnal emission standards specified in Sec. 1045.112(d) and 40 CFR 
1060.105. The provisions of this section do not apply for portable 
marine fuel tanks, personal watercraft, or outboard engines with under-
cowl fuel tanks. Vessels you produce under this section are exempt from 
the prohibitions in 40 CFR 1068.101(a)(1) with respect to diurnal 
emissions, subject to the provisions of this section.
    (a) General. If you are a vessel manufacturer, you may introduce 
into U.S. commerce limited numbers of exempted vessels under this 
section. You may use the exemptions in this section only if you have 
primary responsibility for designing and manufacturing vessels and your 
manufacturing procedures include installing some engines in these 
vessels. Consider all U.S.-directed vessel sales in showing that you 
meet the

[[Page 311]]

requirements of this section, including those from any parent or 
subsidiary companies and those from any other companies you license to 
produce vessels for you. These provisions are available for vessels you 
produce during the periods specified in paragraph (b) of this section.
    (b) Allowances. You may choose one of the following options to 
produce exempted vessels under this section:
    (1) Percent-of-production allowances. You may produce up to 50 
percent of your vessels from July 31, 2011 through July 31, 2012 that 
are exempt from the diurnal emission standards. Calculate this 
percentage based on your total U.S.-directed production volume.
    (2) Small-volume allowances. Small-volume vessel manufacturers may 
produce up to 1200 vessels from July 31, 2011 through July 31, 2013 that 
are exempt from the diurnal emission standards.
    (c) Vessel labeling. You must add a permanent label, written legibly 
in English, to a readily visible part of each exempted vessel you 
produce under this section. You may combine this with the label required 
under 40 CFR 1060.135. This label must include at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) The vessel's date of manufacture.
    (4) The following statement: ``THIS VESSEL IS EXEMPT FROM DIURNAL 
STANDARDS UNDER 40 CFR 1045.625.''
    (d) Notification and reporting. You must notify us of your intent to 
use the provisions of this section and send us an annual report to 
verify that you are not exceeding the allowances, as follows:
    (1) Before you produce vessels that are exempt under this section, 
send the Designated Compliance Officer a written notice of your intent 
with the following information:
    (i) Identify your company's name and address, and your parent 
company's name and address, if applicable.
    (ii) Identify the name, e-mail address, and phone number of a person 
to contact for further information.
    (iii) Identify the name and address of the company you expect to 
produce the fuel tanks you will be using for the vessels exempted under 
this section.
    (iv) If you qualify as a small-volume vessel manufacturer, state 
whether you will comply under paragraph (b)(1) or (b)(2) of this 
section.
    (v) Include your production figures for the period from July 31, 
2009 through July 31, 2010, including figures broken down by model.
    (2) Send the Designated Compliance Officer a written report by 
December 31, 2012. If you are a small-volume manufacturer using the 
provisions of paragraph (b)(2) of this section to produce exempted 
vessels after July 31, 2012, send us a second report by December 31, 
2013. These reports must include the total number of vessels and the 
number of exempted vessels you sold in the preceding year for each 
model, based on actual U.S.-directed production information. You may 
omit the count of compliant vessels if you include in the report a 
statement that you are not using the percent-of-production allowances in 
paragraph (b)(1) of this section. If you initially comply using the 
percent-of-production allowances in paragraph (b)(1) of this section, 
you may not use the small-volume allowances in paragraph (b)(2) of this 
section for later production.
    (3) If you send your initial notification under paragraph (d)(1) of 
this section after the specified deadline, we may approve your use of 
allowances under this section. In your request, describe why you were 
unable to meet the deadline. We will not approve your request if the 
delay could have been avoided with reasonable care and discretion.
    (e) Recordkeeping. Keep the following records of all exempted 
vessels you produce under this section:
    (1) The model number, serial number, and the date of manufacture for 
each vessel.
    (2) The total number or percentage of exempted vessels as described 
in paragraph (b) of this section and all documentation supporting your 
calculation.
    (3) The notifications and reports we require under paragraph (d) of 
this section.
    (f) Provisions for fuel tank manufacturers. As a fuel tank 
manufacturer, you may produce fuel tanks as needed for

[[Page 312]]

vessel manufacturers under this section without our prior approval. 
These fuel tanks are exempt from the diurnal emission standards. Note 
that this diurnal exemption does not affect the requirements related to 
permeation emissions specified in Sec. 1045.112. You must have written 
assurance from vessel manufacturers that they need a certain number of 
exempted fuel tanks under this section. You must keep records of the 
number of exempted fuel tanks you sell to each vessel manufacturer.
    (g) Enforcement. Producing more exempted vessels than we allow under 
this section violates the prohibitions in 40 CFR 1068.101(a)(1). Vessel 
manufacturers and fuel tank manufacturers must keep the records we 
require under this section until at least December 31, 2017 and give 
them to us if we ask for them (see 40 CFR 1068.101(a)(2)).



Sec. 1045.630  What is the personal-use exemption.

    This section applies to individuals who manufacture recreational 
vessels for personal use with used engines. If you and your vessel meet 
all the conditions of this section, the vessel and its engine are 
considered to be exempt from the standards and requirements of this part 
that apply to new engines, including standards and requirements related 
to evaporative emissions. For example, you are not required to use 
certified fuel system components or otherwise obtain certificates of 
conformity showing that the vessel meets evaporative emission standards, 
and you do not need to install a certified engine.
    (a) The vessel may not be manufactured from a previously certified 
vessel, nor may it be manufactured from a partially complete vessel that 
is equivalent to a certified vessel. The vessel must be manufactured 
primarily from unassembled components, but may incorporate some 
preassembled components. For example, fully preassembled steering 
assemblies may be used. You may also power the vessel with an engine 
that was previously used in a highway or land-based nonroad application.
    (b) The vessel may not be sold within five years after the date of 
final assembly.
    (c) No individual may manufacture more than one vessel in any five-
year period under this exemption.
    (d) You may not use the vessel in any revenue-generating service or 
for any other commercial purpose. For example, this exemption does not 
apply for vessels used in commercial fishing or charter service.
    (e) This exemption may not be used to circumvent the requirements of 
this part or the requirements of the Clean Air Act. For example, this 
exemption would not cover a case in which a person sells an almost 
completely assembled vessel to another person, who would then complete 
the assembly. This would be considered equivalent to the sale of the 
complete new vessel. This section also does not allow engine 
manufacturers to produce new engines that are exempt from emission 
standards and it does not provide an exemption from the prohibition 
against tampering with certified engines.



Sec. 1045.635  What special provisions apply for small-volume engine manufacturers?

    This section describes how we apply the special provisions in this 
part for small-volume engine manufacturers.
    (a) Special provisions apply for certain small-volume engine 
manufacturers, as illustrated by the following examples:
    (1) Additional lead time and other provisions related to the 
transition to new emission standards. See Sec. 1045.145.
    (2) More flexible arrangements for creating engine families for 
high-performance engines. See Sec. 1045.230.
    (3) Assigned deterioration factors. See Sec. 1045.240.
    (4) Waived requirements for production-line testing. See Sec. 
1045.301.
    (5) Additional special provisions apply for small-volume engine and 
vessel manufacturers. For example, see Sec. 1045.625 and 40 CFR 
1068.250.
    (b) If you use any of the provisions of this part that apply 
specifically to small-volume engine manufacturers and we find that you 
do not qualify to use these provisions, we may consider you to be in 
violation of the requirements that apply for companies that are not 
small-volume engine manufacturers. If your number of employees

[[Page 313]]

grows to the point that you no longer qualify as a small-volume engine 
manufacturer, we will work with you to determine a reasonable schedule 
for complying with additional requirements that apply. For example, if 
you no longer qualify as a small-volume engine manufacturer shortly 
before you certify your engines for the next model year, we might allow 
you to use assigned deterioration factors for one more model year.



Sec. 1045.640  What special provisions apply to branded engines?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec. 1045.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec. 
1045.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.



Sec. 1045.645  What special provisions apply for converting an engine to use an alternate fuel?

    A certificate of conformity is no longer valid for an engine if the 
engine is modified such that it is not in a configuration covered by the 
certificate. This section applies if such modifications are done to 
convert the engine to run on a different fuel type. Such engines may 
need to be recertified as specified in this section if the certificate 
is no longer valid for that engine.
    (a) Converting a certified new engine to run on a different fuel 
type violates 40 CFR 1068.101(a)(1) if the modified engine is not 
covered by a certificate of conformity.
    (b) Converting a certified engine that is not new to run on a 
different fuel type violates 40 CFR 1068.101(b)(1) if the modified 
engine is not covered by a certificate of conformity. We may specify 
alternate certification provisions consistent with the requirements of 
this part. For example, you may certify the modified engine for a 
partial useful life. For example, if the engine is modified halfway 
through its original useful life period, you may generally certify the 
engine based on completing the original useful life period; or if the 
engine is modified after the original useful life period is past, you 
may generally certify the engine based on testing that does not involve 
further durability demonstration.
    (c) Engines may be certified using the certification procedures for 
new engines as specified in this part or using the certification 
procedures for aftermarket parts as specified in 40 CFR part 85, subpart 
V. Unless the original engine manufacturer continues to be responsible 
for the engine as specified in paragraph (d) of this section, you must 
remove the original engine manufacturer's emission control information 
label if you recertify the engine.
    (d) The original manufacturer is not responsible for operation of 
modified engines in configurations resulting from modifications 
performed by others. In cases where the modification allows an engine to 
be operated in either its original configuration or a modified 
configuration, the original manufacturer remains responsible for 
operation of the modified engine in its original configuration.
    (e) Entities producing conversion kits may obtain certificates of 
conformity for the converted engines. Such entities are engine 
manufacturers for purposes of this part.



Sec. 1045.650  Do delegated-assembly provisions apply for marine engines?

    The provisions of 40 CFR 1068.261 related to delegated final 
assembly do not apply for marine spark-ignition engines certified under 
this part 1045. This means that for engines requiring exhaust 
aftertreatment (such as catalysts), the engine manufacturers must either 
install the aftertreatment on the engine before introducing it into

[[Page 314]]

U.S. commerce or ship the aftertreatment along with the engine.



Sec. 1045.655  What special provisions apply for installing and removing altitude kits?

    An action for the purpose of installing or modifying altitude kits 
and performing other changes to compensate for changing altitude is not 
considered a prohibited act under 40 CFR 1068.101(b) as long as as it is 
done consistent with the manufacturer's instructions.



Sec. 1045.660  How do I certify outboard or personal watercraft engines for use in jet boats?

    (a) This section describes how to certify outboard or personal 
watercraft engines for use in jet boats. To be certified under this 
section, the jet boat engines must be identical in all physical respects 
to the corresponding outboard or personal watercraft engines, but may 
differ slightly with respect to engine calibrations.
    (b) The outboard or personal watercraft engines must meet all the 
applicable requirements for outboard or personal watercraft engines. Jet 
boat engines certified under this section must meet all the applicable 
requirements for sterndrive/inboard engines.
    (c) The jet boat engines must be in an engine family separate from 
the corresponding outboard or personal watercraft engines.
    (d) Jet boat engine families may use emission credits from outboard 
or personal watercraft engine families, as described in Sec. 
1045.701(d).
    (e) Jet-boat engines certified under the provisions of this section 
must meet emission standards over the same useful-life period that 
applies to the corresponding outboard or personal watercraft engine 
family, as described in Sec. 1045.103(e).



       Subpart H_Averaging, Banking, and Trading for Certification



Sec. 1045.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. This applies for engines 
with respect to exhaust emissions and for vessels with respect to 
evaporative emissions. Participation in this program is voluntary.
    (b) The definitions of subpart I of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of engines (or vessels) in which 
emission credits may be exchanged only with other engines (or vessels) 
in the same averaging set.
    (3) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (4) Buyer means the entity that receives emission credits as a 
result of a trade.
    (5) Family means engine family for exhaust credits or emission 
family for evaporative credits.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Standard means the emission standard that applies under subpart 
B of this part for engines or fuel-system components not participating 
in the ABT program of this subpart.
    (9) Trade means to exchange emission credits, either as a buyer or 
seller.
    (c) You may not average or exchange banked or traded exhaust credits 
with evaporative credits, or vice versa. Evaporative credits generated 
by any vessels under this part may be used by any vessels under this 
part. Exhaust credits may be exchanged only within an averaging set. 
Except as specified in paragraph (d) of this section, the following 
criteria define the applicable exhaust averaging sets:
    (1) Sterndrive/inboard engines.
    (2) Outboard and personal watercraft engines.
    (d) Sterndrive/inboard engines certified under Sec. 1045.660 for 
jet boats may use HC+NOX and CO exhaust credits generated 
from outboard and personal watercraft engines, as long as the credit-
using engine is the same model as an

[[Page 315]]

engine model from an outboard or personal watercraft family. Such 
emission credits that you generate under this part 1045 may be used for 
averaging, but not for banking or trading. The FEL caps for such jet 
boat families are the HC+NOX and CO standard for outboard and 
personal watercraft engines. U.S.-directed sales from jet boat engines 
using the provisions of this paragraph (d) may not be greater than the 
U.S.-directed sales of the same engine model for outboard or personal 
watercraft engines.
    (e) You may not generate evaporative credits based on permeation 
measurements from metal fuel tanks or portable marine fuel tanks.
    (f) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
exhaust emissions from an engine exceed an exhaust FEL or standard (for 
example, during a selective enforcement audit), you may use emission 
credits to recertify the family with a higher FEL that applies only to 
future production.
    (g) Emission credits may be used for averaging in the model year 
they are generated or banked for averaging in future model years, except 
that CO emission credits for outboard and personal watercraft engines 
may not be banked or traded.
    (h) You may increase or decrease an exhaust FEL during the model 
year by amending your application for certification under Sec. 
1045.225.
    (i) Engine and vessel manufacturers certifying with respect to 
evaporative emissions may use emission credits to demonstrate compliance 
under this subpart. Component manufacturers may establish FELs for their 
certified products, but they may not generate or use emission credits 
under this subpart.
    (j) In your application for certification, base your showing of 
compliance on projected production volumes for engines or vessels 
intended for sale in the United States. As described in Sec. 1045.730, 
compliance with the requirements of this subpart is determined at the 
end of the model year based on actual production volumes for engines or 
vessels intended for sale in the United States. Do not include any of 
the following engines or vessels to calculate emission credits:
    (1) Engines or vessels exempted under subpart G of this part or 
under 40 CFR part 1068.
    (2) Engines or vessels intended for export.
    (3) Engines or vessels that are subject to state emission standards 
for that model year. However, this restriction does not apply if we 
determine that the state standards and requirements are equivalent to 
those of this part and that products sold in such a state will not 
generate credits under the state program. For example, you may not 
include engines or vessels certified for California if California has 
more stringent emission standards for these products or if your products 
generate or use emission credits under the California program.
    (4) Engines or vessels not subject to the requirements of this part, 
such as those excluded under Sec. 1045.5.
    (5) Any other engines or vessels where we indicate elsewhere in this 
part 1045 that they are not to be included in the calculations of this 
subpart.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]



Sec. 1045.705  How do I generate and calculate exhaust emission credits?

    The provisions of this section apply for calculating exhaust 
emission credits for HC+NOX or CO. You may generate exhaust 
emission credits only if you are a certifying engine manufacturer.
    (a) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard. 
Calculate positive emission credits for a family that has an FEL below 
the standard. Calculate negative emission credits for a family that has 
an FEL above the standard. Sum your positive and negative credits for 
the model year before rounding. Round the sum of emission credits to the 
nearest kilogram (kg) using consistent units throughout the following 
equation:


[[Page 316]]


Emission credits (kg) = (STD-FEL) x (Volume) x (Power) x (UL) x (LF) x 
    (10-3)

Where:

STD = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the averaging, 
banking, and trading program within the given family during the model 
year, as described in Sec. 1045.701(j).
Power = maximum engine power for the family, in kilowatts (see Sec. 
1045.140).
UL = The useful life for the given family.
LF = load factor. Use 0.207. We may specify a different load factor if 
we approve the use of special test procedures for an engine family under 
40 CFR 1065.10(c)(2), consistent with good engineering judgment.

    (b) [Reserved]

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]



Sec. 1045.706  How do I generate and calculate evaporative emission credits?

    The provisions of this section apply for calculating evaporative 
emission credits. This applies only for fuel tank permeation. You may 
generate credits only if you are a certifying vessel manufacturer. This 
may include outboard engine manufacturers if they install under-cowl 
fuel tanks.
    (a) For each participating vessel, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard. 
Calculate positive emission credits for a family that has an FEL below 
the standard. Calculate negative emission credits for a family that has 
an FEL above the standard. Sum your positive and negative credits for 
the model year before rounding. Round the sum of emission credits to the 
nearest kilogram (kg) using consistent units throughout the following 
equation:

Emission credits (kg) = (STD-FEL) x (Total Area) x (UL) x (AF) x (365) x 
    (10-3)
Where:

STD = the emission standard, in g/m\2\/day.
FEL = the family emission limit for the family, in g/m\2\/day, as 
described in paragraph (b) of this section.
Total Area = The combined internal surface area of all fuel tanks in the 
family, in m\2\.
UL = 5 years, which represents the useful life for the given family.
AF = adjustment factor. Use 1.0 for fuel tank testing performed at 28 
[deg]C and 0.60 for testing performed at 40 [deg]C.

    (b) For calculating credits under paragraph (a) of this section, the 
emission standard and FEL must both be based on test measurements at the 
same temperature (28 [deg] or 40 [deg]C). Determine the FEL for 
calculating emission credits (relative to testing at 28 [deg]C) as 
follows:
    (1) To use an FEL below 5.0 g/m\2\/day, it must be based on emission 
measurements.
    (2) The provisions of this paragraph (b)(2) apply for all emission 
families with FELs at or above 5.0 g/m\2\/day. To calculate emission 
credits for such emission families, you must choose from one of the 
following options and apply it to all your emission families with FELs 
at or above 5.0 g/m\2\/day:
    (i) Option 1: Establish all your FELs based on emission 
measurements. This may include measurements from a certifying fuel tank 
manufacturer.
    (ii) Option 2: Use an assigned FEL of 10.4 g/m\2\/day. This would 
apply without regard to whether any of these emission families have 
measured emission levels below 10.4 g/m\2\/day. If any of your fuel 
tanks were otherwise certified (by you or the fuel tank manufacturer) 
with an FEL between 5.0 and 10.4 g/m\2\/day, the assigned FEL of 10.4 g/
m\2\/day applies only for emission credit calculations.



Sec. 1045.710  How do I average emission credits?

    (a) Averaging is the exchange of emission credits among your 
families. You may average emission credits only within the same 
averaging set.
    (b) You may certify one or more families to an FEL above the 
emission standard, subject to the FEL caps and other provisions in 
subpart B of this part, if you show in your application for 
certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify a family to an FEL that exceeds the otherwise 
applicable standard, you must obtain enough emission credits to offset 
the family's

[[Page 317]]

deficit by the due date for the final report required in Sec. 1045.730. 
The emission credits used to address the deficit may come from your 
other families that generate emission credits in the same model year, 
from emission credits you have banked, or from emission credits you 
obtain through trading.



Sec. 1045.715  How do I bank emission credits?

    (a) Banking is the retention of emission credits by the manufacturer 
generating the emission credits for use in future model years for 
averaging or trading. You may use banked emission credits only within 
the averaging set in which they were generated, except as described in 
this subpart.
    (b) You may designate any emission credits you plan to bank in the 
reports you submit under Sec. 1045.730. During the model year and 
before the due date for the final report, you may designate your 
reserved emission credits for averaging or trading.
    (c) Reserved credits become actual emission credits when you submit 
your final report. However, we may revoke these emission credits if we 
are unable to verify them after reviewing your reports or auditing your 
records.



Sec. 1045.720  How do I trade emission credits?

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions. Traded emission credits may be 
used only within the averaging set in which they were generated, except 
as described in this subpart.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits. You may 
trade banked credits within an averaging set to any certifying engine or 
vessel manufacturer.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec. 1045.255(e) for cases involving fraud. 
We may void the certificates of all families participating in a trade 
that results in a manufacturer having a negative balance of emission 
credits. See Sec. 1045.745.



Sec. 1045.725  What must I include in my application for certification?

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each family that will 
be certified using the ABT program. You must also declare the FELs you 
select for the family for each pollutant for which you are using the ABT 
program. Your FELs must comply with the specifications of subpart B of 
this part, including the FEL caps. FELs must be expressed to the same 
number of decimal places as the emission standard.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes. We may require you to 
include similar calculations from your other engine families to 
demonstrate that you will be able to avoid a negative credit balance for 
the model year. If you project negative emission credits for a family, 
state the source of positive emission credits you expect to use to 
offset the negative emission credits.



Sec. 1045.730  What ABT reports must I send to EPA?

    (a) If any of your families are certified using the ABT provisions 
of this subpart, you must send an end-of-year report within 90 days 
after the end of the model year and a final report within 270 days after 
the end of the model year. We may waive the requirement to send the end-
of year report as long as you send the final report on time.
    (b) Your end-of-year and final reports must include the following 
information for each family participating in the ABT program:
    (1) Family designation.

[[Page 318]]

    (2) The emission standards that would otherwise apply to the family.
    (3) The FEL for each pollutant. If you change the FEL after the 
start of production, identify the date that you started using the new 
FEL and/or give the engine identification number for the first engine 
covered by the new FEL. In this case, identify each applicable FEL and 
calculate the positive or negative emission credits under each FEL.
    (4) The projected and actual production volumes for the model year 
with a point of retail sale in the United States, as described in Sec. 
1045.701(j). For fuel tanks, state the production volume in terms of 
total surface area and production volume for each tank configuration and 
state the total surface area for the emission family. If you changed an 
FEL during the model year, identify the actual production volume 
associated with each FEL.
    (5) Maximum engine power for each engine configuration, and your 
declared value of maximum engine power for the engine family (see Sec. 
1045.140).
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
family. Identify any emission credits that you traded, as described in 
paragraph (d)(1) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating families in each averaging set in the applicable model 
year is not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The families that generated emission credits for the trade, 
including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.



Sec. 1045.735  What records must I keep?

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for at least eight 
years after the due date for the end-of-year report. You may not use 
emission credits for any engines or vessel if you do not keep all the 
records required under this section. You must therefore keep these 
records to continue to bank valid credits. Store these records in any 
format and on any media as long as you can

[[Page 319]]

promptly send us organized, written records in English if we ask for 
them. You must keep these records readily available. We may review them 
at any time.
    (c) Keep a copy of the reports we require in Sec. Sec. 1045.725 and 
1045.730.
    (d) Keep records of the engine identification number for each engine 
or vessel you produce that generates or uses emission credits under the 
ABT program. You may identify these numbers as a range.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section in accordance with the 
Clean Air Act.



Sec. 1045.745  What can happen if I do not comply with the provisions of this subpart?

    (a) For each family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for a 
family if you fail to comply with any provisions of this subpart.
    (b) You may certify your family to an FEL above an emission standard 
based on a projection that you will have enough emission credits to 
offset the deficit for the family. However, we may void the certificate 
of conformity if you cannot show in your final report that you have 
enough actual emission credits to offset a deficit for any pollutant in 
a family.
    (c) We may void the certificate of conformity for a family if you 
fail to keep records, send reports, or give us information we request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec. 1045.820).



          Subpart I_Definitions and Other Reference Information



Sec. 1045.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to access if it 
cannot be adjusted to affect emissions without significantly degrading 
engine performance, or if you otherwise show us that it will not be 
adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR), turbochargers, and oxygen 
sensors are not aftertreatment.
    Alcohol-fueled engine means an engine that is designed to run using 
an alcohol fuel. For purposes of this definition, alcohol fuels do not 
include fuels with a nominal alcohol content below 25 percent by volume.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Applicable emission standard or applicable standard means an 
emission standard to which an engine (or vessel) is subject. 
Additionally, if an engine (or vessel) has been or is being certified to 
another standard or FEL, applicable emission standard means the FEL or 
other standard to which the engine (or vessel) has been or is being 
certified. This definition does not apply to subpart H of this part.
    Auxiliary emission control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.

[[Page 320]]

    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Carryover means relating to certification based on emission data 
generated from an earlier model year, as described in Sec. 1045.235(d).
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient or 
steady-state testing.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Conventional sterndrive/inboard engine means a sterndrive/inboard 
engine that is not a high-performance engine.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Date of manufacture has the meaning given in 40 CFR 1068.30.
    Days means calendar days unless otherwise specified. For example, 
when we specify working days we mean calendar days, excluding weekends 
and U.S. national holidays.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW.,Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point (see 
Sec. Sec. 1045.240 and 1045.245), expressed in one of the following 
ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1045.505.
    Dual fuel means relating to an engine designed for operation on two 
different fuels but not on a continuous mixture of those fuels.
    Emission control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine has the meaning given in 40 CFR 1068.30. This includes 
complete and partially complete engines.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability.

[[Page 321]]

    Engine family has the meaning given in Sec. 1045.230.
    Engine manufacturer means the manufacturer of the engine. See the 
definition of ``manufacturer'' in this section.
    Evaporative means relating to fuel emissions controlled by 40 CFR 
part 1060. This generally includes emissions that result from permeation 
of fuel through the fuel-system materials or from ventilation of the 
fuel system.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec. 1045.5, is not 
subject to this part 1045.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation (EGR) means a technology that reduces 
emissions by routing exhaust gases that had been exhausted from the 
combustion chamber(s) back into the engine to be mixed with incoming air 
before or during combustion. The use of valve timing to increase the 
amount of residual exhaust gas in the combustion chamber(s) that is 
mixed with incoming air before or during combustion is not considered 
exhaust-gas recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of the emission standards specified in 
subpart B of this part under the ABT program in subpart H of this part. 
The family emission limit must be expressed to the same number of 
decimal places as the emission standard it replaces. The family emission 
limit serves as the emission standard for the engine family (exhaust) or 
emission family (evaporative) with respect to all required testing.
    Flexible-fuel means relating to an engine designed for operation on 
any mixture of two or more different fuels.
    Fuel line means hose, tubing, and primer bulbs containing or exposed 
to liquid fuel, including hose or tubing that delivers fuel to or from 
the engine, as follows:
    (1) This includes flexible molded sections for transporting liquid 
fuel to or from the engine, but does not include inflexible components 
for connecting hose or tubing.
    (2) This includes hose or tubing for the vent line or filler neck if 
fuel systems are designed such that any portion of the vent-line or 
filler-neck material continues to be exposed to liquid fuel after 
completion of a refueling event in which an operator fills the fuel tank 
using typical methods. For example, we would not consider a filler neck 
to be a fuel line if an operator stops refueling after an initial 
automatic shutoff that signals the fuel tank is full, where any liquid 
fuel in the filler neck during the refueling procedure drains into the 
fuel tank.
    (3) This does not include primer bulbs that contain liquid fuel only 
for priming the engine before starting.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents. In the case where the fuel tank cap or other components 
(excluding fuel lines) are directly mounted on the fuel tank, they are 
considered to be a part of the fuel tank.
    Fuel type means a general category of fuels such as gasoline or 
natural gas. There can be multiple grades within a single fuel type, 
such as low-temperature or all-season gasoline.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    High-performance means relating to a sterndrive/inboard engine with 
maximum engine power above 373 kW that has design features to enhance 
power output such that the expected operating time until rebuild is 
substantially shorter than 480 hours.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type, as described in subpart B of 
this part.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.

[[Page 322]]

    Jet boat means a vessel that uses an installed internal combustion 
engine powering a water jet pump as its primary source of propulsion and 
is designed with open area for carrying passengers. Jet boat engines 
qualify as sterndrive/inboard engines.
    Low-hour means relating to an engine that has stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 30 hours of operation.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling an engine or vessel.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act (42 U.S.C. 7550(1)). In general, this term includes any person 
who manufactures an engine, or vessel for sale in the United States or 
otherwise introduces a new marine engine into U.S. commerce. This 
includes importers who import engines or vessels for resale, but not 
dealers. All manufacturing entities under the control of the same person 
are considered to be a single manufacturer.
    Marine engine means a nonroad engine that is installed or intended 
to be installed on a vessel. This includes a portable auxiliary marine 
engine only if its fueling, cooling, or exhaust system is an integral 
part of the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has the meaning given in Sec. 1045.140.
    Maximum test speed has one of the following meanings:
    (1) For all testing with two-stroke engines and for testing four-
stroke engines on an engine dynamometer, maximum test speed has the 
meaning given in 40 CFR 1065.1001 and Sec. 1045.501.
    (2) For testing a four-stroke engine that remains installed in a 
vessel, maximum test speed means the engine speed during sustained 
operation with maximum operator demand.
    Model year means one of the following things:
    (1) For freshly manufactured vessels and engines (see definition of 
``new propulsion marine engine,'' paragraph (1)), model year means one 
of the following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year. For seasonal production periods not including January 1, 
model year means the calendar year in which the production occurs, 
unless you choose to certify the applicable engine family with the 
following model year. For example, if your production period is June 1, 
2010 through November 30, 2010, your model year would be 2010 unless you 
choose to certify the engine family for model year 2011.
    (2) For an engine that is converted to a propulsion marine engine 
after being certified and placed into service as a motor vehicle engine, 
a nonroad engine that is not a propulsion marine engine, or a stationary 
engine, model year means the calendar year in which the engine was 
originally produced. For an engine that is converted to a propulsion 
marine engine after being placed into service as a motor vehicle engine, 
a nonroad engine that is not a propulsion marine engine, or a stationary 
engine without having been certified, model year means the calendar year 
in which the engine becomes a new propulsion marine engine. (See 
definition of ``new propulsion marine engine,'' paragraph (2).)
    (3) [Reserved]
    (4) For engines that are not freshly manufactured but are installed 
in new vessels, model year means the calendar year in which the engine 
is installed in the new vessel (see definition of ``new propulsion 
marine engine,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of

[[Page 323]]

``new propulsion marine engine,'' model year has the meaning given in 
paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of ``new propulsion marine engine,'' model year means the 
calendar year in which the engine is modified.
    (iii) For imported engines described in paragraph (5)(iii) of the 
definition of ``new propulsion marine nonroad engine,'' model year means 
the calendar year in which the engine is first assembled in its imported 
configuration, unless specified otherwise in this part or in 40 CFR part 
1068.
    New portable marine fuel tanks and fuel lines means portable marine 
fuel tanks and fuel lines that have not yet been placed into service, or 
which are otherwise offered for sales as new products.
    New propulsion marine engine or new engine means any of the 
following things:
    (1) A freshly manufactured propulsion marine engine for which the 
ultimate purchaser has never received the equitable or legal title. This 
kind of engine might commonly be thought of as ``brand new.'' In the 
case of this paragraph (1), the engine is new from the time it is 
produced until the ultimate purchaser receives the title or the product 
is placed into service, whichever comes first.
    (2) An engine originally manufactured as a motor vehicle engine, a 
nonroad engine that is not a propulsion marine engine, or a stationary 
engine that is later used or intended to be used as a propulsion marine 
engine. In this case, the engine is no longer a motor vehicle, 
nonpropulsion, or stationary engine and becomes a ``new propulsion 
marine engine.'' The engine is no longer new when it is placed into 
service as a marine propulsion engine. This paragraph (2) applies for 
engines we exclude under Sec. 1045.5, where that engine is later 
installed as a propulsion engine in a vessel that is covered by this 
part 1045.
    (3) [Reserved]
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in a new vessel. This 
generally includes installation of used engines in new vessels. The 
engine is no longer new when the ultimate purchaser receives a title for 
the vessel or the product is placed into service, whichever comes first.
    (5) An imported marine engine, subject to the following provisions:
    (i) An imported marine engine covered by a certificate of conformity 
issued under this part that meets the criteria of one or more of 
paragraphs (1) through (4) of this definition, where the original engine 
manufacturer holds the certificate, is new as defined by those 
applicable paragraphs.
    (ii) An imported engine that will be covered by a certificate of 
conformity issued under this part, where someone other than the original 
engine manufacturer holds the certificate (such as when the engine is 
modified after its initial assembly), is a new propulsion marine engine 
when it is imported. It is no longer new when the ultimate purchaser 
receives a title for the engine or it is placed into service, whichever 
comes first.
    (iii) An imported propulsion marine engine that is not covered by a 
certificate of conformity issued under this part at the time of 
importation is new. This addresses uncertified engines and vessels 
initially placed into service that someone seeks to import into the 
United States. Importation of this kind of engine (or vessel containing 
such an engine) is generally prohibited by 40 CFR part 1068. However, 
the importation of such an engine is not prohibited if the engine has an 
earlier model year than that identified in the following table, since it 
is not subject to standards:

    Applicability of Emission Standards for Propulsion Marine Engines
------------------------------------------------------------------------
                                                          Initial model
                                                             year of
                      Engine type                            emission
                                                            standards
------------------------------------------------------------------------
Outboard...............................................             1998
Personal watercraft....................................             1999
Sterndrive/inboard.....................................             2010
------------------------------------------------------------------------

    New vessel means either of the following things:
    (1) A vessel for which the ultimate purchaser has never received the 
equitable or legal title. The product is no longer new when the ultimate 
purchaser receives this title or it is placed into service, whichever 
comes first.

[[Page 324]]

    (2) An imported vessel that has already been placed into service, 
where it has an engine not covered by a certificate of conformity issued 
under this part at the time of importation that was manufactured after 
the requirements of this part start to apply (see Sec. 1045.1).
    Noncompliant engine means an engine that was originally covered by a 
certificate of conformity but is not in the certified configuration or 
otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate of 
conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines, or vessels, or equipment 
that include nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general, 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft.
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor.
    Outboard engine means an assembly of a spark-ignition engine and 
drive unit used to propel a vessel from a properly mounted position 
external to the hull of the vessel. An outboard drive unit is partially 
submerged during operation and can be tilted out of the water when not 
in use.
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale. The owners manual may be in paper or electronic format.
    Oxides of nitrogen has the meaning given in 40 CFR part 1065.1001.
    Personal watercraft means a vessel less than 4.0 meters (13 feet) in 
length that uses an installed spark-ignition engine powering a water jet 
pump as its primary source of propulsion and is designed with no open 
load carrying area that would retain water. The vessel is designed to be 
operated by a person or persons positioned on, rather than within the 
confines of the hull. A vessel using an outboard engine as its primary 
source of propulsion is not a personal watercraft.
    Personal watercraft engine means a spark-ignition engine used to 
propel a personal watercraft.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means an equipment dealership, but 
may also include an engine seller or distributor in cases where loose 
engines are sold to the general public for uses such as replacement 
engines.
    Portable marine fuel tank has the meaning given in 40 CFR 1060.801.
    Ramped-modal means relating to the ramped-modal type of steady-state 
test described in Sec. 1045.505.
    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine family.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Small-volume engine manufacturer means an engine manufacturer with 
250 or fewer employees. This includes any employees working for a parent 
company and all its subsidiaries.
    Small-volume vessel manufacturer means a vessel manufacturer with 
500 or fewer employees. This includes any employees working for a parent 
company and all its subsidiaries.

[[Page 325]]

    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Steady-state means relating to emission tests in which engine speed 
and load are held at a finite set of essentially constant values. 
Steady-state tests are either discrete-mode tests or ramped-modal tests.
    Sterndrive/inboard engine means a spark-ignition engine that is used 
to propel a vessel, but is not an outboard engine or a personal 
watercraft engine. A sterndrive/inboard engine may be either a 
conventional sterndrive/inboard engine or a high-performance engine. 
Engines on propeller-driven vessels, jet boats, air boats, and 
hovercraft are all sterndrive/inboard engines.
    Stoichiometric means relating to the particular ratio of air and 
fuel such that if the fuel were fully oxidized, there would be no 
remaining fuel or oxygen. For example, stoichiometric combustion in a 
gasoline-fueled engine typically occurs at an air-to-fuel mass ratio of 
about 14.7:1.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass contributions 
of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic 
compounds that are measured separately as contained in a gas sample, 
expressed as exhaust hydrocarbon from petroleum-fueled engines. The 
hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
    Ultimate purchaser means, with respect to any new vessel or new 
marine propulsion engine, the first person who in good faith purchases 
such new vessel or new engine for purposes other than resale.
    Under-cowl fuel line means a fuel line that is entirely contained 
within the cowl of an outboard engine. This does not include a fuel line 
that crosses through the cowl housing.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year for an engine family means the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engine units, 
subject to the requirements of this part, produced by a manufacturer for 
which the manufacturer has a reasonable assurance that sale was or will 
be made to ultimate purchasers in the United States.
    Useful life means the period during which a vehicle is required to 
comply with all applicable emission standards, specified as a given 
number of hours of operation or calendar years, whichever comes first. 
It is the period during which an engine is required to comply with all 
applicable emission standards. See Sec. Sec. 1045.103(e), 1045.105(e), 
and 1045.112. If an engine has no hour meter, the specified number of 
hours does not limit the period during which an in-use engine is 
required to comply with emission standards unless the degree of service 
accumulation can be verified separately.
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Vessel means marine vessel.
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.

[[Page 326]]

    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Wide-open throttle means maximum throttle opening. Unless this is 
specified at a given speed, it refers to maximum throttle opening at 
maximum speed. For electronically controlled or other engines with 
multiple possible fueling rates, wide-open throttle also means the 
maximum fueling rate at maximum throttle opening under test conditions.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]



Sec. 1045.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:
ABT Averaging, banking, and trading.
AECD Auxiliary emission control device.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g gram.
HC hydrocarbon.
hr hour.
kPa kilopascals.
kW kilowatt.
m meter.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed
psig pounds per square inch of gauge pressure.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.



Sec. 1045.810  What materials does this part reference?

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) SAE material. Table 1 to this section lists material from the 
Society of Automotive Engineers that we have incorporated by reference. 
The first column lists the number and name of the material. The second 
column lists the sections of this part where we reference it. Anyone may 
purchase copies of these materials from the Society of Automotive 
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://
www.sae.org. Table 1 follows:

                Table 1 to Sec.  1045.810--SAE Materials
------------------------------------------------------------------------
                                                              Part 1045
                  Document number and name                    reference
------------------------------------------------------------------------
SAE J1939-05, Marine Stern Drive and Inboard Spark-Ignition     1045.110
 Engine On-Board Diagnostics Implementation Guide, February
 2008......................................................
------------------------------------------------------------------------

    (b) [Reserved]



Sec. 1045.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.

[[Page 327]]



Sec. 1045.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec. 1045.825  What reporting and recordkeeping requirements apply under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines and 
vessels regulated under this part:
    (a) We specify the following requirements related to engine and 
vessel certification in this part 1045:
    (1) In Sec. 1045.20 we require vessel manufacturers to label their 
vessels if they are relying on component certification.
    (2) In Sec. 1045.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to vessel 
manufacturers.
    (3) In Sec. 1045.145 we include various reporting and recordkeeping 
requirements related to interim provisions.
    (4) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (5) In Sec. Sec. 1045.345 and 1045.350 we specify certain records 
related to production-line testing.
    (6) In Sec. Sec. 1045.420 and 1045.425 we specify certain records 
related to in-use testing.
    (7) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions.
    (8) In Sec. Sec. 1045.725, 1045.730, and 1045.735 we specify 
certain records related to averaging, banking, and trading.
    (b) We specify the following requirements related to vessel or 
component certification in 40 CFR part 1060:
    (1) In 40 CFR 1060.20 we give an overview of principles for 
reporting information.
    (2) In 40 CFR part 1060, subpart C, we identify a wide range of 
information required to certify products.
    (3) In 40 CFR 1060.301 we require manufacturers to make engines or 
vessels available for our testing if we make such a request.
    (4) In 40 CFR 1060.505 we specify information needs for establishing 
various changes to published test procedures.
    (c) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines using portable analyzers.
    (d) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require vessel manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.

[[Page 328]]

    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.



  Sec. Appendix I to Part 1045--Summary of Previous Emission Standards

    (a) The following standards apply to outboard and personal 
watercraft engines produced before the model years specified in Sec. 
1045.1 (since the end of the phase-in period specified in 40 CFR 
91.104):
    (1) For engines at or below 4.3 kW, the HC+NOX standard 
is 81.00 g/kW-hr.
    (2) For engines above 4.3 kW, the following HC+NOX 
standard applies:

STD = 6.00 + 0.250 [middot] (151 + 557/P\0.9\)

Where:

STD = The HC+NOX emission standard, in g/kW-hr.
P = The average power of an engine family, in kW.

    (b) See 40 CFR 91.104 for standards that applied to outboard and 
personal watercraft engines during the phase-in period.



Sec. Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines

    (a) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
                 E4 Mode No.                           Engine  speed \1\          (percent) \2\       factors
----------------------------------------------------------------------------------------------------------------
1............................................  Maximum test speed..............            100              0.06
2............................................  80%.............................             71.6            0.14
3............................................  60%.............................             46.5            0.15
4............................................  40%.............................             25.3            0.25
5............................................  Warm idle.......................              0              0.40
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.
\2\ Except as noted in Sec.  1045.505, the percent torque is relative to maximum torque at maximum test speed.

    (b) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                        Time in mode
               RMC Mode                   (seconds)       Engine speed \1,2\         Torque (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state......................             225  Idle...................  0
1b Transition........................              20  Linear transition......  Linear transition
2a Steady-state......................              63  Maximum test speed.....  100
2b Transition........................              20  Linear transition......  Linear transition
*3a Steady-state.....................             271  40%....................  25.3%
3b Transition........................              20  Linear transition......  Linear transition
4a Steady-state......................             151  80%....................  71.6%
4b Transition........................              20  Linear transition......  Linear transition
5a Steady-state......................             161  60%....................  46.5%
5b Transition........................              20  Linear transition......  Linear transition
6 Steady-state.......................             229  Warm idle..............  0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  linear progressions of speed and torque from the speed setting and torque setting of the current mode to the
  speed setting and torque setting of the next mode.
\3\ Except as noted in Sec.  1045.505, the percent torque is relative to maximum torque at maximum test speed.


[[Page 329]]



PART 1048_CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-IGNITION ENGINES--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1048.1 Does this part apply to me?
1048.2 Who is responsible for compliance?
1048.5 Which engines are excluded from this part's requirements?
1048.10 How is this part organized?
1048.15 Do any other regulation parts apply to me?
1048.20 What requirements from this part apply to excluded stationary 
          engines?
1048.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1048.101 What exhaust emission standards must my engines meet?
1048.105 What evaporative emissions standards and requirements apply?
1048.110 How must my engines diagnose malfunctions?
1048.115 What other requirements apply?
1048.120 What warranty requirements apply to me?
1048.125 What maintenance instructions must I give to buyers?
1048.130 What installation instructions must I give to equipment 
          manufacturers?
1048.135 How must I label and identify the engines I produce?
1048.140 What are the provisions for certifying Blue Sky Series engines?
1048.145 Are there interim provisions that apply only for a limited 
          time?

                  Subpart C_Certifying Engine Families

1048.201 What are the general requirements for obtaining a certificate 
          of conformity?
1048.205 What must I include in my application?
1048.210 May I get preliminary approval before I complete my 
          application?
1048.220 How do I amend the maintenance instructions in my application?
1048.225 How do I amend my application for certification to include new 
          or modified engine configurations?
1048.230 How do I select engine families?
1048.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1048.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1048.245 How do I demonstrate that my engine family complies with 
          evaporative emission standards?
1048.250 What records must I keep and make available to EPA?
1048.255 What decisions may EPA make regarding my certificate of 
          conformity?

                Subpart D_Testing Production-line Engines

1048.301 When must I test my production-line engines?
1048.305 How must I prepare and test my production-line engines?
1048.310 How must I select engines for production-line testing?
1048.315 How do I know when my engine family fails the production-line 
          testing requirements?
1048.320 What happens if one of my production-line engines fails to meet 
          emission standards?
1048.325 What happens if an engine family fails the production-line 
          testing requirements?
1048.330 May I sell engines from an engine family with a suspended 
          certificate of conformity?
1048.335 How do I ask EPA to reinstate my suspended certificate?
1048.340 When may EPA revoke my certificate under this subpart and how 
          may I sell these engines again?
1048.345 What production-line testing records must I send to EPA?
1048.350 What records must I keep?

                    Subpart E_Testing In-use Engines

1048.401 What testing requirements apply to my engines that have gone 
          into service?
1048.405 How does this program work?
1048.410 How must I select, prepare, and test my in-use engines?
1048.415 What happens if in-use engines do not meet requirements?
1048.420 What in-use testing information must I report to EPA?
1048.425 What records must I keep?

                        Subpart F_Test Procedures

1048.501 How do I run a valid emission test?
1048.505 How do I test engines using steady-state duty cycles, including 
          ramped-modal testing?
1048.510 What transient duty cycles apply for laboratory testing?
1048.515 What are the field-testing procedures?

                     Subpart G_Compliance Provisions

1048.601 What compliance provisions apply to these engines?
1048.605 What provisions apply to engines certified under the motor 
          vehicle program?
1048.610 What provisions apply to vehicles certified under the motor 
          vehicle program?

[[Page 330]]

1048.612 What is the exemption for delegated final assembly?
1048.615 What are the provisions for exempting engines designed for lawn 
          and garden applications?
1048.620 What are the provisions for exempting large engines fueled by 
          natural gas or liquefied petroleum gas?
1048.625 What special provisions apply to engines using noncommercial 
          fuels?
1048.630 What are the provisions for exempting engines used solely for 
          competition?
1048.635 What special provisions apply to branded engines?
1048.640 What special provisions apply for small-volume engine 
          manufacturers?

Subpart H [Reserved]

          Subpart I_Definitions and Other Reference Information

1048.801 What definitions apply to this part?
1048.805 What symbols, acronyms, and abbreviations does this part use?
1048.810 What materials does this part reference?
1048.815 What provisions apply to confidential information?
1048.820 How do I request a hearing?
1048.825 What reporting and recordkeeping requirements apply under this 
          part?

Appendix I to Part 1048 [Reserved]
Appendix II to Part 1048--Large Spark-ignition (SI) Composite Transient 
          Cycle

    Authority: 42 U.S.C. 7401-7671q.

    Source: 67 FR 68347, Nov. 8, 2002, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec. 1048.1  Does this part apply to me?

    (a) The regulations in this part 1048 apply for all new, spark-
ignition nonroad engines (defined in Sec. 1048.801) with maximum engine 
power above 19 kW, except as provided in Sec. 1048.5.
    (b) This part 1048 applies for engines built on or after January 1, 
2004. You need not follow this part for engines you produce before 
January 1, 2004. See Sec. Sec. 1048.101 through 1048.115, Sec. 
1048.145, and the definition of model year in Sec. 1048.801 for more 
information about the timing of new requirements.
    (c) The definition of nonroad engine in 40 CFR 1068.30 excludes 
certain engines used in stationary applications. These engines may be 
required by 40 CFR part 60, subpart JJJJ, to comply with some of the 
provisions of this part 1048; otherwise, these engines are only required 
to comply with the requirements in Sec. 1048.20. In addition, the 
prohibitions in 40 CFR 1068.101 restrict the use of stationary engines 
for nonstationary purposes unless they are certified under this part 
1048 to the same standards that would apply to nonroad engines for the 
same model year.
    (d) In certain cases, the regulations in this part 1048 apply to 
engines with maximum engine power at or below 19 kW that would otherwise 
be covered by 40 CFR part 90 or 1054. See 40 CFR 90.913 or 1054.615 for 
provisions related to this allowance.

[70 FR 40465, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008; 73 
FR 59231, Oct. 8, 2008]



Sec. 1048.2  Who is responsible for compliance?

    The regulations in this part 1048 contain provisions that affect 
both engine manufacturers and others. However, the requirements of this 
part are generally addressed to the engine manufacturer. The term 
``you'' generally means the engine manufacturer, as defined in Sec. 
1048.801, especially for issues related to certification (including 
production-line testing, reporting, etc.).

[73 FR 59231, Oct. 8, 2008]



Sec. 1048.5  Which engines are excluded from this part's requirements?

    This part does not apply to the following nonroad engines:
    (a) Engines that are certified to meet the requirements of 40 CFR 
part 1051, or are otherwise subject to 40 CFR part 1051 (for example, 
engines used in snowmobiles and all-terrain vehicles).
    (b) Propulsion marine engines. See 40 CFR parts 91 and 1045. This 
part applies with respect to auxiliary marine engines.
    (c) Engines that are certified to meet the requirements of 40 CFR 
parts 92 or 1033 (locomotive engines), or are otherwise subject to 40 
CFR parts 92 or 1033.

[70 FR 40465, July 13, 2005, as amended at 73 FR 59232, Oct. 8, 2008]



Sec. 1048.10  How is this part organized?

    This part 1048 is divided into the following subparts:

[[Page 331]]

    (a) Subpart A of this part defines the applicability of part 1048 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec. 1048.145 discusses certain interim requirements and 
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
production-line engines.
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) [Reserved]
    (i) Subpart I of this part contains definitions and other reference 
information.

[70 FR 40465, July 13, 2005, as amended at 73 FR 59232, Oct. 8, 2008]



Sec. 1048.15  Do any other regulation parts apply to me?

    (a) Part 1060 of this chapter describes standards and procedures for 
controlling evaporative emissions from engines fueled by gasoline or 
other volatile liquid fuels and the associated fuel systems. These 
requirements apply to engine manufacturers as specified in this part 
1048. Part 1060 applies optionally for equipment manufacturers and fuel-
system component manufacturers for certifying their products.
    (b) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1048 describes how to apply the provisions of part 1065 
of this chapter to determine whether engines meet the exhaust emission 
standards in this part.
    (c) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1048, or equipment containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (d) Other parts of this chapter apply if referenced in this part.

[70 FR 40465, July 13, 2005, as amended at 73 FR 59232, Oct. 8, 2008; 74 
FR 8426, Feb. 24, 2009; 75 FR 23021, Apr. 30, 2010]



Sec. 1048.20  What requirements from this part apply to excluded stationary engines?

    (a) You must add a permanent label or tag to each new engine you 
produce or import that is excluded under Sec. 1048.1(c) as a stationary 
engine and is not required by 40 CFR part 60, subpart JJJJ, to meet the 
standards and other requirements of this part 1048 that are equivalent 
to the requirements applicable to nonroad SI engines for the same model 
year. To meet labeling requirements, you must do the following things:
    (1) Attach the label or tag in one piece so no one can remove it 
without destroying or defacing it.
    (2) Secure it to a part of the engine needed for normal operation 
and not normally requiring replacement.
    (3) Make sure it is durable and readable for the engine's entire 
life.
    (4) Write it in English.
    (5) Follow the requirements in Sec. 1048.135(g) regarding duplicate 
labels if the engine label is obscured in the final installation.
    (b) Engine labels or tags required under this section must have the 
following information:
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.

[[Page 332]]

    (2) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (3) State the engine displacement (in liters) and maximum engine 
power.
    (4) State: ``THIS ENGINE IS EXCLUDED FROM THE REQUIREMENTS OF 40 CFR 
PART 1048 AS A ``STATIONARY ENGINE'' AND THE OWNER/OPERATOR MUST COMPLY 
WITH THE REQUIREMENTS OF 40 CFR PART 60. INSTALLING OR USING THIS ENGINE 
IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY.''.
    (c) Stationary engines required by 40 CFR part 60, subpart JJJJ, to 
meet the requirements of this part 1048 must meet the labeling 
requirements of 40 CFR 60.4242.

[70 FR 40466, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008]



Sec. 1048.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec. 1048.825 and 40 CFR 1068.25 regarding 
recordkeeping requirements. Unless we specify otherwise, store these 
records in any format and on any media and keep them readily available 
for one year after you send an associated application for certification, 
or one year after you generate the data if they do not support an 
application for certification. You must promptly send us organized, 
written records in English if we ask for them. We may review them at any 
time.
    (b) The regulations in Sec. 1048.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 1048.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.

[75 FR 23021, Apr. 30, 2010]



          Subpart B_Emission Standards and Related Requirements



Sec. 1048.101  What exhaust emission standards must my engines meet?

    The exhaust emission standards of this section apply by model year. 
You may certify engines earlier than we require. The Tier 1 standards 
apply only to steady-state testing, as described in paragraph (b) of 
this section. The Tier 2 standards apply to steady-state, transient, and 
field testing, as described in paragraphs (a), (b), and (c) of this 
section.
    (a) Emission standards for transient testing. Starting in the 2007 
model year, transient exhaust emissions from your engines may not exceed 
the Tier 2 emission standards, as follows:
    (1) Measure emissions using the applicable transient test procedures 
described in subpart F of this part.
    (2) The Tier 2 HC+NOX standard is 2.7 g/kW-hr and the 
Tier 2 CO standard is 4.4 g/kW-hr. For severe-duty engines, the Tier 2 
HC+NOX standard is 2.7 g/kW-hr and the Tier 2 CO standard is 
130.0 g/kW-hr. The following engines are not subject to the transient 
standards in this paragraph (a):
    (i) High-load engines.
    (ii) Engines with maximum engine power above 560 kW.
    (iii) Engines with maximum test speed above 3400 rpm.
    (iv) Constant-speed engines and severe-duty engines.
    (3) You may optionally certify your engines according to the 
following formula instead of the standards in paragraph (a)(1) of this 
section: (HC+NOX) x CO\0.784\ <= 8.57. The HC+NOX 
and CO emission levels you select to satisfy this formula, rounded to 
the nearest 0.1 g/kW-hr, become the emission standards that apply for 
those engines. You may not select an HC+NOX emission standard 
higher than 2.7 g/kW-hr or a CO emission standard higher than 20.6 g/kW-
hr. The following table illustrates a range of possible values under 
this paragraph (a)(3):

[[Page 333]]



   Table 1 of Sec.  1048.101--Examples of Possible Tier 2 Duty-cycle
                           Emission Standards
------------------------------------------------------------------------
                                                              CO  (g/kW-
                     HC+NOX  (g/kW-hr)                           hr)
------------------------------------------------------------------------
2.7........................................................          4.4
2.2........................................................          5.6
1.7........................................................          7.9
1.3........................................................         11.1
1.0........................................................         15.5
0.8........................................................         20.6
------------------------------------------------------------------------

    (b) Standards for steady-state testing. Except as we allow in 
paragraph (d) of this section, steady-state exhaust emissions from your 
engines may not exceed emission standards, as follows:
    (1) Measure emissions using the applicable steady-state test 
procedures described in subpart F of this part:
    (2) The following table shows the Tier 1 exhaust emission standards 
that apply to engines from 2004 through 2006 model years:

                         Table 2 of Sec.  1048.101--Tier 1 Emission Standards (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                  General emission         Alternate emission
                                                                      standards           standards for severe-
                           Testing                           --------------------------       duty engines
                                                                                       -------------------------
                                                                 HC+NOX         CO         HC+NOX         CO
----------------------------------------------------------------------------------------------------------------
Certification and production-line testing...................          4.0         50.0          4.0        130.0
In-use testing..............................................          5.4         50.0          5.4        130.0
----------------------------------------------------------------------------------------------------------------

    (3) Starting in the 2007 model year, steady-state exhaust emissions 
from your engines may not exceed the numerical emission standards in 
paragraph (a) of this section. See paragraph (d) of this section for 
alternate standards that apply for certain engines.
    (c) Standards for field testing. Starting in 2007, exhaust emissions 
may not exceed field-testing standards, as follows:
    (1) Measure emissions using the field-testing procedures in subpart 
F of this part:
    (2) The HC+NOX standard is 3.8 g/kW-hr and the CO 
standard is 6.5 g/kW-hr. For severe-duty engines, the HC+NOX 
standard is 3.8 g/kW-hr and the CO standard is 200.0 g/kW-hr. For 
natural gas-fueled engines, you are not required to measure nonmethane 
hydrocarbon emissions or total hydrocarbon emissions for testing to show 
that the engine meets the emission standards of this paragraph (c); that 
is, you may assume HC emissions are equal to zero.
    (3) You may apply the following formula to determine alternate 
emission standards that apply to your engines instead of the standards 
in paragraph (c)(1) of this section: (HC+NOX) x CO\0.791\ <= 
16.78. HC+NOX emission levels may not exceed 3.8 g/kW-hr and 
CO emission levels may not exceed 31.0 g/kW-hr. The following table 
illustrates a range of possible values under this paragraph (c)(2):

  Table 3 of Sec.  1048.101--Examples of Possible Tier 2 Field-testing
                           Emission Standards
------------------------------------------------------------------------
                                                              CO  (g/kW-
                     HC+NOX  (g/kW-hr)                           hr)
------------------------------------------------------------------------
3.8........................................................          6.5
3.1........................................................          8.5
2.4........................................................         11.7
1.8........................................................         16.8
1.4........................................................         23.1
1.1........................................................         31.0
------------------------------------------------------------------------

    (d) Engine protection. For engines that require enrichment at high 
loads to protect the engine, you may ask to meet alternate Tier 2 
standards of 2.7 g/kW-hr for HC+NOX and 31.0 g/kW-hr for CO 
instead of the emission standards described in paragraph (b)(2) of this 
section for steady-state testing. If we approve your request, you must 
still meet the transient testing standards in paragraph (a) of this 
section and the field-testing standards in paragraph (c) of this 
section. To qualify for this allowance, you must do all the following 
things:
    (1) Show that enrichment is necessary to protect the engine from 
damage.
    (2) Show that you limit enrichment to operating modes that require 
additional cooling to protect the engine from damage.
    (3) Show in your application for certification that enrichment will 
rarely occur in use in the equipment in which

[[Page 334]]

your engines are installed. For example, an engine that is expected to 
operate 5 percent of the time in use with enrichment would clearly not 
qualify.
    (4) Include in your installation instructions any steps necessary 
for someone installing your engines to prevent enrichment during normal 
operation (see Sec. 1048.130).
    (e) Fuel types. The exhaust emission standards in this section apply 
for engines using each type of fuel specified in 40 CFR part 1065, 
subpart H, on which the engines in the engine family are designed to 
operate, except for engines certified under Sec. 1048.625. For engines 
certified under Sec. 1048.625, the standards of this section apply to 
emissions measured using the specified test fuel. You must meet the 
numerical emission standards for hydrocarbons in this section based on 
the following types of hydrocarbon emissions for engines powered by the 
following fuels:
    (1) Natural gas-fueled engines: NMHC emissions.
    (2) Alcohol-fueled engines: THCE emissions.
    (3) Other engines: THC emissions.
    (f) Small engines. Certain engines with total displacement at or 
below 1000 cc may comply with the requirements of 40 CFR part 90 or 1054 
instead of complying with the requirements of this part, as described in 
Sec. 1048.615.
    (g) Useful life. Your engines must meet the exhaust emission 
standards in paragraphs (a) through (c) of this section over their full 
useful life. For severe-duty engines, the minimum useful life is 1,500 
hours of operation or seven years, whichever comes first. For all other 
engines, the minimum useful life is 5,000 hours of operation or seven 
years, whichever comes first.
    (1) Specify a longer useful life in hours for an engine family under 
either of two conditions:
    (i) If you design, advertise, or market your engine to operate 
longer than the minimum useful life (your recommended hours until 
rebuild may indicate a longer design life).
    (ii) If your basic mechanical warranty is longer than the minimum 
useful life.
    (2) You may request in your application for certification that we 
approve a shorter useful life for an engine family. We may approve a 
shorter useful life, in hours of engine operation but not in years, if 
we determine that these engines will rarely operate longer than the 
shorter useful life. If engines identical to those in the engine family 
have already been produced and are in use, your demonstration must 
include documentation from such in-use engines. In other cases, your 
demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your demonstration 
must also include any overhaul interval that you recommend, any 
mechanical warranty that you offer for the engine or its components, and 
any relevant customer design specifications. Your demonstration may 
include any other relevant information. The useful life value may not be 
shorter than any of the following:
    (i) 1,000 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (h) Applicability for testing. The duty-cycle emission standards in 
this subpart apply to all testing performed according to the procedures 
in Sec. Sec. 1048.505 and 1048.510, including certification, 
production-line, and in-use testing. The field-testing standards apply 
for all testing performed according to the procedures of subpart F of 
this part.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40466, July 13, 2005; 73 
FR 3613, Jan 18, 2008; 73 FR 59232, Oct. 8, 2008]



Sec. 1048.105  What evaporative emission standards and requirements apply?

    Starting in the 2007 model year, new engines that run on a volatile 
liquid fuel (such as gasoline) must meet the emission standards of this 
section over a useful life of five years, except as specified in 
paragraph (f) of this section. Note that Sec. 1048.245 allows you to 
use design-based certification instead of generating new emission data.
    (a) Fuel line permeation. For nonmetallic fuel lines, you must 
specify and use products that meet the Category 1 specifications for 
permeation in SAE J2260 (incorporated by reference in Sec. 1048.810).

[[Page 335]]

    (b) [Reserved]
    (c) Diurnal emissions. Evaporative hydrocarbon emissions may not 
exceed 0.2 grams per gallon of fuel tank capacity when measured using 
the test procedures specified in Sec. 1048.501. Diurnal emission 
controls must continue to function during engine operation.
    (d) Running loss. Liquid fuel in the fuel tank may not reach boiling 
during continuous engine operation in the final installation at an 
ambient temperature of 30 [deg]C. Note that gasoline with a Reid vapor 
pressure of 62 kPa (9 psi) begins to boil at about 53 [deg]C at 
atmospheric pressure, and at about 60 [deg]C for fuel tanks that hold 
pressure as described in Sec. 1048.245(e)(1)(i).
    (e) Installation. If other companies install your engines in their 
equipment, you may introduce your engines into U.S. commerce without 
meeting all the requirements in this section. However, you must give 
equipment manufacturers any appropriate instructions so that fully 
assembled equipment will meet all the requirements in this section, as 
described in Sec. 1048.130. Your instructions may specify that 
equipment manufacturers may alternatively use other fuel-system 
components that have been certified under 40 CFR part 1060. Introducing 
equipment into U.S. commerce without meeting all the requirements of 
this section violates 40 CFR 1068.101(a)(1).
    (f) Motor vehicles and marine vessels. Motor vehicles and marine 
vessels may contain engines subject to the exhaust emission standards in 
this part 1048. Evaporative emission standards apply to these products 
as follows:
    (1) Marine vessels using spark-ignition engines are subject to the 
requirements of 40 CFR part 1045. The vessels are not required to comply 
with the evaporative emission standards and related requirements of this 
part 1048.
    (2) Motor vehicles are subject to the requirements of 40 CFR part 
86. They are not required to comply with the evaporative emission 
standards and related requirements of this part 1048.

[73 FR 59232, Oct. 8, 2008]



Sec. 1048.110  How must my engines diagnose malfunctions?

    The following engine-diagnostic requirements apply for engines 
equipped with three-way catalysts and closed-loop control of air-fuel 
ratios:
    (a) Equip your engines with a diagnostic system. Starting in the 
2007 model year, equip each engine with a diagnostic system that will 
detect significant malfunctions in its emission-control system using one 
of the following protocols:
    (1) If your emission-control strategy depends on maintaining air-
fuel ratios at stoichiometry, an acceptable diagnostic design would 
identify malfunction whenever the air-fuel ratio does not cross 
stoichiometry for one minute of intended closed-loop operation. You may 
use other diagnostic strategies if we approve them in advance.
    (2) If the protocol described in paragraph (a)(1) of this section 
does not apply to your engine, you must use an alternative approach that 
we approve in advance. Your alternative approach must generally detect 
when the emission-control system is not functioning properly.
    (b) Use a malfunction-indicator light (MIL). The MIL must be readily 
visible to the operator; it may be any color except red. When the MIL 
goes on, it must display ``Check Engine,'' ``Service Engine Soon,'' or a 
similar message that we approve. You may use sound in addition to the 
light signal. The MIL must go on under each of the following 
circumstances:
    (1) When a malfunction occurs, as described in paragraph (a) of this 
section.
    (2) When the diagnostic system cannot send signals to meet the 
requirement of paragraph (b)(1) of this section.
    (3) When the engine's ignition is in the ``key-on'' position before 
starting or cranking. The MIL should go out after engine starting if the 
system detects no malfunction.
    (c) Control when the MIL can go out. If the MIL goes on to show a 
malfunction or system error, it must remain on during all later engine 
operation until servicing corrects the malfunction. If the engine is not 
serviced, but the malfunction or system error does not recur for three 
consecutive engine starts during which the malfunctioning system is 
evaluated and found to be working properly, the MIL may stay off during 
later engine operation.

[[Page 336]]

    (d) Store trouble codes in computer memory. Record and store in 
computer memory any diagnostic trouble codes showing a malfunction that 
should illuminate the MIL. The stored codes must identify the 
malfunctioning system or component as uniquely as possible. Make these 
codes available through the data link connector as described in 
paragraph (g) of this section. You may store codes for conditions that 
do not turn on the MIL. The system must store a separate code to show 
when the diagnostic system is disabled.
    (e) Make data, access codes, and devices accessible. Make all 
required data accessible to us without any access codes or devices that 
only you can supply. Ensure that anyone servicing your engine can read 
and understand the diagnostic trouble codes stored in the onboard 
computer with generic tools and information.
    (f) Consider exceptions for certain conditions. Your diagnostic 
systems may disregard trouble codes for the first three minutes after 
engine starting. You may ask us to approve diagnostic-system designs 
that disregard trouble codes under other conditions that would produce 
an unreliable reading, damage systems or components, or cause other 
safety risks. This might include operation at altitudes over 8,000 feet.
    (g) Follow standard references for formats, codes, and connections. 
Follow conventions defined in 40 CFR 1045.110 or in the following 
documents (incorporated by reference in Sec. 1048.810) or ask us to 
approve using updated versions of (or variations from) these documents:
    (1) ISO 9141-2 Road vehicles-Diagnostic systems--Part 2: CARB 
requirements for interchange of digital information, February 1994.
    (2) ISO 14230-4 Road vehicles--Diagnostic systems--Keyword Protocol 
2000--Part 4: Requirements for emission-related systems, June 2000.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59232, Oct. 8, 2008]



Sec. 1048.115  What other requirements apply?

    Engines that are required to meet the emission standards of this 
part must meet the following requirements:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do the following things:
    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Torque broadcasting. Electronically controlled engines must 
broadcast their speed and output shaft torque (in newton-meters). 
Engines may alternatively broadcast a surrogate value for determining 
torque. Engines must broadcast engine parameters such that they can be 
read with a remote device, or broadcast them directly to their 
controller area networks. This information is necessary for testing 
engines in the field (see Sec. 1048.515). This requirement applies 
beginning in the 2007 model year. Small-volume engine manufacturers may 
omit this requirement.
    (c) EPA access to broadcast information. If we request it, you must 
provide us any hardware or tools we would need to readily read, 
interpret, and record all information broadcast by an engine's on-board 
computers and electronic control modules. If you broadcast a surrogate 
parameter for torque values, you must provide us what we need to convert 
these into torque units. We will not ask for hardware or tools if they 
are readily available commercially.
    (d) [Reserved]
    (e) Adjustable parameters. Engines that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically

[[Page 337]]

adjustable range. An operating parameter is not considered adjustable if 
you permanently seal it or if it is not normally accessible using 
ordinary tools. We may require that you set adjustable parameters to any 
specification within the adjustable range during any testing, including 
certification testing, production-line testing, or in-use testing.
    (f) Prohibited controls. You may not design your engines with 
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.
    (g) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission-control device that 
reduces the effectiveness of emission controls under conditions that the 
engine may reasonably be expected to encounter during normal operation 
and use. This does not apply to auxiliary-emission control devices you 
identify in your certification application if any of the following is 
true:
    (1) The conditions of concern were substantially included in the 
applicable test procedures described in subpart F of this part.
    (2) You show your design is necessary to prevent engine (or 
equipment) damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40467, July 13, 2005; 73 
FR 59233, Oct. 8, 2008]



Sec. 1048.120  What emission-related warranty requirements apply to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new nonroad engine, including all 
parts of its emission-control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty for evaporative 
emission controls must be valid for at least two years. Your emission-
related warranty for exhaust emission controls must be valid for at 
least 50 percent of the engine's useful life in hours of operation or at 
least three years, whichever comes first. In the case of a high-cost 
warranted part, the warranty must be valid for at least 70 percent of 
the engine's useful life in hours of operation or at least five years, 
whichever comes first. You may offer an emission-related warranty more 
generous than we require. The emission-related warranty for the engine 
may not be shorter than any published warranty you offer without charge 
for the engine. Similarly, the emission-related warranty for any 
component may not be shorter than any published warranty you offer 
without charge for that component. If an engine has no hour meter, we 
base the warranty periods in this paragraph (b) only on the engine's age 
(in years). The warranty period begins when the engine is placed into 
service.
    (c) Components covered. The emission-related warranty covers all 
your components whose failure would increase an engine's emissions of 
any regulated pollutant, including components listed in 40 CFR part 
1068, Appendix I, and components from any other system you develop to 
control emissions. The emission-related warranty covers these components 
even if another company produces the component for you. Your emission-
related warranty does not cover components whose failure would not 
increase an engine's emissions of any regulated pollutant.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[70 FR 40467, July 13, 2005, as amended at 73 FR 59233, Oct. 8, 2008; 75 
FR 23021, Apr. 30, 2010]

[[Page 338]]



Sec. 1048.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new nonroad engine written 
instructions for properly maintaining and using the engine, including 
the emission-control system. The maintenance instructions also apply to 
service accumulation on your emission-data engines, as described in 40 
CFR part 1065.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the engine's 
performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in your maintenance instructions
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) You may not schedule critical emission-related maintenance more 
frequently than the following minimum intervals, except as specified in 
paragraphs (a)(3), (b) and (c) of this section:
    (i) For catalysts, fuel injectors, electronic control units, 
superchargers, and turbochargers: The useful life of the engine family.
    (ii) For gaseous fuel-system components (cleaning without 
disassembly only) and oxygen sensors: 2,500 hours.
    (3) If your engine family has an alternate useful life under Sec. 
1048.101(g) that is shorter than the period specified in paragraph 
(a)(2)(ii) of this section, you may not schedule critical emission-
related maintenance more frequently than the alternate useful life, 
except as specified in paragraph (c) of this section.
    (4) You may ask us to approve a maintenance interval shorter than 
that specified in paragraphs (a)(2) of this section. In your request you 
must describe the proposed maintenance step, recommend the maximum 
feasible interval for this maintenance, include your rationale with 
supporting evidence to support the need for the maintenance at the 
recommended interval, and demonstrate that the maintenance will be done 
at the recommended interval on in-use engines. In considering your 
request, we will evaluate the information you provide and any other 
available information to establish alternate specifications for 
maintenance intervals, if appropriate.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as substandard 
fuel or atypical engine operation. For example, you may specify more 
frequent cleaning of fuel system components for engines you have reason 
to believe will be using fuel that causes substantially more engine 
performance problems than commercial fuels of the same type that are 
generally available across the United States. You must clearly state 
that this additional maintenance is associated with the special 
situation you are addressing. We may disapprove your maintenance 
instructions if we

[[Page 339]]

determine that you have specified special maintenance steps to address 
engine operation that is not atypical, or that the maintenance is 
unlikely to occur in use. If we determine that certain maintenance items 
do not qualify as special maintenance under this paragraph (c), you may 
identify this as recommended additional maintenance under paragraph (b) 
of this section.
    (d) Noncritical emission-related maintenance. Subject to the 
provisions of this paragraph (d), you may schedule any amount of 
emission-related inspection or maintenance that is not covered by 
paragraph (a) of this section (i.e., maintenance that is neither 
explicitly identified as critical emission-related maintenance, nor that 
we approve as critical emission-related maintenance). Noncritical 
emission-related maintenance generally includes changing spark plugs, 
re-seating valves, or any other emission-related maintenance on the 
components we specify in 40 CFR part 1068, Appendix I that is not 
covered in paragraph (a) of this section. You must state in the owners 
manual that these steps are not necessary to keep the emission-related 
warranty valid. If operators fail to do this maintenance, this does not 
allow you to disqualify those engines from in-use testing or deny a 
warranty claim. Do not take these inspection or maintenance steps during 
service accumulation on your emission-data engines.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines at 
the least frequent intervals that you recommend to the ultimate 
purchaser (but not the intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission-control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their engines. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:
    (1) Each affected component was not in general use on similar 
engines before January 1, 2004.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[70 FR 40468, July 13, 2005, as amended at 73 FR 59233, Oct. 8, 2008; 75 
FR 23021, Apr. 30, 2010]



Sec. 1048.130  What installation instructions must I give to equipment manufacturers?

    (a) If you sell an engine for someone else to install in a piece of 
nonroad equipment, give the engine installer instructions for installing 
it consistent

[[Page 340]]

with the requirements of this part. Include all information necessary to 
ensure that an engine will be installed in its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a piece of nonroad equipment violates federal law 
(40 CFR 1068.105(b)), subject to fines or other penalties as described 
in the Clean Air Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec. 1048.205(v).
    (4) Describe the steps needed to control evaporative emissions, as 
described in Sec. Sec. 1048.105 and 1048.245.
    (5) Describe any necessary steps for installing the diagnostic 
system described in Sec. 1048.110.
    (6) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only for 
constant-speed operation, tell equipment manufacturers not to install 
the engines in variable-speed applications. Also, if you need to avoid 
sustained high-load operation to meet the field-testing emission 
standards we specify in Sec. 1048.101(c) or to comply with the 
provisions of Sec. 1048.101(d), describe how the equipment manufacturer 
must properly size the engines for a given application.
    (7) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (8) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the equipment, 
as described in 40 CFR 1068.105.''.
    (c) You do not need installation instructions for engines you 
install in your own equipment.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40469, July 13, 2005]



Sec. 1048.135  How must I label and identify the engines I produce?

    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec. 1048.635.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) State the engine's displacement (in liters); however, you may 
omit this from the label if all the engines in the engine family have 
the same per-cylinder displacement and total displacement.
    (5) State the date of manufacture [DAY (optional), MONTH, and YEAR]; 
however, you may omit this from the label if you stamp, engrave, or 
otherwise permanently identify it elsewhere on the engine, in which case 
you must also describe in your application for certification where you 
will identify the date on the engine.
    (6) Identify the emission control system. Use terms and 
abbreviations as

[[Page 341]]

described in 40 CFR 1068.45. You may omit this information from the 
label if there is not enough room for it and you put it in the owners 
manual instead.
    (7) State: ``THIS ENGINE IS CERTIFIED TO OPERATE ON [specify 
operating fuel or fuels].''
    (8) Identify any requirements for fuel and lubricants. You may omit 
this information from the label if there is not enough room for it and 
you put it in the owners manual instead.
    (9) List specifications and adjustments for engine tuneups; show the 
proper position for the transmission during tuneup and state which 
accessories should be operating. You may omit this information from the 
label if there is not enough room for it and you put it in the owners 
manual instead.
    (10) State the useful life for your engine family if it has a longer 
useful life under Sec. 1048.101(g)(1) or a shortened useful life under 
Sec. 1048.101(g)(2).
    (11) Identify the emission standards to which you have certified the 
engine (in g/kW-hr).
    (12) Include one of the following compliance statements:
    (i) For engines that may be used in nonroad or stationary equipment, 
state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] 
NONROAD AND STATIONARY ENGINES.''
    (ii) For engines that will be used only in nonroad equipment, state: 
``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] 
NONROAD ENGINES.''
    (iii) For engines that will be used only in stationary equipment, 
state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] 
STATIONARY ENGINES.''
    (13) Include any of the following additional statements for special 
situations if they apply to your engines:
    (i) If your engines are certified only for constant-speed operation, 
state: ``USE IN CONSTANT-SPEED APPLICATIONS ONLY.''
    (ii) If your engines are certified only for variable-speed 
operation, state: ``USE IN VARIABLE-SPEED APPLICATIONS ONLY.''
    (iii) If your engines are certified only for high-load engines, 
state: ``THIS ENGINE IS NOT INTENDED FOR OPERATION AT LESS THAN 75 
PERCENT OF FULL LOAD.''
    (iv) If you certify your engines under Sec. 1048.101(d), and show 
in your application for certification that in-use engines will 
experience infrequent high-load operation, state: ``THIS ENGINE IS NOT 
INTENDED FOR OPERATION AT MORE THAN PERCENT OF FULL LOAD.'' Specify the 
appropriate percentage of full load based on the nature of the engine 
protection. You may add other statements to discourage operation in 
engine-protection modes.
    (v) If your engines are certified to the voluntary standards in 
Sec. 1048.140, state: ``BLUE SKY SERIES'' and identify the standard to 
which you certify the engines.
    (d) You may add information to the emission control information 
label to identify other emission standards that the engine meets or does 
not meet (such as California standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (e) You may ask us to approve modified labeling requirements in this 
part 1048 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (f) If you obscure the engine label while installing the engine in 
the equipment such that the label cannot be read during normal 
maintenance, you must place a duplicate label on the equipment. If 
others install your engine in their equipment in a way that obscures the 
engine label, we require them to add a duplicate label on the equipment 
(see 40 CFR 1068.105); in that case, give them the number of duplicate 
labels they request and keep the following records for at least five 
years:
    (1) Written documentation of the request from the equipment 
manufacturer.
    (2) The number of duplicate labels you send for each engine family 
and the date you sent them.

[70 FR 40469, July 13, 2005, as amended at 73 FR 59233, Oct. 8, 2008]

[[Page 342]]



Sec. 1048.140  What are the provisions for certifying Blue Sky Series engines?

    This section defines voluntary standards for a recognized level of 
superior emission control for engines designated as ``Blue Sky Series'' 
engines. If you certify an engine family under this section, it is 
subject to all the requirements of this part as if these voluntary 
standards were mandatory. To receive a certificate of conformity as 
``Blue Sky Series,'' you must certify to one of the sets of exhaust 
emission standards in the following table:

Table 1 of Sec.  1048.140--Standards for Blue Sky Series Engines (g/kW-
                                   hr)
------------------------------------------------------------------------
   Standards for steady-state and        Standards for  field-testing
     transient test  procedures                   procedures
------------------------------------------------------------------------
      HC+NOX               CO              HC+NOX              CO
------------------------------------------------------------------------
       0.80               4.4                1.10               6.6
       0.60               4.4                0.84               6.6
       0.40               4.4                0.56               6.6
       0.20               4.4                0.28               6.6
       0.10               4.4                0.14               6.6
------------------------------------------------------------------------


[73 FR 59234, Oct. 8, 2008]



Sec. 1048.145  Are there interim provisions that apply only for a limited time?

    The provisions in this section apply instead of other provisions in 
this part. This section describes when these interim provisions expire.
    (a) Family banking. This paragraph (a) allows you to reduce the 
number of engines subject to the Tier 2 standards by certifying some of 
your engines earlier than otherwise required, as follows:
    (1) For early-compliant engines to generate offsets under this 
paragraph (a), you must meet the following general provisions:
    (i) You must begin actual production of early-compliant engines by 
September 1, 2006.
    (ii) Engines you produce after December 31, 2006 may not generate 
offsets.
    (iii) Offset-generating engines must be certified to the Tier 2 
standards and requirements under this part 1048.
    (iv) If you certify engines under the voluntary standards of Sec. 
1048.140, you may not use them in your calculation under this paragraph 
(a).
    (2) For every offset-generating engine certified to the Tier 2 
standards, you may reduce the number of engines with the same maximum 
engine power that are required to meet the Tier 2 standards in later 
model years by one engine. You may calculate power-weighted offsets 
based on actual U.S.-directed sales volumes. For example, if you produce 
a total of 1,000 engines in 2005 and 2006 with an average maximum power 
of 60 kW certified to the Tier 2 standards, you may delay certification 
to that tier of standards for up to 60,000 kW-engine-years in any of the 
following ways:
    (i) Delay certification of up to 600 engines with an average maximum 
power of 100 kW for one model year.
    (ii) Delay certification of up to 200 engines with an average 
maximum power of 100 kW for three consecutive model years.
    (iii) Delay certification of up to 400 engines with an average 
maximum power of 100 kW for one model year and up to 50 engines with an 
average maximum power of 200 kW for two model years.
    (3) Offset-using engines (that is, those not required to certify to 
the Tier 2 standards) must be certified to the Tier 1 standards and 
requirements of this part 1048. You may delay compliance for up to three 
model years.
    (4) By January 31 of each year in which you use the provisions of 
this paragraph (a), send us a report describing how many offset-
generating or offset-using engines you produced in the preceding model 
year.
    (b) Hydrocarbon standards. For 2004 through 2006 model years, engine 
manufacturers may use nonmethane hydrocarbon measurements to demonstrate 
compliance with applicable emission standards.
    (c) [Reserved]
    (d) Tier 1 deterioration factors. For Tier 1 engines, base the 
deterioration factor from Sec. 1048.240 on 3500 hours of operation. We 
may assign a deterioration factor for a Tier 1 engine family, but this 
would not affect your need to meet all emission standards that apply.
    (e) [Reserved]
    (f) Optional early field testing. You may optionally use the field-
testing procedures in subpart F of this part for any in-use testing 
required under subpart E of this part to show that you

[[Page 343]]

meet Tier 1 standards. In this case, the same Tier 1 in-use emission 
standards apply to both steady-state testing in the laboratory and field 
testing.
    (g) Small-volume provisions. If you qualify for the hardship 
provisions in Sec. 1068.250 of this chapter, we may approve extensions 
of up to four years total.
    (h) 2004 certification. For the 2004 model year, you may choose to 
have the emission standards and other requirements that apply to these 
engines in California serve as the emission standards and other 
requirements applicable under this part, instead of those in subpart A 
of this part. To ask for a certificate under this paragraph (h), send us 
the application for certification that you prepare for the California 
Air Resources Board instead of the information we otherwise require in 
Sec. 1048.205.
    (i) Recreational vehicles. Engines or vehicles identified in the 
scope of 40 CFR part 1051 that are not yet regulated under that part are 
excluded from the requirements of this part. For example, snowmobiles 
produced in 2004 are not subject to the emission standards in this part. 
Once emission standards apply to these engines and vehicles, they are 
excluded from the requirements of this part under Sec. 1048.5(a)(1).
    (j) Delayed compliance with labeling requirements. Before the 2010 
model year, you may omit the dates of manufacture from the emission 
control information label as specified in Sec. 1048.135(c)(5) if you 
keep those records and provide them to us upon request.
    (k) Delayed compliance with fuel tank permeation requirements. 
Before the 2010 model year, you may omit the permeation-related 
requirements related to plastic fuel tanks in Sec. 1048.245(e)(1)(i) 
and Sec. 1048.501(e).

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40470, July 13, 2005; 73 
FR 59234, Oct. 8, 2008]



                  Subpart C_Certifying Engine Families



Sec. 1048.201  What are the general requirements for obtaining a certificate of conformity?

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date, but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec. 1048.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec. 1048.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 1048.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (see Sec. 1048.235(c)).
    (h) For engines that become new after being placed into service, 
such as engines converted to nonroad use after being used in motor 
vehicles, we may specify alternate certification provisions consistent 
with the intent of this part. See the definition of ``new nonroad 
engine'' in Sec. 1048.801.

[70 FR 40470, July 13, 2005, as amended at 73 FR 59234, Oct. 8, 2008; 75 
FR 23022, Apr. 30, 2010]



Sec. 1048.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
1048.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters

[[Page 344]]

of the engine's design and emission controls. List the fuel types on 
which your engines are designed to operate (for example, gasoline and 
natural gas). List each distinguishable engine configuration in the 
engine family.
    (b) Explain how the emission control systems operate. Describe the 
evaporative emission controls, if applicable. Also describe in detail 
all system components for controlling exhaust emissions, including all 
auxiliary emission control devices (AECDs) and all fuel-system 
components you will install on any production or test engine. Identify 
the part number of each component you describe. For this paragraph (b), 
treat as separate AECDs any devices that modulate or activate 
differently from each other. Include sufficient detail to allow us to 
evaluate whether the AECDs are consistent with the defeat device 
prohibition of Sec. 1048.115.
    (c) Explain how the engine diagnostic system works, describing 
especially the engine conditions (with the corresponding diagnostic 
trouble codes) that cause the malfunction-indicator light to go on. 
Propose what you consider to be extreme conditions under which the 
diagnostic system should disregard trouble codes, as described in Sec. 
1048.110.
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec. 
1048.501).
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of each test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065, subpart H.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance instructions you will give to the 
ultimate purchaser of each new nonroad engine (see Sec. 1048.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a piece of nonroad 
equipment (see Sec. 1048.130).
    (k) Identify each high-cost warranted part and show us how you 
calculated its replacement cost, including the estimated retail cost of 
the part, labor rates, and labor hours to diagnose and replace defective 
parts.
    (l) Describe your emission control information label (see Sec. 
1048.135).
    (m) Identify the emission standards to which you are certifying 
engines in the engine family.
    (n) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec. 1048.240). Present any emission test 
data you used for this.
    (o) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (p) Present emission data to show that you meet emission standards, 
as follows:
    (1) Present exhaust emission data for HC, NOX, and CO on 
an emission-data engine to show your engines meet the applicable duty-
cycle emission standards we specify in Sec. 1048.101. Show emission 
figures before and after applying deterioration factors for each engine. 
Include emission results for each mode if you do discrete-mode testing 
under Sec. 1048.505. Include test data for each type of fuel from 40 
CFR part 1065, subpart H, on which you intend for engines in the engine 
family to operate (for example, gasoline, liquefied petroleum gas, 
methanol, or natural gas). If we specify more than one grade of any fuel 
type (for example, a summer grade and winter grade of gasoline), you 
need to submit test data only for one grade unless the regulations of 
this part specify otherwise for your engine. Note that Sec. 1048.235 
allows you to submit an application in certain cases without new 
emission data.
    (2) If your engine family includes a volatile liquid fuel (and you 
do not use design-based certification under Sec. 1048.245), present 
evaporative test data to show your vehicles meet the

[[Page 345]]

evaporative emission standards we specify in subpart B of this part. 
Show these figures before and after applying deterioration factors, 
where applicable.
    (q) State that all the engines in the engine family comply with the 
field-testing emission standards we specify in Sec. 1048.101(c) for all 
normal operation and use when tested as specified in Sec. 1048.515. 
Describe any relevant testing, engineering analysis, or other 
information in sufficient detail to support your statement.
    (r) For engines not subject to transient testing requirements in 
Sec. 148.101(a), include information showing how your emission controls 
will function during normal in-use transient operation. For example, 
this might include the following:
    (1) Emission data from transient testing of engines using 
measurement systems designed for measuring in-use emissions.
    (2) Comparison of the engine design for controlling transient 
emissions with that from engines for which you have emission data over 
the transient duty cycle for certification.
    (3) Detailed descriptions of control algorithms and other design 
parameters for controlling transient emissions.
    (s) Report test results as follows:
    (1) Report all test results involving measurement of pollutants for 
which emission standards apply. Include test results from invalid tests 
or from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR part 1065.
    (2) Report measured CO2, N2O, and 
CH4 as described in Sec. 1048.235. Small-volume engine 
manufacturers may omit reporting N2O and CH4.
    (t) Describe all adjustable operating parameters (see Sec. 
1048.115(e)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of 
inhibiting adjustment are effective in preventing adjustment of 
parameters on in-use engines to settings outside your intended 
physically adjustable ranges.
    (u) Provide the information to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. If you broadcast a 
surrogate parameter for torque values, you must provide us what we need 
to convert these into torque units. You may reference any appropriate 
publicly released standards that define conventions for these messages 
and parameters. Format your information consistent with publicly 
released standards.
    (v) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in equipment and placed in service. 
If this cannot be done by simply adding a 20-centimeter extension to the 
exhaust pipe, show how to sample exhaust emissions in a way that 
prevents diluting the exhaust sample with ambient air.
    (w) State whether your certification is intended to include engines 
used in stationary applications. Also state whether your certification 
is limited for certain engines. If this is the case, describe how you 
will prevent use of these engines in applications for which they are not 
certified. This applies for engines such as the following:
    (1) Constant-speed engines.
    (2) Variable-speed engines.
    (x) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (y) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes if 
they are substantially different than actual production volumes in 
earlier years for similar models.

[[Page 346]]

    (z) Include other applicable information, such as information 
specified in this part or part 1068 of this chapter related to requests 
for exemptions.
    (aa) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.

[70 FR 40470, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008; 73 
FR 59234, Oct. 8, 2008; 74 FR 56510, Oct. 30, 2009]



Sec. 1048.210  May I get preliminary approval before I complete my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service 
accumulation, and maintenance. Decisions made under this section are 
considered to be preliminary approval, subject to final review and 
approval. We will generally not reverse a decision where we have given 
you preliminary approval, unless we find new information supporting a 
different decision. If you request preliminary approval related to the 
upcoming model year or the model year after that, we will make best-
efforts to make the appropriate determinations as soon as practicable. 
We will generally not provide preliminary approval related to a future 
model year more than two years ahead of time.

[70 FR 40472, July 13, 2005]



Sec. 1048.220  How do I amend the maintenance instructions in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification as long as the amended 
instructions remain consistent with the provisions of Sec. 1048.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for an engine family if you 
want to change the emission-related maintenance instructions in a way 
that could affect emissions. In your request, describe the proposed 
changes to the maintenance instructions. If operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those engines from 
in-use testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any specified maintenance, 
you may distribute the new maintenance instructions to your customers 30 
days after we receive your request, unless we disapprove your request. 
This would generally include replacing one maintenance step with 
another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of a maintenance step for 
engines in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).

[70 FR 40472, July 13, 2005, as amended at 73 FR 59235, Oct. 8, 2008; 75 
FR 23022, Apr. 30, 2010]



Sec. 1048.225  How do I amend my application for certification to include 

new or modified engine configurations?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject to 
the provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified engine configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.

[[Page 347]]

    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec. 1048.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data engine is still appropriate 
for showing that the amended family complies with all applicable 
requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (see Sec. 1048.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration anytime after you send us your amended application and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected engines do not meet applicable 
requirements, we will notify you to cease production of the engines and 
may require you to recall the engines at no expense to the owner. 
Choosing to produce engines under this paragraph (e) is deemed to be 
consent to recall all engines that we determine do not meet applicable 
emission standards or other requirements and to remedy the nonconformity 
at no expense to the owner. If you do not provide information required 
under paragraph (c) of this section within 30 days after we request it, 
you must stop producing the new or modified engines.

[73 FR 59235, Oct. 8, 2008]



Sec. 1048.230  How do I select engine families?

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this section. 
Your engine family is limited to a single model year.
    (b) Group engines in the same engine family if they are the same in 
all of the following aspects:
    (1) The combustion cycle.
    (2) The cooling system (water-cooled vs. air-cooled).
    (3) Configuration of the fuel system (for example, fuel-injected vs. 
carbureted gasoline engines).
    (4) Method of air aspiration.
    (5) The number, location, volume, and composition of catalytic 
converters.
    (6) The number, arrangement (such as in-line or vee configuration), 
and approximate bore diameter of cylinders.
    (c) You may subdivide a group of engines that is identical under 
paragraph (b) of this section into different engine families if you show 
the expected emission characteristics are different during the useful 
life.
    (d) In unusual circumstances, you may group engines that are not 
identical with respect to the things listed in paragraph (b) of this 
section in the same engine family if you show that their emission 
characteristics during the useful life will be similar.
    (e) You may create separate families for exhaust emissions and 
evaporative

[[Page 348]]

emissions. If we do this, list both families on the emission control 
information label.
    (f) Where necessary, you may divide an engine family into sub-
families to meet different emission standards, as specified in Sec. 
1048.101(a)(2). For issues related to compliance and prohibited actions, 
we will generally apply decisions to the whole engine family. For engine 
labels and other administrative provisions, we may approve your request 
for separate treatment of sub-families.

[70 FR 40473, July 13, 2005, as amended at 73 FR 59235, Oct. 8, 2008; 75 
FR 23022, Apr. 30, 2010]



Sec. 1048.235  What emission testing must I perform for my application for a certificate of conformity?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec. Sec. 1048.101(a) and (b) 
and 1048.105 during certification. See Sec. 1048.205(q) regarding 
emission testing related to the field-testing standards. See Sec. 
1048.240 and 40 CFR part 1065, subpart E, regarding service accumulation 
before emission testing.
    (a) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part.
    (b) Select emission-data engines according to the following 
criteria:
    (1) Exhaust testing. For each fuel type from each engine family, 
select an emission-data engine with a configuration that is most likely 
to exceed the exhaust emission standards, using good engineering 
judgment. Consider the emission levels of all exhaust constituents over 
the full useful life of the engine when operated in a piece of 
equipment.
    (2) Evaporative testing. For each engine family that includes a 
volatile liquid fuel, select a test fuel system with a configuration 
that is most likely to exceed the evaporative emission standards, using 
good engineering judgment.
    (c) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test engine to a test 
facility we designate. The test engine you provide must include 
appropriate manifolds, aftertreatment devices, electronic control units, 
and other emission-related components not normally attached directly to 
the engine block. If we do the testing at your plant, you must schedule 
it as soon as possible and make available the instruments, personnel, 
and equipment we need.
    (2) If we measure emissions on one of your test engines, the results 
of that testing become the official emission results for the engine. 
Unless we later invalidate these data, we may decide not to consider 
your data in determining if your engine family meets applicable 
requirements.
    (3) Before we test one of your engines, we may set its adjustable 
parameters to any point within the physically adjustable ranges (see 
Sec. 1048.115(e)).
    (4) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter. For example, this would apply where we determine 
that an engine parameter is not an adjustable parameter (as defined in 
Sec. 1048.801) but that it is subject to production variability.
    (d) You may ask to use carryover emission data from a previous model 
year instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec. 1048.225.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification.
    (e) We may require you to test another engine of the same or 
different configuration in addition to the engine tested under paragraph 
(b) of this section.

[[Page 349]]

    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (g) Measure CO2 and CH4 with each low-hour 
certification test using the procedures specified in 40 CFR part 1065 
starting in the 2011 and 2012 model years, respectively. Also measure 
N2O with each low-hour certification test using the 
procedures specified in 40 CFR part 1065 starting in the 2013 model year 
for any engine family that depends on NOx aftertreatment to meet 
emission standards. Small-volume engine manufacturers may omit 
measurement of N2O and CH4. These measurements are 
not required for measurements using field-testing procedures. Use the 
same units and modal calculations as for your other results to report a 
single weighted value for each constituent. Round the final values as 
follows:
    (1) Round CO2 to the nearest 1 g/kW-hr.
    (2) Round N2O to the nearest 0.001 g/kW-hr.
    (3) Round CH4 to the nearest 0.001g/kW-hr.

[70 FR 40473, July 13, 2005, as amended at 73 FR 59235, Oct. 8, 2008; 74 
FR 56510, Oct. 30, 2009]



Sec. 1048.240  How do I demonstrate that my engine family complies with exhaust emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical emission standards in Sec. 
1048.101(a) and (b) if all emission-data engines representing that 
family have test results showing official emission results and 
deteriorated emission levels at or below these standards. This includes 
all test points over the course of the durability demonstration. This 
also applies for all test points for emission-data engines within the 
family used to establish deterioration factors. See paragraph (e) of 
this section for provisions related to demonstrating compliance with 
field-testing standards.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing an official 
emission result or a deteriorated emission level for any pollutant that 
is above an applicable emission standard from Sec. 1048.101(a) and (b). 
Similarly, your engine family is deemed not to comply if any emission-
data engine representing that family has test results showing any 
emission level above the applicable field-testing standard for any 
pollutant. This also applies for all test points for emission-data 
engines within the family used to establish deterioration factors.
    (c) To compare emission levels from the emission-data engine with 
the applicable emission standards, apply deterioration factors to the 
measured emission levels for each pollutant. Specify the deterioration 
factors based on emission measurements using four significant figures, 
consistent with good engineering judgment. For example, your 
deterioration factors must take into account any available data from in-
use testing with similar engines (see subpart E of this part). Small-
volume engine manufacturers may use assigned deterioration factors that 
we establish. In addition, anyone may use assigned deterioration factors 
for engine families with a projected U.S.-directed production volume at 
or below 300 engines. Apply deterioration factors as follows:
    (1) Multiplicative deterioration factor. Except as specified in 
paragraph (c)(2) of this section, use a multiplicative deterioration 
factor for exhaust emissions. A multiplicative deterioration factor is 
the ratio of exhaust emissions at the end of useful life to exhaust 
emissions at the low-hour test point. Adjust the official emission 
results for each tested engine at the selected test point by multiplying 
the measured emissions by the deterioration factor. If the factor is 
less than one, use one.
    (2) Additive deterioration factor. Use an additive deterioration 
factor for exhaust emissions if engines do not use aftertreatment 
technology. Also, you may use an additive deterioration factor for 
exhaust emissions for a particular pollutant if all the emission-data 
engines in the engine family have

[[Page 350]]

low-hour emission levels at or below 0.3 g/kW-hr for HC+NOX 
or 0.5 g/kW-hr for CO, unless a multiplicative deterioration factor is 
more appropriate. For example, you should use a multiplicative 
deterioration factor if emission increases are best represented by the 
ratio of exhaust emissions at the end of the useful life to exhaust 
emissions at the low-hour test point. An additive deterioration factor 
is the difference between exhaust emissions at the end of useful life 
and exhaust emissions at the low-hour test point. Adjust the official 
emission results for each tested engine at the selected test point by 
adding the factor to the measured emissions. If the factor is less than 
zero, use zero.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data engine. In the case of HC + 
NOX standards, apply the deterioration factor to each 
pollutant and then add the results before rounding.
    (e) Use good engineering judgment to demonstrate compliance with 
field-testing standards throughout the useful life. You may, but are not 
required to, apply the same deterioration factors used to show 
compliance with the applicable duty-cycle standards.

[70 FR 40474, July 13, 2005, as amended at 73 FR 59236, Oct. 8, 2008; 75 
FR 23022, Apr. 30, 2010]



Sec. 1048.245  How do I demonstrate that my engine family complies with evaporative emission standards?

    (a) For certification, your engine family is considered in 
compliance with the evaporative emission standards in subpart B of this 
part if you do either of the following:
    (1) You have test results showing that evaporative emissions in the 
family are at or below the standards throughout the useful life.
    (2) Where applicable, you comply with the design specifications in 
paragraph (e) of this section.
    (b) Your engine family does not comply if any fuel system 
representing that family has test results showing emission levels above 
the standards.
    (c) Use good engineering judgment to develop a test plan to 
establish deterioration factors to show how much emissions increase at 
the end of the useful life.
    (d) If you adjust the emission levels for deterioration, round them 
to the same number of decimal places as the emission standard. Compare 
the rounded emission levels to the emission standard for each test fuel 
system.
    (e) You may demonstrate that your engine family complies with the 
evaporative emission standards by demonstrating that you use the 
following control technologies:
    (1) For certification to the standards specified in Sec. 
1048.105(c), with the following technologies:
    (i) Use a tethered or self-closing gas cap on a fuel tank that stays 
sealed up to a positive pressure of 24.5 kPa (3.5 psig); however, they 
may contain air inlets that open when there is a vacuum pressure inside 
the tank. Nonmetal fuel tanks must also use one of the qualifying 
designs for controlling permeation emissions specified in 40 CFR 
1060.240.
    (ii) [Reserved]
    (2) For certification to the standards specified in Sec. 
1048.105(d), demonstrating that you use design features to prevent fuel 
boiling under all normal operation. If you install engines in equipment, 
you may do this using fuel temperature data measured during normal 
operation. Otherwise, you may do this by including appropriate 
information in your emission-related installation instructions.
    (3) We may establish additional options for design-based 
certification where we find that new test data demonstrate that a 
technology will ensure compliance with the emission standards in this 
section.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40474, July 13, 2005; 73 
FR 59236, Oct. 8, 2008; 75 FR 23022, Apr. 30, 2010]



Sec. 1048.250  What records must I keep and make available to EPA?

    (a) Send the Designated Compliance Officer information related to 
your

[[Page 351]]

U.S.-directed production volumes as described in Sec. 1048.345. In 
addition, within 45 days after the end of the model year, you must send 
us a report describing information about engines you produced during the 
model year as follows:
    (1) State the total production volume for each engine family that is 
not subject to reporting under Sec. 1048.345.
    (2) State the total production volume for any engine family for 
which you produce engines after completing the reports required in Sec. 
1048.345.
    (3) For production volumes you report under this paragraph (a), 
identify whether or not the figures include California sales. Include a 
separate count of production volumes for California sales if those 
figures are available.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec. 1048.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission-control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in this section for eight years after we issue your 
certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40474, July 13, 2005; 73 
FR 59236, Oct. 8, 2008]



Sec. 1048.255  What decisions may EPA make regarding my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your engine family for that 
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Clean Air Act. We will base our 
decision on all available information. If we deny your application, we 
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location

[[Page 352]]

where local law prohibits us from carrying out authorized activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 1048.820).

[70 FR 40474, July 13, 2005, as amended at 73 FR 59236, Oct. 8, 2008; 75 
FR 23022, Apr. 30, 2010]



                Subpart D_Testing Production-line Engines



Sec. 1048.301  When must I test my production-line engines?

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart, except as 
follows:
    (1) [Reserved]
    (2) We may exempt engine families with a projected U.S.-directed 
production volume below 150 units from routine testing under this 
subpart. Request this exemption in your application for certification 
and include your basis for projecting a production volume below 150 
units. We will approve your request if we agree that you have made good-
faith estimates of your production volumes. Your exemption is approved 
when we grant your certificate. You must promptly notify us if your 
actual production exceeds 150 units during the model year. If you exceed 
the production limit or if there is evidence of a nonconformity, we may 
require you to test production-line engines under this subpart, or under 
40 CFR part 1068, subpart E, even if we have approved an exemption under 
this paragraph (a)(2).
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line engines do not meet the 
requirements of this part or you do not fulfill your obligations under 
this subpart (see Sec. Sec. 1048.325 and 1048.340).
    (c) Other regulatory provisions authorize us to suspend, revoke, or 
void your certificate of conformity, or order recalls for engine 
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not 
affect our ability to do selective enforcement audits, as described in 
part 1068 of this chapter. Individual engines in families that pass 
these production-line testing requirements must also conform to all 
applicable regulations of this part and part 1068 of this chapter.
    (d) You may use alternate programs for testing production-line 
engines in the following circumstances:
    (1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the 
otherwise applicable requirements in 40 CFR part 1065 for laboratory 
testing, to demonstrate compliance with duty-cycle emission standards if 
you double the minimum sampling rate specified in Sec. 1048.310(b). Use 
measured test results to determine whether engines comply with 
applicable standards without applying a measurement allowance. This 
alternate program does not require prior approval but we may disallow 
use of this option where we determine that use of field-grade equipment 
would prevent you from being able to demonstrate that your engines are 
being produced to conform to the specifications in your application for 
certification.
    (2) You may ask to use another alternate program for testing 
production-line engines. In your request, you must show us that the 
alternate program gives equal assurance that your products meet the 
requirements of this part. We may waive some or all of this subpart's 
requirements if we approve your alternate approach. For example, in 
certain circumstances you may be able to give us equal assurance that 
your products meet the requirements of this part by using less rigorous 
measurement methods if you offset that by increasing the number of test 
engines.

[[Page 353]]

    (e) If you certify an engine family with carryover emission data, as 
described in Sec. 1048.235(d), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one engine per engine family. If we reduce your testing rate, we 
may limit our approval to any number of model years. In determining 
whether to approve your request, we may consider the number of engines 
that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
engines available for a reasonable time so we can test or inspect them 
for compliance with the requirements of this part.

[73 FR 59236, Oct. 8, 2008]



Sec. 1048.305  How must I prepare and test my production-line engines?

    This section describes how to prepare and test production-line 
engines. You must assemble the test engine in a way that represents the 
assembly procedures for other engines in the engine family. You must ask 
us to approve any deviations from your normal assembly procedures for 
other production engines in the engine family.
    (a) Test procedures. Test your production-line engines using either 
the steady-state or transient testing procedures specified in subpart F 
of this part to show you meet the duty-cycle emission standards in 
subpart B of this part. The field-testing standards apply for this 
testing, but you need not do additional testing to show that production-
line engines meet the field-testing standards.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec. 1048.310), you may adjust, repair, prepare, or modify it or 
check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Engine malfunction. If an engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair the 
engine or delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may require 
you to adjust any adjustable parameter to any setting within its 
physically adjustable range.
    (1) We may require you to adjust idle speed outside the physically 
adjustable range as needed, but only until the engine has stabilized 
emission levels (see paragraph (e) of this section). We may ask you for 
information needed to establish an alternate minimum idle speed.
    (2) We may specify adjustments within the physically adjustable 
range by considering their effect on emission levels. We may also 
consider how likely it is that someone will make such an adjustment with 
in-use equipment.
    (e) Stabilizing emission levels. Before you test production-line 
engines, you may operate the engine to stabilize the emission levels. 
Using good engineering judgment, operate your engines in a way that 
represents the way production engines will be used. You may operate each 
engine for no more than the greater of two periods:
    (1) 50 hours.
    (2) The number of hours you operated your emission-data engine for 
certifying the engine family (see 40 CFR part 1065, subpart E).
    (f) Damage during shipment. If shipping an engine to a remote 
facility for production-line testing makes necessary an adjustment or 
repair, you must wait until after the initial emission test to do this 
work. We may waive this requirement if the test would be impossible or 
unsafe, or if it would permanently damage the engine. Report to us, in 
your written report under Sec. 1048.345, all adjustments or repairs you 
make on test engines before each test.
    (g) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid under subpart F of this part. 
Explain in your written report reasons for invalidating any test and the 
emission results from

[[Page 354]]

all tests. If we determine that you improperly invalidated a test, we 
may require you to ask for our approval for future testing before 
substituting results of the new tests for invalid ones.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005; 73 
FR 59237, Oct. 8, 2008]



Sec. 1048.310  How must I select engines for production-line testing?

    (a) Use test results from two engines each quarter to calculate the 
required sample size for the model year for each engine family.
    (b) Early in each calendar quarter, randomly select and test two 
engines from the end of the assembly line for each engine family.
    (c) Calculate the required sample size for each engine family. 
Separately calculate this figure for HC+NOX and CO. The 
required sample size is the greater of these calculated values. Use the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.091

Where:

N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number 
of tests completed, n, as specified in the table in paragraph (c)(1) of 
this section. It defines 95% confidence intervals for a one-tail 
distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of this 
section).
x = Mean of emission test results of the sample.
STD = Emission standard.
    (1) Determine the 95% confidence coefficient, t95, from 
the following table:

------------------------------------------------------------------------
         n t95                    n t95                    n t95
------------------------------------------------------------------------
 2 6.31                  12 1.80                  22 1.72
 3 2.92                  13 1.78                  23 1.72
 4 2.35                  14 1.77                  24 1.71
 5 2.13                  15 1.76                  25 1.71
 6 2.02                  16 1.75                  26 1.71
 7 1.94                  17 1.75                  27 1.71
 8 1.90                  18 1.74                  28 1.70
 9 1.86                  19 1.73                  29 1.70
10 1.83                  20 1.73                  30+ 1.70
11 1.81                  21 1.72                  ......................
------------------------------------------------------------------------

    (2) Calculate the standard deviation, [sigma], for the test sample 
using the following formula:


Where:
[GRAPHIC] [TIFF OMITTED] TR08OC08.092


Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.

    (d) Use final deteriorated test results to calculate the variables 
in the equations in paragraph (c) of this section (see Sec. 
1048.315(a)).
    (e) After each new test, recalculate the required sample size using 
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
    (f) Distribute the remaining tests evenly throughout the rest of the 
year. You may need to adjust your schedule for selecting engines if the 
required sample size changes. If your scheduled quarterly testing for 
the remainder of the model year is sufficient to meet the calculated 
sample size, you may wait until the next quarter to do additional 
testing. Continue to randomly select engines from each engine family.
    (g) Continue testing until one of the following things happens:

[[Page 355]]

    (1) After completing the minimum number of tests required in 
paragraph (b) of this section, the number of tests completed in an 
engine family, n, is greater than the required sample size, N, and the 
sample mean, x, is less than or equal to the emission standard. For 
example, if N = 5.1 after the fifth test, the sample-size calculation 
does not allow you to stop testing.
    (2) The engine family does not comply according to Sec. 1048.315.
    (3) You test 30 engines from the engine family.
    (4) You test one percent of your projected annual U.S.-directed 
production volume for the engine family, rounded to the nearest whole 
number. Do not count an engine under this paragraph (g)(4) if it fails 
to meet an applicable emission standard. You may stop testing after you 
test one percent of your production volume even if you have not tested 
the number of engines specified in paragraph (b) of this section. For 
example, if projected volume is 475 engines, test two engines in each of 
the first two quarters and one engine in the third quarter to fulfill 
your testing requirements under this section for that engine family.
    (5) You choose to declare that the engine family does not comply 
with the requirements of this subpart.
    (h) If the sample-size calculation allows you to stop testing for 
one pollutant but not another, you must continue measuring emission 
levels of all pollutants for any additional tests required under this 
section. However, you need not continue making the calculations 
specified in this subpart for the pollutant for which testing is not 
required. This paragraph (h) does not affect the number of tests 
required under this section, the required calculations in Sec. 
1048.315, or the remedial steps required under Sec. 1048.320.
    (i) You may elect to test more randomly chosen engines than we 
require under this section. Include these engines in the sample-size 
calculations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005; 73 
FR 59237, Oct. 8, 2008]



Sec. 1048.315  How do I know when my engine family fails the production-line testing requirements?

    This section describes the pass/fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family 
basis. See Sec. 1048.320 for the requirements that apply to individual 
engines that fail a production-line test.
    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate and round the test 
results for each engine. If you do several tests on an engine, calculate 
the initial results for each test, then add all the test results 
together and divide by the number of tests. Round this final calculated 
value for the final test results on that engine.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec. 1048.240(c)).
    (3) Round deteriorated test results. Round the results to the number 
of decimal places in the emission standard expressed to one more decimal 
place.
    (b) Construct the following CumSum Equation for each engine family 
for HC+NOX and CO emissions:

Ci = Max [0 or Ci-1 + Xi - (STD + 0.25 
    x [sigma])]

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, the 
CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual 
engine.
STD = Emission standard.

    (c) Use final deteriorated test results to calculate the variables 
in the equation in paragraph (b) of this section (see Sec. 
1048.315(a)).
    (d) After each new test, recalculate the CumSum statistic.
    (e) If you test more than the required number of engines, include 
the results from these additional tests in the CumSum Equation.
    (f) After each test, compare the current CumSum statistic, 
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x 
[sigma].
    (g) If the CumSum statistic exceeds the Action Limit in two 
consecutive

[[Page 356]]

tests, the engine family fails the production-line testing requirements 
of this subpart. Tell us within ten working days if this happens.
    (h) If you amend the application for certification for an engine 
family (see Sec. 1048.225), do not change any previous calculations of 
sample size or CumSum statistics for the model year.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005; 73 
FR 59238, Oct. 8, 2008]



Sec. 1048.320  What happens if one of my production-line engines fails to meet emission standards?

    If you have a production-line engine with final deteriorated test 
results exceeding one or more emission standards (see Sec. 
1048.315(a)), the certificate of conformity is automatically suspended 
for that failing engine. You must take the following actions before your 
certificate of conformity can cover that engine:
    (a) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (b) Include the test results and describe the remedy for each engine 
in the written report required under Sec. 1048.345.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59238, Oct. 8, 2008]



Sec. 1048.325  What happens if an engine family fails the production-line testing requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails under Sec. 1048.315. The suspension may apply to all 
facilities producing engines from an engine family, even if you find 
noncompliant engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when you 
receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec. 1048.820). If we agree 
before a hearing occurs that we used erroneous information in deciding 
to suspend the certificate, we will reinstate the certificate.
    (d) Section 1048.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the engines 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005; 73 
FR 59238, Oct. 8, 2008]



Sec. 1048.330  May I sell engines from an engine family with a suspended certificate of conformity?

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity under Sec. 1048.315 only if one of 
the following occurs:
    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines and 
remedy any noncompliance at no expense to the owner if later testing 
shows that the engine family still does not comply.



Sec. 1048.335  How do I ask EPA to reinstate my suspended certificate?

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.



Sec. 1048.340  When may EPA revoke my certificate under this subpart and how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.

[[Page 357]]

    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under Sec. 1048.325 is inadequate to solve the problem or requires you 
to change the engine's design or emission-control system.
    (b) To sell engines from an engine family with a revoked certificate 
of conformity, you must modify the engine family and then show it 
complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec. 1048.345  What production-line testing records must I send to EPA?

    (a) Within 30 calendar days of the end of each calendar quarter, 
send us a report with the following information:
    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe each test engine, including the engine family's 
identification and the engine's model year, build date, model number, 
identification number, and number of hours of operation before testing.
    (5) Identify how you accumulated hours of operation on the engines 
and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; all initial test results; final test results; and final 
deteriorated test results for all tests. Provide the emission results 
for all measured pollutants. Include information for both valid and 
invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure or 
type of equipment.
    (8) Provide the CumSum analysis required in Sec. 1048.315 and the 
sample-size calculation required in Sec. 1048.310 for each engine 
family.
    (9) Report on each failed engine as described in Sec. 1048.320.
    (10) State the date the calendar quarter ended for each engine 
family.
    (b) We may ask you to add information to your written report, so we 
can determine whether your new engines conform with the requirements of 
this subpart. We may also ask you to send less information.
    (c) An authorized representative of your company must sign the 
following statement:

    We submit this report under Sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1048. We have not changed production 
processes or quality-control procedures for test engines in a way that 
might affect emission controls. All the information in this report is 
true and accurate, to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized Company 
Representative)

    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. See Sec. 1048.815 for information on how we treat 
information you consider confidential.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005; 73 
FR 59238, Oct. 8, 2008]



Sec. 1048.350  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.

[[Page 358]]

    (b) Keep paper or electronic records of your production-line testing 
for eight years after you complete all the testing required for an 
engine family in a model year.
    (c) Keep a copy of the written reports described in Sec. 1048.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine and the names of all supervisors 
who oversee this work.
    (4) If you shipped the engine for testing, the date you shipped it, 
the associated storage or port facility, and the date the engine arrived 
at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (7) Any information specified in Sec. 1048.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us projected or actual production 
figures for an engine family. We may ask you to divide your production 
figures by maximum engine power, displacement, fuel type, or assembly 
plant (if you produce engines at more than one plant).
    (f) Keep records of the engine identification number for each engine 
you produce under each certificate of conformity. You may identify these 
numbers as a range. Give us these records within 30 days if we ask for 
them.
    (g) We may ask you to keep or send other information necessary to 
implement this subpart.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005; 73 
FR 59239, Oct. 8, 2008]



                    Subpart E_Testing In-use Engines



Sec. 1048.401  What testing requirements apply to my engines that have gone into service?

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart. This 
generally involves testing engines in the field or removing them for 
measurement in a laboratory.
    (b) We may approve an alternate plan for showing that in-use engines 
comply with the requirements of this part if one of the following is 
true:
    (1) You produce 200 or fewer engines per year in the selected engine 
family.
    (2) Removing the engine from most of the applications for that 
engine family causes significant, irreparable damage to the equipment.
    (3) You identify a unique aspect of your engine applications that 
keeps you from doing the required in-use testing.
    (c) We may void your certificate of conformity for an engine family 
if you do not meet your obligations under this part.
    (d) Independent of your responsibility to test in-use engines, we 
may choose at any time to do our own testing of your in-use engines.
    (e) If in-use testing shows that engines fail to meet emission 
standards or other requirements of this part, we may pursue a recall or 
other remedy as allowed by the Act (see Sec. 1048.415).



Sec. 1048.405  How does this program work?

    (a) You must test in-use engines, for exhaust emissions, from the 
families we select. We may select up to 25 percent of your engine 
families in any model year--or one engine family if you have three or 
fewer families. We will select engine families for testing before the 
end of the model year. When we select an engine family for testing, we 
may specify that you preferentially test engines based on fuel type or 
equipment type. In addition, we may identify specific modes of operation 
or sampling times. You may choose to test additional engine families 
that we do not select.
    (b) Send us an in-use testing plan within six months after we direct 
you

[[Page 359]]

to test a particular engine family. If we request additional information 
or require you to modify your plan to meet the requirements of this 
subpart, you must provide the information or the modified plan within 30 
days of our request. Complete the testing within 36 months after we 
direct you to test a particular engine family.
    (c) You may need to test engines from more than one model year at a 
given time.
    (d) In appropriate extreme and unusual circumstances that are 
clearly outside your control and could not have been avoided by the 
exercise of prudence, diligence, and due care, we may allow more time to 
complete testing or we may waive the in-use testing requirement for an 
engine family. For example, if your test fleet is destroyed by severe 
weather during service accumulation and we agree that completion of 
testing is not possible, we would generally waive testing requirements 
for that engine family.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59239, Oct. 8, 2008; 75 
FR 23022, Apr. 30, 2010]



Sec. 1048.410  How must I select, prepare, and test my in-use engines?

    (a) You may make arrangements to select representative test engines 
from your own fleet or from other independent sources.
    (b) For the selected engine families, select engines that you or 
your customers have--
    (1) Operated for at least 50 percent of the engine family's useful 
life (see Sec. 1048.101(d));
    (2) Not maintained or used in an abnormal way; and
    (3) Documented in terms of total hours of operation, maintenance, 
operating conditions, and storage.
    (c) Use the following methods to determine the number of engines you 
must test in each engine family:
    (1) Test at least two engines if you produce 2,000 or fewer engines 
in the model year from all engine families, or if you produce 500 or 
fewer engines from the selected engine family. Otherwise, test at least 
four engines.
    (2) If you successfully complete an in-use test program on an engine 
family and later certify an equivalent engine family with carryover 
emission data, as described in Sec. 1048.235(c), then test at least one 
engine instead of the testing rates in paragraph (c)(1) of this section.
    (3) If you test the minimum required number of engines and all 
comply fully with emission standards, you may stop testing.
    (4) For each engine that fails any applicable standard, test two 
more. Regardless of measured emission levels, you do not have to test 
more than ten engines in an engine family. You may do more tests than we 
require.
    (5) You may concede that the engine family does not comply before 
testing a total of ten engines.
    (d) You may do minimal maintenance to set components of a test 
engine to specifications for anything we do not consider an adjustable 
parameter (see Sec. 1048.205(p)). Limit maintenance to what is in the 
owner's instructions for engines with that amount of service and age. 
Document all maintenance and adjustments.
    (e) You may do repeat measurements with a test engine; however, you 
must conduct the same number of tests on each engine.
    (f) For a test program on an engine family, choose one of the 
following methods to test your engines:
    (1) Remove the selected engines for testing in a laboratory. Use the 
applicable steady-state and transient procedures in subpart F of this 
part to show compliance with the duty-cycle standards in Sec. 
1048.101(a) and (b). We may direct you to measure emissions on the 
dynamometer using the supplemental test procedures in Sec. 1048.515 to 
show compliance with the field-testing standards in Sec. 1048.101(c).
    (2) Test the selected engines while they remain installed in the 
equipment. Use the field testing procedures in subpart F of this part. 
Measure emissions during normal operation of the equipment to show 
compliance with the field-testing standards in Sec. 1048.101(c). We may 
direct you to include specific areas of normal operation.
    (g) You may ask us to waive parts of the prescribed test procedures 
if they are not necessary to determine in-use compliance.

[[Page 360]]

    (h) Calculate the average emission levels for an engine family from 
the results for the set of tested engines. Round them to the number of 
decimal places in the emission standards expressed to one more decimal 
place.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59239, Oct. 8, 2008]



Sec. 1048.415  What happens if in-use engines do not meet requirements?

    (a) Determine the reason each in-use engine exceeds the emission 
standards.
    (b) If the average emission levels calculated in Sec. 1048.410(h) 
exceed any of the emission standards that apply, notify us within 
fifteen days of completing testing on this family. Otherwise follow the 
reporting instructions in Sec. 1048.420.
    (c) We will consider failure rates, average emission levels, and any 
defects--among other things--to decide on taking remedial action under 
this subpart (see 40 CFR 1068.505). We may consider the results from any 
voluntary additional testing you perform. We may also consider 
information related to testing from other engine families showing that 
you designed them to exceed the minimum requirements for controlling 
emissions. We may order a recall before or after you complete testing of 
an engine family if we determine a substantial number of engines do not 
conform to section 213 of the Act or to this part. The scope of the 
recall may include other engine families in the same or different model 
years if the cause of the problem identified in paragraph (a) of this 
section applies more broadly than the tested engine family, as allowed 
by the Act.
    (d) If in-use testing reveals a design or manufacturing defect that 
prevents engines from meeting the requirements of this part, you must 
correct the defect as soon as possible for any future production for 
engines in every family affected by the defect. See 40 CFR 1068.501 for 
additional requirements related to defect reporting.
    (e) You may voluntarily recall an engine family for emission 
failures, as described in 40 CFR 1068.535, unless we have ordered a 
recall for that family under 40 CFR 1068.505.
    (f) You have the right to a hearing before we order you to recall 
your engines or implement an alternative remedy (see Sec. 1048.820).

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59239, Oct. 8, 2008]



Sec. 1048.420  What in-use testing information must I report to EPA?

    (a) In a report to us within three months after you finish testing 
an engine family, do all the following:
    (1) Identify the engine family, model, serial number, and date of 
manufacture.
    (2) For each engine inspected or considered for testing, identify 
whether the diagnostic system was functioning.
    (3) Describe the specific reasons for disqualifying any engines for 
not being properly maintained or used.
    (4) For each engine selected for testing, include the following 
information:
    (i) Estimate the hours each engine was used before testing.
    (ii) Describe all maintenance, adjustments, modifications, and 
repairs to each test engine.
    (5) State the date and time of each test attempt.
    (6) Include the results of all emission testing, including 
incomplete or invalidated tests, if any.
    (b) Send electronic reports of in-use testing to the Designated 
Compliance Officer using an approved information format. If you want to 
use a different format, send us a written request with justification for 
a waiver.
    (c) We will send copies of your reports to anyone from the public 
who asks for them. See Sec. 1048.815 for information on how we treat 
information you consider confidential.
    (d) We may ask for more information.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005]



Sec. 1048.425  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.
    (b) Keep paper records of your in-use testing for one full year 
after you complete all the testing required for an engine family in a 
model year. You may use any additional storage formats or media if you 
like.
    (c) Keep a copy of the written reports described in Sec. 1048.420.

[[Page 361]]

    (d) Keep any additional records related to the procurement process.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005]



                        Subpart F_Test Procedures



Sec. 1048.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for spark-ignition engines in 
40 CFR part 1065 to determine whether engines meet the duty-cycle 
emission standards in Sec. 1048.101(a) and (b). Measure the emissions 
of all the pollutants we regulate in Sec. 1048.101 using the sampling 
procedures specified in 40 CFR part 1065. Measure CO2, 
N2O, and CH4 as described in Sec. 1048.235. Use 
the applicable duty cycles specified in Sec. Sec. 1048.505 and 
1048.510.
    (b) Section 1048.515 describes the supplemental procedures for 
evaluating whether engines meet the field-testing emission standards in 
Sec. 1048.101(c).
    (c) Use the fuels and lubricants specified in 40 CFR part 1065, 
subpart H, to perform valid tests for all the testing we require in this 
part, except as noted in Sec. 1048.515. For service accumulation, use 
the test fuel or any commercially available fuel that is representative 
of the fuel that in-use engines will use.
    (d) In place of the provisions of 40 CFR 1065.405, you may consider 
emission levels stable without measurement after 50 hours of engine 
operation.
    (e) To test engines for evaporative emissions, use the equipment and 
procedures specified for testing diurnal emissions as described in 40 
CFR 1060.525, subject to the following provisions:
    (1) Precondition nonmetal fuel tanks as specified in 40 CFR 
1060.520(a) and (b).
    (2) For engines equipped with carbon canisters that store fuel 
vapors that will be purged for combustion in the engine, precondition 
the canister as specified in 40 CFR 86.132-96(h) and then operate the 
engine for 60 minutes over repeat runs of the duty cycle specified in 
Appendix I of this part.
    (3) Start the diurnal emission test after the engine is stabilized 
at room temperatures, but within 36 hours after the engine operation 
specified in paragraph (e)(2) of this section.
    (4) You may not separately measure permeation emissions from 
nonmetal fuel tanks for subtracting from the diurnal emission 
measurement.
    (5) Note that you may omit testing for evaporative emissions during 
certification if you certify by design, as specified in Sec. 1048.245.
    (f) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (g) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.

[70 FR 40476, July 13, 2005, as amended at 73 FR 59239, Oct. 8, 2008; 74 
FR 56510, Oct. 30, 2009]



Sec. 1048.505  How do I test engines using steady-state duty cycles, including ramped-modal testing?

    This section describes how to test engines under steady-state 
conditions. In some cases, we allow you to choose the appropriate 
steady-state duty cycle for an engine. In these cases, you must use the 
duty cycle you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will use the duty cycles 
you select for your own testing. We may also perform other testing as 
allowed by the Clean Air Act.
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. Calculate cycle 
statistics and compare with the established criteria as specified in 40 
CFR 1065.514 to confirm that the test is valid. Operate the engine and 
sampling system as follows:
    (i) Engines with lean NOX aftertreatment. For lean-burn engines that 
depend on aftertreatment to meet the NOX emission standard, 
operate the engine for 5-6 minutes, then sample

[[Page 362]]

emissions for 1-3 minutes in each mode.
    (ii) Engines without lean NOX aftertreatment. For other engines, 
operate the engine for at least 5 minutes, then sample emissions for at 
least 1 minute in each mode.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing as specified in 40 CFR part 1065, subpart G.
    (b) Measure emissions by testing the engine on a dynamometer with 
one or more of the following sets of duty cycles to determine whether it 
meets the steady-state emission standards in Sec. 1048.101(b):
    (1) For engines from an engine family that will be used only in 
variable-speed applications, use one of the following duty cycles:
    (i) The following duty cycle applies for discrete-mode testing:

                                           Table 1 of Sec.  1048.505
----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
                  C2 mode No.                           Engine speed \1\           (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1.............................................  Maximum test speed..............              25            0.06
2.............................................  Intermediate test...............             100            0.02
3.............................................  Intermediate test...............              75            0.05
4.............................................  Intermediate test...............              50            0.32
5.............................................  Intermediate test...............              25            0.30
6.............................................  Intermediate test...............              10            0.10
7.............................................  Warm idle.......................               0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

    (ii) The following duty cycle applies for ramped-modal testing:

                                           Table 2 of Sec.  1048.505
----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)      Engine speed \1,2\          Torque  (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................             119  Warm idle.............  0
1b Transition......................              20  Linear transition.....  Linear transition.
2a Steady-state....................              29  Intermediate speed....  100
2b Transition......................              20  Intermediate speed....  Linear transition.
3a Steady-state....................             150  Intermediate speed....  10
3b Transition......................              20  Intermediate speed....  Linear transition.
4a Steady-state....................              80  Intermediate speed....  75
4b Transition......................              20  Intermediate speed....  Linear transition.
5a Steady-state....................             513  Intermediate speed....  25
5b Transition......................              20  Intermediate speed....  Linear transition.
6a Steady-state....................             549  Intermediate speed....  50
6b Transition......................              20  Linear transition.....  Linear transition.
7a Steady-state....................              96  Maximum test speed....  25
7b Transition......................              20  Linear transition.....  Linear transition.
8 Steady-state.....................             124  Warm idle.............  0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.

    (2) For engines from an engine family that will be used only at a 
single, rated speed, use the 5-mode duty cycle or the corresponding 
ramped-modal cycle described in 40 CFR part 1039, Appendix II, paragraph 
(a).
    (3) Use a duty cycle from both paragraphs (b)(1) and (b)(2) of this 
section if you will not restrict an engine family to constant-speed or 
variable-speed applications.
    (4) Use a duty cycle specified in paragraph (b)(2) of this section 
for all severe-duty engines.
    (5) For high-load engines, use one of the following duty cycles:

[[Page 363]]

    (i) The following duty cycle applies for discrete-mode testing:

                                           Table 3 of Sec.  1048.505
----------------------------------------------------------------------------------------------------------------
                                                                 Torque        Minimum time in      Weighting
           Mode No.                   Engine  speed           (percent) \1\    mode (minutes)        factors
----------------------------------------------------------------------------------------------------------------
1............................  Maximum test speed.........               100               3.0              0.50
2............................  Maximum test speed.........                75               3.0              0.50
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test speed.

    (ii) The following duty cycle applies for discrete-mode testing:

                                           Table 4 of Sec.  1048.505
----------------------------------------------------------------------------------------------------------------
                                      Time in mode        Engine speed
             RMC modes                  (seconds)           (percent)             Torque  (percent) \1,\ \2\
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................             290  Engine governed.......  100
1b Transition......................              20  Engine governed.......  Linear transition.
2 Steady-state.....................             290  Engine governed.......  75
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.

    (c) If we test an engine to confirm that it meets the duty-cycle 
emission standards, we will use the steady-state duty cycles that apply 
for that engine family.
    (d) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR 1065.510.
    (e) For full-load operating modes, operate the engine at wide-open 
throttle.
    (f) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (g) For those cases where steady-state testing does not directly 
follow a transient test, perform the steady-state test according to this 
section after an appropriate warm-up period, consistent with 40 CFR part 
1065, subpart F.

[73 FR 59239, Oct 8, 2008, as amended at 75 FR 23022, Apr. 30, 2010]



Sec. 1048.510  What transient duty cycles apply for laboratory testing?

    (a) Starting with the 2007 model year, measure emissions by testing 
the engine on a dynamometer with the duty cycle described in Appendix II 
to determine whether it meets the transient emission standards in Sec. 
1048.101(a).
    (b) Calculate cycle statistics and compare with the established 
criteria as specified in 40 CFR 1065.514 to confirm that the test is 
valid.
    (c) Warm up the test engine as follows before running a transient 
test:
    (1) Operate the engine for the first 180 seconds of the appropriate 
duty cycle, then allow it to idle without load for 30 seconds. At the 
end of the 30-second idling period, start measuring emissions as the 
engine operates over the prescribed duty cycle. For severe-duty engines, 
this engine warm-up procedure may include up to 15 minutes of operation 
over the appropriate duty cycle.
    (2) If the engine was already operating before a test, use good 
engineering judgment to let the engine cool down enough so measured 
emissions during the next test will accurately represent those from an 
engine starting at room temperature. For example, if an engine starting 
at room temperature warms up enough in three minutes to start closed-
loop operation and achieve full catalyst activity, then minimal engine 
cooling is necessary before starting the next test.
    (3) You are not required to measure emissions while the engine is 
warming up. However, you must design your emission-control system to 
start working as soon as possible after engine

[[Page 364]]

starting. In your application for certification, describe how your 
engine meets this objective (see Sec. 1048.205(b)).

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40478, July 13, 2005; 73 
FR 59241, Oct. 8, 2008; 75 FR 23023, Apr. 30, 2010]



Sec. 1048.515  What are the field-testing procedures?

    (a) This section describes the procedures to determine whether your 
engines meet the field-testing emission standards in Sec. 1048.101(c). 
These procedures may include any normal engine operation and ambient 
conditions that the engines may experience in use. Paragraph (b) of this 
section defines the limits of what we will consider normal engine 
operation and ambient conditions. Use the test procedures we specify in 
Sec. 1048.501, except for the provisions we specify in this section. 
Measure emissions with one of the following procedures:
    (1) Remove the selected engines for testing in a laboratory. You may 
use an engine dynamometer to simulate normal operation, as described in 
this section.
    (2) Test the selected engines while they remain installed in the 
equipment. In 40 CFR part 1065, subpart J, we describe the equipment and 
sampling methods for testing engines in the field. Use fuel meeting the 
specifications of 40 CFR part 1065, subpart H, or a fuel typical of what 
you would expect the engine to use in service.
    (b) An engine's emissions may not exceed the levels we specify in 
Sec. 1048.101(c) for any continuous sampling period of at least 120 
seconds under the following ranges of operation and operating 
conditions:
    (1) Engine operation during the emission sampling period may include 
any normal operation, subject to the following restrictions:
    (i) Average power must be at least 5 percent of maximum brake power.
    (ii) Continuous time at idle must not be greater than 120 seconds.
    (iii) The sampling period may not begin until the engine has reached 
stable operating temperatures. For example, this would exclude engine 
operation after starting until the thermostat starts modulating coolant 
temperature.
    (iv) The sampling period may not include engine starting.
    (v) For engines that qualify for the alternate Tier 2 emission 
standards in Sec. 1048.101(d), operation at 90 percent or more of 
maximum power must be less than 10 percent of the total sampling time. 
You may request our approval for a different power threshold.
    (2) Engine testing may occur under any normal conditions without 
correcting measured emission levels, subject to the following 
restrictions:
    (i) Barometric pressure must be between 80.0 and 103.3 kPa (600 and 
775 mm Hg).
    (ii) Ambient air temperature must be between 13[deg] and 35 [deg]C.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40478, July 13, 2005; 73 
FR 59241, Oct. 8, 2008]



                     Subpart G_Compliance Provisions



Sec. 1048.601  What compliance provisions apply to these engines?

    (a) Engine and equipment manufacturers, as well as owners, 
operators, and rebuilders of engines subject to the requirements of this 
part, and all other persons, must observe the provisions of this part, 
the requirements and prohibitions in 40 CFR part 1068, and the 
provisions of the Act.
    (b) This paragraph (b) describes how the replacement-engine 
provisions of 40 CFR 1068.240 apply for engines subject to the 
requirements of this part in conjunction with the secondary engine 
manufacturer provisions in 40 CFR 1068.262. For cases in which the 
secondary engine manufacturer completes assembly of the engine, these 
provisions apply as written. If the secondary engine manufacturer 
arranges for a third party to complete engine assembly, the following 
additional provisions apply:
    (1) The ultimate purchaser must purchase (or otherwise order) the 
replacement engine from the secondary engine manufacturer. The secondary 
engine manufacturer must provide assembly instructions to the engine 
assembler (unless the engine being replaced was not subject to emission 
standards). The secondary engine manufacturer may

[[Page 365]]

arrange for the original engine manufacturer to ship the engine directly 
to the engine assembler. However, if the secondary engine manufacturer 
does not take possession of the engine, it must supply the engine label 
specified in 40 CFR 1068.240 to the engine assembler and the engine 
assembler must apply the label before shipping the engine.
    (2) The secondary engine manufacturer and engine assembler are both 
responsible if the engine is installed in new equipment or otherwise 
violates the circumvention provisions of 40 CFR 1068.240.
    (3) Consider the following example. A secondary engine manufacturer 
receiving a valid request for a replacement engine for which it does not 
already have an engine available in inventory may order a partially 
complete engine from an original engine manufacturer and have it shipped 
directly to an independent engine assembler. In this case, the secondary 
engine manufacturer must state in its order that the partially complete 
engine should be labeled as being exempt under 40 CFR 1068.240 and 
identify the engine assembler's address; the secondary engine 
manufacture must also provide instructions to the engine assembler. The 
original engine manufacturer would label the engine as described in 40 
CFR 1068.262, identifying the replacement-engine exemption as the basis 
for shipping an uncertified engine, and ship the engine directly to the 
assembler. The engine assembler would complete the assembly by applying 
the label and otherwise following the instructions provided by the 
secondary engine manufacturer.

[73 FR 59241, Oct. 8, 2008]



Sec. 1048.605  What provisions apply to engines certified under the motor vehicle program?

    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce new nonroad engines into commerce if 
they are already certified to the requirements that apply to engines 
under 40 CFR parts 85 and 86 for the appropriate model year. If you 
comply with all the provisions of this section, we consider the 
certificate issued under 40 CFR part 86 for each engine to also be a 
valid certificate of conformity under this part 1048 for its model year, 
without a separate application for certification under the requirements 
of this part 1048. See Sec. 1048.610 for similar provisions that apply 
to engines certified to chassis-based standards for motor vehicles.
    (b) Equipment-manufacturer provisions. If you are not an engine 
manufacturer, you may produce nonroad equipment using motor-vehicle 
engines under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. If you modify the 
motor-vehicle engine in any of the ways described in paragraph (d)(2) of 
this section, we will consider you a manufacturer of a new nonroad 
engine. Such engine modifications prevent you from using the provisions 
of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR parts 
85 and 86. This applies to engine manufacturers, equipment manufacturers 
who use these engines, and all other persons as if these engines were 
used in a motor vehicle. The prohibited acts of 40 CFR 1068.101(a)(1) 
apply to these new engines and equipment; however, we consider the 
certificate issued under 40 CFR part 86 for each engine to also be a 
valid certificate of conformity under this part 1048 for its model year. 
If we make a determination that these engines do not conform to the 
regulations during their useful life, we may require you to recall them 
under 40 CFR part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are an engine manufacturer or 
equipment manufacturer and meet all the following criteria and 
requirements regarding your new nonroad engine, the engine is eligible 
for an exemption under this section:
    (1) Your engine must be covered by a valid certificate of conformity 
issued under 40 CFR part 86.

[[Page 366]]

    (2) You must not make any changes to the certified engine that could 
reasonably be expected to increase its exhaust emissions for any 
pollutant, or its evaporative emissions. For example, if you make any of 
the following changes to one of these engines, you do not qualify for 
this exemption:
    (i) Change any fuel system or evaporative system parameters from the 
certified configuration (this does not apply to refueling controls).
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original engine 
manufacturer's specified ranges.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in nonroad applications. This 
includes engines used in any application without regard to which company 
manufactures the vehicle or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (4) You must ensure that the engine has the label we require under 
40 CFR part 86.
    (5) You must add a permanent supplemental label to the engine in a 
position where it will remain clearly visible after installation in the 
equipment. In the supplemental label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON 
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE 
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF 
FEDERAL LAW.''.
    (iv) State the date you finished modifying the engine (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible 
after the engine is installed in the equipment or, if the equipment 
obscures the engine's emission control information label, the equipment 
manufacturer must attach duplicate labels, as described in 40 CFR 
1068.105.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine or equipment models you expect to produce under 
this exemption in the coming year and describe your basis for meeting 
the sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produce each listed [engine or equipment] model 
for nonroad application without making any changes that could increase 
its certified emission levels, as described in 40 CFR 1048.605.''.
    (e) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1048 and the 
certificate issued under 40 CFR part 86 will not be deemed to also be a 
certificate issued under this part 1048. Introducing these engines into 
commerce without a valid exemption or certificate of conformity under 
this part violates the prohibitions in 40 CFR 1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Engines adapted 
for nonroad use under this section may generate credits under the ABT 
provisions in 40 CFR part 86. These engines must use emission credits 
under 40

[[Page 367]]

CFR part 86 if they are certified to an FEL that exceeds an applicable 
standard under 40 CFR part 86.

[70 FR 40479, July 13, 2005, as amended at 73 FR 59241, Oct. 8, 2008]



Sec. 1048.610  What provisions apply to vehicles certified under the motor vehicle program?

    (a) General provisions. If you are a motor-vehicle manufacturer, 
this section allows you to introduce new nonroad engines or equipment 
into commerce if the vehicle is already certified to the requirements 
that apply under 40 CFR parts 85 and 86 for the appropriate model year. 
If you comply with all of the provisions of this section, we consider 
the certificate issued under 40 CFR part 86 for each motor vehicle to 
also be a valid certificate of conformity for the engine under this part 
1048 for its model year, without a separate application for 
certification under the requirements of this part 1048. See Sec. 
1048.605 or similar provisions that apply to motor-vehicle engines 
produced for nonroad equipment. The provisions of this section do not 
apply to engines certified to meet the requirements for highway 
motorcycles.
    (b) Equipment-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce nonroad equipment from motor 
vehicles under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. If you modify the 
motor vehicle or its engine in any of the ways described in paragraph 
(d)(2) of this section, we will consider you a manufacturer of a new 
nonroad engine. Such modifications prevent you from using the provisions 
of this section.
    (c) Liability. Engines, vehicles, and equipment for which you meet 
the requirements of this section are exempt from all the requirements 
and prohibitions of this part, except for those specified in this 
section. Engines exempted under this section must meet all the 
applicable requirements from 40 CFR parts 85 and 86. This applies to 
engine manufacturers, equipment manufacturers, and all other persons as 
if the nonroad equipment were motor vehicles. The prohibited acts of 40 
CFR 1068.101(a)(1) apply to these new pieces of equipment; however, we 
consider the certificate issued under 40 CFR part 86 for each motor 
vehicle to also be a valid certificate of conformity for the engine 
under this part 1048 for its model year. If we make a determination that 
these engines, vehicles, or equipment do not conform to the regulations 
during their useful life, we may require you to recall them under 40 CFR 
part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are a motor-vehicle manufacturer 
and meet all the following criteria and requirements regarding your new 
nonroad equipment and its engine, the engine is eligible for an 
exemption under this section:
    (1) Your equipment must be covered by a valid certificate of 
conformity as a motor vehicle issued under 40 CFR part 86.
    (2) You must not make any changes to the certified vehicle that we 
could reasonably expect to increase its exhaust emissions for any 
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following 
changes, you do not qualify for this exemption:
    (i) Change any fuel system or evaporative system parameters from the 
certified configuration, including refueling emission controls.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the vehicle 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original vehicle 
manufacturer's specified ranges.
    (iv) Add more than 500 pounds to the curb weight of the originally 
certified motor vehicle.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in nonroad applications. This 
includes any type of vehicle, without regard to which company completes 
the manufacturing of the nonroad equipment. Show this as follows:

[[Page 368]]

    (i) If you are the original manufacturer of the vehicle, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the vehicle to confirm this based on their sales information.
    (4) The equipment must have the vehicle emission control information 
and fuel labels we require under 40 CFR 86.007-35.
    (5) You must add a permanent supplemental label to the equipment in 
a position where it will remain clearly visible. In the supplemental 
label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS VEHICLE WAS ADAPTED FOR NONROAD USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON 
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE 
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF 
FEDERAL LAW.''.
    (iv) State the date you finished modifying the vehicle (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible in 
the fully assembled equipment.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the equipment models you expect to produce under this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(3) of this section.
    (ii) List the equipment models you expect to produce under this 
exemption in the coming year.
    (iii) State: ``We produced each listed engine or equipment model for 
nonroad application without making any changes that could increase its 
certified emission levels, as described in 40 CFR 1048.610.''.
    (e) Failure to comply. If your engines, vehicles, or equipment do 
not meet the criteria listed in paragraph (d) of this section, the 
engines will be subject to the standards, requirements, and prohibitions 
of this part 1048, and the certificate issued under 40 CFR part 86 will 
not be deemed to also be a certificate issued under this part 1048. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity under this part violates the prohibitions in 
40 CFR 1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Vehicles 
adapted for nonroad use under this section may generate credits under 
the ABT provisions in 40 CFR part 86. These vehicles must be included in 
the calculation of the applicable fleet average in 40 CFR part 86.

[70 FR 40480, July 13, 2005, as amended at 73 FR 59241, Oct. 8, 2008]



Sec. 1048.612  What is the exemption for delegated final assembly?

    The provisions of 40 CFR 1068.261 related to delegated final 
assembly apply for engines certified under this part 1048, with the 
following exceptions and clarifications:
    (a) The provisions related to reduced auditing rates in 40 CFR 
1068.261(d)(3)(iii) apply starting with the 2014 model year.
    (b) [Reserved]

[73 FR 59242, Oct. 8, 2008]



Sec. 1048.615  What are the provisions for exempting engines designed for lawn and garden applications?

    This section is intended for engines designed for lawn and garden 
applications, but it applies to any engines meeting the criteria in 
paragraph (a) of this section.
    (a) If an engine meets all the following criteria, it is exempt from 
the requirements of this part:
    (1) The engine must have a nominal displacement of 1000 cc or less.
    (2) The engine must have a maximum engine power at or below 30 kW.

[[Page 369]]

    (3) The engine must be in an engine family that has a valid 
certificate of conformity showing that it meets emission standards for 
Class II engines under 40 CFR part 90 or 1054 for the appropriate model 
year.
    (b) The only requirements or prohibitions from this part that apply 
to an engine that meets the criteria in paragraph (a) of this section 
are in this section.
    (c) If your engines do not meet the criteria listed in paragraph (a) 
of this section, they will be subject to the provisions of this part. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity violates the prohibitions in 40 CFR 1068.101.
    (d) Engines exempted under this section are subject to all the 
requirements affecting engines under 40 CFR part 90 or 1054. The 
requirements and restrictions of 40 CFR part 90 or 1054 apply to anyone 
manufacturing these engines, anyone manufacturing equipment that uses 
these engines, and all other persons in the same manner as if these 
engines had a total maximum engine power at or below 19 kW.

[73 FR 59242, Oct. 8, 2008]



Sec. 1048.620  What are the provisions for exempting large engines fueled

by natural gas or liquefied petroleum gas?

    (a) If an engine meets all the following criteria, it is exempt from 
the requirements of this part:
    (1) The engine must operate solely on natural gas or liquefied 
petroleum gas.
    (2) The engine must have maximum engine power at or above 250 kW.
    (3) The engine must be in an engine family that has a valid 
certificate of conformity showing that it meets emission standards for 
engines of that power rating under 40 CFR part 89 or 1039.
    (b) The only requirements or prohibitions from this part that apply 
to an engine that is exempt under this section are in this section.
    (c) If your engines do not meet the criteria listed in paragraph (a) 
of this section, they will be subject to the provisions of this part. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity violates the prohibitions in 40 CFR 1068.101.
    (d) Engines exempted under this section are subject to all the 
requirements affecting engines under 40 CFR part 89 or 1039. The 
requirements and restrictions of 40 CFR part 89 or 1039 apply to anyone 
manufacturing these engines, anyone manufacturing equipment that uses 
these engines, and all other persons in the same manner as if these were 
nonroad diesel engines.
    (e) You may request an exemption under this section by submitting an 
application for certification for the engines under 40 CFR part 89 or 
1039.

[70 FR 40481, July 13, 2005]



Sec. 1048.625  What special provisions apply to engines using noncommercial fuels?

    In Sec. 1048.115(e), we generally require that engines meet 
emission standards for any adjustment within the full range of any 
adjustable parameters. For engines that use noncommercial fuels 
significantly different than the specified test fuel of the same type, 
you may ask to use the parameter-adjustment provisions of this section 
instead of those in Sec. 1048.115(e). Engines certified under this 
section must be in a separate engine family.
    (a) If we approve your request, the following provisions apply:
    (1) You must certify the engine using the test fuel specified in 
Sec. 1048.501.
    (2) You may produce the engine without limits or stops that keep the 
engine adjusted within the certified range.
    (3) You must specify in-use adjustments different than the 
adjustable settings appropriate for the specified test fuel, consistent 
with the provisions of paragraph (b)(1) of this section.
    (b) To produce engines under this section, you must do the 
following:
    (1) Specify in-use adjustments needed so the engine's level of 
emission control for each regulated pollutant is equivalent to that from 
the certified configuration.
    (2) Add the following information to the emission control 
information label specified in Sec. 1048.135:
    (i) Include instructions describing how to adjust the engine to 
operate in

[[Page 370]]

a way that maintains the effectiveness of the emission-control system.
    (ii) State: ``THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS 
USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF 
FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
    (3) Keep records to document the destinations and quantities of 
engines produced under this section.

[70 FR 40481, July 13, 2005]



Sec. 1048.630  What are the provisions for exempting engines used solely for competition?

    We may grant you an exemption from the standards and requirements of 
this part for a new engine on the grounds that it is to be used solely 
for competition under the provisions of 40 CFR 1054.620. The 
requirements of this part do not apply to engines that we exempt for use 
solely for competition.

[73 FR 59242, Oct. 8, 2008]



Sec. 1048.635  What special provisions apply to branded engines?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec. 1048.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec. 
1048.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.

[70 FR 40481, July 13, 2005, as amended at 73 FR 59242, Oct. 8, 2008]



Sec. 1048.640  What special provisions apply for small-volume engine manufacturers?

    This section describes how we apply the special provisions in this 
part for small-volume engine manufacturers.
    (a) Special provisions apply for small-volume engine manufacturers, 
as illustrated by the following examples:
    (1) Waived requirements related to torque broadcasting. See Sec. 
1048.115.
    (2) Assigned deterioration factors to reduce testing burden. See 
Sec. 1048.240.
    (3) Additional special provisions apply for small-volume engine and 
equipment manufacturers under 40 CFR part 1068. For example, see 40 CFR 
1068.250.
    (b) If you use any of the provisions of this part that apply 
specifically to small-volume engine manufacturers and we find that you 
do not qualify to use these provisions, we may consider you to be in 
violation of the requirements that apply for companies that are not 
small-volume engine manufacturers. If you no longer qualify as a small-
volume engine manufacturer (based on increased production volumes or 
other factors), we will work with you to determine a reasonable schedule 
for complying with additional requirements that apply. For example, if 
you no longer qualify as a small-volume engine manufacturer shortly 
before you certify your engines for the next model year, we might allow 
you to use assigned deterioration factors for one more model year.

[73 FR 59242, Oct. 8, 2008]

Subpart H [Reserved]



          Subpart I_Definitions and Other Reference Information



Sec. 1048.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that

[[Page 371]]

someone can adjust (including those which are difficult to access) and 
that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to access if it 
cannot be adjusted to affect emissions without significantly degrading 
engine performance, or if you otherwise show us that it will not be 
adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR), turbochargers, and oxygen 
sensors are not aftertreatment.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Alcohol-fueled engine means an engine that is designed to run using 
an alcohol fuel. For purposes of this definition, alcohol fuels do not 
include fuels with a nominal alcohol content below 25 percent by volume.
    All-terrain vehicle has the meaning given in 40 CFR 1051.801.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Auxiliary emission-control device means any element of design that 
senses temperature, motive speed, engine rpm, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Blue Sky Series engine means an engine meeting the requirements of 
Sec. 1048.140.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Carryover means relating to certification based on emission data 
generated from an earlier model year as described in Sec. 1048.235(d).
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient or 
steady-state testing.
    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 certified only for 
constant-speed operation. This may include engines that allow the 
operator to adjust the set point for fixing the appropriate governed 
speed. See subparts B and C of this part for specific provisions related 
to certifying engines only for constant-speed operation. Engines whose 
constant-speed governor function is removed or disabled are no longer 
constant-speed engines.
    Constant-speed operation has the meaning given in 40 CFR 1065.1001.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.

[[Page 372]]

    Date of manufacture has the meaning given in 40 CFR 1068.30.
    Days means calendar days unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1048.505.
    Emission-control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine has the meaning given in 40 CFR 1068.30. This includes 
complete and partially complete engines.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability 
or factors unrelated to emissions.
    Engine family has the meaning given in Sec. 1048.230.
    Engine manufacturer means the manufacturer of the engine. See the 
definition of ``manufacturer'' in this section.
    Equipment manufacturer means a manufacturer of nonroad equipment. 
All nonroad equipment manufacturing entities under the control of the 
same person are considered to be a single nonroad equipment 
manufacturer.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec. 1048.5, is not 
subject to this part 1048.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as gasoline or 
natural gas. There can be multiple grades within a single fuel type, 
such as winter-grade and summer-grade gasoline.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    High-cost warranted part means a component covered by the emission-
related warranty with a replacement cost (at the time of certification) 
exceeding $400 (in 1998 dollars). Adjust this value

[[Page 373]]

using the most recent annual average consumer price index information 
published by the U.S. Bureau of Labor Statistics. For this definition, 
replacement cost includes the retail cost of the part plus labor and 
standard diagnosis.
    High-load engine means an engine for which the engine manufacturer 
can provide clear evidence that operation below 75 percent of maximum 
load in its final application will be rare.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type, as described in Sec. 
1048.101(e).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Intermediate test speed has the meaning given in 40 CFR 1065.1001.
    Low-hour means relating to an engine with stabilized emissions and 
represents the undeteriorated emission level. This would generally 
involve less than 125 hours of operation.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine, 
vehicle, or piece of equipment for sale in the United States or 
otherwise introduces a new nonroad engine into commerce in the United 
States. This includes importers who import engines, equipment, or 
vehicles for resale.
    Marine engine means a nonroad engine that is installed or intended 
to be installed on a marine vessel. This includes a portable auxiliary 
engine only if its fueling, cooling, or exhaust system is an integral 
part of the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has one of the following meanings:
    (1) For engines at or below 100 kW, maximum engine power has the 
meaning given in 40 CFR 90.3 for 2010 and earlier model years and in 40 
CFR 1054.140 for 2011 and later model years.
    (2) For engines above 100 kW, maximum engine power has the meaning 
given in 40 CFR 1039.140.
    Maximum test speed has one of the following meanings:
    (1) For variable-speed engines, maximum test speed has the meaning 
given in 40 CFR 1065.1001.
    (2) For transient testing of constant-speed engines, maximum test 
speed means the highest speed at which the engine produces zero torque.
    (3) For steady-state testing of constant-speed engines, maximum test 
speed means the speed at which the engine produces peak torque.
    Maximum test torque has the meaning given in 40 CFR 1065.1001.
    Model year means one of the following things:
    (1) For freshly manufactured equipment and engines (see definition 
of ``new nonroad engine,'' paragraph (1)), model year means one of the 
following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year.
    This must include January 1 of the calendar year for which the model 
year is named. It may not begin before January 2 of the previous 
calendar year and it must end by December 31 of the named calendar year.
    (2) For an engine that is converted to a nonroad engine after being 
placed into service as a stationary engine, or being certified and 
placed into service as a motor vehicle engine, model year means the 
calendar year in which the engine was originally produced. For a motor 
vehicle engine that is converted to be a nonroad engine without having 
been certified, model year means the calendar year in which the engine 
becomes a new nonroad engine. (See definition of ``new nonroad engine,'' 
paragraph (2)).
    (3) For a nonroad engine excluded under Sec. 1048.5 that is later 
converted to operate in an application that is not

[[Page 374]]

excluded, model year means the calendar year in which the engine was 
originally produced (see definition of ``new nonroad engine,'' paragraph 
(3)).
    (4) For engines that are not freshly manufactured but are installed 
in new nonroad equipment, model year means the calendar year in which 
the engine is installed in the new nonroad equipment (see definition of 
``new nonroad engine,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new nonroad engine,'' model year has the meaning given 
in paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of ``new nonroad engine,'' model year means the calendar year 
in which the engine is modified.
    (iii) For imported engines described in paragraph (5)(iii) of the 
definition of ``new nonroad engine,'' model year means the calendar year 
in which the engine is assembled in its imported configuration, unless 
specified otherwise in this part or in 40 CFR part 1068.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New nonroad engine means any of the following things:
    (1) A freshly manufactured nonroad engine for which the ultimate 
purchaser has never received the equitable or legal title. This kind of 
engine might commonly be thought of as ``brand new.'' In the case of 
this paragraph (1), the engine is new from the time it is produced until 
the ultimate purchaser receives the title or the product is placed into 
service, whichever comes first.
    (2) An engine originally manufactured as a motor vehicle engine or a 
stationary engine that is later used or intended to be used in a piece 
of nonroad equipment. In this case, the engine is no longer a motor 
vehicle or stationary engine and becomes a ``new nonroad engine.'' The 
engine is no longer new when it is placed into nonroad service. This 
paragraph (2) applies if a motor vehicle engine or a stationary engine 
is installed in nonroad equipment, or if a motor vehicle or a piece of 
stationary equipment is modified (or moved) to become nonroad equipment.
    (3) A nonroad engine that has been previously placed into service in 
an application we exclude under Sec. 1048.5, when that engine is 
installed in a piece of equipment that is covered by this part 1048. The 
engine is no longer new when it is placed into nonroad service covered 
by this part 1048. For example, this would apply to a marine-propulsion 
engine that is no longer used in a marine vessel but is instead 
installed in a piece of nonroad equipment subject to the provisions of 
this part.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in new nonroad equipment. 
This generally includes installation of used engines in new equipment. 
The engine is no longer new when the ultimate purchaser receives a title 
for the equipment or the product is placed into service, whichever comes 
first.
    (5) An imported nonroad engine, subject to the following provisions:
    (i) An imported nonroad engine covered by a certificate of 
conformity issued under this part that meets the criteria of one or more 
of paragraphs (1) through (4) of this definition, where the original 
engine manufacturer holds the certificate, is new as defined by those 
applicable paragraphs.
    (ii) An imported engine covered by a certificate of conformity 
issued under this part, where someone other than the original engine 
manufacturer holds the certificate (such as when the engine is modified 
after its initial assembly), is a new nonroad engine when it is 
imported. It is no longer new when the ultimate purchaser receives a 
title for the engine or it is placed into service, whichever comes 
first.
    (iii) An imported nonroad engine that is not covered by a 
certificate of conformity issued under this part at the time of 
importation is new. This addresses uncertified engines and equipment 
initially placed into service that someone seeks to import into the 
United States. Importation of this kind of engine (or equipment 
containing such an engine) is generally prohibited by 40 CFR part 1068. 
However, the importation of such an engine is not prohibited if the 
engine has a model year

[[Page 375]]

before 2004, since it is not subject to standards.
    New nonroad equipment means either of the following things:
    (1) A nonroad piece of equipment for which the ultimate purchaser 
has never received the equitable or legal title. The product is no 
longer new when the ultimate purchaser receives this title or the 
product is placed into service, whichever comes first.
    (2) An imported nonroad piece of equipment with an engine not 
covered by a certificate of conformity issued under this part at the 
time of importation and manufactured after January 1, 2004.
    Noncommercial fuel means a combustible product that is not marketed 
as a commercial fuel, but is used as a fuel for nonroad engines. For 
example, this includes methane that is produced and released from 
landfills or oil wells, or similar unprocessed fuels that are not 
intended to meet any otherwise applicable fuel specifications. See Sec. 
1048.625 for provisions related to engines designed to burn 
noncommercial fuels.
    Noncompliant engine means an engine that was originally covered by a 
certificate of conformity, but is not in the certified configuration or 
otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate of 
conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
    Nonroad means relating to nonroad engines or equipment that includes 
nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft. This part does not apply to all nonroad engines (see Sec. 
1048.5).
    Nonroad equipment means a piece of equipment that is powered by one 
or more nonroad engines.
    Off-highway motorcycle has the meaning given in 40 CFR 1051.801. 
(Note: highway motorcycles are regulated under 40 CFR part 86.)
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor.
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale. The owners manual may be in paper or electronic format.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Piece of equipment means any vehicle, vessel, or other type of 
equipment using engines to which this part applies.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means an equipment dealership, but 
may also include an engine seller or distributor in cases where loose 
engines are sold to the general public for uses such as replacement 
engines.
    Ramped-modal means relating to the ramped-modal type of steady-state 
test described in Sec. 1048.505.
    Rated speed means the maximum full-load governed speed for governed 
engines and the speed of maximum power for ungoverned engines.
    Revoke has the meaning given in 40 CFR 1068.30.
    Round has the meaning given in 40 CFR 1065.1001, unless otherwise 
specified.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Sealed has the meaning given in 40 CFR 1060.801.
    Severe-duty application includes concrete saws, concrete pumps, and 
any

[[Page 376]]

other application where an engine manufacturer can provide clear 
evidence that the majority of installations need air-cooled engines as a 
result of operation in a severe-duty environment.
    Severe-duty engine means an engine from an engine family in which 
the majority of engines are installed in severe-duty applications.
    Small-volume engine manufacturer means a company meeting either of 
the following characteristics:
    (1) An engine manufacturer with U.S.-directed production volumes of 
engines subject to the requirements of this part totaling no more than 
2,000 units in any year. This includes engines produced by parent or 
subsidiary companies.
    (2) An engine manufacturer with fewer than 200 employees. This 
includes any employees working for parent or subsidiary companies.
    Snowmobile has the meaning given in 40 CFR 1051.801.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Steady-state has the meaning given in 40 CFR 1065.1001.
    Stoichiometric means relating to the particular ratio of air and 
fuel such that if the fuel were fully oxidized, there would be no 
remaining fuel or oxygen. For example, stoichiometric combustion in a 
gasoline-fueled engine typically occurs at an air-fuel mass ratio of 
about 14.7.
    Suspend has the meaning given in 40 CFR 1068.30.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tier 1 means relating to the emission standards and other 
requirements that apply beginning with the 2004 model year.
    Tier 2 means relating to the emission standards and other 
requirements that apply beginning with the 2007 model year.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001.
    Ultimate purchaser means, with respect to any new nonroad equipment 
or new nonroad engine, the first person who in good faith purchases such 
new nonroad equipment or new nonroad engine for purposes other than 
resale.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engine units, 
subject to the requirements of this part, produced by a manufacturer for 
which the manufacturer has a reasonable assurance that sale was or will 
be made to ultimate purchasers in the United States.
    Useful life means the period during which the engine is designed to 
properly function in terms of reliability and fuel consumption, without 
being remanufactured, specified as a number of hours of operation or 
calendar years, whichever comes first. It is the period during which a 
nonroad engine is required to comply with all applicable emission 
standards. See Sec. 1048.101(g). If an engine has no hour meter, the 
specified number of hours does not limit the period during which an in-
use engine is required to comply with emission standards unless the 
degree of service accumulation can be verified separately.
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Variable-speed operation means engine operation that does not meet 
the definition of constant-speed operation.
    Void has the meaning given in 40 CFR 1068.30.

[[Page 377]]

    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.
    Wide-open throttle means maximum throttle opening. Unless this is 
specified at a given speed, it refers to maximum throttle opening at 
maximum speed. For electronically controlled or other engines with 
multiple possible fueling rates, wide-open throttle also means the 
maximum fueling rate at maximum throttle opening under test conditions.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[70 FR 40482, July 13, 2005, as amended at 73 FR 59242, Oct. 8, 2008; 74 
FR 8426, Feb. 24, 2009; 75 FR 23023, Apr. 30, 2010]



Sec. 1048.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

[deg]C degrees Celsius.
ASTM American Society for Testing and Materials.
cc cubic centimeters.
CFR Code of Federal Regulations.
CH4 methane.
cm centimeter.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
ISO International Organization for Standardization.
kPa kilopascals.
kW kilowatts.
LPG liquefied petroleum gas.
m meters.
MIL malfunction-indicator light.
mm Hg millimeters of mercury.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
psi pounds per square inch of absolute pressure.
psig pounds per square inch of gauge pressure.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SI spark-ignition.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40485, July 13, 2005; 74 
FR 56510, Oct. 30, 2009]



Sec. 1048.810  What materials does this part reference?

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) SAE material. Table 1 of this section lists material from the 
Society of Automotive Engineers that we have incorporated by reference. 
The first column lists the number and name of the material. The second 
column lists the sections of this part where we reference it. Anyone may 
purchase copies of these materials from the Society of Automotive 
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://
www.sae.org. Table 1 follows:

                Table 1 of Sec.  1048.810--SAE Materials
 
------------------------------------------------------------------------
                                                             Part 1048
                Document number and name                     reference
------------------------------------------------------------------------
SAE J2260, Nonmetallic Fuel System Tubing with One or           1048.105
 More Layers, November 2004.............................
------------------------------------------------------------------------


[[Page 378]]

    (b) ISO material. Table 2 of this section lists material from the 
International Organization for Standardization that we have incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section of this part where we 
reference it. Anyone may purchase copies of these materials from the 
International Organization for Standardization, Case Postale 56, CH-1211 
Geneva 20, Switzerland or http://www.iso.org. Table 2 follows:

                Table 2 of Sec.  1048.810--ISO Materials
 
------------------------------------------------------------------------
                                                             Part 1048
                Document number and name                     reference
------------------------------------------------------------------------
ISO 9141-2 Road vehicles--Diagnostic systems--Part 2:           1048.110
 CARB requirements for interchange of digital
 information, February 1994.............................
ISO 14230-4 Road vehicles--Diagnostic systems--Keyword          1048.110
 Protocol 2000--Part 4: Requirements for emission-
 related systems, June 2000.............................
------------------------------------------------------------------------


[73 FR 59244, Oct. 8, 2008]



Sec. 1048.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.

[70 FR 40486, July 13, 2005]



Sec. 1048.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.

[70 FR 40486, July 13, 2005]



Sec. 1048.825  What reporting and recordkeeping requirements apply under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines and 
equipment regulated under this part:
    (a) We specify the following requirements related to engine 
certification in this part 1048:
    (1) In Sec. 1048.20 we require manufacturers of stationary engines 
to label their engines in certain cases.
    (2) In Sec. 1048.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to equipment 
manufacturers.
    (3) In Sec. 1048.145 we include various reporting and recordkeeping 
requirements related to interim provisions.
    (4) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (5) In Sec. Sec. 1048.345 and 1048.350 we specify certain records 
related to production-line testing.
    (6) In Sec. Sec. 1048.420 and 1048.425 we specify certain records 
related to in-use testing.

[[Page 379]]

    (7) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions.
    (b) [Reserved]
    (c) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines using portable analyzers.
    (d) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require equipment manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.

[73 FR 59245, Oct. 8, 2008]



                 Sec. Appendix I to Part 1048 [Reserved]



   Sec. Appendix II to Part 1048--Large Spark-ignition (SI) Composite 
                             Transient Cycle

    The following table shows the transient duty-cycle for engines that 
are not constant-speed engines, as described in Sec. 1048.510:

------------------------------------------------------------------------
                                               Normalized    Normalized
                   Time(s)                        speed        torque
                                                (percent)     (percent)
------------------------------------------------------------------------
0...........................................        0             0
1...........................................        0             0
2...........................................        0             0
3...........................................        0             0
4...........................................        0             0
5...........................................        0             0
6...........................................        0             0
7...........................................        0             0
8...........................................        0             0
9...........................................        1             8
10..........................................        6            54
11..........................................        8            61
12..........................................       34            59
13..........................................       22            46
14..........................................        5            51
15..........................................       18            51
16..........................................       31            50
17..........................................       30            56
18..........................................       31            49
19..........................................       25            66
20..........................................       58            55
21..........................................       43            31
22..........................................       16            45
23..........................................       24            38
24..........................................       24            27
25..........................................       30            33
26..........................................       45            65
27..........................................       50            49
28..........................................       23            42
29..........................................       13            42
30..........................................        9            45
31..........................................       23            30
32..........................................       37            45
33..........................................       44            50
34..........................................       49            52
35..........................................       55            49
36..........................................       61            46
37..........................................       66            38
38..........................................       42            33
39..........................................       17            41
40..........................................       17            37
41..........................................        7            50
42..........................................       20            32
43..........................................        5            55
44..........................................       30            42
45..........................................       44            53
46..........................................       45            56
47..........................................       41            52
48..........................................       24            41
49..........................................       15            40
50..........................................       11            44

[[Page 380]]

 
51..........................................       32            31
52..........................................       38            54
53..........................................       38            47
54..........................................        9            55
55..........................................       10            50
56..........................................       33            55
57..........................................       48            56
58..........................................       49            47
59..........................................       33            44
60..........................................       52            43
61..........................................       55            43
62..........................................       59            38
63..........................................       44            28
64..........................................       24            37
65..........................................       12            44
66..........................................        9            47
67..........................................       12            52
68..........................................       34            21
69..........................................       29            44
70..........................................       44            54
71..........................................       54            62
72..........................................       62            57
73..........................................       72            56
74..........................................       88            71
75..........................................      100            69
76..........................................      100            34
77..........................................      100            42
78..........................................      100            54
79..........................................      100            58
80..........................................      100            38
81..........................................       83            17
82..........................................       61            15
83..........................................       43            22
84..........................................       24            35
85..........................................       16            39
86..........................................       15            45
87..........................................       32            34
88..........................................       14            42
89..........................................        8            48
90..........................................        5            51
91..........................................       10            41
92..........................................       12            37
93..........................................        4            47
94..........................................        3            49
95..........................................        3            50
96..........................................        4            49
97..........................................        4            48
98..........................................        8            43
99..........................................        2            51
100.........................................        5            46
101.........................................        8            41
102.........................................        4            47
103.........................................        3            49
104.........................................        6            45
105.........................................        3            48
106.........................................       10            42
107.........................................       18            27
108.........................................        3            50
109.........................................       11            41
110.........................................       34            29
111.........................................       51            57
112.........................................       67            63
113.........................................       61            32
114.........................................       44            31
115.........................................       48            54
116.........................................       69            65
117.........................................       85            65
118.........................................       81            29
119.........................................       74            21
120.........................................       62            23
121.........................................       76            58
122.........................................       96            75
123.........................................      100            77
124.........................................      100            27
125.........................................      100            79
126.........................................      100            79
127.........................................      100            81
128.........................................      100            57
129.........................................       99            52
130.........................................       81            35
131.........................................       69            29
132.........................................       47            22
133.........................................       34            28
134.........................................       27            37
135.........................................       83            60
136.........................................      100            74
137.........................................      100             7
138.........................................      100             2
139.........................................       70            18
140.........................................       23            39
141.........................................        5            54
142.........................................       11            40
143.........................................       11            34
144.........................................       11            41
145.........................................       19            25
146.........................................       16            32
147.........................................       20            31
148.........................................       21            38
149.........................................       21            42
150.........................................        9            51
151.........................................        4            49
152.........................................        2            51
153.........................................        1            58
154.........................................       21            57
155.........................................       29            47
156.........................................       33            45
157.........................................       16            49
158.........................................       38            45
159.........................................       37            43
160.........................................       35            42
161.........................................       39            43
162.........................................       51            49
163.........................................       59            55
164.........................................       65            54
165.........................................       76            62
166.........................................       84            59
167.........................................       83            29
168.........................................       67            35
169.........................................       84            54
170.........................................       90            58
171.........................................       93            43
172.........................................       90            29
173.........................................       66            19
174.........................................       52            16
175.........................................       49            17
176.........................................       56            38
177.........................................       73            71
178.........................................       86            80
179.........................................       96            75
180.........................................       89            27
181.........................................       66            17
182.........................................       50            18
183.........................................       36            25
184.........................................       36            24
185.........................................       38            40
186.........................................       40            50
187.........................................       27            48
188.........................................       19            48
189.........................................       23            50
190.........................................       19            45
191.........................................        6            51
192.........................................       24            48
193.........................................       49            67
194.........................................       47            49

[[Page 381]]

 
195.........................................       22            44
196.........................................       25            40
197.........................................       38            54
198.........................................       43            55
199.........................................       40            52
200.........................................       14            49
201.........................................       11            45
202.........................................        7            48
203.........................................       26            41
204.........................................       41            59
205.........................................       53            60
206.........................................       44            54
207.........................................       22            40
208.........................................       24            41
209.........................................       32            53
210.........................................       44            74
211.........................................       57            25
212.........................................       22            49
213.........................................       29            45
214.........................................       19            37
215.........................................       14            43
216.........................................       36            40
217.........................................       43            63
218.........................................       42            49
219.........................................       15            50
220.........................................       19            44
221.........................................       47            59
222.........................................       67            80
223.........................................       76            74
224.........................................       87            66
225.........................................       98            61
226.........................................      100            38
227.........................................       97            27
228.........................................      100            53
229.........................................      100            72
230.........................................      100            49
231.........................................      100             4
232.........................................      100            13
233.........................................       87            15
234.........................................       53            26
235.........................................       33            27
236.........................................       39            19
237.........................................       51            33
238.........................................       67            54
239.........................................       83            60
240.........................................       95            52
241.........................................      100            50
242.........................................      100            36
243.........................................      100            25
244.........................................       85            16
245.........................................       62            16
246.........................................       40            26
247.........................................       56            39
248.........................................       81            75
249.........................................       98            86
250.........................................      100            76
251.........................................      100            51
252.........................................      100            78
253.........................................      100            83
254.........................................      100           100
255.........................................      100            66
256.........................................      100            85
257.........................................      100            72
258.........................................      100            45
259.........................................       98            58
260.........................................       60            30
261.........................................       43            32
262.........................................       71            36
263.........................................       44            32
264.........................................       24            38
265.........................................       42            17
266.........................................       22            51
267.........................................       13            53
268.........................................       23            45
269.........................................       29            50
270.........................................       28            42
271.........................................       21            55
272.........................................       34            57
273.........................................       44            47
274.........................................       19            46
275.........................................       13            44
276.........................................       25            36
277.........................................       43            51
278.........................................       55            73
279.........................................       68            72
280.........................................       76            63
281.........................................       80            45
282.........................................       83            40
283.........................................       78            26
284.........................................       60            20
285.........................................       47            19
286.........................................       52            25
287.........................................       36            30
288.........................................       40            26
289.........................................       45            34
290.........................................       47            35
291.........................................       42            28
292.........................................       46            38
293.........................................       48            44
294.........................................       68            61
295.........................................       70            47
296.........................................       48            28
297.........................................       42            22
298.........................................       31            29
299.........................................       22            35
300.........................................       28            28
301.........................................       46            46
302.........................................       62            69
303.........................................       76            81
304.........................................       88            85
305.........................................       98            81
306.........................................      100            74
307.........................................      100            13
308.........................................      100            11
309.........................................      100            17
310.........................................       99             3
311.........................................       80             7
312.........................................       62            11
313.........................................       63            11
314.........................................       64            16
315.........................................       69            43
316.........................................       81            67
317.........................................       93            74
318.........................................      100            72
319.........................................       94            27
320.........................................       73            15
321.........................................       40            33
322.........................................       40            52
323.........................................       50            50
324.........................................       11            53
325.........................................       12            45
326.........................................        5            50
327.........................................        1            55
328.........................................        7            55
329.........................................       62            60
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------------------------------------------------------------------------



PART 1051_CONTROL OF EMISSIONS FROM RECREATIONAL ENGINES AND VEHICLES--Table of Contents



              Subpart A_Determining How To Follow This Part

Sec.
1051.1 Does this part apply for my vehicles or engines?
1051.2 Who is responsible for compliance?
1051.5 Which engines are excluded from this part's requirements?
1051.10 How is this part organized?
1051.15 Do any other regulation parts apply to me?
1051.20 May I certify a recreational engine instead of the vehicle?
1051.25 What requirements apply when installing certified engines in 
          recreational vehicles?
1051.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1051.101 What emission standards and other requirements must my vehicles 
          meet?
1051.103 What are the exhaust emission standards for snowmobiles?
1051.105 What are the exhaust emission standards for off-highway 
          motorcycles?
1051.107 What are the exhaust emission standards for all-terrain 
          vehicles (ATVs) and offroad utility vehicles?
1051.110 What evaporative emission standards must my vehicles meet?
1051.115 What other requirements apply?
1051.120 What emission-related warranty requirements apply to me?
1051.125 What maintenance instructions must I give to buyers?
1051.130 What installation instructions must I give to vehicle 
          manufacturers?
1051.135 How must I label and identify the vehicles I produce?
1051.137 What are the consumer labeling requirements?
1051.140 What is my vehicle's maximum engine power and displacement?
1051.145 What provisions apply only for a limited time?

                  Subpart C_Certifying Engine Families

1051.201 What are the general requirements for obtaining a certificate 
          of conformity?
1051.205 What must I include in my application?
1051.210 May I get preliminary approval before I complete my 
          application?
1051.220 How do I amend the maintenance instructions in my application?
1051.225 How do I amend my application for certification to include new 
          or modified vehicle configurations or to change an FEL?
1051.230 How do I select engine families?
1051.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1051.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1051.243 How do I determine deterioration factors from exhaust 
          durability testing?
1051.245 How do I demonstrate that my engine family complies with 
          evaporative emission standards?
1051.250 What records must I keep and make available to EPA?
1051.255 What decisions may EPA make regarding my certificate of 
          conformity?

         Subpart D_Testing Production-Line Vehicles and Engines

1051.301 When must I test my production-line vehicles or engines?
1051.305 How must I prepare and test my production-line vehicles or 
          engines?
1051.310 How must I select vehicles or engines for production-line 
          testing?
1051.315 How do I know when my engine family fails the production-line 
          testing requirements?
1051.320 What happens if one of my production-line vehicles or engines 
          fails to meet emission standards?
1051.325 What happens if an engine family fails the production-line 
          testing requirements?
1051.330 May I sell vehicles from an engine family with a suspended 
          certificate of conformity?
1051.335 How do I ask EPA to reinstate my suspended certificate?
1051.340 When may EPA revoke my certificate under this subpart and how 
          may I sell these vehicles again?
1051.345 What production-line testing records must I send to EPA?
1051.350 What records must I keep?

Subpart E--Testing In-Use Engines [Reserved]

[[Page 389]]

                        Subpart F_Test Procedures

1051.501 What procedures must I use to test my vehicles or engines?
1051.505 What special provisions apply for testing snowmobiles?
1051.510 What special provisions apply for testing ATV engines? 
          [Reserved]
1051.515 How do I test my fuel tank for permeation emissions?
1051.520 How do I perform exhaust durability testing?

                     Subpart G_Compliance Provisions

1051.601 What compliance provisions apply to vehicles and engines 
          subject to this part?
1051.605 What provisions apply to engines already certified under the 
          motor vehicle program or the Large Spark-ignition program?
1051.610 What provisions apply to vehicles already certified under the 
          motor vehicle program?
1051.615 What are the special provisions for certifying small 
          recreational engines?
1051.620 When may a manufacturer obtain an exemption for competition 
          recreational vehicles?
1051.625 What special provisions apply to unique snowmobile designs for 
          small-volume manufacturers?
1051.630 What special provisions apply to unique snowmobile designs for 
          all manufacturers?
1051.635 What provisions apply to new manufacturers that are small 
          businesses?
1051.640 What special provisions apply for custom off-highway 
          motorcycles that are similar to highway motorcycles?
1051.645 What special provisions apply to branded engines?
1051.650 What special provisions apply for converting a vehicle to use 
          an alternate fuel?

       Subpart H_Averaging, Banking, and Trading for Certification

1051.701 General provisions.
1051.705 How do I average emission levels?
1051.710 How do I generate and bank emission credits?
1051.715 How do I trade emission credits?
1051.720 How do I calculate my average emission level or emission 
          credits?
1051.725 What must I include in my applications for certification?
1051.730 What ABT reports must I send to EPA?
1051.735 What records must I keep?
1051.740 Are there special averaging provisions for snowmobiles?
1051.745 What can happen if I do not comply with the provisions of this 
          subpart?

          Subpart I_Definitions and Other Reference Information

1051.801 What definitions apply to this part?
1051.805 What symbols, acronyms, and abbreviations does this part use?
1051.815 What provisions apply to confidential information?
1051.820 How do I request a hearing?
1051.825 What reporting and recordkeeping requirements apply under this 
          part?

    Authority: 42 U.S.C. 7401-7671q.

    Source: 67 FR 68347, Nov. 8, 2002, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec. 1051.1  Does this part apply for my vehicles or engines?

    (a) The regulations in this part 1051 apply for all the following 
new recreational vehicles or new engines used in the following 
recreational vehicles, except as provided in Sec. 1051.5:
    (1) Snowmobiles.
    (2) Off-highway motorcycles.
    (3) All-terrain vehicles (ATVs.)
    (4) Offroad utility vehicles with engines with displacement less 
than or equal to 1000 cc, maximum engine power less than or equal to 30 
kW, and maximum vehicle speed higher than 25 miles per hour. Offroad 
utility vehicles that are subject to this part are subject to the same 
requirements as ATVs. This means that any requirement that applies to 
ATVs also applies to these offroad utility vehicles, without regard to 
whether the regulatory language mentions offroad utility vehicles.
    (b) In certain cases, the regulations in this part 1051 apply to new 
engines under 50 cc used in motorcycles that are motor vehicles. See 40 
CFR 86.447-2006 or 86.448-2006 for provisions related to this allowance.
    (c) This part 1051 applies for new recreational vehicles starting in 
the 2006 model year, except as described in subpart B of this part. You 
need not follow this part for vehicles you produce before the 2006 model 
year, unless you certify voluntarily. See Sec. Sec. 1051.103 through 
1051.110, Sec. 1051.145, and the definition of ``model year'' in Sec. 
1051.801 for more information about the timing of the requirements.
    (d) The requirements of this part begin to apply when a vehicle is 
new.

[[Page 390]]

See the definition of ``new'' in Sec. 1051.801 for more information. In 
some cases, vehicles or engines that have been previously used may be 
considered ``new'' for the purposes of this part.
    (e) The evaporative emission requirements of this part apply to 
highway motorcycles, as specified in 40 CFR part 86, subpart E.

[70 FR 40486, July 13, 2005, as amended at 73 FR 59245, Oct. 8, 2008]



Sec. 1051.2  Who is responsible for compliance?

    The regulations in this part 1051 contain provisions that affect 
both vehicle manufacturers and others. However, the requirements of this 
part are generally addressed to the vehicle manufacturer. The term 
``you'' generally means the vehicle manufacturer, as defined in Sec. 
1051.801, especially for issues related to certification (including 
production-line testing, reporting, etc.).

[73 FR 59245, Oct. 8, 2008]



Sec. 1051.5  Which engines are excluded from this part's requirements?

    (a)(1) You may exclude vehicles with compression-ignition engines. 
See 40 CFR parts 89 and 1039 for regulations that cover these engines.
    (2) Vehicles with a combined total vehicle dry weight under 20.0 
kilograms are excluded from this part. Spark-ignition engines in these 
vehicles must instead meet emission standards specified in 40 CFR parts 
90 and 1054. See 40 CFR 90.103(a) and the definition of handheld in 40 
CFR 1054.801.
    (b) We may require you to label an engine or vehicle (or both) if 
this section excludes it and other requirements in this chapter do not 
apply.

[70 FR 40486, July 13, 2005, as amended at 73 FR 59245, Oct. 8, 2008]



Sec. 1051.10  How is this part organized?

    This part 1051 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1051 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec. 1051.145 discusses certain interim requirements and 
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
production-line engines.
    (e) [Reserved]
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your engines.
    (i) Subpart I of this part contains definitions and other reference 
information.

[70 FR 40486, July 13, 2005, as amended at 73 FR 59245, Oct. 8, 2008]



Sec. 1051.15  Do any other regulation parts apply to me?

    (a) Parts 86 and 1065 of this chapter describe procedures and 
equipment specifications for testing vehicles and engines to measure 
exhaust emissions. Subpart F of this part 1051 describes how to apply 
the provisions of parts 86 and 1065 of this chapter to determine whether 
vehicles meet the exhaust emission standards in this part.
    (b) Part 1060 of this chapter describes standards and procedures 
that optionally apply for controlling evaporative emissions from engines 
fueled by gasoline or other volatile liquid fuels and the associated 
fuel systems.
    (c) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the vehicles subject to this part 
1051, or vehicles containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for manufacturers and others.
    (2) Rebuilding and other aftermarket changes.

[[Page 391]]

    (3) Exclusions and exemptions for certain vehicles and engines.
    (4) Importing vehicles and engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (d) Other parts of this chapter apply if referenced in this part.

[70 FR 40487, July 13, 2005, as amended at 73 FR 59245, Oct. 8, 2008; 75 
FR 23023, Apr. 30, 2010]



Sec. 1051.20  May I certify a recreational engine instead of the vehicle?

    (a) You may certify engines sold separately from vehicles in either 
of two cases:
    (1) If you manufacture recreational engines but not recreational 
vehicles, you may ask to certify the engine alone. In your request, 
explain why you cannot certify the entire vehicle.
    (2) If you manufacture complete recreational vehicles containing 
engines you also sell separately, you may ask to certify all these 
engines in a single engine family or in separate engine families.
    (b) If you certify an engine under this section, you must use the 
test procedures in subpart F of this part. If the test procedures 
require vehicle testing, use good engineering judgment to install the 
engine in an appropriate vehicle for measuring emissions.
    (c) If we allow you to certify recreational engines, the vehicles 
must meet the applicable emission standards (including evaporative 
emission standards) with the engines installed in the appropriate 
vehicles. You must prepare installation instructions as described in 
Sec. 1051.130 and use good engineering judgment so that the engines 
will meet emission standards after proper installation in the vehicle.
    (d) Identify and label engines you produce under this section 
consistent with the requirements of Sec. 1051.135. On the emission 
control information label, identify the manufacturing date of the engine 
rather than the vehicle.
    (e) You may not use the provisions of this section to circumvent or 
reduce the stringency of this part's standards or other requirements.
    (f) If you certify under paragraph (a)(1) of this section, you may 
ask us to allow you to perform production-line testing on the engine. If 
you certify under paragraph (a)(2) of this section, use good engineering 
judgment to ensure that these engines are produced in the same manner as 
the engines you produce for your vehicles, so that your production-line 
testing results under subpart D of this part would apply to them.
    (g) Apply the provisions of 40 CFR part 1068 for engines certified 
under this section as if they were subject to engine-based standards. 
For example, you may rely on the provisions of 40 CFR 1068.261 to have 
vehicle manufacturers install catalysts that you describe in your 
application for certification.

[70 FR 40489, July 13, 2005, as amended at 75 FR 23023, Apr. 30, 2010]



Sec. 1051.25  What requirements apply when installing certified engines in recreational vehicles?

    (a) If you manufacture recreational vehicles with engines certified 
under Sec. 1051.20, you must certify your vehicle with respect to the 
evaporative emission standards in Sec. 1051.110, but you need not 
certify the vehicle with respect to exhaust emissions under this part. 
The vehicle must nevertheless meet all emission standards with the 
engine installed. You must also label fuel tanks and fuel lines as 
specified in Sec. 1051.135(d).
    (b) You must follow the engine manufacturer's emission-related 
installation instructions, as described in Sec. 1051.135 and 40 CFR 
1068.105. For example, you must use a fuel system that meets the 
permeation requirements of this part, consistent with the engine 
manufacturer's instructions.
    (c) If you obscure the engine label while installing the engine in 
the vehicle such that the label cannot be read during normal 
maintenance, you must place a duplicate label on the vehicle as 
described in 40 CFR 1068.105.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59245, Oct. 8, 2008]



Sec. 1051.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec. 1051.825 and 40 CFR 1068.25 regarding 
recordkeeping

[[Page 392]]

requirements. Unless we specify otherwise, store these records in any 
format and on any media and keep them readily available for one year 
after you send an associated application for certification, or one year 
after you generate the data if they do not support an application for 
certification. You must promptly send us organized, written records in 
English if we ask for them. We may review them at any time.
    (b) The regulations in Sec. 1051.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 1051.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.

[75 FR 23023, Apr. 30, 2010]



          Subpart B_Emission Standards and Related Requirements



Sec. 1051.101  What emission standards and other requirements must my vehicles meet?

    (a) You must show that your vehicles meet the following:
    (1) The applicable exhaust emission standards in Sec. 1051.103, 
Sec. 1051.105, Sec. 1051.107, or Sec. 1051.145.
    (i) For snowmobiles, see Sec. 1051.103.
    (ii) For off-highway motorcycles, see Sec. 1051.105.
    (iii) For all-terrain vehicles and offroad utility vehicles subject 
to this part, see Sec. 1051.107 and Sec. 1051.145.
    (2) The evaporative emission standards in Sec. 1051.110.
    (3) All the requirements in Sec. 1051.115.
    (b) The certification regulations in subpart C of this part describe 
how you make this showing.
    (c) These standards and requirements apply to all testing, including 
certification, production-line, and in-use testing.
    (d) Other sections in this subpart describe other requirements for 
manufacturers such as labeling or warranty requirements.
    (e) It is important that you read Sec. 1051.145 to determine if 
there are other interim requirements or interim compliance options that 
apply for a limited time.
    (f) As described in Sec. 1051.1(a)(4), offroad utility vehicles 
that are subject to this part are subject to the same requirements as 
ATVs.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005]



Sec. 1051.103  What are the exhaust emission standards for snowmobiles?

    (a) Apply the exhaust emission standards in this section by model 
year. Measure emissions with the snowmobile test procedures in subpart F 
of this part.
    (1) Follow Table 1 of this section for exhaust emission standards. 
You may generate or use emission credits under the averaging, banking, 
and trading (ABT) program for HC and CO emissions, as described in 
subpart H of this part. This requires that you specify a family emission 
limit for each pollutant you include in the ABT program for each engine 
family. These family emission limits serve as the emission standards for 
the engine family with respect to all required testing instead of the 
standards specified in this section. An engine family meets emission 
standards even if its family emission limit is higher than the standard, 
as long as you show that the whole averaging set of applicable engine 
families meets the applicable emission standards using emission credits, 
and the vehicles within the family meet the family emission limit. The 
phase-in values specify the percentage of your U.S.-directed production 
that must comply with the emission standards for those model years. 
Calculate this compliance percentage based on a simple count of your 
U.S.-directed production units within each certified engine family 
compared with a simple count of your total U.S.-directed production 
units. Table 1 also shows the maximum value you may specify for a family 
emission limit, as follows:

[[Page 393]]



                                    Table 1 of Sec.  1051.103--Exhaust Emission Standards for Snowmobiles (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                         Emission standards     Maximum allowable family
                                                                                         Phase-in    --------------------------      emission limits
                      Phase                                   Model year                 (percent)                             -------------------------
                                                                                                           HC           CO           HC           CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1.........................................  2006..............................              50         100          275
Phase 1.........................................  2007-2009.........................             100         100          275
Phase 2.........................................  2010 and 2011.....................             100          75          275
Phase 3.........................................  2012 and later....................             100        (\1\)        (\1\)          150          400
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ See Sec.  1051.103(a)(2).

    (2) For Phase 3, the HC and CO standards are defined by a functional 
relationship. Choose your corporate average HC and CO standards for each 
year according to the following criteria:
    (i) Prior to production, select the HC standard and CO standard 
(specified as g/kW-hr) so that the combined percent reduction from 
baseline emission levels is greater than or equal to 100 percent; that 
is, that the standards comply with the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JN08.006

    (ii) Your corporate average HC standard may not be higher than 75 g/
kW-hr.
    (iii) Your corporate average CO standard may not be higher than 275 
g/kW-hr.
    (iv) You may use the averaging and banking provisions of subpart H 
of this part to show compliance with these HC and CO standards at the 
end of the model year under paragraph (a)(2)(i) of this section. You 
must comply with these final corporate average emission standards.
    (b) The exhaust emission standards in this section apply for 
snowmobiles using the fuel type on which they are designed to operate. 
You must meet the numerical emission standards for hydrocarbons in this 
section based on the following types of hydrocarbon emissions for 
snowmobiles powered by the following fuels:
    (1) Natural gas-fueled snowmobiles: NMHC emissions.
    (2) Alcohol-fueled snowmobiles: THCE emissions.
    (3) Other snowmobiles: THC emissions.
    (c) Your snowmobiles must meet emission standards over their full 
useful life. The minimum useful life is 8,000 kilometers, 400 hours of 
engine operation, or five calendar years, whichever comes first. You 
must specify a longer useful life in terms of kilometers and hours for 
the engine family if the average service life of your vehicles is longer 
than the minimum value, as follows:
    (1) Except as allowed by paragraph (c)(2) of this section, your 
useful life (in kilometers and hours) may not be less than either of the 
following:
    (i) Your projected operating life from advertisements or other 
marketing materials for any vehicles in the engine family.
    (ii) Your basic mechanical warranty for any engines in the engine 
family.
    (2) Your useful life may be based on the average service life of 
vehicles in the engine family if you show that the average service life 
is less than the useful life required by paragraph (c)(1) of this 
section, but more than the minimum useful life (8,000 kilometers or 400 
hours of engine operation). In determining the actual average service 
life of vehicles in an engine family, we will consider all available 
information and

[[Page 394]]

analyses. Survey data is allowed but not required to make this showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005; 73 
FR 35951, June 25, 2008; 73 FR 59246, Oct. 8, 2008]



Sec. 1051.105  What are the exhaust emission standards for off-highway motorcycles?

    (a) Apply the exhaust emission standards in this section by model 
year. Measure emissions with the off-highway motorcycle test procedures 
in subpart F of this part.
    (1) Follow Table 1 of this section for exhaust emission standards. 
You may generate or use emission credits under the averaging, banking, 
and trading (ABT) program for HC+NOX and CO emissions, as 
described in subpart H of this part. This requires that you specify a 
family emission limit for each pollutant you include in the ABT program 
for each engine family. These family emission limits serve as the 
emission standards for the engine family with respect to all required 
testing instead of the standards specified in this section. An engine 
family meets emission standards even if its family emission limit is 
higher than the standard, as long as you show that the whole averaging 
set of applicable engine families meets the applicable emission 
standards using emission credits, and the vehicles within the family 
meet the family emission limit. The phase-in values specify the 
percentage of your U.S.-directed production that must comply with the 
emission standards for those model years. Calculate this compliance 
percentage based on a simple count of your U.S.-directed production 
units within each certified engine family compared with a simple count 
of your total U.S.-directed production units. Table 1 follows:

            Table 1 of Sec.  1051.105--Exhaust Emission Standards for Off-Highway Motorcycles (g/km)
----------------------------------------------------------------------------------------------------------------
                                                                 Emission standards     Maximum allowable family
                                                   Phase-in  --------------------------      emission limits
            Phase                 Model year      (percent)                            -------------------------
                                                                 HC+NOX         CO         HC+NOX         CO
----------------------------------------------------------------------------------------------------------------
Phase 1......................  2006............           50          2.0           25         20.0           50
                              ----------------------------------------------------------------------------------
                               2007 and later..          100          2.0           25         20.0           50
----------------------------------------------------------------------------------------------------------------

    (2) For model years 2007 and later you may choose to certify all of 
your off-highway motorcycles to an HC+NOX standard of 4.0 g/
km and a CO standard of 35 g/km, instead of the standards listed in 
paragraph (a)(1) of this section. To certify to the standards in this 
paragraph (a)(2), you must comply with the following provisions:
    (i) You may not request an exemption for any off-highway motorcycles 
under Sec. 1051.620
    (ii) At least ten percent of your off-highway motorcycles for the 
model year must have four of the following features:
    (A) The absence of a headlight or other lights.
    (B) The absence of a spark arrestor.
    (C) The absence of manufacturer warranty.
    (D) Suspension travel greater than 10 inches.
    (E) Engine displacement greater than 50 cc.
    (F) The absence of a functional seat.
    (iii) You may use the averaging and banking provisions of subpart H 
of this part to show compliance with this HC+NOX standard, 
but not this CO standard. If you use the averaging or banking provisions 
to show compliance, your FEL for HC+NOX may not exceed 8.0 g/
km for any engine family. You may not use the trading provisions of 
subpart H of this part.
    (3) You may certify off-highway motorcycles with engines that have 
total displacement of 70 cc or less to the exhaust emission standards in 
Sec. 1051.615 instead of certifying them to the exhaust emission 
standards of this section. Count all such vehicles in the phase-in 
(percent) requirements of this section.
    (b) The exhaust emission standards in this section apply for off-
highway motorcycles using the fuel type on which they are designed to 
operate.

[[Page 395]]

You must meet the numerical emission standards for hydrocarbons in this 
section based on the following types of hydrocarbon emissions for off-
highway motorcycles powered by the following fuels:
    (1) Natural gas-fueled off-highway motorcycles: NMHC emissions.
    (2) Alcohol-fueled off-highway motorcycles: THCE emissions.
    (3) Other off-highway motorcycles: THC emissions.
    (c) Your off-highway motorcycles must meet emission standards over 
their full useful life. For off-highway motorcycles with engines that 
have total displacement greater than 70 cc, the minimum useful life is 
10,000 kilometers or five years, whichever comes first. For off-highway 
motorcycles with engines that have total displacement of 70 cc or less, 
the minimum useful life is 5,000 kilometers or five years, whichever 
comes first. You must specify a longer useful life for the engine family 
in terms of kilometers if the average service life of your vehicles is 
longer than the minimum value, as follows:
    (1) Except as allowed by paragraph (c)(2) of this section, your 
useful life (in kilometers) may not be less than either of the 
following:
    (i) Your projected operating life from advertisements or other 
marketing materials for any vehicles in the engine family.
    (ii) Your basic mechanical warranty for any engines in the engine 
family.
    (2) Your useful life may be based on the average service life of 
vehicles in the engine family if you show that the average service life 
is less than the useful life required by paragraph (c)(1) of this 
section, but more than the minimum useful life (10,000 kilometers). In 
determining the actual average service life of vehicles in an engine 
family, we will consider all available information and analyses. Survey 
data is allowed but not required to make this showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005; 73 
FR 59246, Oct. 8, 2008]



Sec. 1051.107  What are the exhaust emission standards for all-terrain 

vehicles (ATVs) and offroad utility vehicles?

    This section specifies the exhaust emission standards that apply to 
ATVs. As is described in Sec. 1051.1(a)(4), offroad utility vehicles 
that are subject to this part are subject to these same standards.
    (a) Apply the exhaust emission standards in this section by model 
year. Measure emissions with the ATV test procedures in subpart F of 
this part.
    (1) Follow Table 1 of this section for exhaust emission standards. 
You may generate or use emission credits under the averaging, banking, 
and trading (ABT) program for HC+NOX emissions, as described 
in subpart H of this part. This requires that you specify a family 
emission limit for each pollutant you include in the ABT program for 
each engine family. These family emission limits serve as the emission 
standards for the engine family with respect to all required testing 
instead of the standards specified in this section. An engine family 
meets emission standards even if its family emission limit is higher 
than the standard, as long as you show that the whole averaging set of 
applicable engine families meets the applicable emission standards using 
emission credits, and the vehicles within the family meet the family 
emission limit. Table 1 also shows the maximum value you may specify for 
a family emission limit. The phase-in values in the table specify the 
percentage of your total U.S.-directed production that must comply with 
the emission standards for those model years.
    Calculate this compliance percentage based on a simple count of your 
U.S.-directed production units within each certified engine family 
compared with a simple count of your total U.S.-directed production 
units. This applies to your total production of ATVs and offroad utility 
vehicles that are subject to the standards of this part; including both 
ATVs and offroad utility vehicles subject to the standards of this 
section and ATVs and offroad utility vehicles certified to the standards 
of other sections in this part 1051 (such as Sec. 1051.615, but not 
including vehicles certified under other parts in this

[[Page 396]]

chapter (such as 40 CFR part 90). Table 1 follows:

                                         Table 1 of Sec.  1051.107--Exhaust Emission Standards for ATVs (g/km)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                Emission standards           Maximum allowable family
                                                                             Phase-in    --------------------------------         emission limits
                   Phase                             Model year              (percent)                                   -------------------------------
                                                                                              HC+NOX            CO            HC+NOX            CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1...................................  2006........................              50             1.5              35            20.0  ..............
                                            2007 and later..............             100             1.5              35            20.0  ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (2) You may certify ATVs with engines that have total displacement 
of less than 100 cc to the exhaust emission standards in Sec. 1051.615 
instead of certifying them to the exhaust emission standards of this 
section. Count all such vehicles in the phase-in (percent) requirements 
of this section.
    (b) The exhaust emission standards in this section apply for ATVs 
using the fuel type on which they are designed to operate. You must meet 
the numerical emission standards for hydrocarbons in this section based 
on the following types of hydrocarbon emissions for ATVs powered by the 
following fuels:
    (1) Natural gas-fueled ATVs: NMHC emissions.
    (2) Alcohol-fueled ATVs: THCE emissions.
    (3) Other ATVs: THC emissions.
    (c) Your ATVs must meet emission standards over their full useful 
life. For ATVs with engines that have total displacement of 100 cc or 
greater, the minimum useful life is 10,000 kilometers, 1000 hours of 
engine operation, or five years, whichever comes first. For ATVs with 
engines that have total displacement of less than 100 cc, the minimum 
useful life is 5,000 kilometers, 500 hours of engine operation, or five 
years, whichever comes first. You must specify a longer useful life for 
the engine family in terms of kilometers and hours if the average 
service life of your vehicles is longer than the minimum value, as 
follows:
    (1) Except as allowed by paragraph (c)(2) of this section, your 
useful life (in kilometers) may not be less than either of the 
following:
    (i) Your projected operating life from advertisements or other 
marketing materials for any vehicles in the engine family.
    (ii) Your basic mechanical warranty for any engines in the engine 
family.
    (2) Your useful life may be based on the average service life of 
vehicles in the engine family if you show that the average service life 
is less than the useful life required by paragraph (c)(1) of this 
section, but more than the minimum useful life (10,000 kilometers or 
1,000 hours of engine operation). In determining the actual average 
service life of vehicles in an engine family, we will consider all 
available information and analyses. Survey data is allowed but not 
required to make this showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005; 73 
FR 59246, Oct. 8, 2008]



Sec. 1051.110  What evaporative emission standards must my vehicles meet?

    Your new vehicles that run on a volatile liquid fuel (such as 
gasoline) must meet the emission standards of this section over their 
full useful life. Note that Sec. 1051.245 allows you to use design-
based certification instead of generating new emission data.
    (a) Beginning with the 2008 model year, permeation emissions from 
your vehicle's fuel tank(s) may not exceed 1.5 grams per square-meter 
per day when measured with the test procedures for tank permeation in 
subpart F of this part. You may generate or use emission credits under 
the averaging, banking, and trading (ABT) program, as described in 
subpart H of this part.
    (b) Beginning with the 2008 model year, permeation emissions from 
your vehicle's fuel lines may not exceed 15 grams per square-meter per 
day when measured with the test procedures for fuel-line permeation in 
subpart F of this part. Use the inside diameter of the hose to determine 
the surface area of the hose.

[[Page 397]]

    (c) You may certify your fuel tanks and fuel lines under the 
provisions of 40 CFR part 1060. You may also specify in your application 
for certification that you are using components that have been certified 
by the component manufacturer.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005; 73 
FR 59246, Oct. 8, 2008]



Sec. 1051.115  What other requirements apply?

    Vehicles that are required to meet the emission standards of this 
part must meet the following requirements:
    (a) Closed crankcase. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any vehicle throughout its 
useful life.
    (b) [Reserved]
    (c) Adjustable parameters. Vehicles that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. Note that parameters that control the air-
fuel ratio may be treated separately under paragraph (d) of this 
section. An operating parameter is not considered adjustable if you 
permanently seal it or if it is not normally accessible using ordinary 
tools. We may require that you set adjustable parameters to any 
specification within the adjustable range during any testing, including 
certification testing, production-line testing, or in-use testing.
    (d) Other adjustments. This provision applies if an experienced 
mechanic can change your engine's air-fuel ratio in less than one hour 
with a few parts whose total cost is under $50 (in 2001 dollars). 
Examples include carburetor jets and needles. In the case of carburetor 
jets and needles, your vehicle must meet all the requirements of this 
part for any air-fuel ratio within the adjustable range described in 
paragraph (d)(1) of this section.
    (1) In your application for certification, specify the adjustable 
range of air-fuel ratios you expect to occur in use. You may specify it 
in terms of engine parts (such as the carburetor jet size and needle 
configuration as a function of atmospheric conditions).
    (2) This adjustable range (specified in paragraph (d)(1) of this 
section) must include all air-fuel ratios between the lean limit and the 
rich limit, unless you can show that some air-fuel ratios will not occur 
in use.
    (i) The lean limit is the air-fuel ratio that produces the highest 
engine power output (averaged over the test cycle).
    (ii) The rich limit is the richest of the following air-fuel ratios:
    (A) The air-fuel ratio that would result from operating the vehicle 
as you produce it at the specified test conditions. This paragraph 
(d)(2)(ii)(A) does not apply if you produce the vehicle with an unjetted 
carburetor so that the vehicle must be jetted by the dealer or operator.
    (B) The air-fuel ratio of the engine when you do durability testing.
    (C) The richest air-fuel ratio that you recommend to your customers 
for the applicable ambient conditions.
    (3) If the air-fuel ratio of your vehicle is adjusted primarily by 
changing the carburetor jet size and/or needle configuration, you may 
submit your recommended jetting chart instead of the range of air-fuel 
ratios required by paragraph (d)(1) of this section if the following 
criteria are met:
    (i) Good engineering judgment indicates that vehicle operators would 
not have an incentive to operate the vehicle with richer air-fuel ratios 
than recommended.
    (ii) The chart is based on use of a fuel that is equivalent to the 
specified test fuel(s). As an alternative you may submit a chart based 
on a representative in-use fuel if you also provide instructions for 
converting the chart to be applicable to the test fuel(s).
    (iii) The chart is specified in units that are adequate to make it 
practical for an operator to keep the vehicle properly jetted during 
typical use. For example, charts that specify jet sizes based on 
increments of temperature smaller than 20 [deg]F (11.1 [deg]C) or 
increments of altitude less than 2000 feet would not meet this criteria. 
Temperature ranges must overlap by at least 5 [deg]F (2.8 [deg]C).
    (iv) You follow the jetting chart for durability testing.
    (v) You do not produce your vehicles with jetting richer than the 
jetting chart recommendation for the intended vehicle use.

[[Page 398]]

    (vi) The adjustable range of carburetor screws, such as air screw, 
fuel screw, and idle-speed screw must be defined by stops, limits, or 
specification on the jetting chart consistent with the requirements for 
specifying jet sizes and needle configuration in this section.
    (4) We may require you to adjust the engine to any specification 
within the adjustable range during certification testing, production-
line testing, selective enforcement auditing, or in-use testing. If we 
allow you to submit your recommended jetting chart instead of the range 
of air-fuel ratios required by paragraph (d)(1) of this section, adjust 
the engine to the richest specification within the jetting chart for the 
test conditions, unless we specify a leaner setting. We may not specify 
a setting leaner than that described in paragraph (d)(2)(i) of this 
section.
    (e) Prohibited controls. You may not design your engines with 
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.
    (f) Defeat devices. You may not equip your vehicles with a defeat 
device. A defeat device is an auxiliary emission-control device that 
reduces the effectiveness of emission controls under conditions that the 
vehicle may reasonably be expected to encounter during normal operation 
and use. This does not apply to auxiliary emission-control devices you 
identify in your certification application if any of the following is 
true:
    (1) The conditions of concern were substantially included in the 
applicable test procedures described in subpart F of this part.
    (2) You show your design is necessary to prevent vehicle damage or 
accidents.
    (3) The reduced effectiveness applies only to starting the engine.
    (g) Noise standards. There are no noise standards specified in this 
part 1051. See 40 CFR Chapter I, Subchapter G, to determine if your 
vehicle must meet noise emission standards under another part of our 
regulations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005; 73 
FR 59246, Oct. 8, 2008]



Sec. 1051.120  What emission-related warranty requirements apply to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new engine, including all parts 
of its emission-control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least 50 percent of the vehicle's minimum useful life in 
kilometers or hours of engine operation (where applicable), or at least 
30 months, whichever comes first. You may offer an emission-related 
warranty more generous than we require. The emission-related warranty 
for the engine may not be shorter than any published warranty you offer 
without charge for the engine. Similarly, the emission-related warranty 
for any component may not be shorter than any published warranty you 
offer without charge for that component. If a vehicle has no odometer, 
base warranty periods in this paragraph (b) only on the vehicle's age 
(in years). The warranty period begins when the engine is placed into 
service.
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
regulated pollutant, including components listed in 40 CFR part 1068, 
Appendix I, and components from any other system you develop to control 
emissions. The emission-related warranty covers these components even if 
another company produces the component. Your emission-related warranty 
does not cover components whose failure would not increase an engine's 
emissions of any regulated pollutant.

[[Page 399]]

    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115. You may ask us to allow you to 
exclude from your emission-related warranty certified vehicles that have 
been used significantly for competition, especially certified 
motorcycles that meet at least four of the criteria in Sec. 
1051.620(b)(1).
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[70 FR 40489, July 13, 2005, as amended at 73 FR 59246, Oct. 8, 2008]



Sec. 1051.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new vehicle written instructions 
for properly maintaining and using the vehicle, including the emission-
control system. The maintenance instructions also apply to service 
accumulation on your emission-data vehicles, as described in Sec. 
1051.240, Sec. 1051.245, and 40 CFR part 1065.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use vehicles. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the vehicle's 
performance.
    (ii) You present survey data showing that at least 80 percent of 
vehicles in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in your maintenance instructions.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) You may not schedule critical emission-related maintenance 
within the minimum useful life period for aftertreatment devices, pulse-
air valves, fuel injectors, oxygen sensors, electronic control units, 
superchargers, or turbochargers.
    (3) You may ask us to approve a maintenance interval shorter than 
that specified in paragraph (a)(2) of this section. In your request you 
must describe the proposed maintenance step, recommend the maximum 
feasible interval for this maintenance, include your rationale with 
supporting evidence to support the need for the maintenance at the 
recommended interval, and demonstrate that the maintenance will be done 
at the recommended interval on in-use engines. In considering your 
request, we will evaluate the information you provide and any other 
available information to establish alternate specifications for 
maintenance intervals, if appropriate.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those vehicles from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data vehicles.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
engine operation. You must clearly state that this additional 
maintenance is associated with the special situation you are addressing. 
We may disapprove your maintenance instructions if we determine that you 
have specified special maintenance steps to address engine

[[Page 400]]

operation that is not atypical, or that the maintenance is unlikely to 
occur in use. If we determine that certain maintenance items do not 
qualify as special maintenance under this paragraph (c), you may 
identify this as recommended additional maintenance under paragraph (b) 
of this section.
    (d) Noncritical emission-related maintenance. Subject to the 
provisions of this paragraph (d), you may schedule any amount of 
emission-related inspection or maintenance that is not covered by 
paragraph (a) of this section (i.e., maintenance that is neither 
explicitly identified as critical emission-related maintenance, nor that 
we approve as critical emission-related maintenance). Noncritical 
emission-related maintenance generally includes changing spark plugs, 
re-seating valves, or any other emission-related maintenance on the 
components we specify in 40 CFR part 1068, Appendix I that is not 
covered in paragraph (a) of this section. You must state in the owner's 
manual that these steps are not necessary to keep the emission-related 
warranty valid. If operators fail to do this maintenance, this does not 
allow you to disqualify those vehicles from in-use testing or deny a 
warranty claim. Do not take these inspection or maintenance steps during 
service accumulation on your emission-data vehicles.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
vehicles, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash, or adjusting 
chain tension, clutch position, or tire pressure. You may perform this 
nonemission-related maintenance on emission-data vehicles at the least 
frequent intervals that you recommend to the ultimate purchaser (but not 
the intervals recommended for severe service). You may also visually 
inspect test vehicles or engines, including emission-related components, 
as needed to ensure safe operation.
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission-control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
vehicle be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the vehicle will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their vehicles. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:
    (1) Each affected component was not in general use on similar 
vehicles before the 2006 model year.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the vehicle.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the vehicle's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[70 FR 40489, July 13, 2005, as amended at 73 FR 59246, Oct. 8, 2008; 75 
FR 23023, Apr. 30, 2010]

[[Page 401]]



Sec. 1051.130  What installation instructions must I give to vehicle manufacturers?

    (a) If you sell an engine for someone else to install in a piece of 
nonroad equipment, give the engine installer instructions for installing 
it consistent with the requirements of this part. Include all 
information necessary to ensure that an engine will be installed in its 
certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a piece of nonroad equipment violates federal law 
(40 CFR 1068.105(b)), subject to fines or other penalties as described 
in the Clean Air Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec. 1051.205(r).
    (4) Describe the steps needed to comply with the evaporative 
emission standards in Sec. 1051.110.
    (5) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only to the 
snowmobile standards, tell vehicle manufacturers not to install the 
engines in other vehicles.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission contro information label hard to read during normal 
engine maintenance, you must place a duplicate label on the vehicle, as 
described in 40 CFR 1068.105.''.
    (c) You do not need installation instructions for engines you 
install in your own vehicles.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.

[70 FR 40490, July 13, 2005]



Sec. 1051.135  How must I label and identify the vehicles I produce?

    Each of your vehicles must have three labels: a vehicle 
identification number as described in paragraph (a) of this section, an 
emission control information label as described in paragraphs (b) 
through (e) of this section, and a consumer information label as 
described in Sec. 1051.137.
    (a) Assign each vehicle a unique identification number and 
permanently affix, engrave, or stamp it on the vehicle in a legible way.
    (b) At the time of manufacture, affix a permanent and legible 
emission control information label identifying each vehicle. The label 
must be
    (1) Attached so it is not removable without being destroyed or 
defaced.
    (2) Secured to a part of the vehicle (or engine) needed for normal 
operation and not normally requiring replacement.
    (3) Durable and readable for the vehicle's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec. 1051.645.
    (3) Include EPA's standardized designation for engine families, as 
described in Sec. 1051.230.
    (4) State the engine's displacement (in liters). You may omit this 
from the emission control information label if the vehicle is 
permanently labeled with a unique model name that corresponds to a 
specific displacement. Also, you may omit displacement from the label if 
all the engines in the engine family have the same per-cylinder 
displacement and total displacement.
    (5) State: ``THIS VEHICLE IS CERTIFIED TO OPERATE ON [specify 
operating fuel or fuels].''.

[[Page 402]]

    (6) State the date of manufacture [DAY (optional), MONTH, and YEAR]; 
however, you may omit this from the label if you stamp, engrave, or 
otherwise permanently identify it elsewhere on the vehicle or engine, in 
which case you must also describe in your application for certification 
where you will identify the date on the vehicle or engine.
    (7) State the exhaust emission standards or FELs to which the 
vehicles are certified (in g/km or g/kW-hr). Also, state the FEL that 
applies for the fuel tank if it is different than the otherwise 
applicable standard.
    (8) Identify the emission-control system. Use terms and 
abbreviations as described in 40 CFR 1068.45. You may omit this 
information from the label if there is not enough room for it and you 
put it in the owner's manual instead.
    (9) List specifications and adjustments for engine tuneups; show the 
proper position for the transmission during tuneup and state which 
accessories should be operating.
    (10) Identify the fuel type and any requirements for fuel and 
lubricants. You may omit this information from the label if there is not 
enough room for it and you put it in the owners manual instead.
    (11) State the useful life for your engine family if it is different 
than the minimum value.
    (12) State: ``THIS VEHICLE MEETS U.S. EPA REGULATIONS FOR [MODEL 
YEAR] [SNOWMOBILES or OFF-ROAD MOTORCYCLES or ATVs or OFFROAD UTILITY 
VEHICLES].''
    (13) Identify evaporative emission controls as specified in 40 CFR 
1060.135.
    (d) You may add information to the emission control information 
label to identify other emission standards that the vehicle meets or 
does not meet (such as California standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (e) You may ask us to approve modified labeling requirements in this 
part 1051 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (f) [Reserved]
    (g) Label every vehicle certified under this part with a removable 
hang-tag showing its emission characteristics relative to other models, 
as described in Sec. 1051.137.

[70 FR 40490, July 13, 2005, as amended at 59246, Oct. 8, 2008; 75 FR 
23024, Apr. 30, 2010]



Sec. 1051.137  What are the consumer labeling requirements?

    Label every vehicle certified under this part with a removable hang-
tag showing its emission characteristics relative to other models. The 
label should be attached securely to the vehicle before it is offered 
for sale in such a manner that it would not be accidentally removed 
prior to sale. Use the applicable equations of this section to determine 
the normalized emission rate (NER) from the FEL for your vehicle. If the 
vehicle is certified without a family emission limit that is different 
than the otherwise applicable standard, use the final deteriorated 
emission level. Round the resulting normalized emission rate for your 
vehicle to one decimal place. If the calculated NER value is less than 
zero, consider NER to be zero for that vehicle. We may specify a 
standardized format for labels. At a minimum, the tag should include: 
the manufacturer's name, vehicle model name, engine description (500 cc 
two-stroke with DFI), the NER, and a brief explanation of the scale (for 
example, note that 0 is the cleanest and 10 is the least clean).
    (a) For snowmobiles, use the following equation:

NER = 16.61 x log (2.667 x HC + CO)-38.22

Where:

HC and CO are the cycle-weighted FELs (or emission rates) for 
hydrocarbons and carbon monoxide in g/kW-hr.

    (b) For off-highway motorcycles, use the following equations:
    (1) For off-highway motorcycles certified to the standards in Sec. 
1051.105, use one of the equations specified below.
    (i) If the vehicle has HC + NOX emissions less than or 
equal to 2.0 g/km, use the following equation:

NER = 2.500 x (HC+NOX)

Where:


[[Page 403]]


HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/km.

    (ii) If the vehicle has HC + NOX emissions greater than 
2.0 g/km, use the following equation:

NER = 5.000 x log(HC+NOX)+ 3.495

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/km.

    (2) For off-highway motorcycles certified to the standards in Sec. 
1051.615(b), use the following equation:

NER = 8.782 x log(HC+NOX) -5.598

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/kW-hr.

    (c) For ATVs, use the following equations:
    (1) For ATVs certified to the standards in Sec. 1051.107, use one 
of the equations specified below.
    (i) If the vehicle has HC + NOX emissions less than or 
equal to 1.5 g/km, use the following equation:

NER = 3.333 x (HC+NOX)

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/km.

    (ii) If the vehicle has HC + NOX emissions greater than 
1.5 g/km, use the following equation:

NER = 4.444 x log(HC+NOX)+4.217

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/km.

    (2) For ATVs certified to the standards in Sec. 1051.615(a), use 
the following equation:

NER = 8.782 x log(HC + NOX) -7.277

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/kW-hr.

[70 FR 40491, July 13, 2005, as amended at 73 FR 59246, Oct. 8, 2008]



Sec. 1051.140  What is my vehicle's maximum engine power and displacement?

    This section describes how to quantify your vehicle's maximum engine 
power and displacement for the purposes of this part.
    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest 0.5 kilowatts. The nominal power curve of an engine 
configuration is the relationship between maximum available engine brake 
power and engine speed for an engine, using the mapping procedures of 40 
CFR part 1065, based on the manufacturer's design and production 
specifications for the engine. This information may also be expressed by 
a torque curve that relates maximum available engine torque with engine 
speed.
    (b) An engine configuration's displacement is the intended swept 
volume of the engine rounded to the nearest cubic centimeter. The swept 
volume of the engine is the product of the internal cross-section area 
of the cylinders, the stroke length, and the number of cylinders. For 
example, for a one-cylinder engine with a circular cylinder having an 
internal diameter of 6.00 cm and a 6.25 cm stroke length, the rounded 
displacement would be: (1)x(6.00/2) \2\ x ([pi]) x (6.25) = 177 cc. 
Calculate the engine's intended swept volume from the design 
specifications for the cylinders using enough significant figures to 
allow determination of the displacement to the nearest 0.1 cc.
    (c) The nominal power curve and intended swept volume must be within 
the range of the actual power curves and swept volumes of production 
engines considering normal production variability. If after production 
begins it is determined that either your nominal power curve or your 
intended swept volume does not represent production engines, we may 
require you to amend your application for certification under Sec. 
1051.225.

[73 FR 59247, Oct. 8, 2008]

[[Page 404]]



Sec. 1051.145  What provisions apply only for a limited time?

    Apply the following provisions instead of others in this part for 
the periods and circumstances specified in this section.
    (a) Provisions for small-volume manufacturers. Special provisions 
apply to you if you are a small-volume manufacturer subject to the 
requirements of this part. Contact us before 2006 if you intend to use 
these provisions.
    (1) You may delay complying with otherwise applicable emission 
standards (and other requirements) for two model years.
    (2) If you are a small-volume manufacturer of snowmobiles, only 50 
percent of the models you produce (instead of all of the models you 
produce) must meet emission standards in the first two years they apply 
to you as a small-volume manufacturer, as described in paragraph (a)(1) 
of this section. For example, this alternate phase-in allowance would 
allow small-volume snowmobile manufacturers to comply with the Phase 1 
exhaust standards by certifying 50 percent of their snowmobiles in 2008, 
50 percent of their snowmobiles in 2009, and 100 percent in 2010.
    (3) Your vehicles for model years before 2011 may be exempt from the 
exhaust standards of this part if you meet the following criteria:
    (i) Produce your vehicles by installing engines covered by a valid 
certificate of conformity under 40 CFR part 90 that shows the engines 
meet standards for Class II engines for each engine's model year.
    (ii) Do not change the engine in a way that we could reasonably 
expect to increase its exhaust emissions.
    (iii) The engine meets all applicable requirements from 40 CFR part 
90. This applies to engine manufacturers, vehicle manufacturers who use 
these engines, and all other persons as if these engines were not used 
in recreational vehicles.
    (iv) Show that fewer than 50 percent of the engine family's total 
sales in the United States are used in recreational vehicles regulated 
under this part. This includes engines used in any application, without 
regard to which company manufactures the vehicle or equipment.
    (v) If your engines do not meet the criteria listed in paragraph (a) 
of this section, they will be subject to the provisions of this part. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity violates the prohibitions in 40 CFR 1068.101.
    (vi) Engines exempted under this paragraph (a)(3) are subject to all 
the requirements affecting engines under 40 CFR part 90. The 
requirements and restrictions of 40 CFR part 90 apply to anyone 
manufacturing these engines, anyone manufacturing equipment that uses 
these engines, and all other persons in the same manner as other engines 
subject to 40 CFR part 90.
    (4) All vehicles produced under this paragraph (a) must be labeled 
according to our specifications. The label must include the following:
    (i) The heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your full corporate name and trademark.
    (iii) A description of the provisions under which this section 
applies to your vehicle .
    (iv) Other information that we specify to you in writing.
    (b) Optional emission standards for ATVs. To meet ATV standards for 
model years before 2014, you may apply the exhaust emission standards by 
model year in paragraph (b)(1) of this section while measuring emissions 
using the engine-based test procedures in 40 CFR part 1065 instead of 
the chassis-based test procedures in 40 CFR part 86. In model year 2014 
you may apply this provision for exhaust emission engine families 
representing up to 50 percent of your U.S.-directed production volume. 
This provision is not available in the 2015 or later-model years. If you 
certify only one ATV exhaust emission engine family in the 2014 model 
year this provision is available for that family in the 2014 model year.
    (1) Follow Table 1 of this section for exhaust emission standards, 
while meeting all the other requirements of Sec. 1051.107. You may use 
emission credits to show compliance with these standards (see subpart H 
of this part). You

[[Page 405]]

may not exchange emission credits with engine families meeting the 
standards in Sec. 1051.107(a). You may also not exchange credits 
between engine families certified to the standards for engines above 225 
cc and engine families certified to the standards for engines below 225 
cc. The phase-in percentages in the table specify the percentage of your 
total U.S.-directed production that must comply with the emission 
standards for those model years (i.e., the percentage requirement does 
not apply separately for engine families above and below 225 cc). Table 
1 follows:

               Table 1 of Sec.  1051.145--Optional Exhaust Emission Standards for ATVs (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                        Emission standards            Maximum
                                                                 --------------------------------    allowable
                                                                                                      family
      Engine displacement          Model year        Phase-in                                        emission
                                                                      HC+NOX            CO            limits
                                                                                                 ---------------
                                                                                                      HC+NOX
----------------------------------------------------------------------------------------------------------------
<225 cc.......................  2006............             50%            16.1             400            32.2
                                2007 and later..             100            16.1             400            32.2
=225 cc............  2006............              50            13.4             400            26.8
                                2007 and later..             100            13.4             400            26.8
----------------------------------------------------------------------------------------------------------------

    (2) Measure emissions by testing the engine on a dynamometer with 
the steady-state duty cycle described in Table 2 of this section.
    (i) During idle mode, hold the speed within your specifications, 
keep the throttle fully closed, and keep engine torque under 5 percent 
of the peak torque value at maximum test speed.
    (ii) For the full-load operating mode, operate the engine at its 
maximum fueling rate.
    (iii) See part 1065 of this chapter for detailed specifications of 
tolerances and calculations.
    (iv) Table 2 follows:

                     Table 2 of Sec.  1051.145--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
                                                                      Torque
                                         Engine speed  (percent     (percent of    Minimum time      Weighting
               Mode No.                  of maximum test speed)   maximum torque      in mode         factors
                                                                  at test speed)     (minutes)
----------------------------------------------------------------------------------------------------------------
1.....................................  85......................             100             5.0            0.09
2.....................................  85......................              75             5.0            0.20
3.....................................  85......................              50             5.0            0.29
4.....................................  85......................              25             5.0            0.30
5.....................................  85......................              10             5.0            0.07
6.....................................  Idle....................               0             5.0            0.05
----------------------------------------------------------------------------------------------------------------

    (3) For ATVs certified to the standards in this paragraph (b), use 
the following equations to determine the normalized emission rate 
required by Sec. 1051.137:

    (i) For engines at or above 225 cc, use the following equation:

NER = 9.898 x log (HC+NOX) -4.898

Where:

HC + NOX is the sum of the cycle-weighted emission rates for 
hydrocarbons and oxides of nitrogen in g/kW-hr.

    (ii) For engines below 225 cc, use the following equation:

NER = 9.898 x log [(HC+NOX) x 0.83] -4.898

Where:

HC + NOX is the sum of the cycle-weighted emission rates for 
hydrocarbons and oxides of nitrogen in g/kW-hr.

    (c) [Reserved]
    (d) Phase-in flexibility. For model years before 2014, if you make a 
good faith effort to comply, but fail to meet the sales requirements of 
this part during a phase-in period for new standards, or fail to meet 
the average emission standards, we may approve an alternative remedy to 
offset the emission reduction deficit using future emission

[[Page 406]]

credits under this part. To apply for this, you must:
    (1) Submit a plan during the certification process for the first 
model year of the phase-in showing how you project to meet the sales 
requirement of the phase-in.
    (2) Notify us less than 30 days after you determine that you are 
likely to fail to comply with the sales requirement of the phase-in.
    (3) Propose a remedy that will achieve equivalent or greater 
emission reductions compared to the specified phase-in requirements, and 
that will offset the deficit within one model year.
    (e) Raw sampling procedures. Using good engineering judgment, you 
may use the alternate raw-sampling procedures instead of the procedures 
described in 40 CFR part 1065 for emission testing certain vehicles, as 
follows:
    (1) Snowmobile. You may use the raw sampling procedures described in 
40 CFR part 90 or 91 for snowmobiles subject to Phase 1 or Phase 2 
standards.
    (2) ATV. You may use the raw sampling procedures described in 40 CFR 
part 90 or 91 for ATVs certified using engine-based test procedures as 
specified in Sec. 1051.615 before the 2015 model year. You may use 
these raw sampling procedures for any ATVs certified using engine-based 
test procedures as specified in paragraph (b) of this section.
    (f) Early credits. Snowmobile manufacturers may generate early 
emission credits in one of the following ways, by certifying some or all 
of their snowmobiles prior to 2006. Credit generating snowmobiles must 
meet all other applicable requirements of this part. No early credits 
may be generated by off-highway motorcycles or ATVs.
    (1) You may certify one or more snowmobile engine families to FELs 
(HC and CO) below the numerical level of the Phase 2 standards prior to 
the date when compliance with the Phase 1 standard is otherwise 
required. Credits are calculated relative to the Phase 2 standards. 
Credits generated under this paragraph (f)(1) may be used at any time 
before 2012.
    (2) You may certify a snowmobile engine family to FELs (HC and CO) 
below the numerical level of the Phase 1 standards prior to the date 
when compliance with the Phase 1 standard is otherwise required. Credits 
are calculated relative to the Phase 1 standards. Credits generated 
under this paragraph (f)(2) may only be used for compliance with the 
Phase 1 standards. You may generate credits under this paragraph (f)(2) 
without regard to whether the FELs are above or below the numerical 
level of the Phase 2 standards.
    (g) Pull-ahead option for permeation emissions. Manufacturers 
choosing to comply with an early tank permeation standard of 3.0 g/m\2\/
day prior to model year 2008 may be allowed to delay compliance with the 
1.5 g/m\2\/day standard by earning credits, as follows:
    (1) Calculate earned credits using the following equation:

Credit = (Baseline emissions - Pull-ahead level) x 
    [lsqbb][Sigma]i(Production)i x 
    (UL)i[rsqbb]

Where:

Baseline emissions = the baseline emission rate, as determined in 
paragraph (g)(2) of this section.
Pull-ahead level = the permeation level to which you certify the tank, 
which must be at or below 3.0 g/m\2\/day.
(Production)i = the annual production volume of vehicles in 
the engine family for model year ``i'' times the average internal 
surface area of the vehicles' fuel tanks.
(UL)i = The useful life of the engine family in model year 
``i''.

    (2) Determine the baseline emission level for calculating credits 
using any of the following values:
    (i) 7.6 g/m\2\/day.
    (ii) The emission rate measured from your lowest-emitting, 
uncontrolled fuel tank from the current or previous model year using the 
procedures in Sec. 1051.515. For example, this would generally involve 
the fuel tank with the greatest wall thickness for a given material.
    (iii) The emission rate measured from an uncontrolled fuel tank that 
is the same as or most similar to the model you have used during the 
current or previous model year. However, you may use this approach only 
if you use it to establish a baseline emission level for each unique 
tank model you produce using the procedures in Sec. 1051.515.

[[Page 407]]

    (3) Pull-ahead tanks under this option must be certified and must 
meet all applicable requirements other than those limited to compliance 
with the exhaust standards.
    (4) You may use credits generated under this paragraph (g) as 
specified in subpart H of this part.
    (h) Deficit credits for permeation standards. For 2008 through 2010 
model years, you may have a negative balance of emission credits 
relative to the permeation emission standards at the end of each model 
year, subject to the following provisions:
    (1) You must eliminate any credit deficit we allow under this 
paragraph (h) by the end of the 2011 model year. If you are unable to 
eliminate your credit deficit by the end of the 2011 model year, we may 
void the certificates for all families certified to FELs above the 
allowable average, for all affected model years.
    (2) State in your application for certification a statement whether 
you will have a negative balance of permeation emission credits for that 
model year. If you project that you will have a negative balance, 
estimate the credit deficit for each affected model year and present a 
detailed plan to show where and when you will get credits to offset the 
deficit by the end of the 2011 model year.
    (3) In your end-of-year report under Sec. 1051.730, state whether 
your credit deficit is larger or smaller than you projected in your 
application for certification. If the deficit is larger than projected, 
include in your end-of-year report an update to your detailed plan to 
show how you will eliminate the credit deficit by the end of the 2011 
model year.
    (i) Delayed compliance with labeling requirements. Before the 2010 
model year, you may omit the date of manufacture from the emission 
control information label if you keep those records and provide them to 
us upon request. Before the 2010 model year, you may also omit the label 
information specified for evaporative emission controls.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40491, July 13, 2005; 72 
FR 20735, Apr. 26, 2007; 73 FR 59247, Oct. 8, 2008]



                  Subpart C_Certifying Engine Families



Sec. 1051.201  What are the general requirements for obtaining a certificate 

of conformity?

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date, but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec. 1051.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec. 1051.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 1051.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test vehicles or engines to a 
facility we designate for our testing (see Sec. 1051.235(c)).
    (h) For vehicles that become new after being placed into service, 
such as vehicles converted to run on a different fuel, we may specify 
alternate certification provisions consistent with the intent of this 
part. See Sec. 1051.650 and the definition of ``new'' in Sec. 
1051.801.

[70 FR 40492, July 13, 2005, as amended at 73 FR 59248, Oct. 8, 2008; 75 
FR 23024, Apr. 30, 2010]



Sec. 1051.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
1051.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters

[[Page 408]]

of the vehicle's design and emission controls. List the fuel type on 
which your engines are designed to operate (for example, gasoline, 
liquefied petroleum gas, methanol, or natural gas). List vehicle 
configurations and model names that are included in the engine family.
    (b) Explain how the emission control systems operate. Describe the 
evaporative emission controls. Also describe in detail all system 
components for controlling exhaust emissions, including all auxiliary 
emission control devices (AECDs) and all fuel-system components you will 
install on any production or test vehicle or engine. Identify the part 
number of each component you describe. For this paragraph (b), treat as 
separate AECDs any devices that modulate or activate differently from 
each other. Include sufficient detail to allow us to evaluate whether 
the AECDs are consistent with the defeat device prohibition of Sec. 
1051.115.
    (c) [Reserved]
    (d) Describe the vehicles or engines you selected for testing and 
the reasons for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec. 
1051.501).
    (f) Describe how you operated the emission-data vehicle before 
testing, including the duty cycle and the extent of engine operation 
used to stabilize emission levels. Explain why you selected the method 
of service accumulation. Describe any scheduled maintenance you did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance instructions you will give to the 
ultimate purchaser of each new vehicle (see Sec. 1051.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vehicle (see Sec. 
1051.130).
    (k) Describe the labels you create to meet the requirements of Sec. 
1051.135.
    (l) Identify the exhaust emission standards or FELs to which you are 
certifying engines in the engine family.
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec. 1051.243 and Sec. 1051.245). Present 
any emission test data you used for this.
    (n) State that you operated your emission-data vehicles as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (o) Present emission data to show that you meet emission standards, 
as follows:
    (1) Present exhaust emission data for hydrocarbons (such as NMHC or 
THCE, as applicable), NOX, and CO on an emission-data vehicle 
to show your vehicles meet the exhaust emission standards as specified 
in subpart B of this part. Show emission figures before and after 
applying deterioration factors for each vehicle or engine. If we specify 
more than one grade of any fuel type (for example, a summer grade and 
winter grade of gasoline), you need to submit test data only for one 
grade unless the regulations of this part specify otherwise for your 
engine.
    (2) Present evaporative test data for hydrocarbons to show your 
vehicles meet the evaporative emission standards we specify in subpart B 
of this part. Show emission figures before and after applying 
deterioration factors for each vehicle or engine, where applicable. If 
you did not perform the testing, identify the source of the test data.
    (3) Note that Sec. 1051.235 and Sec. 1051.245 allow you to submit 
an application in certain cases without new emission data.
    (p) Report test results as follows:
    (1) Report all test results involving measurement of pollutants for 
which emission standards apply. Include test results from invalid tests 
or from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR parts 86 and 1065.
    (2) Report measured CO2, N2O, and 
CH4 as described in Sec. 1051.235. Small-

[[Page 409]]

volume manufacturers may omit reporting N2O and 
CH4.
    (q) Describe all adjustable operating parameters (see Sec. 
1051.115(e)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of 
inhibiting adjustment are effective in preventing adjustment of 
parameters on in-use engines to settings outside your intended 
physically adjustable ranges.
    (r) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in equipment and placed in service. 
If this cannot be done by simply adding a 20-centimeter extension to the 
exhaust pipe, show how to sample exhaust emissions in a way that 
prevents diluting the exhaust sample with ambient air.
    (s) Unconditionally certify that all the vehicles and/or engines in 
the engine family comply with the requirements of this part, other 
referenced parts of the CFR, and the Clean Air Act.
    (t) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes if 
they are substantially different than actual production volumes in 
earlier years for similar models.
    (u) Include the information required by other subparts of this part. 
For example, include the information required by Sec. 1051.725 if you 
participate in the ABT program.
    (v) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (w) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.

[70 FR 40493, July 13, 2005, as amended at 73 FR 59248, Oct. 8, 2008; 74 
FR 56510, Oct. 30, 2009]



Sec. 1051.210  May I get preliminary approval before I complete my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service 
accumulation, and maintenance. Decisions made under this section are 
considered to be preliminary approval, subject to final review and 
approval. We will generally not reverse a decision where we have given 
you preliminary approval, unless we find new information supporting a 
different decision. If you request preliminary approval related to the 
upcoming model year or the model year after that, we will make best-
efforts to make the appropriate determinations as soon as practicable. 
We will generally not provide preliminary approval related to a future 
model year more than two years ahead of time.

[70 FR 40494, July 13, 2005]



Sec. 1051.220  How do I amend the maintenance instructions in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification as long as the amended 
instructions remain consistent with the provisions of Sec. 1051.125. 
You must send the Designated Compliance Officer a request to amend your 
application for certification for an engine family if you want to change 
the emission-related maintenance instructions in a way that could affect 
emissions. In your request, describe the proposed changes to the 
maintenance instructions. If operators follow the original maintenance 
instructions rather than the newly specified maintenance, this does not 
allow you to disqualify those engines from in-use testing or deny a 
warranty claim.
    (a) If you are decreasing or eliminating any specified maintenance, 
you

[[Page 410]]

may distribute the new maintenance instructions to your customers 30 
days after we receive your request, unless we disapprove your request. 
This would generally include replacing one maintenance step with 
another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of a maintenance step for 
engines in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).

[70 FR 40494, July 13, 2005, as amended at 73 FR 59248, Oct. 8, 2008; 75 
FR 23024, Apr. 30, 2010]



Sec. 1051.225  How do I amend my application for certification to include 

new or modified vehicle configurations or to change an FEL?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified vehicle configurations, subject 
to the provisions of this section. After we have issued your certificate 
of conformity, you may send us an amended application requesting that we 
include new or modified vehicle configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add a vehicle configuration to an engine family. In this case, 
the vehicle configuration added must be consistent with other vehicle 
configurations in the engine family with respect to the criteria listed 
in Sec. 1051.230.
    (2) Change a vehicle configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family, as described in paragraph 
(f) of this section.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the vehicle model 
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data vehicle is still appropriate 
for showing that the amended family complies with all applicable 
requirements.
    (3) If the original emission-data vehicle for the engine family is 
not appropriate to show compliance for the new or modified vehicle 
configuration, include new test data showing that the new or modified 
vehicle configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified vehicle configuration. You may 
ask for a hearing if we deny your request (see Sec. 1051.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified vehicle 
configuration anytime after you send us your amended application, before 
we make a decision under paragraph (d) of this section. However, if we 
determine that the affected vehicles do not meet applicable 
requirements, we will notify you to cease production of the vehicles and 
may require you to recall the vehicles at no expense to the owner. 
Choosing

[[Page 411]]

to produce vehicles under this paragraph (e) is deemed to be consent to 
recall all vehicles that we determine do not meet applicable emission 
standards or other requirements and to remedy the nonconformity at no 
expense to the owner. If you do not provide information required under 
paragraph (c) of this section within 30 days after we request it, you 
must stop producing the new or modified vehicle configuration.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to vehicles 
you have already introduced into commerce, except as described in this 
paragraph (f). If we approve a changed FEL after the start of 
production, you must include the new FEL on the emission control 
information label for all vehicles produced after the change. You may 
ask us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified vehicle, as described in paragraph (b)(3) of 
this section, use the appropriate FELs with corresponding production 
volumes to calculate your average emission level for the model year, as 
described in subpart H of this part. In all other circumstances, you 
must use the higher FEL for the entire family to calculate your average 
emission level under subpart H of this part.
    (2) You may ask to lower the FEL for your engine family only if you 
have test data from production engines showing that the engines have 
emissions below the proposed lower FEL. The lower FEL applies only to 
engines you produce after we approve the new FEL. Use the appropriate 
FELs with corresponding production volumes to calculate your average 
emission level for the model year, as described in subpart H of this 
part.

[73 FR 59249, Oct. 8, 2008]



Sec. 1051.230  How do I select engine families?

    (a) For purposes of certification, divide your product line into 
families of vehicles as described in this section. Except as specified 
in paragraph (f) of this section, you must have separate engine families 
for meeting exhaust and evaporative emissions. Your engine family is 
limited to a single model year.
    (b) For exhaust emissions, group vehicles in the same engine family 
if they are the same in all the following aspects:
    (1) The combustion cycle.
    (2) The cooling system (liquid-cooled vs. air-cooled).
    (3) Configuration of the fuel system (for example, port fuel 
injection vs. carburetion).
    (4) Method of air aspiration.
    (5) The number, location, volume, and composition of catalytic 
converters.
    (6) Type of fuel.
    (7) The number, arrangement (such as in-line or vee configuration), 
and approximate bore diameter of cylinders.
    (8) Numerical level of the emission standards that apply to the 
vehicle. For example, an engine family may not include vehicles 
certified to different family emission limits, though you may change 
family emission limits without recertifying as specified in Sec. 
1051.225.
    (c) For evaporative emissions, group vehicles in the same engine 
family if fuel tanks are similar and fuel lines are similar considering 
all the following aspects:
    (1) Type of material (including additives such as pigments, 
plasticizers, and UV inhibitors).
    (2) Emission-control strategy.
    (3) Production methods. This does not apply to differences in 
production methods that would not affect emission characteristics.
    (d) You may subdivide a group of vehicles that is identical under 
paragraph (b) or (c) of this section into different engine families if 
you show the expected emission characteristics are different during the 
useful life.
    (e) You may group vehicles that are not identical with respect to 
the things

[[Page 412]]

listed in paragraph (b) or (c) of this section in the same engine 
family, as follows:
    (1) In unusual circumstances, you may group such vehicles in the 
same engine family if you show that their emission characteristics 
during the useful life will be similar.
    (2) If you are a small-volume manufacturer, you may group engines 
from any vehicles subject to the same emission standards into a single 
engine family. This does not change any of the requirements of this part 
for showing that an engine family meets emission standards.
    (f) You may divide your product line into engine families based on a 
combined consideration of exhaust and evaporative emission-control 
systems, consistent with the requirements of this section. This would 
allow you to use a single engine-family designation for each engine 
family instead of having separate engine-family designations for exhaust 
and evaporative emission-control systems for each model.
    (g) Select test engines from the engine family as described in 40 
CFR 1065.401. Select test components related to evaporative emission-
control systems that are most likely to exceed the applicable emission 
standards. For example, select a fuel tank with the smallest average 
wall thickness (or barrier thickness, as appropriate) of those tanks you 
include in the same family.

[70 FR 40495, July 13, 2005, as amended at 73 FR 59249, Oct. 8, 2008; 75 
FR 23024, Apr. 30, 2010]



Sec. 1051.235  What emission testing must I perform for my application for a certificate of conformity?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in subpart B of this part.
    (a) Test your emission-data vehicles using the procedures and 
equipment specified in subpart F of this part. Where specifically 
required or allowed, test the engine instead of the vehicle. For 
evaporative emissions, test the fuel system components separate from the 
vehicle.
    (b) Select from each engine family an emission-data vehicle, and a 
fuel system for each fuel type with a configuration that is most likely 
to exceed the emission standards, using good engineering judgment. 
Consider the emission levels of all exhaust constituents over the full 
useful life of the vehicle.
    (c) We may measure emissions from any of your test vehicles or 
engines (or any other vehicles or engines from the engine family), as 
follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test vehicle or engine to 
a test facility we designate. The test vehicle or engine you provide 
must include appropriate manifolds, aftertreatment devices, electronic 
control units, and other emission-related components not normally 
attached directly to the engine block. If we do the testing at your 
plant, you must schedule it as soon as possible and make available the 
instruments, personnel, and equipment we need.
    (2) If we measure emissions on one of your test vehicles or engines, 
the results of that testing become the official emission results. Unless 
we later invalidate these data, we may decide not to consider your data 
in determining if your engine family meets applicable requirements.
    (3) Before we test one of your vehicles or engines, we may set its 
adjustable parameters to any point within the physically adjustable 
ranges (see Sec. 1051.115(c)).
    (4) Before we test one of your vehicles or engines, we may calibrate 
it within normal production tolerances for anything we do not consider 
an adjustable parameter. For example, this would apply where we 
determine that an engine parameter is not an adjustable parameter (as 
defined in Sec. 1051.801) but that it is subject to production 
variability.
    (d) You may use previously generated emission data in the following 
cases:
    (1) You may ask to use carryover emission data from a previous model 
year instead of doing new tests, but only if all the following are true:
    (i) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask

[[Page 413]]

to add a configuration subject to Sec. 1051.225.
    (ii) The emission-data vehicle from the previous model year remains 
the appropriate emission-data vehicle under paragraph (b) of this 
section.
    (iii) The data show that the emission-data vehicle would meet all 
the requirements that apply to the engine family covered by the 
application for certification.
    (2) You may submit emission data for equivalent engine families 
performed to show compliance with other standards (such as California 
standards) instead of doing new tests, but only if the data show that 
the test vehicle or engine would meet all of this part's requirements.
    (3) You may submit evaporative emission data measured by a fuel 
system supplier. We may require you to verify that the testing was 
conducted in accordance with the applicable regulations.
    (e) We may require you to test a second vehicle or engine of the 
same or different configuration in addition to the vehicle or engine 
tested under paragraph (b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (g) If you are a small-volume manufacturer, you may certify by 
design on the basis of preexisting exhaust emission data for similar 
technologies and other relevant information, and in accordance with good 
engineering judgment. In those cases, you are not required to test your 
vehicles. This is called ``design-certification'' or ``certifying by 
design.'' To certify by design, you must show that the technology used 
on your engines is sufficiently similar to the previously tested 
technology that a person reasonably familiar with emission-control 
technology would believe that your engines will comply with the emission 
standards.
    (h) For fuel tanks that are certified based on permeability 
treatments for plastic fuel tanks, you do not need to test each engine 
family. However, you must use good engineering judgment to determine 
permeation rates for the tanks. This requires that more than one fuel 
tank be tested for each set of treatment conditions. You may not use 
test data from a given tank for any other tanks that have thinner walls. 
You may, however, use test data from a given tank for other tanks that 
have thicker walls. This applies to both low-hour (i.e., baseline 
testing) and durability testing. Note that Sec. 1051.245 allows you to 
use design-based certification instead of generating new emission data.
    (i) Measure CO2 and CH4 with each low-hour 
certification test using the procedures specified in 40 CFR part 1065 
starting in the 2011 and 2012 model years, respectively. Also measure 
N2O with each low-hour certification test using the 
analytical equipment and procedures specified in 40 CFR part 1065 
starting in the 2013 model year for any engine family that depends on 
NOx aftertreatment to meet emission standards. Small-volume 
manufacturers may omit measurement of N2O and CH4; 
other manufacturers may provide appropriate data and/or information and 
omit measurement of N2O and CH4 as described in 40 
CFR 1065.5. Use the same units and modal calculations as for your other 
results to report a single weighted value for each constituent. Round 
the final values as follows:
    (1) Round CO2 to the nearest 1 g/kW-hr or 1 g/km, as 
appropriate.
    (2) Round N2O to the nearest 0.001 g/kW-hr or 0.001 g/km, 
as appropriate.
    (3) Round CH4 to the nearest 0.001 g/kW-hr or 0.001 g/km, 
as appropriate.

[70 FR 40495, July 13, 2005, as amended at 73 FR 59249, Oct. 8, 2008; 74 
FR 56510, Oct. 30, 2009]



Sec. 1051.240  How do I demonstrate that my engine family complies with exhaust emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical exhaust emission standards 
in subpart B of this part if all emission-data vehicles representing 
that family have test results showing deteriorated emission levels at or 
below these standards. This includes all test points over the course of 
the durability demonstration. (Note:

[[Page 414]]

if you participate in the ABT program in subpart H of this part, your 
FELs are considered to be the applicable emission standards with which 
you must comply.)
    (b) Your engine family is deemed not to comply if any emission-data 
vehicle representing that family has test results showing a deteriorated 
emission level for any pollutant that is above an applicable FEL or 
emission standard. This includes all test points over the course of the 
durability demonstration.
    (c) To compare emission levels from the emission-data vehicle with 
the applicable emission standards, apply deterioration factors to the 
measured emission levels. Section 1051.243 specifies how to test your 
vehicle to develop deterioration factors that represent the 
deterioration expected in emissions over your vehicle's full useful 
life. Your deterioration factors must take into account any available 
data from in-use testing with similar engines. Small-volume 
manufacturers may use assigned deterioration factors that we establish. 
Apply deterioration factors as follows:
    (1) For vehicles that use aftertreatment technology, such as 
catalytic converters, use a multiplicative deterioration factor for 
exhaust emissions. A multiplicative deterioration factor is the ratio of 
exhaust emissions at the end of the useful life and exhaust emissions at 
the low-hour test point. In these cases, adjust the official emission 
results for each tested vehicle or engine at the selected test point by 
multiplying the measured emissions by the deterioration factor. If the 
factor is less than one, use one. Multiplicative deterioration factors 
must be specified to three significant figures.
    (2) For vehicles that do not use aftertreatment technology, use an 
additive deterioration factor for exhaust emissions. An additive 
deterioration factor for a pollutant is the difference between exhaust 
emissions at the end of the useful life and exhaust emissions at the 
low-hour test point. In these cases, adjust the official emission 
results for each tested vehicle or engine at the selected test point by 
adding the factor to the measured emissions. If the factor is less than 
zero, use zero. Additive deterioration factors must be specified to one 
more decimal place than the applicable standard.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data vehicle. In the case of 
HC+NOX standards, add the emission results and apply the 
deterioration factor to the sum of the pollutants before rounding. 
However, if your deterioration factors are based on emission 
measurements that do not cover the vehicle's full useful life, apply the 
deterioration factor to each pollutant and then add the results before 
rounding.

[70 FR 40496, July 13, 2005, as amended at 73 FR 59250, Oct. 8, 2008]



Sec. 1051.243  How do I determine deterioration factors from exhaust durability testing?

    This section describes how to determine deterioration factors, 
either with pre-existing test data or with new emission measurements.
    (a) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar vehicles or engines 
if you have already given us these data for certifying other vehicles in 
the same or earlier model years. Use good engineering judgment to decide 
whether the two vehicles or engines are similar. We will approve your 
request if you show us that the emission measurements from other 
vehicles or engines reasonably represent in-use deterioration for the 
engine family for which you have not yet determined deterioration 
factors.
    (b) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) of this section, select vehicles, 
engines, subsystems, or components for testing. Determine deterioration 
factors based on service accumulation and related testing to represent 
the deterioration expected from in-use vehicles over the full useful 
life, as follows:
    (1) You must measure emissions from the emission-data vehicle at a 
low-hour

[[Page 415]]

test point and the end of the useful life. You may also test at evenly 
spaced intermediate points.
    (2) Operate the vehicle or engine over a representative duty cycle 
for a period at least as long as the useful life (in hours or 
kilometers). You may operate the vehicle or engine continuously.
    (3) You may perform maintenance on emission-data vehicles as 
described in Sec. 1051.125 and 40 CFR part 1065, subpart E.
    (4) If you measure emissions at only two points to calculate your 
deterioration factor, base your calculations on a linear relationship 
connecting these two data points for each pollutant. If you measure 
emissions at three or more points, use a linear least-squares fit of 
your test data for each pollutant to calculate your deterioration 
factor.
    (5) Use good engineering judgment for all aspects of the effort to 
establish deterioration factors under this paragraph (b).
    (6) You may use other testing methods to determine deterioration 
factors, consistent with good engineering judgment, as long as we 
approve those methods in advance.
    (c) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.

[70 FR 40496, July 13, 2005, as amended at 73 FR 59250, Oct. 8, 2008]



Sec. 1051.245  How do I demonstrate that my engine family complies with

evaporative emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the evaporative emission standards in subpart B of 
this part if you do either of the following:
    (1) You have test results showing permeation emission levels from 
the fuel tanks and fuel lines in the family are at or below the 
standards in Sec. 1051.110 throughout the useful life.
    (2) You comply with the design specifications in paragraph (e) of 
this section.
    (b) Your engine family is deemed not to comply if any fuel tank or 
fuel line representing that family has test results showing a 
deteriorated emission level above the standard.
    (c) To compare emission levels with the emission standards, apply 
deterioration factors to the measured emission levels. For permeation 
emissions, use the following procedures to establish an additive 
deterioration factor, as described in Sec. 1051.240(c)(2):
    (1) Section 1051.515 specifies how to test your fuel tanks to 
develop deterioration factors. Small-volume manufacturers may use 
assigned deterioration factors that we establish. Apply the 
deterioration factors as follows:
    (i) Calculate the deterioration factor from emission tests performed 
before and after the durability tests as described in Sec. 1051.515(c) 
and (d), using good engineering judgment. The durability tests described 
in Sec. 1051.515(d) represent the minimum requirements for determining 
a deterioration factor. You may not use a deterioration factor that is 
less than the difference between evaporative emissions before and after 
the durability tests as described in Sec. 1051.515(c) and (d).
    (ii) Do not apply the deterioration factor to test results for tanks 
that have already undergone these durability tests.
    (2) Determine the deterioration factor for fuel lines using good 
engineering judgment.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data vehicle.
    (e) You may demonstrate for certification that your engine family 
complies with the evaporative emission standards by demonstrating that 
you use the following control technologies:

[[Page 416]]

    (1) For certification to the standards specified in Sec. 
1051.110(a) with the control technologies shown in the following table:

    Table 1 of Sec.  1051.245--Design-certification Technologies for
                       Controlling Tank Permeation
------------------------------------------------------------------------
                                             Then you may design-certify
     If the tank permeability control        with a tank emission level
            technology is . . .                       of . . .
------------------------------------------------------------------------
(i) A metal fuel tank with no non-metal     1.5 g/m\2\/day.
 gaskets or with gaskets made from a low-
 permeability material.
(ii) A metal fuel tank with non-metal       1.5 g/m\2\/day.
 gaskets with an exposed surface area of
 1000 mm\2\ or less.
------------------------------------------------------------------------

    (2) For certification to the standards specified in Sec. 
1051.110(b) with the control technologies shown in the following table:

    Table 2 of Sec.  1051.245--Design-certification Technologies for
                    Controlling Fuel-line Permeation
------------------------------------------------------------------------
                                             Then you may design-certify
   If the fuel-line permeability control     with a fuel line permeation
            technology is . . .                emission level of . . .
------------------------------------------------------------------------
(i) Hose meeting the specifications for     15 g/m\2\/day.
 Low Emission Fuel Lines as described in
 40 CFR 1048.105.
(ii) Hose meeting the R11-A or R12          15 g/m\2\/day.
 permeation specifications in SAE J30 as
 described in 40 CFR 1060.810.
------------------------------------------------------------------------


[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70 
FR 40497, July 13, 2005; 73 FR 59250, Oct. 8, 2008]



Sec. 1051.250  What records must I keep and make available to EPA?

    (a) Send the Designated Compliance Officer information related to 
your U.S.-directed production volumes as described in Sec. 1051.345. In 
addition, within 45 days after the end of the model year, you must send 
us a report describing information about vehicles you produced during 
the model year as follows:
    (1) State the total production volume for each engine family that is 
not subject to reporting under Sec. 1051.345.
    (2) State the total production volume for any engine family for 
which you produce vehicles after completing the reports required in 
Sec. 1051.345.
    (3) For production volumes you report under this paragraph (a), 
identify whether or not the figures include California sales. Include a 
separate count of production volumes for California sales if those 
figures are available.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec. 1051.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data vehicle. For each 
vehicle, describe all of the following:
    (i) The emission-data vehicle's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
vehicles, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated vehicle or engine operating hours, 
including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission-control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in this section for eight years after we issue your 
certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them.

[[Page 417]]

You must keep these records readily available. We may review them at any 
time.

[70 FR 40497, July 13, 2005, as amended at 73 FR 59250, Oct. 8, 2008]



Sec. 1051.255  What decisions may EPA make regarding my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your engine family for that 
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Clean Air Act. We will base our 
decision on all available information. If we deny your application, we 
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 1051.820).

[70 FR 40497, July 13, 2005, as amended at 75 FR 23024, Apr. 30, 2010]



         Subpart D_Testing Production-Line Vehicles and Engines



Sec. 1051.301  When must I test my production-line vehicles or engines?

    (a) If you produce vehicles that are subject to the requirements of 
this part, you must test them as described in this subpart, except as 
follows:
    (1) Small-volume manufacturers may omit testing under this subpart.
    (2) We may exempt engine families with a projected U.S.-directed 
production volume below 150 units from routine testing under this 
subpart. Request this exemption in your application for certification 
and include your basis for projecting a production volume below 150 
units. We will approve your request if we agree that you have made good-
faith estimates of your production volumes. Your exemption is approved 
when we grant your certificate. You must promptly notify us if your 
actual production exceeds 150 units during the model year. If you exceed 
the production limit or if there is evidence of a nonconformity, we may 
require you to test production-line engines under this subpart, or under 
40 CFR part 1068, subpart E, even if we have approved an exemption under 
this paragraph (a)(2).
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line vehicles or engines do 
not meet the requirements of this part or you do not fulfill your 
obligations under this subpart (see Sec. Sec. 1051.325 and 1051.340).
    (c) Other regulatory provisions authorize us to suspend, revoke, or 
void your certificate of conformity, or order recalls for engine 
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not 
affect our ability to do selective enforcement audits, as described in 
part 1068 of this chapter. Individual vehicles and engines in families 
that pass

[[Page 418]]

these production-line testing requirements must also conform to all 
applicable regulations of this part and part 1068 of this chapter.
    (d) You may use alternate programs for testing production-line 
vehicles or engines in the following circumstances:
    (1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the 
otherwise applicable requirements in 40 CFR part 1065 for laboratory 
testing, to demonstrate compliance with emission standards if you double 
the minimum sampling rate specified in Sec. 1054.310(b). Use measured 
test results to determine whether vehicles or engines comply with 
applicable standards without applying a measurement allowance. This 
alternate program does not require prior approval but we may disallow 
use of this option where we determine that use of field-grade equipment 
would prevent you from being able to demonstrate that your vehicles or 
engines are being produced to conform to the specifications in your 
application for certification.
    (2) You may ask to use another alternate program for testing 
production-line vehicles or engines. In your request, you must show us 
that the alternate program gives equal assurance that your products meet 
the requirements of this part. We may waive some or all of this 
subpart's requirements if we approve your alternate approach. For 
example, in certain circumstances you may be able to give us equal 
assurance that your products meet the requirements of this part by using 
less rigorous measurement methods if you offset that by increasing the 
number of test vehicles or engines.
    (e) If you certify an engine family with carryover emission data, as 
described in Sec. 1051.235(d), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one vehicle or engine per engine family. If we reduce your 
testing rate, we may limit our approval to any number of model years. In 
determining whether to approve your request, we may consider the number 
of vehicles or engines that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
vehicles or engines available for a reasonable time so we can test or 
inspect them for compliance with the requirements of this part.
    (g) The requirements of this subpart do not apply to engine families 
certified under the provisions of Sec. 1051.630.
    (h) Vehicles certified to the following standards are exempt from 
the production-line testing requirements of this subpart if no engine 
families in the averaging set have family emission limits that are 
different than the otherwise applicable standard:
    (1) Phase I or Phase 2 standards in Sec. 1051.103
    (2) Phase I standards in Sec. 1051.105
    (3) Phase I standards in Sec. 1051.107.
    (4) The standards in Sec. 1051.615.
    (5) The standards in Sec. 1051.145.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005; 73 
FR 59250, Oct. 8, 2008]



Sec. 1051.305  How must I prepare and test my production-line vehicles or engines?

    This section describes how to prepare and test production-line 
vehicles or engines. Test the engine if your vehicle is certified to g/
kW-hr standards; otherwise test the vehicle. You must assemble the test 
vehicle or engine in a way that represents the assembly procedures for 
other vehicles or engines in the engine family. You must ask us to 
approve any deviations from your normal assembly procedures for other 
production vehicles or engines in the engine family.
    (a) Test procedures. Test your production-line vehicles or engines 
using the applicable testing procedures in subpart F of this part to 
show you meet the emission standards in subpart B of this part.
    (b) Modifying a test vehicle or engine. Once a vehicle or engine is 
selected for testing (see Sec. 1051.310), you may adjust, repair, 
prepare, or modify it or check its emissions only if one of the 
following is true:
    (1) You document the need for doing so in your procedures for 
assembling

[[Page 419]]

and inspecting all your production vehicles or engines and make the 
action routine for all the vehicles or engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Malfunction. If a vehicle or engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair it or 
delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may require 
you to adjust any adjustable parameter to any setting within its 
physically adjustable range.
    (1) We may require you to adjust idle speed outside the physically 
adjustable range as needed, but only until the vehicle or engine has 
stabilized emission levels (see paragraph (e) of this section). We may 
ask you for information needed to establish an alternate minimum idle 
speed.
    (2) We may specify adjustments within the physically adjustable 
range by considering their effect on emission levels. We may also 
consider how likely it is that someone will make such an adjustment with 
in-use vehicles.
    (3) We may specify an air-fuel ratio within the adjustable range 
specified in Sec. 1051.115(d).
    (e) Stabilizing emission levels. Before you test production-line 
vehicles or engines, you may operate the vehicle or engine to stabilize 
the emission levels. Using good engineering judgment, operate your 
vehicles or engines in a way that represents the way they will be used. 
You may operate each vehicle or engine for no more than the greater of 
two periods:
    (1) 50 hours or 500 kilometers.
    (2) The number of hours or kilometers you operated the emission-data 
vehicle used for certifying the engine family (see 40 CFR part 1065, 
subpart E, or the applicable regulations governing how you should 
prepare your test vehicle or engine).
    (f) Damage during shipment. If shipping a vehicle or engine to a 
remote facility for production-line testing makes necessary an 
adjustment or repair, you must wait until after the initial emission 
test to do this work. We may waive this requirement if the test would be 
impossible or unsafe, or if it would permanently damage the vehicle or 
engine. Report to us, in your written report under Sec. 1051.345, all 
adjustments or repairs you make on test vehicles or engines before each 
test.
    (g) Retesting after invalid tests. You may retest a vehicle or 
engine if you determine an emission test is invalid under subpart F of 
this part. Explain in your written report reasons for invalidating any 
test and the emission results from all tests. If we determine that you 
improperly invalidated a test, we may require you to ask for our 
approval for future testing before substituting results of the new tests 
for invalid ones.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005; 73 
FR 59251, Oct. 8, 2008]



Sec. 1051.310  How must I select vehicles or engines for production-line testing?

    (a) Test engines from each engine family as described in this 
section based on test periods, as follows:
    (1) For engine families with projected U.S.-directed production 
volume of at least 1,600, the test periods are consecutive quarters (3 
months). However, if your annual production period is less than 12 
months long, you may take the following alternative approach to define 
quarterly test periods:
    (i) If your annual production period is 120 days or less, the whole 
model year constitutes a single test period.
    (ii) If your annual production period is 121 to 210 days, divide the 
annual production period evenly into two test periods.
    (iii) If your annual production period is 211 to 300 days, divide 
the annual production period evenly into three test periods.
    (iv) If your annual production period is 301 days or longer, divide 
the annual production period evenly into four test periods.
    (2) For engine families with projected U.S.-directed production 
volume below 1,600, the whole model year constitutes a single test 
period.
    (b) Early in each test period, randomly select and test an engine 
from

[[Page 420]]

the end of the assembly line for each engine family.
    (1) In the first test period for newly certified engines, randomly 
select and test one more engine. Then, calculate the required sample 
size for the model year as described in paragraph (c) of this section.
    (2) In later test periods of the same model year, combine the new 
test result with all previous testing in the model year. Then, calculate 
the required sample size for the model year as described in paragraph 
(c) of this section.
    (3) In the first test period for engine families relying on 
previously submitted test data, combine the new test result with the 
last test result from the previous model year. Then, calculate the 
required sample size for the model year as described in paragraph (c) of 
this section. Use the last test result from the previous model year only 
for this first calculation. For all subsequent calculations, use only 
results from the current model year.
    (c) Calculate the required sample size for each engine family. 
Separately calculate this figure for HC, NOX (or HC + 
NOX), and CO. The required sample size is the greater of 
these calculated values. Use the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.093

Where:

N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number 
of tests completed, n, as specified in the table in paragraph (c)(1) of 
this section. It defines 95% confidence intervals for a one-tail 
distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of this 
section).
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).

    (1) Determine the 95% confidence coefficient, t95, from 
the following table:

------------------------------------------------------------------------
     n          t95           n          t95           n          t95
------------------------------------------------------------------------
      2          6.31         12          1.80         22          1.72
      3          2.92         13          1.78         23          1.72
      4          2.35         14          1.77         24          1.71
      5          2.13         15          1.76         25          1.71
      6          2.02         16          1.75         26          1.71
      7          1.94         17          1.75         27          1.71
      8          1.90         18          1.74         28          1.70
      9          1.86         19          1.73         29          1.70
     10          1.83         20          1.73        30+          1.70
     11          1.81         21          1.72    ..........  ..........
------------------------------------------------------------------------

    (2) Calculate the standard deviation, [sigma], for the test sample 
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.094

Where:

Xi = Emission test result for an individual vehicle or 
engine.
n = The number of tests completed in an engine family.

    (d) Use final deteriorated test results to calculate the variables 
in the equations in paragraph (c) of this section (see Sec. 
1051.315(a)).
    (e) After each new test, recalculate the required sample size using 
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
    (f) Distribute the remaining tests evenly throughout the rest of the 
year. You may need to adjust your schedule for selecting vehicles or 
engines if the required sample size changes. If your

[[Page 421]]

scheduled quarterly testing for the remainder of the model year is 
sufficient to meet the calculated sample size, you may wait until the 
next quarter to do additional testing. Continue to randomly select 
vehicles or engines from each engine family.
    (g) Continue testing until one of the following things happens:
    (1) After completing the minimum number of tests required in 
paragraph (b) of this section, the number of tests completed in an 
engine family, n, is greater than the required sample size, N, and the 
sample mean, x, is less than or equal to the emission standard. For 
example, if N = 5.1 after the fifth test, the sample-size calculation 
does not allow you to stop testing.
    (2) The engine family does not comply according to Sec. 1051.315.
    (3) You test 30 vehicles or engines from the engine family.
    (4) You test one percent of your projected annual U.S.-directed 
production volume for the engine family, rounded to the nearest whole 
number. Do not count a vehicle or engine under this paragraph (g)(4) if 
it fails to meet an applicable emission standard.
    (5) You choose to declare that the engine family does not comply 
with the requirements of this subpart.
    (h) If the sample-size calculation allows you to stop testing for 
one pollutant but not another, you must continue measuring emission 
levels of all pollutants for any additional tests required under this 
section. However, you need not continue making the calculations 
specified in this subpart for the pollutant for which testing is not 
required. This paragraph (h) does not affect the number of tests 
required under this section, the required calculations in Sec. 
1051.315, or the remedial steps required under Sec. 1051.320.
    (i) You may elect to test more randomly chosen vehicles or engines 
than we require under this section. Include these vehicles or engines in 
the sample-size calculations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005; 73 
FR 59251, Oct. 8, 2008]



Sec. 1051.315  How do I know when my engine family fails the production-line testing requirements?

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine family 
basis. SeeSec. 1051.320 for the requirements that apply to individual 
vehicles or engines that fail a production-line test.
    (a) Calculate your test results. Round them to the number of decimal 
places in the emission standard expressed to one more decimal place.
    (1) Initial and final test results. Calculate and round the test 
results for each vehicle or engine. If you do several tests on a vehicle 
or engine, calculate the initial results for each test, then add all the 
test results together and divide by the number of tests. Round this 
final calculated value for the final test results on that vehicle or 
engine.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec. 1051.240(c)).
    (3) Round deteriorated test results. Round the results to the number 
of decimal places in the emission standard expressed to one more decimal 
place.
    (b) Construct the following CumSum Equation for each engine family 
for HC, NOX (HC + NOX), and CO emissions:

Ci = Max [0 or Ci-1 + Xi-(STD + 0.25 x 
    [sigma])]

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, the 
CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual 
vehicle or engine.
STD = Emission standard (or family emission limit, if applicable).

    (c) Use final deteriorated test results to calculate the variables 
in the equation in paragraph (b) of this section (see Sec. 
1051.315(a)).
    (d) After each new test, recalculate the CumSum statistic.
    (e) If you test more than the required number of vehicles or 
engines, include the results from these additional tests in the CumSum 
Equation.

[[Page 422]]

    (f) After each test, compare the current CumSum statistic, 
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x 
[sigma].
    (g) If the CumSum statistic exceeds the Action Limit in two 
consecutive tests, the engine family fails the production-line testing 
requirements of this subpart. Tell us within ten working days if this 
happens. You may request to amend the application for certification to 
raise the FEL of the engine family as described in Sec. 1051.225(f).
    (h) If you amend the application for certification for an engine 
family under Sec. 1051.225, do not change any previous calculations of 
sample size or CumSum statistics for the model year.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005; 73 
FR 59252, Oct. 8, 2008]



Sec. 1051.320  What happens if one of my production-line vehicles or

engines fails to meet emission standards?

    (a) If you have a production-line vehicle or engine with final 
deteriorated test results exceeding one or more emission standards (see 
Sec. 1051.315(a)), the certificate of conformity is automatically 
suspended for that failing vehicle or engine. You must take the 
following actions before your certificate of conformity can cover that 
vehicle or engine:
    (1) Correct the problem and retest the vehicle or engine to show it 
complies with all emission standards.
    (2) Include the test results and describe the remedy for each engine 
in the written report required under Sec. 1051.345.
    (b) You may request to amend the application for certification to 
raise the FEL of the entire engine family at this point (see Sec. 
1051.225).

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59252, Oct. 8, 2008]



Sec. 1051.325  What happens if an engine family fails the production-line testing requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails under Sec. 1051.315. The suspension may apply to all 
facilities producing vehicles or engines from an engine family, even if 
you find noncompliant vehicles or engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when you 
receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec. 1051.820). If we agree 
before a hearing occurs that we used erroneous information in deciding 
to suspend the certificate, we will reinstate the certificate.
    (d) Section 1051.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the vehicles 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.
    (e) You may request to amend the application for certification to 
raise the FEL of the engine family before or after we suspend your 
certificate as described in Sec. 1051.225(f). We will approve your 
request if it is clear that you used good engineering judgment in 
establishing the original FEL.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005; 73 
FR 59252, Oct. 8, 2008]



Sec. 1051.330  May I sell vehicles from an engine family with a suspended

certificate of conformity?

    You may sell vehicles that you produce after we suspend the engine 
family's certificate of conformity under Sec. 1051.315 only if one of 
the following occurs:
    (a) You test each vehicle or engine you produce and show it complies 
with emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected vehicles 
and remedy any noncompliance at no expense to the owner if later testing 
shows that the engine family still does not comply.

[[Page 423]]



Sec. 1051.335  How do I ask EPA to reinstate my suspended certificate?

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.



Sec. 1051.340  When may EPA revoke my certificate under this subpart and

how may I sell these vehicles again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under Sec. 1051.325 is inadequate to solve the problem or requires you 
to change the vehicle's design or emission-control system.
    (b) To sell vehicles from an engine family with a revoked 
certificate of conformity, you must modify the engine family and then 
show it complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the vehicle's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line vehicles or engines as described in this 
subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec. 1051.345  What production-line testing records must I send to EPA?

    (a) Within 30 calendar days of the end of each test period, send us 
a report with the following information:
    (1) Describe any facility used to test production-line vehicles or 
engines and state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected vehicles or engines.
    (4) Describe each test vehicle or engine, including the engine 
family's identification and the vehicle's model year, build date, model 
number, identification number, and number of hours of operation before 
testing.
    (5) Identify how you accumulated hours of operation on the vehicles 
or engines and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; all initial test results; final test results; and final 
deteriorated test results for all tests. Provide the emission results 
for all measured pollutants. Include information for both valid and 
invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
vehicle or engine if you did not report it separately under this 
subpart. Include the results of any emission measurements, regardless of 
the procedure or type of vehicle.
    (8) Provide the CumSum analysis required in Sec. 1051.315 and the 
sample-size calculation required in Sec. 1051.310 for each engine 
family.
    (9) Report on each failed vehicle or engine as described in Sec. 
1051.320.
    (10) State the date the test period ended for each engine family.
    (b) We may ask you to add information to your written report, so we 
can determine whether your new vehicles conform with the requirements of 
this subpart. We may also ask you to send less information.
    (c) An authorized representative of your company must sign the 
following statement: We submit this report under Sections 208 and 213 of 
the Clean Air Act. Our production-line testing conformed completely with 
the requirements of 40 CFR part 1051. We have not changed production 
processes or quality-control procedures for test engines (or vehicles) 
in a way that

[[Page 424]]

might affect emission controls. All the information in this report is 
true and accurate, to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized Company 
Representative)
    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. See Sec. 1051.815 for information on how we treat 
information you consider confidential.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005; 73 
FR 59253, Oct. 8, 2008]



Sec. 1051.350  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.
    (b) Keep paper or electronic records of your production-line testing 
for eight years after you complete all the testing required for an 
engine family in a model year.
    (c) Keep a copy of the written reports described in Sec. 1051.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line vehicles or engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test vehicle or engine and the names of all 
supervisors who oversee this work.
    (4) If you shipped the vehicle or engine for testing, the date you 
shipped it, the associated storage or port facility, and the date the 
vehicle or engine arrived at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (7) Any information specified in Sec. 1051.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us projected or actual production 
figures for an engine family. We may ask you to divide your production 
figures by maximum engine power, displacement, fuel type, or assembly 
plant (if you produce vehicles or engines at more than one plant).
    (f) Keep records of the vehicle or engine identification number for 
each vehicle or engine you produce under each certificate of conformity. 
You may identify these numbers as a range. Give us these records within 
30 days if we ask for them.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005; 73 
FR 59253, Oct. 8, 2008]

Subpart E--Testing In-use Engines [Reserved]



                        Subpart F_Test Procedures



Sec. 1051.501  What procedures must I use to test my vehicles or engines?

    This section describes test procedures that you use to determine 
whether vehicles meet the emission standards of this part. See Sec. 
1051.235 to determine when testing is required for certification. See 
subpart D of this part for the production-line testing requirements.
    (a) Snowmobiles. For snowmobiles, use the equipment and procedures 
for spark-ignition engines in 40 CFR part 1065 to determine whether your 
snowmobiles meet the duty-cycle emission standards in Sec. 1051.103. 
Measure the emissions of all the pollutants we regulate in Sec. 
1051.103. Measure CO2, N2O, and CH4 as 
described in Sec. 1051.235. Use the duty cycle specified in Sec. 
1051.505.
    (b) Motorcycles and ATVs. For motorcycles and ATVs, use the 
equipment, procedures, and duty cycle in 40 CFR part 86, subpart F, to 
determine whether your vehicles meet the exhaust emission standards in 
Sec. 1051.105 or Sec. 1051.107. Measure the emissions of all the 
pollutants we regulate in Sec. 1051.105 or Sec. 1051.107. Measure 
CO2, N2O, and CH4 as described in Sec. 
1051.235. If we allow you to certify ATVs based on engine

[[Page 425]]

testing, use the equipment, procedures, and duty cycle described or 
referenced in the section that allows engine testing. For motorcycles 
with engine displacement at or below 169 cc and all ATVs, use the 
driving schedule in paragraph (c) of appendix I to 40 CFR part 86. For 
all other motorcycles, use the driving schedule in paragraph (b) of 
Appendix I to part 86. With respect to vehicle-speed governors, test 
motorcycles and ATVs in their ungoverned configuration, unless we 
approve in advance testing in a governed configuration. We will only 
approve testing in a governed configuration if you can show that the 
governor is permanently installed on all production vehicles and is 
unlikely to be removed in use. With respect to engine-speed governors, 
test motorcycles and ATVs in their governed configuration. Run the test 
engine, with all emission-control systems operating, long enough to 
stabilize emission levels; you may consider emission levels stable 
without measurement if you accumulate 12 hours of operation.
    (c) Permeation testing. (1) Use the equipment and procedures 
specified in Sec. 1051.515 to measure fuel tank permeation emissions.
    (2) Prior to permeation testing of fuel hose, the hose must be 
preconditioned by filling the hose with the fuel specified in paragraph 
(d)(3) of this section, sealing the openings, and soaking the hose for 4 
weeks at 23  5 [deg]C. To measure fuel-line 
permeation emissions, use the equipment and procedures specified in SAE 
J30 as described in 40 CFR 1060.810. The measurements must be performed 
at 23  2 [deg]C using the fuel specified in 
paragraph (d)(3) of this section.
    (d) Fuels. Use the fuels meeting the following specifications:
    (1) Exhaust. Use the fuels and lubricants specified in 40 CFR part 
1065, subpart H, for all the exhaust testing we require in this part. 
For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use engines 
will use. The following provisions apply for using specific fuel types:
    (i) For gasoline-fueled engines, use the grade of gasoline specified 
for general testing.
    (ii) For diesel-fueled engines, use either low-sulfur diesel fuel or 
ultra low-sulfur diesel fuel meeting the specifications in 40 CFR 
1065.703. If you use sulfur-sensitive technology as defined in 40 CFR 
1039.801 and you measure emissions using ultra low-sulfur diesel fuel, 
you must add a permanent label near the fuel inlet with the following 
statement: ``ULTRA LOW SULFUR FUEL ONLY''.
    (2) Fuel Tank Permeation. (i) For the preconditioning soak described 
in Sec. 1051.515(a)(1) and fuel slosh durability test described in 
Sec. 1051.515(d)(3), use the fuel specified in Table 1 of 40 CFR 
1065.710 blended with 10 percent ethanol by volume. As an alternative, 
you may use Fuel CE10, which is Fuel C as specified in ASTM D 471-98 
(see 40 CFR 1060.810) blended with 10 percent ethanol by volume.
    (ii) For the permeation measurement test in Sec. 1051.515(b), use 
the fuel specified in Table 1 of 40 CFR 1065.710. As an alternative, you 
may use the fuel specified in paragraph (d)(2)(i) of this section.
    (3) Fuel Hose Permeation. Use the fuel specified in Table 1 of 40 
CFR 1065.710 blended with 10 percent ethanol by volume for permeation 
testing of fuel lines. As an alternative, you may use Fuel CE10, which 
is Fuel C as specified in ASTM D 471-98 (see 40 CFR 1060.810) blended 
with 10 percent ethanol by volume.
    (e) Engine stabilization. Instead of the provisions of 40 CFR 
1065.405, you may consider emission levels stable without measurement 
after 12 hours of engine operation.
    (f) [Reserved]
    (g) Special procedures for engine testing. (1) You may use special 
or alternate procedures, as described in Sec. 1065.10 of this chapter.
    (2) We may reject data you generate using alternate procedures if 
later testing with the procedures in part 1065 of this chapter shows 
contradictory emission data.
    (3) You may test engines using a test speed based on the point of 
maximum power if that represents in-use operation better than testing 
based on maximum test speed.

[[Page 426]]

    (h) Special procedures for vehicle testing. (1) You may use special 
or alternate procedures, as described in paragraph (f)(3) of this 
section.
    (2) We may reject data you generate using alternate procedures if 
later testing with the otherwise specified procedures shows 
contradictory emission data.
    (3)(i) The test procedures specified for vehicle testing are 
intended to produce emission measurements equivalent to those that would 
result from measuring emissions during in-use operation using the same 
vehicle configuration. If good engineering judgment indicates that use 
of the procedures in this part for a vehicle would result in 
measurements that are not representative of in-use operation of that 
vehicle, you must notify us. If we determine that using these procedures 
would result in measurements that are significantly unrepresentative and 
that changes to the procedures will result in more representative 
measurements that do not decrease the stringency of emission standards 
or other requirements, we will specify changes to the procedures. In 
your notification to us, you should recommend specific changes you think 
are necessary.
    (ii) You may ask to use emission data collected using other test 
procedures, such as those of the California Air Resources Board or the 
International Organization for Standardization. We will allow this only 
if you show us that these data are equivalent to data collected using 
our test procedures.
    (iii) You may ask to use alternate procedures that produce 
measurements equivalent to those obtained using the specified 
procedures. In this case, send us a written request showing that your 
alternate procedures are equivalent to the test procedures of this part. 
If you prove to us that the procedures are equivalent, we will allow you 
to use them. You may not use alternate procedures until we approve them.
    (iv) You may ask to use special test procedures if your vehicle 
cannot be tested using the specified test procedures (for example, it is 
incapable of operating on the specified transient cycle). In this case, 
send us a written request showing that you cannot satisfactorily test 
your engines using the test procedures of this part. We will allow you 
to use special test procedures if we determine that they would produce 
emission measurements that are representative of those that would result 
from measuring emissions during in-use operation. You may not use 
special procedures until we approve them.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70 
FR 40499, July 13, 2005; 73 FR 59253, Oct. 8, 2008; 74 FR 56511, Oct. 
30, 2009]



Sec. 1051.505  What special provisions apply for testing snowmobiles?

    Use the following special provisions for testing snowmobiles:
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles. You must use the type of testing you select in 
your application for certification for all testing you perform for that 
engine family. If we test your engines to confirm that they meet 
emission standards, we will do testing the same way. If you submit 
certification test data collected with both discrete-mode and ramped-
modal testing (either in your original application or in an amendment to 
your application), either method may be used for subsequent testing. We 
may also perform other testing as allowed by the Clean Air Act. Measure 
steady-state emissions as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. In each mode, operate the 
engine for at least 5 minutes, then sample emissions for at least 1 
minute. Calculate cycle statistics and compare with the established 
criteria as specified in 40 CFR 1065.514 to confirm that the test is 
valid.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing as specified in 40 CFR part 1065, subpart G.
    (3) Measure emissions by testing the engine on a dynamometer with 
one or more of the following sets of duty cycles to determine whether it 
meets the

[[Page 427]]

steady-state emission standards in Sec. 1051.103:
    (i) The following duty cycle applies for discrete-mode testing:

                          Table 1 of Sec.  1051.505--5-Mode Duty Cycle for Snowmobiles
----------------------------------------------------------------------------------------------------------------
                                                                                          Minimum
                                                                 Speed        Torque      time in     Weighting
                          Mode No.                             (percent)    (percent)       mode       factors
                                                                  \1\          \2\       (minutes)
----------------------------------------------------------------------------------------------------------------
1...........................................................          100          100          3.0         0.12
2...........................................................           85           51          3.0         0.27
3...........................................................           75           33          3.0         0.25
4...........................................................           65           19          3.0         0.31
5...........................................................         Idle            0          3.0        0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum torque at maximum test speed.

    (ii) The following duty cycle applies for ramped-modal testing:

                     Table 2 of Sec.  1051.505--Ramped-modal Cycle for Testing Snowmobiles
----------------------------------------------------------------------------------------------------------------
                                             Time in
                 RMC mode                      mode         Speed (percent) \1\       Torque (percent) \2,\ \3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state..........................           27  Warm Idle..................  0
1b Transition............................           20  Linear Transition..........  Linear Transition
2a Steady-state..........................          121  100........................  100
2b Transition............................           20  Linear Transition..........  Linear Transition
3a Steady-state..........................          347  65.........................  19
3b Transition............................           20  Linear Transition..........  Linear Transition
4a Steady-state..........................          305  85.........................  51
4b Transition............................           20  Linear Transition..........  Linear Transition
5a Steady-state..........................          272  75.........................  33
5b Transition............................           20  Linear Transition..........  Linear Transition
6 Steady-state...........................           28  Warm Idle..................  0
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum torque at maximum test speed.

    (b) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR 1065.510.
    (c) For the full-load operating mode, operate the engine at wide-
open throttle.
    (d) Ambient temperatures during testing must be between 20 [deg]C 
and 30 [deg]C (68 [deg]F and 86 [deg]F), or other representative test 
temperatures, as specified in paragraph (f) of this section.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (f) You may test snowmobiles at ambient temperatures below 20 [deg]C 
or using intake air temperatures below 20 [deg]C if you show that such 
testing complies with 40 CFR 1065.10(c)(1). You must get our approval 
before you begin the emission testing. For example, the following 
approach would be appropriate to show that such testing complies with 40 
CFR 1065.10(c)(1):
    (1) Using good engineering judgment, instrument a representative 
snowmobile built with a representative engine from the family being 
tested with an appropriate temperature measuring device located in the 
intake air plenum where fuel spitback is not likely to occur.
    (2) Choose a time and location with the following weather 
conditions: windspeed less than 10 knots, no falling precipitation, air 
temperature between -20 [deg]C and 0 [deg]C (-4 [deg]F and 32 [deg]F).
    (3) Operate the snowmobile until its engine reaches a steady 
operating temperature.
    (4) Operate the snowmobile on a level surface free of other vehicle 
traffic. Operate the snowmobile at each specified engine speed 
corresponding to each mode in the emissions test specific to

[[Page 428]]

the engine being tested. When readings are stable, record the 
temperature in the intake air plenum and the ambient temperature. 
Calculate the temperature difference between the air in the plenum and 
the ambient air for each mode.
    (5) Calculate the nominal intake air test temperature for each test 
mode as -10 [deg]C (14 [deg]F) plus the temperature difference for the 
corresponding mode determined in paragraph (f)(4) of this section.
    (6) Before the emissions test, select the appropriate carburetor 
jetting for -10 [deg]C (14 [deg]F) conditions according to the jet 
chart. For each mode, maintain the inlet air temperature within 5 [deg]C 
(9 [deg]F) of the corresponding modal temperature calculated in 
paragraph (f)(5) of this section.
    (7) Adjust other operating parameters to be consistent with 
operation at -10 [deg]C (14 [deg]F). For example, this may require that 
you modify the engine cooling system used in the laboratory to make its 
performance representative of cold-temperature operation.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40500, July 13, 2005; 
73FR 59253, Oct. 8, 2008]



Sec. 1051.510  What special provisions apply for testing ATV engines? [Reserved]



Sec. 1051.515  How do I test my fuel tank for permeation emissions?

    Measure permeation emissions by weighing a sealed fuel tank before 
and after a temperature-controlled soak.
    (a) Preconditioning fuel soak. To precondition your fuel tank, 
follow these five steps:
    (1) Fill the tank with the fuel specified in Sec. 
1051.501(d)(2)(i), seal it, and allow it to soak at 28 5 [deg]C for 20 weeks. Alternatively, the tank may be 
soaked for a shorter period of time at a higher temperature if you can 
show that the hydrocarbon permeation rate has stabilized.
    (2) Determine the fuel tank's internal surface area in square-meters 
accurate to at least three significant figures. You may use less 
accurate estimates of the surface area if you make sure not to 
overestimate the surface area.
    (3) Fill the fuel tank with the test fuel specified in Sec. 
1051.501(d)(2)(ii) to its nominal capacity. If you fill the tank inside 
the temperature-controlled room or enclosure, do not spill any fuel.
    (4) Allow the tank and its contents to equilibrate to 28 2 [deg]C.
    (5) Seal the fuel tank using fuel caps and other fittings (excluding 
petcocks) that can be used to seal openings in a production fuel tank. 
In cases where openings are not normally sealed on the fuel tank (such 
as hose-connection fittings and vents in fuel caps), these openings may 
be sealed using nonpermeable fittings such as metal or fluoropolymer 
plugs.
    (b) Permeation test run. To run the test, take the following steps 
for a tank that was preconditioned as specified in paragraph (a) of this 
section:
    (1) Weigh the sealed fuel tank and record the weight to the nearest 
0.1 grams. You may use less precise weights as long as the difference in 
mass from the start of the test to the end of the test has at least 
three significant figures. Take this measurement within 8 hours of 
filling the tank with test fuel as specified in paragraph (a)(3) of this 
section.
    (2) Carefully place the tank within a ventilated, temperature-
controlled room or enclosure. Do not spill or add any fuel.
    (3) Close the room or enclosure and record the time.
    (4) Ensure that the measured temperature in the room or enclosure is 
28 2 [deg]C.
    (5) Leave the tank in the room or enclosure for 14 days.
    (6) Hold the temperature of the room or enclosure to 28 2 [deg]C; measure and record the temperature at least 
daily.
    (7) At the end of the soak period, weigh the sealed fuel tank and 
record the weight to the nearest 0.1 grams. You may use less precise 
weights as long as the difference in mass from the start of the test to 
the end of the test has at least three significant figures. Unless the 
same fuel is used in the preconditioning fuel soak and the permeation 
test run, record weight measurements on five separate days per week of 
testing. The test is void if a linear plot of tank weight vs. test days 
for

[[Page 429]]

the full soak period for permeation testing specified in paragraph 
(b)(5) of this section yields r\2\ below 0.8. See 40 CFR 1065.602 for 
the equation to calculate r\2\.
    (8) Subtract the weight of the tank at the end of the test from the 
weight of the tank at the beginning of the test; divide the difference 
by the internal surface area of the fuel tank. Divide this g/m\2\ value 
by the number of test days (using at least three significant figures) to 
calculate the g/m\2\/day emission rate. Example: If a tank with an 
internal surface area of 0.72 m\2\ weighed 31882.3 grams at the 
beginning of the test and weighed 31813.8 grams after soaking for 14.03 
days, then the g/m\2\/day emission rate would be--

(31882.3 g-31813.8 g)/0.72 m\2\/14.03 days = 6.78 g/m\2\/day.
    (9) Round your result to the same number of decimal places as the 
emission standard.
    (10) In cases where consideration of permeation rates, using good 
engineering judgment, leads you to conclude that soaking for 14 days is 
not long enough to measure weight change to at least three significant 
figures, you may soak for 14 days longer. In this case, repeat the steps 
in paragraphs (b)(8) and (9) of this section to determine the weight 
change for the full 28 days.
    (c) Determination of final test result. To determine the final test 
result, apply a deterioration factor to the measured emission level. The 
deterioration factor is the difference between permeation emissions 
measured before and after the durability testing described in paragraph 
(d) of this section. Adjust the baseline test results for each tested 
fuel tank by adding the deterioration factor to the measured emissions. 
The deterioration factor determination must be based on good engineering 
judgement. Therefore, during the durability testing, the test tank may 
not exceed the fuel tank permeation standard described in Sec. 1051.110 
(this is known as ``line-crossing''). If the deterioration factor is 
less than zero, use zero.
    (d) Durability testing. You normally need to perform a separate 
durability demonstration for each substantially different combination of 
treatment approaches and tank materials. Perform these demonstrations 
before an emission test by taking the following steps, unless you can 
use good engineering judgment to apply the results of previous 
durability testing with a different fuel system. You may ask to exclude 
any of the following durability tests if you can clearly demonstrate 
that it does not affect the emissions from your fuel tank.
    (1) Pressure cycling. Perform a pressure test by sealing the tank 
and cycling it between +2.0 psig and -0.5 psig and back to +2.0 psig for 
10,000 cycles at a rate 60 seconds per cycle.
    (2) UV exposure. Perform a sunlight-exposure test by exposing the 
tank to an ultraviolet light of at least 24 W/m\2\ (0.40 W-hr/m\2\/min) 
on the tank surface for at least 450 hours. Alternatively, the fuel tank 
may be exposed to direct natural sunlight for an equivalent period of 
time, as long as you ensure that the tank is exposed to at least 450 
daylight hours.
    (3) Slosh testing. Perform a slosh test by filling the tank to 40 
percent of its capacity with the fuel specified in Sec. 
1051.501(d)(2)(i) and rocking it at a rate of 15 cycles per minute until 
you reach one million total cycles. Use an angle deviation of +15[deg] 
to -15[deg] from level. This test must be performed at a temperature of 
28 [deg]C 5 [deg]C.
    (4) Final test result. Following the durability testing, the fuel 
tank must be soaked (as described in paragraph (a) of this section) to 
ensure that the permeation rate is stable. The period of slosh testing 
and the period of ultraviolet testing (if performed with fuel in the 
tank consistent with paragraph (a)(1) of this section) may be considered 
to be part of this soak, provided that the soak begins immediately after 
the slosh testing. To determine the final permeation rate, drain and 
refill the tank with fresh fuel, and repeat the permeation test run (as 
described in paragraph (b) of this section) immediately after this soak 
period. The same test fuel must be used for this permeation test run as 
for the permeation test run performed prior to the durability testing.
    (e) Flow chart. The following figure presents a flow chart for the 
permeation testing described in this section, showing the full test 
procedure with

[[Page 430]]

durability testing, as well as the simplified test procedure with an 
applied deterioration factor:
[GRAPHIC] [TIFF OMITTED] TR15JA04.002


[[Page 431]]



[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70 
FR 40501, July 13, 2005]



Sec. 1051.520  How do I perform exhaust durability testing?

    Sections 1051.240 and 1051.243 describe the method for testing that 
must be performed to establish deterioration factors for an engine 
family.

[70 FR 40501, July 13, 2005]



                     Subpart G_Compliance Provisions



Sec. 1051.601  What compliance provisions apply to vehicles and engines subject to this part?

    Engine and vehicle manufacturers, as well as owners, operators, and 
rebuilders of these vehicles, and all other persons, must observe the 
requirements and prohibitions in part 1068 of this chapter and the 
requirements of the Act. The compliance provisions in this subpart apply 
only to the vehicles and engines we regulate in this part.



Sec. 1051.605  What provisions apply to engines already certified under 

the motor vehicle program or the Large Spark-ignition program?

    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce into commerce new recreational vehicles, 
and engines for recreational vehicles, if the engines are already 
certified to the requirements that apply to spark-ignition engines under 
40 CFR parts 85 and 86 or 40 CFR part 1048 for the appropriate model 
year. If you comply with all the provisions of this section, we consider 
the certificate issued under 40 CFR part 86 or 1048 for each engine to 
also be a valid certificate of conformity under this part 1051 for its 
model year, without a separate application for certification under the 
requirements of this part 1051. See Sec. 1051.610 for similar 
provisions that apply to vehicles that are already certified to the 
vehicle-based standards for motor vehicles.
    (b) Vehicle-manufacturer provisions. If you are not an engine 
manufacturer, you may install an engine certified for the appropriate 
model year under 40 CFR part 86 or 1048 in a recreational vehicle as 
long as you meet all the requirements and conditions specified in 
paragraph (d) of this section. If you modify the non-recreational engine 
in any of the ways described in paragraph (d)(2) of this section for 
installation in a recreational vehicle, we will consider you a 
manufacturer of recreational vehicles. Such engine modifications prevent 
you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR parts 
85 and 86 or 40 CFR part 1048. This paragraph (c) applies to engine 
manufacturers, vehicle manufacturers who use such an engine, and all 
other persons as if the engine were used in its originally intended 
application. The prohibited acts of 40 CFR 1068.101(a)(1) apply to these 
new engines and vehicles; however, we consider the certificate issued 
under 40 CFR part 86 or 1048 for each engine to also be a valid 
certificate of conformity under this part 1051 for its model year. If we 
make a determination that these engines do not conform to the 
regulations during their useful life, we may require you to recall them 
under this part 1051 or under 40 CFR part 85 or 1068.505.
    (d) Specific requirements. If you are an engine or vehicle 
manufacturer and meet all the following criteria and requirements 
regarding your new engine or vehicle, the vehicle using the engine is 
eligible for an exemption under this section:
    (1) Your engine must be covered by a valid certificate of conformity 
issued under 40 CFR part 86 or 1048.
    (2) You must not make any changes to the certified engine that could 
reasonably be expected to increase its exhaust emissions for any 
pollutant, or its evaporative emissions. For example, if you make any of 
the following changes to one of these engines, you do not qualify for 
this exemption:
    (i) Change any fuel system or evaporative system parameters from the 
certified configuration (this does not apply to refueling controls).

[[Page 432]]

    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original engine 
manufacturer's specified ranges.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in recreational vehicles. This 
includes engines used in any application, without regard to which 
company manufactures the vehicle or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (4) You must ensure that the engine has the emission control 
information label we require under 40 CFR part 86 or 1048.
    (5) You must add a permanent supplemental label to the engine in a 
position where it will remain clearly visible after installation in the 
vehicle. In the supplemental label, do the following:
    (i) Include the heading: ``RECREATIONAL VEHICLE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR A RECREATIONAL USE 
WITHOUT AFFECTING ITS EMISSION CONTROLS.''.
    (iv) State the date you finished installation (month and year), if 
applicable.
    (6) The original and supplemental labels must be readily visible 
after the engine is installed in the vehicle or, if the vehicle obscures 
the engine's emission control information label, the make sure the 
vehicle manufacturer attaches duplicate labels, as described in 40 CFR 
1068.105.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine or vehicle models you expect to produce under 
this exemption in the coming year and describe your basis for meeting 
the sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produce each listed [engine or vehicle] model for 
recreational application without making any changes that could increase 
its certified emission levels, as described in 40 CFR 1051.605.''.
    (e) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1051 and the 
certificate issued under 40 CFR part 86 or 1048 will not be deemed to 
also be a certificate issued under this part 1051. Introducing these 
engines into commerce without a valid exemption or certificate of 
conformity under this part violates the prohibitions in 40 CFR 
1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Engines or 
vehicles adapted for recreational use under this section may not 
generate or use emission credits under this part 1051. These engines or 
vehicles may generate credits under the ABT provisions in 40 CFR part 
86. These engines or vehicles must use emission credits under 40 CFR 
part 86 if they are certified to an FEL that exceeds an applicable 
standard.

[70 FR 40501, July 13, 2005, as amended at 73 FR 59254, Oct. 8, 2008]



Sec. 1051.610  What provisions apply to vehicles already certified under the motor vehicle program?

    (a) General provisions. If you are a motor-vehicle manufacturer, 
this section allows you to introduce new recreational vehicles into 
commerce if the vehicle is already certified to the requirements that 
apply under 40 CFR parts 85 and 86. If you comply with all

[[Page 433]]

of the provisions of this section, we consider the certificate issued 
under 40 CFR part 86 for each motor vehicle to also be a valid 
certificate of conformity for the engine under this part 1051 for its 
model year, without a separate application for certification under the 
requirements of this part 1051. This section applies especially for 
highway motorcycles that are modified for recreational nonroad use. See 
Sec. 1051.605 for similar provisions that apply to motor-vehicle 
engines or Large SI engines produced for recreational vehicles.
    (b) Nonroad vehicle-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce recreational vehicles from motor 
vehicles under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. If you modify the 
motor vehicle or its engine in any of the ways described in paragraph 
(d)(2) of this section, we will consider you a manufacturer of a new 
recreational vehicle. Such modifications prevent you from using the 
provisions of this section.
    (c) Liability. Engines and vehicles for which you meet the 
requirements of this section are exempt from all the requirements and 
prohibitions of this part, except for those specified in this section. 
Engines exempted under this section must meet all the applicable 
requirements from 40 CFR parts 85 and 86. This applies to engine 
manufacturers, vehicle manufacturers, and all other persons as if the 
recreational vehicles were motor vehicles. The prohibited acts of 40 CFR 
1068.101(a)(1) apply to these new recreational vehicles; however, we 
consider the certificate issued under 40 CFR part 86 for each motor 
vehicle to also be a valid certificate of conformity for the 
recreational vehicle under this part 1051 for its model year. If we make 
a determination that these engines or vehicles do not conform to the 
regulations during their useful life, we may require you to recall them 
under 40 CFR part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are a motor-vehicle manufacturer 
and meet all the following criteria and requirements regarding your new 
recreational vehicle and its engine, the vehicle is eligible for an 
exemption under this section:
    (1) Your vehicle must be covered by a valid certificate of 
conformity as a motor vehicle issued under 40 CFR part 86.
    (2) You must not make any changes to the certified vehicle that we 
could reasonably expect to increase its exhaust emissions for any 
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following 
changes, you do not qualify for this exemption:
    (i) Change any fuel system parameters from the certified 
configuration.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the vehicle 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original vehicle 
manufacturer's specified ranges.
    (iv) Add more than 500 pounds to the curb weight of the originally 
certified motor vehicle.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in recreational vehicles. This 
includes any type of vehicle, without regard to which company completes 
the manufacturing of the recreational vehicle. Show this as follows:
    (i) If you are the original manufacturer of the vehicle, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the vehicle to confirm this based on their sales information.
    (4) The vehicle must have the vehicle emission control information 
we require under 40 CFR part 86.
    (5) You must add a permanent supplemental label to the vehicle in a 
position where it will remain clearly visible. In the supplemental 
label, do the following:
    (i) Include the heading: ``RECREATIONAL VEHICLE ENGINE EMISSION 
CONTROL INFORMATION''.

[[Page 434]]

    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS VEHICLE WAS ADAPTED FOR RECREATIONAL USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS.''.
    (iv) State the date you finished modifying the vehicle (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible in 
the fully assembled vehicle.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the vehicle models you expect to produce under this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produced each listed engine or vehicle model for 
recreational application without making any changes that could increase 
its certified emission levels, as described in 40 CFR 1051.610.''.
    (e) Failure to comply. If your engines or vehicles do not meet the 
criteria listed in paragraph (d) of this section, the engines will be 
subject to the standards, requirements, and prohibitions of this part 
1051, and the certificate issued under 40 CFR part 86 will not be deemed 
to also be a certificate issued under this part 1051. Introducing these 
engines into commerce without a valid exemption or certificate of 
conformity under this part violates the prohibitions in 40 CFR 
1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Vehicles 
adapted for recreational use under this section may not generate or use 
emission credits under this part 1051. These vehicles may generate 
credits under the ABT provisions in 40 CFR part 86. These vehicles must 
use emission credits under 40 CFR part 86 if they are certified to an 
FEL that exceeds an emission standard that applies.

[70 FR 40502, July 13, 2005, as amended at 73 FR 59254, Oct. 8, 2008]



Sec. 1051.615  What are the special provisions for certifying small recreational engines?

    (a) You may certify ATVs with engines that have total displacement 
of less than 100 cc to the following exhaust emission standards instead 
of certifying them to the exhaust emission standards of subpart B of 
this part:
    (1) 25.0 g/kW-hr HC+NOX, with an FEL cap of 40.0 g/kW-hr 
HC+NOX.
    (2) 500 g/kW-hr CO.
    (b) You may certify off-highway motorcycles with engines that have 
total displacement of 70 cc or less to the following exhaust emission 
standards instead of certifying them to the exhaust emission standards 
of subpart B of this part:
    (1) 16.1 g/kW-hr HC+NOX, with an FEL cap of 32.2 g/kW-hr 
HC+NOX.
    (2) 519 g/kW-hr CO.
    (c) You may use the averaging, banking, and trading provisions of 
subpart H of this part to show compliance with this HC+NOX 
standards (an engine family meets emission standards even if its family 
emission limit is higher than the standard, as long as you show that the 
whole averaging set of applicable engine families meet the applicable 
emission standards using emission credits, and the vehicles within the 
family meet the family emission limit). You may not use averaging to 
meet the CO standards of this section.
    (d) Measure steady-state emissions by testing the engine on an 
engine dynamometer using the equipment and procedures of 40 CFR part 
1065 with either discrete-mode or ramped-modal cycles. You must use the 
type of testing you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will do testing the same 
way. If you submit certification test data collected with both discrete-
mode and ramped-modal testing (either in your original application or in 
an amendment to your application), either method may be used for

[[Page 435]]

subsequent testing. We may also perform other testing as allowed by the 
Clean Air Act. Measure steady-state emissions as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. In each mode, operate the 
engine for at least 5 minutes, then sample emissions for at least 1 
minute. Calculate cycle statistics for the sequence of modes and compare 
with the specified values in 40 CFR 1065.514 to confirm that the test is 
valid.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing.
    (3) Measure emissions by testing the engine on a dynamometer with 
one or more of the following sets of duty cycles to determine whether it 
meets applicable emission standards:
    (i) The following duty cycle applies for discrete-mode testing:

                     Table 1 of Sec.  1051.615--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
                                                                 Engine                   Minimum
                                                                 speed        Torque      time in     Weighting
                          Mode No.                             (percent)    (percent)       mode       factors
                                                                  \1\          \2\       (minutes)
----------------------------------------------------------------------------------------------------------------
1...........................................................           85          100          5.0         0.09
2...........................................................           85           75          5.0         0.20
3...........................................................           85           50          5.0         0.29
4...........................................................           85           25          5.0         0.30
5...........................................................           85           10          5.0         0.07
6...........................................................         Idle            0          5.0         0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum torque at the commanded test speed.

    (ii) The following duty cycle applies for ramped-modal testing:

                 Table 2 of Sec.  1051.615--Ramped-modal Cycle for Testing Recreational Engines
----------------------------------------------------------------------------------------------------------------
                 RMC mode                      Time      Speed  (percent) \1,\ \2\    Torque  (percent) \2,\ \3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state..........................           41  Warm Idle..................  0.
1b Transition............................           20  Linear Transition..........  Linear Transition.
2a Steady-state..........................          135  85.........................  100.
2b Transition............................           20  85.........................  Linear Transition.
3a Steady-state..........................          112  85.........................  10.
3b Transition............................           20  85.........................  Linear Transition.
4a Steady-state..........................          337  85.........................  75.
4b Transition............................           20  85.........................  Linear Transition.
5a Steady-state..........................          518  85.........................  25.
5b Transition............................           20  85.........................  Linear Transition.
6a Steady-state..........................          494  85.........................  50.
6b Transition............................           20  Linear Transition..........  Linear Transition.
7 Steady-state...........................           43  Warm Idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum torque at the commanded test speed.

    (4) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR 1065.510.
    (5) For the full-load operating mode, operate the engine at wide-
open throttle.
    (6) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.

[[Page 436]]

    (e) All other requirements and prohibitions of this part apply to 
these engines and vehicles.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40503, July 13, 2005; 73 
FR 59254, Oct. 8, 2008]



Sec. 1051.620  When may a manufacturer obtain an exemption for competition recreational vehicles?

    (a) We may grant you an exemption from the standards and 
requirements of this part for a new recreational vehicle on the grounds 
that it is to be used solely for competition. The provisions of this 
part other than those in this section do not apply to recreational 
vehicles that we exempt for use solely for competition.
    (b) We will exempt vehicles that we determine will be used solely 
for competition. The basis of our determinations are described in 
paragraphs (b)(1), (b)(2), and (c) of this section. Exemptions granted 
under this section are good for only one model year and you must request 
renewal for each subsequent model year. We will not approve your renewal 
request if we determine the vehicles will not be used solely for 
competition.
    (1) Off-highway motorcycles. Motorcycles that are marketed and 
labeled as only for competitive use and that meet at least four of the 
criteria listed in paragraphs (b)(1)(i) through (vi) of this section are 
considered to be used solely for competition, except in cases where 
other information is available that indicates that they are not used 
solely for competition. The following features are indicative of 
motorcycles used solely for competition:
    (i) The absence of a headlight or other lights.
    (ii) The absence of a spark arrestor.
    (iii) The absence of manufacturer warranty.
    (iv) Suspension travel greater than 10 inches.
    (v) Engine displacement greater than 50 cc.
    (vi) The absence of a functional seat. (For example, a seat with 
less than 30 square inches of seating surface would generally not be 
considered a functional seat).
    (2) Snowmobiles and ATVs. Snowmobiles and ATVs meeting all of the 
following criteria are considered to be used solely for competition, 
except in cases where other information is available that indicates that 
they are not used solely for competition:
    (i) The vehicle or engine may not be displayed for sale in any 
public dealership.
    (ii) Sale of the vehicle must be limited to professional racers or 
other qualified racers.
    (iii) The vehicle must have performance characteristics that are 
substantially superior to noncompetitive models.
    (c) Vehicles not meeting the applicable criteria listed in paragraph 
(b) of this section will be exempted only in cases where the 
manufacturer has clear and convincing evidence that the vehicles will be 
used solely for competition.
    (d) You must permanently label vehicles exempted under this section 
to clearly indicate that they are to be used only for competition. 
Failure to properly label a vehicle will void the exemption for that 
vehicle.
    (e) If we request it, you must provide us any information we need to 
determine whether the vehicles are used solely for competition.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40504, July 13, 2005]



Sec. 1051.625  What special provisions apply to unique snowmobile designs 

for small-volume manufacturers?

    (a) If you are a small-volume manufacturer, we may permit you to 
produce up to 600 snowmobiles per year that are certified to less 
stringent emission standards than those in Sec. 1051.103, as long as 
you meet all the conditions and requirements in this section.
    (b) To apply for alternate standards under this section, send the 
Designated Officer a written request. In your request, do two things:
    (1) Show that the snowmobile has unique design, calibration, or 
operating characteristics that make it atypical and infeasible or highly 
impractical to meet the emission standards in Sec. 1051.103, 
considering technology, cost, and other factors.

[[Page 437]]

    (2) Identify the level of compliance you can achieve, including a 
description of available emission-control technologies and any 
constraints that may prevent more effective use of these technologies.
    (c) You must give us other relevant information if we ask for it.
    (d) An authorized representative of your company must sign the 
request and include the statement: ``All the information in this request 
is true and accurate, to the best of my knowledge.''.
    (e) Send your request for this extension at least nine months before 
the relevant deadline. If different deadlines apply to companies that 
are not small-volume manufacturers, do not send your request before the 
regulations in question apply to the other manufacturers.
    (f) If we approve your request, we will set alternate standards for 
your qualifying snowmobiles. These standards will not be above 400 g/kW-
hr for CO or 150 g/kW-hr for HC.
    (g) You may produce these snowmobiles to meet the alternate 
standards we establish under this section as long as you continue to 
produce them at the same or lower emission levels.
    (h) You may not include snowmobiles you produce under this section 
in any averaging, banking, or trading calculations under Subpart H of 
this part.
    (i) You must meet all the requirements of this part, except as noted 
in this section.



Sec. 1051.630  What special provisions apply to unique snowmobile designs for all manufacturers?

    (a) We may permit you to produce up to 600 snowmobiles per year that 
are certified to the FELs listed in this section without new test data, 
as long as you meet all the conditions and requirements in this section.
    (b) You may certify these snowmobiles with FELs of 560 g/kW-hr for 
CO and 270 g/kW-hr for HC (using the normal certification procedures).
    (c) The emission levels described in this section are intended to 
represent worst-case emission levels. You may not certify snowmobiles 
under this section if good engineering judgment indicates that they have 
emission rates higher than these levels.
    (d) Include snowmobiles you produce under this section in your 
averaging calculations under Subpart H of this part.
    (e) You must meet all the requirements of this part, unless the 
regulations of this part specify otherwise.



Sec. 1051.635  What provisions apply to new manufacturers that are small businesses?

    (a) If you are a small business (as defined by the Small Business 
Administration at 13 CFR 121.201) that manufactures recreational 
vehicles, but does not otherwise qualify for the small-volume 
manufacturer provisions of this part, you may ask us to designate you to 
be a small-volume manufacturer. You may do this whether you began 
manufacturing recreational vehicles before, during, or after 2002.
    (b) We may set other reasonable conditions that are consistent with 
the intent of this section and the Act. For example, we may place sales 
limits on companies that we designate to be small-volume manufacturers 
under this section.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59255, Oct. 8, 2008]



Sec. 1051.640  What special provisions apply for custom off-highway 

motorcycles that are similar to highway motorcycles?

    You may ask to exempt custom-designed off-highway motorcycles that 
are substantially similar to highway motorcycles under the display 
exemption provisions of 40 CFR 86.407-78(c). Motorcycles exempt under 
this provision are subject to the restrictions of 40 CFR 86.407-78(c) 
and are considered to be motor vehicles for the purposes of this part 
1051.

[69 FR 2445, Jan. 15, 2004]



Sec. 1051.645  What special provisions apply to branded engines?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec. 1051.135(c)(2):
    (a) You must have a contractual agreement with the other company

[[Page 438]]

that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec. 
1051.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.

[70 FR 40504, July 13, 2005, as amended at 73 FR 59255, Oct. 8, 2008]



Sec. 1051.650  What special provisions apply for converting a vehicle 

to use an alternate fuel?

    A certificate of conformity is no longer valid for a vehicle if the 
vehicle is modified such that it is not in a configuration covered by 
the certificate. This section applies if such modifications are done to 
convert the vehicle to run on a different fuel type. Such vehicles may 
be recertified as specified in this section if the original certificate 
is no longer valid for that vehicle.
    (a) Converting a certified new vehicle to run on a different fuel 
type violates 40 CFR 1068.101(a)(1) if the modified vehicle is not 
covered by a certificate of conformity.
    (b) Converting a certified vehicle that is not new to run on a 
different fuel type violates 40 CFR 1068.101(b)(1) if the modified 
vehicle is not covered by a certificate of conformity. We may specify 
alternate certification provisions consistent with the requirements of 
this part. For example, you may certify the modified vehicle for a 
partial useful life. For example, if the vehicle is modified halfway 
through its original useful life period, you may generally certify the 
vehicle based on completing the original useful life period; or if the 
vehicle is modified after the original useful life period is past, you 
may generally certify the vehicle based on testing that does not involve 
further durability demonstration.
    (c) Vehicles (or engines) may be certified using the certification 
procedures for new vehicles (or engines) as specified in this part or 
using the certification procedures for aftermarket parts as specified in 
40 CFR part 85, subpart V. Unless the original vehicle manufacturer 
continues to be responsible for the vehicle as specified in paragraph 
(d) of this section, you must remove the original manufacturer's 
emission control information label if you recertify the vehicle.
    (d) The original vehicle manufacturer is not responsible for 
operation of modified vehicles in configurations resulting from 
modifications performed by others. In cases where the modification 
allows a vehicle to be operated in either its original configuration or 
a modified configuration, the original vehicle manufacturer remains 
responsible for operation of the modified vehicle in its original 
configuration.
    (e) Entities producing conversion kits may obtain certificates of 
conformity for the converted vehicles. Such entities are vehicle 
manufacturers for purposes of this part.

[73 FR 59255, Oct. 8, 2008]



       Subpart H_Averaging, Banking, and Trading for Certification



Sec. 1051.701  General provisions.

    (a) You may average, bank, and trade emission credits for purposes 
of certification as described in this subpart to show compliance with 
the standards of this part. To do this you must certify your engines to 
Family Emission Limits (FELs) and show that your average emission levels 
for all your engine families together are below the emission standards 
in subpart B of this part, or that you have sufficient credits to offset 
a credit deficit for the model year (as calculated in Sec. 1051.720).
    (b) The following averaging set restrictions apply:
    (1) You may not average together engine families that are certified 
to different standards. You may, however, use banked credits that were 
generated relative to different standards, except as prohibited by 
paragraphs (b)(2) and (3) of this section, paragraph (e) of this 
section, or by other provisions in this part. For example, you may not 
average together within a model year off-highway motorcycles that are 
certified

[[Page 439]]

to the standards in Sec. 1051.105(a)(1) and Sec. 1051.105(a)(2); but 
you may use banked credits generated by off-highway motorcycles that are 
certified to the standards in Sec. 1051.105(a)(1) to show compliance 
with the standards in Sec. 1051.105(a)(2) in a later model year, and 
vice versa.
    (2) There are separate averaging, banking, and trading programs for 
snowmobiles, ATVs, and off-highway motorcycles. You may not average or 
exchange banked or traded credits from engine families of one type of 
vehicle with those from engine families of another type of vehicle.
    (3) You may not average or exchange banked or traded credits with 
other engine families if you use fundamentally different measurement 
procedures for the different engine families (for example, ATVs 
certified to chassis-based vs. engine-based standards). This paragraph 
(b)(3) does not restrict you from averaging together engine families 
that use test procedures that we determine provide equivalent emission 
results.
    (4) You may not average or exchange banked or traded exhaust credits 
with evaporative credits, or vice versa.
    (c) The definitions of Subpart I of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Average standard means a standard that allows you comply by 
averaging all your vehicles under this part. See subpart B of this part 
to determine which standards are average standards.
    (3) Averaging set means a set of engines in which emission credits 
may be exchanged only with other engines in the same averaging set.
    (4) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a 
result of a trade.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (d) In your application for certification, base your showing of 
compliance on projected production volumes for vehicles whose point of 
first retail sale is in the United States. As described in Sec. 
1051.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
vehicles whose point of first retail sale is in the United States. Do 
not include any of the following vehicles to calculate emission credits:
    (1) Vehicles exempted under subpart G of this part or under 40 CFR 
part 1068.
    (2) Exported vehicles.
    (3) Vehicles not subject to the requirements of this part, such as 
those excluded under Sec. 1051.5.
    (4) Vehicles for which the location of first retail sale is in a 
state that has applicable state emission regulations for that model 
year. However, this restriction does not apply if we determine that the 
state standards and requirements are equivalent to those of this part 
and that these vehicles sold in such a state will not generate credits 
under the state program. For example, you may not include vehicles 
certified for California if it has more stringent emission standards for 
these vehicles or those vehicles generate or use emission credits under 
the California program.
    (5) Any other vehicles, where we indicate elsewhere in this part 
1051 that they are not to be included in the calculations of this 
subpart.
    (e) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard, except as specified 
in Sec. 1051.225(f)(1). This applies for all testing, including 
certification testing, in-use testing, selective enforcement audits, and 
other production-line testing.
    (f) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.

[[Page 440]]

    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec. 1051.225.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40504, July 13, 2005; 73 
FR 59256, Oct. 8, 2008]



Sec. 1051.705  How do I average emission levels?

    (a) As specified in subpart B of this part, certify each vehicle to 
an FEL, subject to the FEL caps in subpart B of this part.
    (b) Calculate a preliminary average emission level according to 
Sec. 1051.720 for each averaging set using projected U.S.-directed 
production volumes from your application for certification, excluding 
vehicles described in Sec. 1051.701(d)(4).
    (c) After the end of your model year, calculate a final average 
emission level according to Sec. 1051.720 for each type of recreational 
vehicle or engine you manufacture or import. Use actual U.S.-directed 
production volumes, excluding vehicles described in Sec. 
1051.701(d)(4).
    (d) If your preliminary average emission level is below the 
allowable average standard, see Sec. 1051.710 for information about 
generating and banking emission credits. These credits will be 
considered reserved until we verify them in reviewing the end-of-year 
report.
    (e) If your average emission level is above the allowable average 
standard, you must obtain enough emission credits to offset the deficit 
by the due date for the final report required in Sec. 1051.730. The 
emission credits used to address the deficit may come from emission 
credits you have banked or from emission credits you obtain through 
trading.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40505, July 13, 2005]



Sec. 1051.710  How do I generate and bank emission credits?

    (a) Banking is the retention of emission credits by the manufacturer 
generating the emission credits for use in averaging or trading in 
future model years. You may use banked emission credits only within the 
averaging set in which they were generated.
    (b) If your average emission level is below the average standard, 
you may calculate credits according to Sec. 1051.720. Credits you 
generate do not expire.
    (c) You may generate credits if you are a certifying manufacturer.
    (d) You may designate any emission credits you plan to bank in the 
reports you submit under Sec. 1051.730. During the model year and 
before the due date for the final report, you may designate your 
reserved emission credits for averaging or trading.
    (e) Reserved credits become actual emission credits when you submit 
your final report. However, we may revoke these emission credits if we 
are unable to verify them after reviewing your reports or auditing your 
records.

[70 FR 40505, July 13, 2005, as amended at 73 FR 59256, Oct. 8, 2008]



Sec. 1051.715  How do I trade emission credits?

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions. Traded emission credits may be 
used only within the averaging set in which they were generated.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits. You may 
trade banked credits within an averaging set to any certifying 
manufacturer.
    (c) [Reserved]
    (d) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec. 1051.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer having a negative balance of 
emission credits. See Sec. 1051.745.

[70 FR 40505, July 13, 2005, as amended at 73 FR 59256, Oct. 8, 2008]

[[Page 441]]



Sec. 1051.720  How do I calculate my average emission level or emission credits?

    (a) Calculate your average emission level for each type of 
recreational vehicle or engine for each model year according to the 
following equation and round it to the nearest tenth of a g/km or g/kW-
hr. Use consistent units throughout the calculation.
    (1) For exhaust emissions:
    (i) Calculate the average emission level as:
    [GRAPHIC] [TIFF OMITTED] TR08NO02.011
    
Where:

FELi = The FEL to which the engine family is certified.
ULi = The useful life of the engine family.
Productioni = The number of vehicles in the engine family.

    (ii) Use U.S.-directed production projections for initial 
certification, and actual U.S.-directed production volumes to determine 
compliance at the end of the model year.
    (2) For vehicles that have standards expressed as g/kW-hr and a 
useful life in kilometers, convert the useful life to kW-hr based on the 
maximum engine power and an assumed vehicle speed of 30 km/hr as 
follows: UL (kW-hr) = UL (km) x Maximum Engine Power (kW) / 30 km/hr. 
(Note: It is not necessary to include a load factor, since credit 
exchange is not allowed between vehicles certified to g/kW-hr standards 
and vehicles certified to g/km standards.)
    (3) For evaporative emission standards expressed as g/m\2\/day, use 
the useful life value in years multiplied by 365.24 and calculate the 
average emission level as:
[GRAPHIC] [TIFF OMITTED] TR13JY05.019

Where:

FEL i = The FEL to which the engine family is certified, as 
described in paragraph (a)(4) of this section.
    Production i = The number of vehicles in the engine 
family times the average internal surface area of the vehicles' fuel 
tanks.

    (4) Determine the FEL for calculating credits under paragraph (a)(3) 
of this section using any of the following values:
    (i) The FEL to which the tank is certified, as long as the FEL is at 
or below 3.0 g/m\2\/day.
    (ii) 10.4 g/m\2\/day. However, if you use this value to establish 
the FEL for any of your tanks, you must use this value to establish the 
FEL for every tank not covered by paragraph (a)(4)(i) of this section.
    (iii) The measured permeation rate of the tank or the measured 
permeation rate of a thinner-walled tank of the same material. However, 
if you use this approach to establish the FEL for any of your tanks, you 
must establish an FEL based on emission measurements for every tank not 
covered by paragraph (a)(4)(i) of this section.
    (b) If your average emission level is below the average standard, 
calculate credits available for banking according to the following 
equation and round them to the nearest tenth of a gram:

[[Page 442]]

[GRAPHIC] [TIFF OMITTED] TR08NO02.013

    (c) If your average emission level is above the average standard, 
calculate your preliminary credit deficit according to the following 
equation, rounding to the nearest tenth of a gram:
[GRAPHIC] [TIFF OMITTED] TR08NO02.014


[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40505, July 13, 2005; 73 
FR 59256, Oct. 8, 2008]



Sec. 1051.725  What must I include in my applications for certification?

    (a) You must declare in your applications for certification your 
intent to use the provisions of this subpart. You must also declare the 
FELs you select for each engine family. Your FELs must comply with the 
specifications of subpart B of this part, including the FEL caps. FELs 
must be expressed to the same number of decimal places as the applicable 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year. This means that 
if you believe that your average emission level will be above the 
standard (i.e., that you will have a deficit for the model year), you 
must have banked credits (or project to have received traded credits) to 
offset the deficit.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes. We may require you to 
include similar calculations from your other engine families to 
demonstrate that you will be able to avoid a negative credit balance for 
the model year. If you project negative emission credits for an engine 
family, state the source of positive emission credits you expect to use 
to offset the negative emission credits.

[70 FR 40506, July 13, 2005, as amended at 73 FR 59256, Oct. 8, 2008]



Sec. 1051.730  What ABT reports must I send to EPA?

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family:
    (1) Engine-family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you change the FEL after the 
start of production, identify the date that you started using the new 
FEL and/or give the vehicle identification number for the first vehicle 
covered by the new FEL. In this case, identify each applicable FEL and 
calculate the positive or negative emission credits under each FEL.
    (4) The projected and actual production volumes for the model year 
with a point of retail sale in the United States, as described in Sec. 
1051.701(d). For

[[Page 443]]

fuel tanks, state the production volume in terms of surface area and 
production volume for each tank configuration and state the total 
surface area for the emission family. If you changed an FEL during the 
model year, identify the actual production volume associated with each 
FEL.
    (5) For vehicles that have standards expressed as g/kW-hr, maximum 
engine power for each vehicle configuration, and the average engine 
power weighted by U.S.-directed production volumes for the engine 
family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits. Identify any 
emission credits that you traded, as described in paragraph (d)(1) of 
this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits in each averaging 
set in the applicable model year is not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.

[70 FR 40506, July 13, 2005, as amended at 73 FR 59256, Oct. 8, 2008]



Sec. 1051.735  What records must I keep?

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for at least eight 
years after the due date for the end-of-year report. You may not use 
emission credits on any engines if you do not keep all the records 
required under this section. You must therefore keep these records to 
continue to bank valid credits. Store these records in any format and on 
any media as long as you can promptly send us organized, written records 
in English if we ask for them. You must keep these records readily 
available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec. 1051.725 and 
Sec. 1051.730.
    (d) Keep records of the identification number for each vehicle or 
engine or piece of equipment you produce that generates or uses emission 
credits under the ABT program. You may identify these numbers as a 
range.

[[Page 444]]

    (e) We may require you to keep additional records or to send us 
relevant information not required by this section in accordance with the 
Clean Air Act.

[70 FR 40506, July 13, 2005, as amended at 73 FR 59257, Oct. 8, 2008]



Sec. 1051.740  Are there special averaging provisions for snowmobiles?

    For snowmobiles, you may only use credits for the same phase or set 
of standards against which they were generated, except as allowed by 
this section.
    (a) Restrictions. (1) You may not use any Phase 1 or Phase 2 credits 
for Phase 3 compliance.
    (2) You may not use Phase 1 HC credits for Phase 2 HC compliance. 
However, because the Phase 1 and Phase 2 CO standards are the same, you 
may use Phase 1 CO credits for compliance with the Phase 2 CO standards.
    (b) Special credits for next phase of standards. You may choose to 
generate credits early for banking for purposes of compliance with later 
phases of standards as follows:
    (1) If your corporate average emission level at the end of the model 
year exceeds the applicable (current) phase of standards (without the 
use of traded or previously banked credits), you may choose to 
redesignate some of your snowmobile production to a calculation to 
generate credits for a future phase of standards. To generate credits 
the snowmobiles designated must have an FEL below the emission level of 
that set of standards. This can be done on a pollutant specific basis.
    (2) Do not include the snowmobiles that you redesignate in the final 
compliance calculation of your average emission level for the otherwise 
applicable (current) phase of standards. Your average emission level for 
the remaining (non-redesignated) snowmobiles must comply with the 
otherwise applicable (current) phase of standards.
    (3) Include the snowmobiles that you redesignate in a separate 
calculation of your average emission level for redesignated engines. 
Calculate credits using this average emission level relative to the 
specific pollutant in the future phase of standards. These credits may 
be used for compliance with the future standards.
    (4) For generating early Phase 3 credits, you may generate credits 
for HC or CO separately as described:
    (i) To determine if you qualify to generate credits in accordance 
with paragraphs (b)(1) through (3) of this section, you must meet the 
credit trigger level. For HC this value is 75 g/kW-hr. For CO this value 
is 200 g/kW-hr.
    (ii) HC and CO credits for Phase 3 are calculated relative to 75 g/
kW-hr and 200 g/kW-hr values, respectively.
    (5) Credits can also be calculated for Phase 3 using both sets of 
standards. Without regard to the trigger level values, if your net 
emission reduction for the redesignated averaging set exceeds the 
requirements of Phase 3 in Sec. 1051.103 (using both HC+NOX 
and CO in the Phase 3 equation in Sec. 1051.103), then your credits are 
the difference between the Phase 3 reduction requirement of that section 
and your calculated value.

[70 FR 40507, July 13, 2005, as amended at 73 FR 35952, June 25, 2008; 
73 FR 59257, Oct. 8, 2008]



Sec. 1051.745  What can happen if I do not comply with the provisions of this subpart?

    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an applicable 
standard based on a projection that you will have enough emission 
credits to avoid a negative credit balance for each averaging set for 
the applicable model year. However, except as allowed in Sec. 
1051.145(h), we may void the certificate of conformity if you cannot 
show in your final report that you have enough actual emission credits 
to offset a deficit for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.

[[Page 445]]

    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec. 1051.820).

[70 FR 40507, July 13, 2005]



          Subpart I_Definitions and Other Reference Information



Sec. 1051.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to access if it 
cannot be adjusted to affect emissions without significantly degrading 
engine performance, or if you otherwise show us that it will not be 
adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR), turbochargers, and oxygen 
sensors are not aftertreatment.
    Alcohol-fueled means relating to a vehicle with an engine that is 
designed to run using an alcohol fuel. For purposes of this definition, 
alcohol fuels do not include fuels with a nominal alcohol content below 
25 percent by volume.
    All-terrain vehicle means a land-based or amphibious nonroad vehicle 
that meets the criteria listed in paragraph (1) of this definition; or, 
alternatively the criteria of paragraph (2) of this definition but not 
the criteria of paragraph (3) of this definition:
    (1) Vehicles designed to travel on four low pressure tires, having a 
seat designed to be straddled by the operator and handlebars for 
steering controls, and intended for use by a single operator and no 
other passengers are all-terrain vehicles.
    (2) Other all-terrain vehicles have three or more wheels and one or 
more seats, are designed for operation over rough terrain, are intended 
primarily for transportation, and have a maximum vehicle speed higher 
than 25 miles per hour. Golf carts generally do not meet these criteria 
since they are generally not designed for operation over rough terrain.
    (3) Vehicles that meet the definition of ``offroad utility vehicle'' 
in this section are not all-terrain vehicles. However, Sec. 1051.1(a) 
specifies that some offroad utility vehicles are required to meet the 
same requirements as all-terrain vehicles.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Auxiliary emission-control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant

[[Page 446]]

from either transient or steady-state testing.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Days means calendar days unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Designated Compliance Officer means the Manager, Light-Duty Engine 
Group, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann 
Arbor, MI 48105.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW.,Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data vehicle.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Emission-control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data vehicle means a vehicle or engine that is tested for 
certification. This includes vehicles or engines tested to establish 
deterioration factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability 
or factors unrelated to emissions.
    Engine family has the meaning given in Sec. 1051.230.
    Evaporative means relating to fuel emissions that result from 
permeation of fuel through the fuel system materials and from 
ventilation of the fuel system.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that is excluded from this part 1051 under 
the provisions of Sec. 1051.5.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places as 
the emission

[[Page 447]]

standard it replaces. The family emission limit serves as the emission 
standard for the engine family with respect to all required testing.
    Fuel line means all hoses or tubing designed to contain liquid fuel 
or fuel vapor. This includes all hoses or tubing for the filler neck, 
for connections between dual fuel tanks, and for connecting a carbon 
canister to the fuel tank. This does not include hoses or tubing for 
routing crankcase vapors to the engine's intake or any other hoses or 
tubing that are open to the atmosphere.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents. In the case where the fuel tank cap or other components 
(excluding fuel lines) are directly mounted on the fuel tank, they are 
considered to be a part of the fuel tank.
    Fuel type means a general category of fuels such as gasoline or 
natural gas. There can be multiple grades within a single fuel type, 
such as winter-grade and all-season gasoline.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type. For alcohol-fueled engines, HC 
means total hydrocarbon equivalent (THCE). For all other engines, HC 
means nonmethane hydrocarbon (NMHC).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular vehicle or engine from other similar engines.
    Low-hour means relating to an engine with stabilized emissions and 
represents the undeteriorated emission level. This would generally 
involve less than 24 hours or 240 kilometers of operation.
    Low-permeability material has the meaning given in 40 CFR 1060.801.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures a vehicle or 
engine for sale in the United States or otherwise introduces a new 
vehicle or engine into commerce in the United States. This includes 
importers that import vehicles or engines for resale.
    Maximum engine power has the meaning given in 40 CFR 90.3 for 2010 
and earlier model years and in Sec. 1051.140 for 2011 and later model 
years. Note that maximum engine power is based on the engine alone, 
without regard to any governing or other restrictions from the vehicle 
installation.
    Maximum test speed has the meaning given in 40 CFR 1065.1001.
    Model year means one of the following things:
    (1) For freshly manufactured vehicles (see definition of ``new,'' 
paragraph (1)), model year means one of the following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year. For seasonal production periods not including January 1, 
model year means the calendar year in which the production occurs, 
unless you choose to certify the applicable emission family with the 
following model year. For example, if your production period is June 1, 
2010, through November 30, 2010, your model year would be 2010 unless 
you choose to certify the emission family for model year 2011.
    (2) For an engine originally certified and manufactured as a motor 
vehicle engine or a stationary engine that is later used or intended to 
be used in a vehicle subject to the standards and requirements of this 
part 1051, model year means the calendar year in which the engine was 
originally produced. For an engine originally manufactured as a motor 
vehicle engine or a stationary engine without having been certified that 
is later used or intended to be

[[Page 448]]

used in a vehicle subject to the standards and requirements of this part 
1051, model year means the calendar year in which the engine becomes 
subject to this part 1051. (See definition of ``new,'' paragraph (2)).
    (3) For a nonroad engine that has been previously placed into 
service in an application covered by 40 CFR part 90, 91, 1048, or 1054, 
where that engine is installed in a piece of equipment that is covered 
by this part 1051, model year means the calendar year in which the 
engine was originally produced (see definition of ``new,'' paragraph 
(3)).
    (4) For engines that are not freshly manufactured but are installed 
in new recreational vehicles, model year means the calendar year in 
which the engine is installed in the recreational vehicle (see 
definition of ``new,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new,'' model year has the meaning given in paragraphs 
(1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of ``new,'' model year means the calendar year in which the 
vehicle is modified.
    (iii) For imported engines described in paragraph (5)(iii) of the 
definition of ``new'' model year means the calendar year in which the 
engine is assembled in its imported configuration, unless specified 
otherwise in this part or in 40 CFR part 1068.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New means relating to any of the following things:
    (1) A freshly manufactured vehicle for which the ultimate purchaser 
has never received the equitable or legal title. This kind of vehicle 
might commonly be thought of as ``brand new.''
    In the case of this paragraph (1), the vehicle is new from the time 
it is produced until the ultimate purchaser receives the title or the 
product is placed into service, whichever comes first.
    (2) An engine originally manufactured as a motor vehicle engine or a 
stationary engine that is later used or intended to be used in a vehicle 
subject to the standards and requirements of this part 1051. In this 
case, the engine is no longer a motor vehicle or stationary engine and 
becomes new. The engine is no longer new when it is placed into service 
as a recreational vehicle covered by this part 1051.
    (3) A nonroad engine that has been previously placed into service in 
an application covered by 40 CFR part 90, 91, 1048, or 1054, when that 
engine is installed in a piece of equipment that is covered by this part 
1051. The engine is no longer new when it is placed into service in a 
recreational vehicle covered by this part 1051. For example, this would 
apply to a marine propulsion engine that is no longer used in a marine 
vessel.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in a new vehicle covered by 
this part 1051. This generally includes installation of used engines in 
new recreational vehicles. The engine is no longer new when the ultimate 
purchaser receives a title for the vehicle or it is placed into service, 
whichever comes first.
    (5) An imported vehicle or engine, subject to the following 
provisions:
    (i) An imported recreational vehicle or recreational-vehicle engine 
covered by a certificate of conformity issued under this part that meets 
the criteria of one or more of paragraphs (1) through (4) of this 
definition, where the original manufacturer holds the certificate, is 
new as defined by those applicable paragraphs.
    (ii) An imported vehicle or engine covered by a certificate of 
conformity issued under this part, where someone other than the original 
manufacturer holds the certificate (such as when the engine is modified 
after its initial assembly), is new when it is imported. It is no longer 
new when the ultimate purchaser receives a title for the vehicle or 
engine or it is placed into service, whichever comes first.
    (iii) An imported recreational vehicle or recreational-vehicle 
engine that is not covered by a certificate of conformity issued under 
this part at the time of importation is new. This addresses uncertified 
vehicles and engines initially placed into service that someone seeks to 
import into the United States. Importation of this kind

[[Page 449]]

of vehicle or engine is generally prohibited by 40 CFR part 1068. 
However, the importation of such a vehicle or engine is not prohibited 
if it has a model year before 2006, since it is not subject to 
standards.
    Noncompliant means relating to a vehicle that was originally covered 
by a certificate of conformity, but is not in the certified 
configuration or otherwise does not comply with the conditions of the 
certificate.
    Nonconforming means relating to vehicle not covered by a certificate 
of conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
    Nonroad means relating to nonroad engines or equipment that includes 
nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor-vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft.
    Off-highway motorcycle means a two-wheeled vehicle with a nonroad 
engine and a seat (excluding marine vessels and aircraft). (Note: 
highway motorcycles are regulated under 40 CFR part 86.)
    Official emission result means the measured emission rate for an 
emission-data vehicle on a given duty cycle before the application of 
any deterioration factor.
    Offroad utility vehicle means a nonroad vehicle that has four or 
more wheels, seating for two or more persons, is designed for operation 
over rough terrain, and has either a rear payload capacity of 350 pounds 
or more or seating for six or more passengers. Vehicles intended 
primarily for recreational purposes that are not capable of transporting 
six passengers (such as dune buggies) are not offroad utility vehicles. 
(Note: Sec. 1051.1(a) specifies that some offroad utility vehicles are 
required to meet the requirements that apply for all-terrain vehicles.) 
Unless there is significant information to the contrary, we consider 
vehicles to be intended primarily for recreational purposes if they are 
marketed for recreational use, have a rear payload capacity no greater 
than 1,000 pounds, and meet at least five of the following criteria:
    (1) Front and rear suspension travel is greater than 18 cm.
    (2) The vehicle has no tilt bed.
    (3) The vehicle has no mechanical power take-off (PTO) and no 
permanently installed hydraulic system for operating utility-oriented 
accessory devices.
    (4) The engine has in-use operating speeds at or above 4,000 rpm.
    (5) Maximum vehicle speed is greater than 35 miles per hour.
    (6) The speed at which the engine produces peak power is above 4,500 
rpm and the engine is equivalent to engines in ATVs certified by the 
same manufacturer. For the purpose of this paragraph (6), the engine is 
considered equivalent if it could be included in the same emission 
family based on the characteristics specified in Sec. 1051.230(b).
    (7) Gross Vehicle Weight Rating is no greater than 3,750 pounds. 
This is the maximum design loaded weight of the vehicle as defined in 40 
CFR 86.1803-01, including passengers and cargo.
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale. The owners manual may be in paper or electronic format.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Phase 1 means relating to Phase 1 standards of Sec. Sec. 1051.103, 
1051.105, or 1051.107, or other Phase 1 standards specified in subpart B 
of this part.
    Phase 2 means relating to Phase 2 standards of Sec. 1051.103, or 
other Phase 2 standards specified in subpart B of this part.
    Phase 3 means relating to Phase 3 standards of Sec. 1051.103, or 
other Phase 3 standards specified in subpart B of this part.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale

[[Page 450]]

occurs. This generally means an equipment dealership, but may also 
include an engine seller or distributor in cases where loose engines are 
sold to the general public for uses such as replacement engines.
    Recreational means, for purposes of this part, relating to 
snowmobiles, all-terrain vehicles, off-highway motorcycles, and other 
vehicles that we regulate under this part. Note that 40 CFR parts 90 and 
1054 apply to engines used in other recreational vehicles.
    Revoke has the meaning given in 40 CFR 1068.30.
    Round has the meaning given in 40 CFR 1065.1001, unless otherwise 
specified.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Small-volume manufacturer means one of the following:
    (1) For motorcycles and ATVs, a manufacturer that sold motorcycles 
or ATVs before 2003 and had annual U.S.-directed production of no more 
than 5,000 off-road motorcycles and ATVs (combined number) in 2002 and 
all earlier calendar years. For manufacturers owned by a parent company, 
the limit applies to the production of the parent company and all of its 
subsidiaries.
    (2) For snowmobiles, a manufacturer that sold snowmobiles before 
2003 and had annual U.S.-directed production of no more than 300 
snowmobiles in 2002 and all earlier model years. For manufacturers owned 
by a parent company, the limit applies to the production of the parent 
company and all of its subsidiaries.
    (3) A manufacturer that we designate to be a small-volume 
manufacturer under Sec. 1051.635.
    Snowmobile means a vehicle designed to operate outdoors only over 
snow-covered ground, with a maximum width of 1.5 meters or less.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Suspend has the meaning given in 40 CFR 1068.30.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Test vehicle or engine means an engine in a test sample.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001.
    Ultimate purchaser means, with respect to any new nonroad equipment 
or new nonroad engine, the first person who in good faith purchases such 
new nonroad equipment or new nonroad engine for purposes other than 
resale.
    Ultraviolet light means electromagnetic radiation with a wavelength 
between 300 and 400 nanometers.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of vehicle units, 
subject to the requirements of this part, produced by a manufacturer for 
which the manufacturer has a reasonable assurance that sale was or will 
be made to ultimate purchasers in the United States. This includes 
vehicles for which the location of first retail sale is in a state that 
has applicable state emission regulations for that model year, unless we 
specify otherwise.
    Useful life means the period during which a vehicle is required to 
comply with all applicable emission standards, specified as a given 
number of calendar years and kilometers (whichever comes

[[Page 451]]

first). In some cases, useful life is also limited by a given number of 
hours of engine operation. If an engine has no odometer (or hour meter), 
the specified number of kilometers (or hours) does not limit the period 
during which an in-use vehicle is required to comply with emission 
standards, unless the degree of service accumulation can be verified 
separately. The useful life for an engine family must be at least as 
long as both of the following:
    (1) The expected average service life before the vehicle is 
remanufactured or retired from service.
    (2) The minimum useful life value.
    Void has the meaning given in 40 CFR 1068.30.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Wide-open throttle means maximum throttle opening. Unless this is 
specified at a given speed, it refers to maximum throttle opening at 
maximum speed. For electronically controlled or other engines with 
multiple possible fueling rates, wide-open throttle also means the 
maximum fueling rate at maximum throttle opening under test conditions.

[70 FR 40507, July 13, 2005, as amended at 73 FR 59257, Oct. 8, 2008; 75 
FR 23024, Apr. 30, 2010]



Sec. 1051.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

[deg]--degrees.
ASTM--American Society for Testing and Materials.
ATV--all-terrain vehicle.
cc--cubic centimeters.
CFR--Code of Federal Regulations.
CH4 methane.
cm--centimeter.
C--Celsius.
CO--carbon monoxide.
CO2--carbon dioxide.
EPA--Environmental Protection Agency.
F--Fahrenheit.
g--grams.
g/gal/day--grams per gallon per test day.
g/m\2\/day--grams per meter-square per test day.
HC--hydrocarbon.
Hg--mercury.
hr--hours.
km--kilometer.
kW--kilowatt.
LPG--liquefied petroleum gas.
m--meters.
mm--millimeters.
mW--milliwatts.
N2O nitrous oxide.
NARA--National Archives and Records Administration.
NMHC--nonmethane hydrocarbons.
NOX--oxides of nitrogen (NO and NOX).
psig--pounds per square inches of gauge pressure.
rpm--revolutions per minute.
SAE--Society of Automotive Engineers.
SI--spark-ignition.
THC--total hydrocarbon.
THCE--total hydrocarbon equivalent.
U.S.C.--United States Code.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40510, July 13, 2005; 74 
FR 56511, Oct. 30, 2009]



Sec. 1051.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.

[70 FR 40511, July 13, 2005]



Sec. 1051.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.

[[Page 452]]

    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.

[70 FR 40511, July 13, 2005]



Sec. 1051.825  What reporting and recordkeeping requirements apply under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for vehicles 
regulated under this part:
    (a) We specify the following requirements related to certification 
in this part 1051:
    (1) In Sec. Sec. 1051.20 and 1051.25 we describe special provisions 
for manufacturers to certify recreational engines instead of vehicles.
    (2) [Reserved]
    (3) In Sec. 1051.145 we include various reporting and recordkeeping 
requirements related to interim provisions.
    (4) In subpart C of this part we identify a wide range of 
information required to certify vehicles.
    (5) In Sec. Sec. 1051.345 and 1051.350 we specify certain records 
related to production-line testing.
    (6) [Reserved]
    (7) In Sec. 1051.501 we specify information needs for establishing 
various changes to published vehicle-based test procedures.
    (8) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions.
    (9) In Sec. Sec. 1051.725, 1051.730, and 1051.735 we specify 
certain records related to averaging, banking, and trading.
    (b) [Reserved]
    (c) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published engine-based test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines or vehicles using portable 
analyzers.
    (d) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information
    (3) In 40 CFR 1068.27 we require manufacturers to make engines or 
vehicles available for our testing or inspection if we make such a 
request.
    (4) In 40 CFR 1068.105 we require manufacturers to keep certain 
records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines or vehicles.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming vehicles.

[73 FR 59258, Oct. 8, 2008]

[[Page 453]]



PART 1054_CONTROL OF EMISSIONS FROM NEW, SMALL NONROAD SPARK-IGNITION ENGINES 

AND EQUIPMENT--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1054.1 Does this part apply for my engines and equipment?
1054.2 Who is responsible for compliance?
1054.5 Which nonroad engines are excluded from this part's requirements?
1054.10 How is this part organized?
1054.15 Do any other CFR parts apply to me?
1054.20 What requirements apply to my equipment?
1054.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1054.101 What emission standards and requirements must my engines meet?
1054.103 What exhaust emission standards must my handheld engines meet?
1054.105 What exhaust emission standards must my nonhandheld engines 
          meet?
1054.107 What is the useful life period for meeting exhaust emission 
          standards?
1054.110 What evaporative emission standards must my handheld equipment 
          meet?
1054.112 What evaporative emission standards must my nonhandheld 
          equipment meet?
1054.115 What other requirements apply?
1054.120 What emission-related warranty requirements apply to me?
1054.125 What maintenance instructions must I give to buyers?
1054.130 What installation instructions must I give to equipment 
          manufacturers?
1054.135 How must I label and identify the engines I produce?
1054.140 What is my engine's maximum engine power and displacement?
1054.145 Are there interim provisions that apply only for a limited 
          time?

                 Subpart C_Certifying Emission Families

1054.201 What are the general requirements for obtaining a certificate 
          of conformity?
1054.205 What must I include in my application?
1054.210 May I get preliminary approval before I complete my 
          application?
1054.220 How do I amend the maintenance instructions in my application?
1054.225 How do I amend my application for certification to include new 
          or modified engines or fuel systems or change an FEL?
1054.230 How do I select emission families?
1054.235 What exhaust emission testing must I perform for my application 
          for a certificate of conformity?
1054.240 How do I demonstrate that my emission family complies with 
          exhaust emission standards?
1054.245 How do I determine deterioration factors from exhaust 
          durability testing?
1054.250 What records must I keep and what reports must I send to EPA?
1054.255 What decisions may EPA make regarding my certificate of 
          conformity?

                    Subpart D_Production-line Testing

1054.300 Applicability.
1054.301 When must I test my production-line engines?
1054.305 How must I prepare and test my production-line engines?
1054.310 How must I select engines for production-line testing?
1054.315 How do I know when my engine family fails the production-line 
          testing requirements?
1054.320 What happens if one of my production-line engines fails to meet 
          emission standards?
1054.325 What happens if an engine family fails the production-line 
          testing requirements?
1054.330 May I sell engines from an engine family with a suspended 
          certificate of conformity?
1054.335 How do I ask EPA to reinstate my suspended certificate?
1054.340 When may EPA revoke my certificate under this subpart and how 
          may I sell these engines again?
1054.345 What production-line testing records must I send to EPA?
1054.350 What records must I keep?

                        Subpart E_In-use Testing

1054.401 General provisions.

                        Subpart F_Test Procedures

1054.501 How do I run a valid emission test?
1054.505 How do I test engines?
1054.520 What testing must I perform to establish deterioration factors?

                 Subpart G_Special Compliance Provisions

1054.601 What compliance provisions apply?
1054.610 What is the exemption for delegated final assembly?
1054.612 What special provisions apply for equipment manufacturers 
          modifying certified nonhandheld engines?
1054.615 What is the exemption for engines certified to standards for 
          Large SI engines?
1054.620 What are the provisions for exempting engines used solely for 
          competition?

[[Page 454]]

1054.625 What requirements apply under the Transition Program for 
          Equipment Manufacturers?
1054.626 What special provisions apply to equipment imported under the 
          Transition Program for Equipment Manufacturers?
1054.630 What provisions apply for importation of individual items for 
          personal use?
1054.635 What special provisions apply for small-volume engine and 
          equipment manufacturers?
1054.640 What special provisions apply to branded engines?
1054.645 What special provisions apply for converting an engine to use 
          an alternate fuel?
1054.650 What special provisions apply for adding or changing governors?
1054.655 What special provisions apply for installing and removing 
          altitude kits?
1054.660 What are the provisions for exempting emergency rescue 
          equipment?
1054.690 What bond requirements apply for certified engines?

       Subpart H_Averaging, Banking, and Trading for Certification

1054.701 General provisions.
1054.705 How do I generate and calculate exhaust emission credits?
1054.706 How do I generate and calculate evaporative emission credits?
1054.710 How do I average emission credits?
1054.715 How do I bank emission credits?
1054.720 How do I trade emission credits?
1054.725 What must I include in my application for certification?
1054.730 What ABT reports must I send to EPA?
1054.735 What records must I keep?
1054.740 What special provisions apply for generating and using emission 
          credits?
1054.745 What can happen if I do not comply with the provisions of this 
          subpart?

          Subpart I_Definitions and Other Reference Information

1054.801 What definitions apply to this part?
1054.805 What symbols, acronyms, and abbreviations does this part use?
1054.815 What provisions apply to confidential information?
1054.820 How do I request a hearing?
1054.825 What reporting and recordkeeping requirements apply under this 
          part?

Appendix I to Part 1054--Summary of Previous Emission Standards
Appendix II to Part 1054--Duty Cycles for Laboratory Testing

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 59259, Oct. 8, 2008, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec. 1054.1  Does this part apply for my engines and equipment?

    (a) Except as provided in Sec. 1054.5, the regulations in this part 
1054 apply as follows:
    (1) The requirements of this part related to exhaust emissions apply 
to new, spark-ignition engines with maximum engine power at or below 19 
kW. This includes auxiliary marine spark-ignition engines.
    (2) The requirements of this part related to evaporative emissions 
apply as specified in Sec. Sec. 1054.110 and 1054.112 to fuel systems 
used with engines subject to exhaust emission standards in this part if 
the engines use a volatile liquid fuel (such as gasoline).
    (3) This part 1054 applies starting with the model years noted in 
the following table:

     Table 1 to Sec.  1054.1--Part 1054 Applicability by Model Year
 
------------------------------------------------------------------------
            Engine type               Engine  displacement    Model year
------------------------------------------------------------------------
 Handheld..........................  all...................         2010
Nonhandheld........................  displacement < 225 cc.         2012
Nonhandheld........................  displacement = 225 cc.
------------------------------------------------------------------------

    (4) This part 1054 applies for other spark-ignition engines as 
follows:
    (i) The provisions of Sec. Sec. 1054.620 and 1054.801 apply for new 
engines used solely for competition beginning January 1, 2010.
    (ii) The provisions of Sec. Sec. 1054.660 and 1054.801 apply for 
new engines used in emergency rescue equipment beginning January 1, 
2010.
    (5) We specify provisions in Sec. 1054.145(e) and (f) and in Sec. 
1054.740 that allow for meeting the requirements of this part before the 
dates shown in Table 1 to this section. Engines, fuel-system components, 
or equipment certified to these standards are subject to all the 
requirements of this part as if these optional standards were mandatory.

[[Page 455]]

    (b) Although the definition of nonroad engine in 40 CFR 1068.30 
excludes certain engines used in stationary applications, stationary 
engines are required under 40 CFR part 60, subpart JJJJ, to comply with 
this part starting with the model years shown in Table 1 to this 
section.
    (c) See 40 CFR part 90 for requirements that apply to engines not 
yet subject to the requirements of this part 1054.
    (d) In certain cases, the regulations in this part 1054 apply to 
engines with maximum engine power above 19 kW that would otherwise be 
covered by 40 CFR part 1048 or 1051. See 40 CFR 1048.615 and 
1051.145(a)(3) for provisions related to these allowances.
    (e) In certain cases, the regulations in this part 1054 apply to 
propulsion marine engines that would otherwise be covered by 40 CFR part 
1045. See 40 CFR 1045.610 for provisions related to these allowances.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23024, Apr. 30, 2010]



Sec. 1054.2  Who is responsible for compliance?

    The requirements and prohibitions of this part apply to 
manufacturers of engines and equipment, as described in Sec. 1054.1. 
The requirements of this part are generally addressed to manufacturers 
subject to this part's requirements. The term ``you'' generally means 
the certifying manufacturer. For provisions related to exhaust 
emissions, this generally means the engine manufacturer, especially for 
issues related to certification (including production-line testing, 
reporting, etc.). For provisions related to certification with respect 
to evaporative emissions, this generally means the equipment 
manufacturer. Equipment manufacturers must meet applicable requirements 
as described in Sec. 1054.20. Engine manufacturers that assemble an 
engine's complete fuel system are considered to be the equipment 
manufacturer with respect to evaporative emissions (see 40 CFR 1060.5). 
Note that certification requirements for component manufacturers are 
described in 40 CFR part 1060.



Sec. 1054.5  Which nonroad engines are excluded from this part's requirements?

    This part does not apply to the following nonroad engines:
    (a) Engines that are certified to meet the requirements of 40 CFR 
part 1051 (for example, engines used in snowmobiles and all-terrain 
vehicles). Engines that are otherwise subject to 40 CFR part 1051 but 
not required to be certified (such as engines exempted under 40 CFR part 
1051) are also excluded from this part 1054, unless the regulations in 
40 CFR part 1051 specifically require them to comply with the 
requirements of this part 1054.
    (b) Engines that are certified to meet the requirements of 40 CFR 
part 1048, subject to the provisions of Sec. 1054.615.
    (c) Propulsion marine engines. See 40 CFR parts 91 and 1045. Note 
that the evaporative emission standards of this part also do not apply 
with respect to auxiliary marine engines as described in Sec. 1054.20.
    (d) Engines used in reduced-scale models of vehicles that are not 
capable of transporting a person.



Sec. 1054.10  How is this part organized?

    This part 1054 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of this part 
1054 and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec. 1054.145 discusses certain interim requirements and 
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
production-line engines.
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).

[[Page 456]]

    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) Subpart H of this part describes how you may generate and use 
exhaust and evaporative emission credits to certify your engines and 
equipment.
    (i) Subpart I of this part contains definitions and other reference 
information.



Sec. 1054.15  Do any other CFR parts apply to me?

    (a) Part 1060 of this chapter describes standards and procedures 
that apply for controlling evaporative emissions from engines fueled by 
gasoline or other volatile liquid fuels and the associated fuel systems. 
See Sec. Sec. 1054.110 and 1054.112 for information about how that part 
applies.
    (b) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1054 describes how to apply the provisions of part 1065 
of this chapter to determine whether engines meet the exhaust emission 
standards in this part.
    (c) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1054, or equipment containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (d) Other parts of this chapter apply if referenced in this part.



Sec. 1054.20  What requirements apply to my equipment?

    (a) If you manufacture equipment using engines certified under this 
part, your equipment must meet all applicable emission standards with 
the engine and fuel system installed.
    (b) Except as specified in paragraph (f) of this section, all 
equipment subject to the exhaust standards of this part must meet the 
evaporative emission standards of 40 CFR part 1060, as described in 
Sec. Sec. 1054.110 and 1054.112.
    (c) Except as specified in paragraph (f) of this section, you must 
identify and label equipment you produce under this section consistent 
with the requirements of 40 CFR 1060.135.
    (d) You may need to certify your equipment or fuel systems as 
described in 40 CFR 1060.1 and 1060.601.
    (e) You must follow all emission-related installation instructions 
from the certifying manufacturers as described in Sec. 1054.130, 40 CFR 
1060.130, and 40 CFR 1068.105. Failure to follow these instructions 
subjects you to civil penalties as described in 40 CFR part 1068, 
subpart B.
    (f) Motor vehicles and marine vessels may contain engines subject to 
the exhaust emission standards in this part 1054. Evaporative emission 
standards apply to these products as follows:
    (1) Marine vessels using spark-ignition engines are subject to the 
requirements of 40 CFR part 1045. The vessels are not required to comply 
with the evaporative emission standards and related requirements of this 
part 1054.
    (2) Motor vehicles are subject to the requirements of 40 CFR part 
86. They are not required to comply with the evaporative emission 
standards and related requirements of this part 1054.



Sec. 1054.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec. 1054.825 and 40 CFR 1068.25 regarding 
recordkeeping requirements. If recordkeeping requirements are not 
specified, store these records in any format and on any media and keep 
them readily available for one year after you send an associated 
application for certification, or one year after you generate the data 
if they do not support an application for

[[Page 457]]

certification. You must promptly send us organized, written records in 
English if we ask for them. We may review them at any time.
    (b) The regulations in Sec. 1054.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 1054.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.



          Subpart B_Emission Standards and Related Requirements



Sec. 1054.101  What emission standards and requirements must my engines meet?

    (a) Exhaust emissions. You must show that your engines meet the 
following exhaust emission standards, except as specified in paragraphs 
(b) through (d) of this section:
    (1) Handheld engines must meet the exhaust emission standards in 
Sec. 1054.103.
    (2) Nonhandheld engines must meet the exhaust emission standards in 
Sec. 1054.105.
    (3) All engines must meet the requirements in Sec. 1054.115.
    (b) Evaporative emissions. Except as specified in Sec. 1054.20, new 
equipment using engines that run on a volatile liquid fuel (such as 
gasoline) must meet the evaporative emission requirements of 40 CFR part 
1060. The requirements of 40 CFR part 1060 that apply are considered 
also to be requirements of this part 1054. Marine vessels using 
auxiliary marine engines subject to this part must meet the evaporative 
emission requirements in 40 CFR 1045.112 instead of the evaporative 
emission requirements in this part. We specify evaporative emission 
requirements for handheld and nonhandheld equipment separately in 
Sec. Sec. 1054.110 and 1054.112.
    (c) Wintertime engines. Emission standards regulating HC and 
NOX exhaust emissions are optional for wintertime engines. 
However, if you certify an emission family to such standards, those 
engines are subject to all the requirements of this part as if these 
optional standards were mandatory.
    (d) Two-stroke snowthrower engines. Two-stroke snowthrower engines 
may meet exhaust emission standards that apply to handheld engines with 
the same engine displacement instead of the nonhandheld standards that 
would otherwise apply.
    (e) Relationship between handheld and nonhandheld engines. Any 
engines certified to the nonhandheld emission standards in Sec. 
1054.105 may be used in either handheld or nonhandheld equipment. 
Engines above 80 cc certified to the handheld emission standards in 
Sec. 1054.103 may not be used in nonhandheld equipment. 40 CFR 1068.101 
prohibits the introduction into commerce or importation of such 
nonhandheld equipment except as specified in this paragraph (e). For 
purposes of the requirements of this part, engines at or below 80 cc are 
considered handheld engines, but may be installed in either handheld or 
nonhandheld equipment. These engines are subject to handheld exhaust 
emission standards; the equipment in which they are installed are 
subject to handheld evaporative emission standards starting with the 
model years specified in this part 1054. See Sec. 1054.701(c) for 
special provisions related to emission credits for engine families with 
displacement at or below 80 cc where those engines are installed in 
nonhandheld equipment.
    (f) Interim provisions. It is important that you read Sec. 1054.145 
to determine if there are other interim requirements or interim 
compliance provisions that apply for a limited time.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 68462, Nov. 8, 2010]

[[Page 458]]



Sec. 1054.103  What exhaust emission standards must my handheld engines meet?

    (a) Emission standards. Exhaust emissions from your handheld engines 
may not exceed the emission standards in Table 1 to this section. 
Measure emissions using the applicable steady-state test procedures 
described in subpart F of this part.

   Table 1 to Sec.  1054.103--Phase 3 Emission Standards for Handheld
                            Engines (g/kW-hr)
------------------------------------------------------------------------
               Engine displacement class                 HC+NOX     CO
------------------------------------------------------------------------
Class III.............................................       50      805
Class IV..............................................       50      805
Class V...............................................       72      603
------------------------------------------------------------------------

    (b) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
for HC+NOX emissions as described in subpart H of this part. 
You may not generate or use emission credits for CO emissions. To 
generate or use emission credits, you must specify a family emission 
limit for each engine family you include in the ABT program. These 
family emission limits serve as the emission standards for the engine 
family with respect to all required testing instead of the standards 
specified in this section. An engine family meets emission standards 
even if its family emission limit is higher than the standard, as long 
as you show that the whole averaging set of applicable engine families 
meets the emission standards using emission credits and the engines 
within the family meet the family emission limit. The following FEL caps 
are the maximum values you may specify for family emission limits:
    (1) 336 g/kW-hr for Class III engines.
    (2) 275 g/kW-hr for Class IV engines.
    (3) 186 g/kW-hr for Class V engines.
    (c) Fuel types. The exhaust emission standards in this section apply 
for engines using the fuel type on which the engines in the emission 
family are designed to operate. You must meet the numerical emission 
standards for hydrocarbons in this section based on the following types 
of hydrocarbon emissions for engines powered by the following fuels:
    (1) Alcohol-fueled engines: THCE emissions.
    (2) Natural gas-fueled engines: NMHC emissions.
    (3) Other engines: THC emissions.
    (d) Useful life. Your engines must meet the exhaust emission 
standards in paragraph (a) of this section over their full useful life 
as described in Sec. 1054.107.
    (e) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification, production-line, 
and in-use testing.



Sec. 1054.105  What exhaust emission standards must my nonhandheld engines meet?

    (a) Emission standards. Exhaust emissions from your engines may not 
exceed the emission standards in Table 1 to this section. Measure 
emissions using the applicable steady-state test procedures described in 
subpart F of this part.

 Table 1 to Sec.  1054.105--Phase 3 Emission Standards for Nonhandheld
                            Engines (g/kW-hr)
------------------------------------------------------------------------
                                                                  CO
                                                               standard
    Engine displacement class         HC+NOX     Primary CO   for marine
                                                  standard    generator
                                                               engines
------------------------------------------------------------------------
Class I..........................         10.0          610          5.0
Class II.........................          8.0          610          5.0
------------------------------------------------------------------------

    (b) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
for HC+NOX emissions as described in subpart H of this part. 
You may not generate or use emission credits for CO emissions. To 
generate or use emission credits, you must specify a family emission 
limit for each engine family you include in the ABT program. These 
family emission limits serve as the emission standards for the engine 
family with respect to all required testing

[[Page 459]]

instead of the standards specified in this section. An engine family 
meets emission standards even if its family emission limit is higher 
than the standard, as long as you show that the whole averaging set of 
applicable engine families meets the emission standards using emission 
credits, and the engines within the family meet the family emission 
limit. The following FEL caps are the maximum values you may specify for 
family emission limits:
    (1) 40.0 g/kW-hr for Class I engines with displacement below 100 cc.
    (2) 16.1 g/kW-hr for Class I engines with displacement at or above 
100 cc.
    (3) 12.1 for Class II engines.
    (c) Fuel types. The exhaust emission standards in this section apply 
for engines using the fuel type on which the engines in the emission 
family are designed to operate. You must meet the numerical emission 
standards for hydrocarbons in this section based on the following types 
of hydrocarbon emissions for engines powered by the following fuels:
    (1) Alcohol-fueled engines: THCE emissions.
    (2) Natural gas-fueled engines: NMHC emissions.
    (3) Other engines: THC emissions.
    (d) Useful life. Your engines must meet the exhaust emission 
standards in paragraph (a) of this section over their full useful life 
as described in Sec. 1054.107.
    (e) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification, production-line, 
and in-use testing.



Sec. 1054.107  What is the useful life period for meeting exhaust emission standards?

    This section describes an engine family's useful life, which is the 
period during which engines are required to comply with all emission 
standards that apply. The useful life period is five years or a number 
of hours of operation, whichever comes first, as described in this 
section.
    (a) Determine the useful life period for exhaust requirements as 
follows:
    (1) Except as specified in paragraphs (a)(2) and (3) of this 
section, the useful life period for exhaust requirements is the number 
of engine operating hours from Table 1 to this section that most closely 
matches the expected median in-use life of your engines. The median in-
use life of your engine is the shorter of the following values:
    (i) The median in-use life of equipment into which the engine is 
expected to be installed.
    (ii) The median in-use life of the engine without being scrapped or 
rebuilt.

                             Table 1 to Sec.  1054.107--Nominal Useful Life Periods
----------------------------------------------------------------------------------------------------------------
                                                   Nonhandheld
-----------------------------------------------------------------------------------------------------------------
                                                                                   Extended life
                                                                    Residential     residential     Commercial
                                                                                        \1\
----------------------------------------------------------------------------------------------------------------
Class I.........................................................             125             250             500
Class II........................................................             250             500           1,000
----------------------------------------------------------------------------------------------------------------


 
                                Handheld
-------------------------------------------------------------------------
                          Light use            Medium use      Heavy use
------------------------------------------------------------------------
     Class III--V                   50                  125      300
------------------------------------------------------------------------
\1\ Or ``General Purpose.''

    (2) You may select a longer useful life for nonhandheld engines than 
that specified in paragraph (a)(1) of this section in 100-hour 
increments not to exceed 3,000 hours for Class I engines or 5,000 hours 
for Class II engines. For engine families generating emission credits, 
you may do this only with our approval. These are considered ``Heavy 
Commercial'' engines.
    (3) The minimum useful life period for engines with maximum engine 
power above 19 kW is 1,000 hours (see Sec. 1054.1(d)).
    (b) Keep any available information to support your selection and 
make it available to us if we ask for it. We may require you to certify 
to a different useful life value from the table if we determine that the 
selected useful life

[[Page 460]]

value is not justified by the data. We may consider any relevant 
information, including your product warranty statements and marketing 
materials regarding engine life, in making this determination. We may 
void your certificate if we determine that you intentionally selected an 
incorrect value. Support your selection based on any of the following 
information:
    (1) Surveys of the life spans of the equipment in which the subject 
engines are installed.
    (2) Engineering evaluations of field aged engines to ascertain when 
engine performance deteriorates to the point where usefulness and/or 
reliability is impacted to a degree sufficient to necessitate overhaul 
or replacement.
    (3) Failure reports from engine customers.
    (4) Engineering evaluations of the durability, in hours, of specific 
engine technologies, engine materials, or engine designs.



Sec. 1054.110  What evaporative emission standards must my handheld equipment meet?

    The following evaporative emission requirements apply for handheld 
equipment over a useful life of five years:
    (a) Fuel line permeation. Nonmetal fuel lines must meet the 
permeation requirements for EPA Nonroad Fuel Lines or EPA Cold-Weather 
Fuel Lines as specified in 40 CFR 1060.102. These requirements apply 
starting in the 2012 model year, except that they apply starting in the 
2013 model year for emission families involving small-volume emission 
families that are not used in cold-weather equipment. For fuel lines 
used in cold-weather equipment, you may generate or use emission credits 
to show compliance with these permeation standards through 2015 as 
described in Sec. 1054.145(h).
    (b) Tank permeation. Fuel tanks must meet the permeation 
requirements specified in 40 CFR 1060.103. These requirements apply for 
handheld equipment starting in the 2010 model year, except that they 
apply starting in the 2011 model year for structurally integrated nylon 
fuel tanks, in the 2012 model year for handheld equipment using 
nonhandheld engines, and in the 2013 model year for all small-volume 
emission families. For nonhandheld equipment using engines at or below 
80 cc, the requirements of this paragraph (b) apply starting in the 2012 
model year. (Note: 40 CFR 90.129 specifies emission standards for 
certain 2009 model year engines and equipment.) You may generate or use 
emission credits to show compliance with the requirements of this 
paragraph (b) under the averaging, banking, and trading program as 
described in subpart H of this part. FEL caps apply as specified in 
Sec. 1054.112(b)(1) through (3) starting in the 2015 model year.
    (c) Running loss. The running loss requirements specified in 40 CFR 
part 1060 do not apply for handheld equipment.
    (d) Other requirements. The provisions of 40 CFR 1060.101(e) and (f) 
include general requirements that apply to all nonroad equipment subject 
to evaporative emission standards.
    (e) Engine manufacturers. To the extent that engine manufacturers 
produce engines with fuel lines or fuel tanks, those fuel-system 
components must meet the requirements specified in this section. The 
timing of new standards is based on the date of manufacture of the 
engine.



Sec. 1054.112  What evaporative emission standards must my nonhandheld equipment meet?

    The evaporative emission requirements of this section apply starting 
in the 2011 model year for equipment using Class II engines and in the 
2012 model year for equipment using Class I engines over a useful life 
of five years. See Sec. 1054.110 for requirements that apply for 
nonhandheld equipment using engines at or below 80 cc.
    (a) Fuel line permeation. Nonmetal fuel lines must meet the 
permeation requirements for EPA Nonroad Fuel Lines as specified in 40 
CFR 1060.102.
    (b) Tank permeation. Fuel tanks must meet the permeation 
requirements specified in 40 CFR 1060.103. Equipment manufacturers may 
generate or use emission credits to show compliance with the 
requirements of this paragraph (b) under the averaging, banking, and 
trading program as described in subpart H of this part. Starting in the 
2014 model year for Class II equipment

[[Page 461]]

and in the 2015 model year for Class I equipment, the following FEL caps 
represent the maximum values for family emission limits that you may use 
for your fuel tanks:
    (1) Except as specified in paragraphs (b)(2) of this section, you 
may not use fuel tanks with a family emission limit that exceeds 5.0 g/
m\2\/day for testing at a nominal temperature of 28 [deg]C, or 8.3 g/
m\2\/day for testing at a nominal temperature of 40 [deg]C.
    (2) For small-volume emission families, you may not use fuel tanks 
with a family emission limit that exceeds 8.0 g/m\2\/day for testing at 
a nominal temperature of 28 [deg]C, or 13.3 g/m\2\/day for testing at a 
nominal temperature of 40 [deg]C.
    (3) FEL caps do not apply to fuel caps that are certified separately 
to meet permeation standards.
    (c) Running loss. Running loss requirements apply as specified in 40 
CFR 1060.104.
    (d) Diurnal emissions. Nonhandheld equipment may optionally be 
certified to the diurnal emission standards specified in 40 CFR 
1060.105, in which case the permeation standards specified in paragraphs 
(a) and (b) of this section do not apply.
    (e) Other requirements. The provisions of 40 CFR 1060.101(e) and (f) 
include general requirements that apply to all nonroad equipment subject 
to evaporative emission standards.
    (f) Engine manufacturers. To the extent that engine manufacturers 
produce engines with fuel lines or fuel tanks, those fuel-system 
components must meet the requirements specified in this section. The 
timing of new standards is based on the date of manufacture of the 
engine.

[73 FR 59259, Oct. 8, 2008, as amended at 73 FR 73789, Dec. 4, 2008]



Sec. 1054.115  What other requirements apply?

    The following requirements apply with respect to engines that are 
required to meet the emission standards of this part:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life, except as follows:
    (1) Snowthrower engines may discharge crankcase emissions to the 
ambient atmosphere if the emissions are added to the exhaust emissions 
(either physically or mathematically) during all emission testing. If 
you take advantage of this exception, you must do the following things:
    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Adjustable parameters. Engines that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. We may require that you set adjustable 
parameters to any specification within the adjustable range during any 
testing, including certification testing, production-line testing, or 
in-use testing. You may ask us to limit idle-speed or carburetor 
adjustments to a smaller range than the physically adjustable range if 
you show us that the engine will not be adjusted outside of this smaller 
range during in-use operation without significantly degrading engine 
performance.
    (c) Altitude adjustments. Engines must meet applicable emission 
standards for valid tests conducted under the ambient conditions 
specified in 40 CFR 1065.520. Except as specified in Sec. 1054.145(c), 
engines must meet applicable emission standards at all specified 
atmospheric pressures, except that for atmospheric pressures below 94.0 
kPa you may rely on an altitude kit for all testing if you meet the 
requirements specified in Sec. 1054.205(r). If you rely on an altitude 
kit for certification, you must identify in the owners manual the 
altitude range for which you expect

[[Page 462]]

proper engine performance and emission control with and without the 
altitude kit; you must also state in the owners manual that operating 
the engine with the wrong engine configuration at a given altitude may 
increase its emissions and decrease fuel efficiency and performance. See 
Sec. 1054.145(c) for special provisions that apply for handheld 
engines.
    (d) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit that contributes 
to such an unreasonable risk.
    (e) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission control device that 
reduces the effectiveness of emission controls under conditions that the 
engine may reasonably be expected to encounter during normal operation 
and use. This does not apply for altitude kits installed or removed 
consistent with Sec. 1054.655. This also does not apply to auxiliary 
emission control devices you identify in your application for 
certification if any of the following is true:
    (1) The conditions of concern were substantially included in the 
applicable duty-cycle test procedures described in subpart F of this 
part.
    (2) You show your design is necessary to prevent engine (or 
equipment) damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.



Sec. 1054.120  What emission-related warranty requirements apply to me?

    The requirements of this section apply to the manufacturer 
certifying with respect to exhaust emissions. See 40 CFR part 1060 for 
the warranty requirements related to evaporative emissions.
    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new engine, including all parts 
of its emission control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
during the periods specified in this paragraph (b). You may offer an 
emission-related warranty more generous than we require. The emission-
related warranty for the engine may not be shorter than any published 
warranty you offer without charge for the engine. Similarly, the 
emission-related warranty for any component may not be shorter than any 
published warranty you offer without charge for that component. If an 
engine has no hour meter, we base the warranty periods in this paragraph 
(b) only on the engine's age (in years). The warranty period begins on 
the date of sale to the ultimate purchaser. The minimum warranty periods 
are as follows:
    (1) The minimum warranty period is two years except as allowed under 
paragraph (b)(2) or (3) of this section.
    (2) We may establish a shorter warranty period for handheld engines 
subject to severe service in seasonal equipment if we determine that 
these engines are likely to operate for a number of hours greater than 
the applicable useful life within 24 months. You must request this 
shorter warranty period in your application for certification or in an 
earlier submission.
    (3) For engines equipped with hour meters, you may deny warranty 
claims for engines that have accumulated a number of hours greater than 
50 percent of the applicable useful life.
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
regulated pollutant, including components listed in 40 CFR part 1068, 
Appendix I, and components from any other system you develop to control 
emissions. The emission-related warranty covers these components even if 
another company produces the component. Your emission-related warranty 
does not cover components whose failure would not

[[Page 463]]

increase an engine's emissions of any regulated pollutant.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine. 
Include instructions for obtaining warranty service consistent with the 
requirements of paragraph (f) of this section.
    (f) Requirements related to warranty claims. You are required at a 
minimum to meet the following conditions to ensure that owners will be 
able to promptly obtain warranty repairs:
    (1) You must provide and monitor a toll-free telephone number and an 
e-mail address for owners to receive information about how to make a 
warranty claim, and how to make arrangements for authorized repairs.
    (2) You must provide a source of replacement parts within the United 
States. For parts that you import, this requires you to have at least 
one distributor within the United States.
    (3) You must use one of the following methods to show that you will 
generally be able to honor warranty claims:
    (i) If you have authorized service centers in all U.S. population 
centers with a population of 100,000 or more based on the 2000 census, 
you may limit warranty repairs to these service providers.
    (ii) You may limit warranty repairs to authorized service centers 
for owners located within 100 miles of an authorized service center. For 
owners located more than 100 miles from an authorized service center, 
you must state in your warranty that you will either pay for shipping 
costs to and from an authorized service center, provide for a service 
technician to come to the owner to make the warranty repair, or pay for 
the repair to be made at a local nonauthorized service center. The 
provisions of this paragraph (f)(3)(ii) apply only for the contiguous 
states, excluding the states with high-altitude areas identified in 40 
CFR part 1068, Appendix III.
    (iii) You may use the approach described in paragraphs (f)(3)(i) of 
this section for some states and the approach described in paragraph 
(f)(3)(ii) of this section for other states. However, you must have at 
least one authorized service center in each state unless the whole state 
is within 100 miles of authorized service centers in other states.
    (4) If your plan for meeting the requirements of this paragraph (f) 
does not include at least 100 authorized repair facilities in the United 
States or at least one such facility for each 5,000 engines you sell in 
the United States, you must also post a bond as described in Sec. 
1054.690 to ensure that you will fulfill your warranty-repair 
responsibilities even if you are not obligated to post a bond under that 
section. Note that you may post a single bond to meet the requirements 
of this section and Sec. 1054.690.



Sec. 1054.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new engine written instructions 
for properly maintaining and using the engine, including the emission 
control system as described in this section. The maintenance 
instructions also apply to service accumulation on your emission-data 
engines as described in Sec. 1054.245 and in 40 CFR part 1065. Note 
that for handheld engines subject to Phase 3 standards you may perform 
maintenance on emission-data engines during service accumulation as 
described in 40 CFR part 90.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to

[[Page 464]]

occur if you satisfy any of the following conditions:
    (i) You present data showing that any lack of maintenance that 
increases emissions also unacceptably degrades the engine's performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals. If the survey data show that 60 to 80 percent of engines in 
the field get the maintenance you specify at the recommended intervals, 
you may ask us to consider additional factors such as the effect on 
performance and emissions. For example, we may allow you to schedule 
fuel-injector replacement as critical emission-related maintenance if 
you have survey data showing this is done at the recommended interval 
for 65 percent of engines and you demonstrate that performance 
degradation is roughly proportional to the degradation in emission 
control for engines that do not have their fuel injectors replaced.
    (iii) You provide the maintenance free of charge and clearly say so 
in your maintenance instructions.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) You may schedule cleaning or changing air filters or changing 
spark plugs at the least frequent interval described in the owners 
manual. See Sec. 1054.245 for testing requirements related to these 
maintenance steps.
    (3) You may not schedule critical emission-related maintenance 
within the useful life period for aftertreatment devices, pulse-air 
valves, fuel injectors, oxygen sensors, electronic control units, 
superchargers, or turbochargers, except as specified in paragraph (b) or 
(c) of this section.
    (4) You may ask us to approve a maintenance interval shorter than 
that specified in paragraph (a)(3) of this section. In your request you 
must describe the proposed maintenance step, recommend the maximum 
feasible interval for this maintenance, include your rationale with 
supporting evidence to support the need for the maintenance at the 
recommended interval, and demonstrate that the maintenance will be done 
at the recommended interval on in-use engines. In considering your 
request, we will evaluate the information you provide and any other 
available information to establish alternate specifications for 
maintenance intervals, if appropriate.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
engine operation. You must clearly state that this additional 
maintenance is associated with the special situation you are addressing. 
We may disapprove your maintenance instructions if we determine that you 
have specified special maintenance steps to address engine operation 
that is not atypical, or that the maintenance is unlikely to occur in 
use. If we determine that certain maintenance items do not qualify as 
special maintenance under this paragraph (c), you may identify this as 
recommended additional maintenance under paragraph (b) of this section.
    (d) Noncritical emission-related maintenance. Subject to the 
provisions of this paragraph (d), you may schedule any amount of 
emission-related inspection or maintenance that is not covered by 
paragraph (a) of this section (i.e., maintenance that is neither 
explicitly identified as critical emission-related maintenance, nor that 
we approve as critical emission-related maintenance). Noncritical 
emission-related maintenance generally includes re-seating valves, 
removing combustion chamber deposits, or any other emission-related 
maintenance on the components we specify in 40 CFR part 1068, Appendix I 
that is not covered in paragraph (a) of

[[Page 465]]

this section. You must state in the owners manual that these steps are 
not necessary to keep the emission-related warranty valid. If operators 
fail to do this maintenance, this does not allow you to disqualify those 
engines from in-use testing or deny a warranty claim. Do not take these 
inspection or maintenance steps during service accumulation on your 
emission-data engines.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing fuel or oil filters, 
servicing engine-cooling systems, and adjusting idle speed, governor, 
engine bolt torque, valve lash, or injector lash. You may perform this 
nonemission-related maintenance on emission-data engines at the least 
frequent intervals that you recommend to the ultimate purchaser (but not 
the intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their engines. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:
    (1) Each affected component was not in general use on similar 
engines before 1997.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23024, Apr. 30, 2010]



Sec. 1054.130  What installation instructions must I give to equipment manufacturers?

    (a) If you sell an engine for someone else to install in a piece of 
equipment, give the engine installer instructions for installing it 
consistent with the requirements of this part. Include all information 
necessary to ensure that an engine will be installed in its certified 
configuration.
    (b) Make sure the instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in nonroad equipment violates federal law (40 CFR 
1068.105(b)), subject to fines or other penalties as described in the 
Clean Air Act.''
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec. 1054.655 related to altitude kits.
    (4) Describe the steps needed to control evaporative emissions in 
accordance with certificates of conformity that you hold. Include 
instructions for connecting fuel lines as needed to prevent running loss 
emissions, if applicable. Such instructions must include sufficient 
detail to ensure that running loss control will not cause the engine to 
exceed exhaust emission standards.

[[Page 466]]

For example, you may specify a maximum vapor flow rate under normal 
operating conditions. Also include notification that the installer must 
meet the requirements of Sec. 1054.112 and 40 CFR part 1060.
    (5) Describe any limits on the range of applications needed to 
ensure that the engine remains in its certified configuration after 
installation. For example, if you certify engines only for rated-speed 
applications tell equipment manufacturers that the engine must not be 
installed in equipment involving intermediate-speed operation. Also, if 
your wintertime engines are not certified to the otherwise applicable 
HC+NOX standards, tell equipment manufacturers that the 
engines must be installed in equipment that is used only in wintertime.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. For example, this may include specified 
limits for catalyst systems, such as exhaust backpressure, catalyst 
location, and temperature profiles during engine operation.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the equipment, 
as described in 40 CFR 1068.105.''
    (c) You do not need installation instructions for engines you 
install in your own equipment.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.



Sec. 1054.135  How must I label and identify the engines I produce?

    The provisions of this section apply to engine manufacturers.
    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must conform to the following specifications without 
exception:
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec. 1054.640.
    (3) Include EPA's standardized designation for the emission family 
(and subfamily, where applicable).
    (4) State the following based on the useful life requirements in 
Sec. 1054.107: ``EMISSION COMPLIANCE PERIOD = [identify applicable 
useful life period] HOURS''. In addition to specifying the hours, you 
may optionally add the descriptive terms specified in Sec. 1054.107(a) 
to characterize the useful life. You may use the term Heavy Commercial 
for nonhandheld engines if you establish a longer useful life under 
Sec. 1054.107(a)(2).
    (5) State the engine's displacement (in cubic centimeters); however, 
you may omit this from the label if all the engines in the emission 
family have the same per-cylinder displacement and total displacement.
    (6) State the date of manufacture [DAY (optional), MONTH, and YEAR]; 
however, you may omit this from the label if you stamp, engrave, or 
otherwise permanently identify it elsewhere on the engine, in which case 
you must also describe in your application for certification where you 
will identify the date on the engine.
    (7) Identify the emission control system. Use terms and 
abbreviations as described in 40 CFR 1068.45. You may omit this 
information from the label if there is not enough room for it and you 
put it in the owners manual instead.

[[Page 467]]

    (8) Include one of the following statements:
    (i) If you certify the engine only with respect to exhaust 
emissions, state--


``THIS ENGINE MEETS U.S. EPA EXH REGS FOR [MODEL YEAR].''

    (ii) If you certify the engine with respect to exhaust emissions and 
the equipment with respect to evaporative emissions, state--


``THIS ENGINE MEETS U.S. EPA EXH/EVP REGS FOR [MODEL YEAR].''

    (d) The following information may be included on the label or in the 
owners manual:
    (1) List specifications and adjustments for engine tuneups.
    (2) Identify the altitude at which an altitude kit should be 
installed if you specify an altitude kit under Sec. 1054.115(c).
    (3) Identify the fuel type and any requirements for fuel and 
lubricants.
    (4) If your nonhandheld engines are certified for use only at rated 
speed or only at intermediate speed, add the statement: ``CERTIFIED FOR 
[rated-speed or intermediate-speed] APPLICATIONS ONLY'' or ``CERTIFIED 
FOR [identify nominal engine speed or range of speeds for testing] 
OPERATION ONLY''.
    (e) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine meets 
or does not meet (such as California standards). You may include this 
information by adding it to the statement we specify or by including a 
separate statement.
    (2) You may add other information to ensure that the engine will be 
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (f) Except for the labeling requirements specified in paragraph (c) 
of this section, you may ask us to approve modified labeling 
requirements in this part 1054 if you show that it is necessary or 
appropriate. We will approve your request if your alternate label is 
consistent with the requirements of this part.
    (g) If others install your engine in their equipment in a way that 
obscures the engine label such that the label cannot be read during 
normal maintenance, we require them to add a duplicate label on the 
equipment (see 40 CFR 1068.105). If equipment manufacturers request it, 
send them labels that include all the information from the original 
label and that are clearly identified as duplicate labels. You may omit 
the date of manufacture from the duplicate label. Keep a written record 
of each request for five years after it is no longer needed for ongoing 
production.
    (h) Integrated equipment manufacturers certifying their engines and 
equipment with respect to both exhaust and evaporative emission 
standards may meet labeling requirements with a single label that has 
all the required information specified in this section and in 40 CFR 
1060.135.



Sec. 1054.140  What is my engine's maximum engine power and displacement?

    This section describes how to quantify your engine's maximum engine 
power and displacement for the purposes of this part.
    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest 0.1 kilowatts for nonhandheld engines and to the nearest 0.01 
kilowatts for handheld engines. The nominal power curve of an engine 
configuration is the relationship between maximum available engine brake 
power and engine speed for an engine, using the mapping procedures of 40 
CFR part 1065, based on the manufacturer's design and production 
specifications for the engine. For handheld engines, we may allow 
manufacturers to base the nominal power curve on other mapping 
procedures, consistent with good engineering judgment. This information 
may also be expressed by a torque curve that relates maximum available 
engine torque with

[[Page 468]]

engine speed. Note that maximum engine power is based on engines and 
installed engine governors; equipment designs that further limit engine 
operation do not change maximum engine power.
    (b) An engine configuration's displacement is the intended swept 
volume of all the engine's cylinders. The swept volume of the engine is 
the product of the internal cross-section area of the cylinders, the 
stroke length, and the number of cylinders. Calculate the engine's 
intended swept volume from the design specifications for the cylinders 
using enough significant figures to allow determination of the 
displacement to the nearest 0.1 cc. Determine the final value by 
rounding to the nearest cubic centimeter. For example, for a one-
cylinder engine with circular cylinders having an internal diameter of 
6.00 cm and a 6.25 cm stroke length, the rounded displacement would be: 
(1) x (6.00/2) \2\ x ([pi]) x (6.25) = 177 cc.
    (c) The nominal power curve and intended swept volume must be within 
the range of the actual power curves and swept volumes of production 
engines considering normal production variability. If after production 
begins it is determined that either your nominal power curve or your 
intended swept volume does not represent production engines, we may 
require you to amend your application for certification under Sec. 
1054.225.



Sec. 1054.145  Are there interim provisions that apply only for a limited time?

    The provisions in this section apply instead of other provisions in 
this part. This section describes how and when these interim provisions 
apply.
    (a) Delayed Phase 3 implementation for engine manufacturers. Small-
volume engine manufacturers may delay complying with the Phase 3 exhaust 
emission standards and requirements that would otherwise apply, subject 
to the following conditions:
    (1) You may delay meeting the Phase 3 exhaust emission standards 
until 2013 for Class II engines and until 2014 for Class I engines. The 
running loss standards in Sec. 1054.112 also do not apply to engines 
exempted under this paragraph (a), or to equipment using these engines.
    (2) You must certify your engines exempted under this section to the 
Phase 2 standards and requirements specified in 40 CFR 90.103 and 
summarized in Appendix I of this part. You must meet the labeling 
requirements in 40 CFR 90.114, but use the following compliance 
statement instead of the compliance statement in 40 CFR 90.114(c)(7): 
``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [CURRENT MODEL 
YEAR] NONROAD ENGINES UNDER 40 CFR 1054.145(a).''
    (3) After the delays indicated in paragraph (a)(1) of this section, 
you must comply with the same standards and requirements as all other 
manufacturers except as noted elsewhere in this section.
    (4) The provisions of this paragraph (a) may not be used to 
circumvent the requirements of this part.
    (5) You may continue to generate early credits during this two-year 
period as described under Sec. 1054.740 as if the Phase 3 emission 
standards applied starting in the 2013 model year for Class II engines 
and in the 2014 model year for Class I engines.
    (b) Delayed Phase 3 implementation for equipment manufacturers. The 
provisions of Sec. 1054.625 describe how manufacturers may produce 
certain numbers of equipment using Class II engines that meet Phase 2 
standards during the first four years that the Phase 3 standards apply.
    (c) Special provisions for handheld engines. The following 
provisions apply for handheld engines:
    (1) You may use the provisions in 40 CFR 90.104(g) to rely on 
assigned deterioration factors for small-volume engine manufacturers and 
for small-volume engine families.
    (2) You may perform maintenance on emission-data engines during 
service accumulation as described in 40 CFR part 90. If your scheduled 
emission-related maintenance falls within 10 hours of a test point, 
delay the maintenance until the engine reaches the test point. Measure 
emissions before and after peforming the maintenance. Use the average 
values from these two measurements to calculate deterioration factors. 
The emission-data engine must

[[Page 469]]

meet applicable emission standards before and after maintenance to be 
considered in compliance, as described in Sec. 1054.240(a) and (b).
    (3) Engines subject to Phase 3 emission standards must meet the 
standards at or above barometric pressures of 96.0 kPa in the standard 
configuration and are not required to meet emission standards at lower 
barometric pressures. This is intended to allow testing under most 
weather conditions at all altitudes up to 1,100 feet above sea level. In 
your application for certification, identify the altitude above which 
you rely on an altitude kit to meet emission standards and describe your 
plan for making information and parts available such that you would 
reasonably expect that altitude kits would be widely used at all such 
altitudes.
    (d) Alignment of model years for exhaust and evaporative standards. 
Evaporative emission standards generally apply based on the model year 
of the equipment, which is determined by the equipment's date of final 
assembly. However, in the first year of new emission standards, 
equipment manufacturers may apply evaporative emission standards based 
on the model year of the engine as shown on the engine's emission 
control information label. For example, for the fuel line permeation 
standards starting in 2012, equipment manufacturers may order a batch of 
2011 model year engines for installation in 2012 model year equipment, 
subject to the anti-stockpiling provisions of 40 CFR 1068.105(a). The 
equipment with the 2011 model year engines would not need to meet fuel 
line permeation standards, as long as the equipment is fully assembled 
by December 31, 2012.
    (e) Early compliance with evaporative emission standards--
nonhandheld equipment manufacturers. You may produce nonhandheld 
equipment that does not meet the otherwise applicable evaporative 
emission standards without violating the prohibition in 40 CFR 
1068.101(a)(1) if you earn evaporative emission allowances, as follows:
    (1) You may earn an evaporative emission allowance from each piece 
of equipment certified to California's evaporative emission standards by 
producing it before the requirements of this part start to apply and 
selling it outside of California. You may use an evaporative emission 
allowance by selling one piece of equipment that does not meet any EPA 
evaporative emission standards even though it is subject to the EPA 
standards. The early-compliant equipment must be covered by an EPA 
certificate of conformity (see 40 CFR 1060.105(e)).
    (2) You may earn an evaporative emission allowance with respect to 
fuel tank permeation from each piece of equipment certified to EPA's 
evaporative emission standards by selling it outside of California or in 
an application that is preempted from California's standards before 
EPA's fuel tank permeation standards start to apply. The early-compliant 
fuel tanks must be covered by an EPA certificate of conformity, though 
you may demonstrate compliance based on the specifications and 
procedures adopted by the California Air Resources Board. You may use an 
evaporative emission allowance by selling one piece of equipment with a 
fuel tank that does not meet the EPA emission standards that would 
otherwise apply. For example, you can earn an evaporative emission 
allowance by selling a low-permeation fuel tank for Class II equipment 
before the 2011 model year, in which case you could sell a piece of 
Class II equipment in 2011 with a high-permeation fuel tank. You may not 
generate allowances under this paragraph (e)(2) based on your sales of 
metal fuel tanks.
    (3) Evaporative emission allowances you earn under this paragraph 
(e) from equipment with Class I engines may be used only for other 
equipment with Class I engines. Similarly, evaporative emission 
allowances you earn under this paragraph (e) from equipment with Class 
II engines may be used only for other equipment with Class II engines.
    (4) You must label any equipment using allowances under this 
paragraph (e) with the following statement: ``EXEMPT FROM EVAPORATIVE 
STANDARDS UNDER 40 CFR 1054.145(e)''.
    (5) You may not use the allowances you generate under this paragraph 
(e) for 2014 and later model year equipment with Class II engines or for 
2015 and later model year equipment with Class I engines.

[[Page 470]]

    (6) Send the Designated Compliance Officer the following information 
for each year in which you use the provisions of this paragraph (e):
    (i) Send us a report within 45 days after the end of the model year 
describing how many pieces of equipment you produced in the preceding 
model year that generate allowances. You may combine this with the 
reports specified in Sec. 1054.250(a) if applicable.
    (ii) Describe the number of equipment using allowances under this 
paragraph (e) in your end-of-year reports and final reports after the 
end of the model year as described in Sec. 1054.730(a). If you do not 
participate in the averaging, banking, and trading program, send this 
information separately within 90 days after the end of the model year.
    (f) Early banking for evaporative emission standards--handheld 
equipment manufacturers. You may earn emission credits for handheld 
equipment you produce before the evaporative emission standards of Sec. 
1054.110 apply. To do this, your equipment must use fuel tanks with a 
family emission limit below 1.5 g/m\2\/day (or 2.5 g/m\2\/day for 
testing at 40 [deg]C). Calculate your credits as described in Sec. 
1054.706 based on the difference between the family emission limit and 
1.5 g/m\2\/day (or 2.5 g/m\2\/day for testing at 40 [deg]C).
    (g) Useful life for evaporative emission standards. (1) A useful 
life period of two years applies for fuel tanks or fuel caps certified 
to meet permeation emission standards in 2013 and earlier model years. 
However, for fuel tanks with a family emission limit above or below the 
specified emission standard, calculate emission credits under Sec. 
1054.706 based on a useful life of five years.
    (2) A useful life period of two years applies for cold-weather fuel 
lines certified to meet permeation emission standards in 2012 and 2013. 
However, for fuel lines with a family emission limit above or below the 
specified emission standard, calculate emission credits under Sec. 
1054.706 based on a useful life of five years.
    (h) Emission credit program for cold-weather fuel lines. In the 2012 
through 2015 model years, certifying equipment manufacturers may 
generate or use emission credits for averaging to show compliance with 
the permeation standards for cold-weather fuel lines, but not for 
banking or trading, as follows:
    (1) To generate or use emission credits, apply the provisions of 
subpart H of this part as they apply for fuel tanks except as specified 
in this paragraph (h). For example, calculate emission credits based on 
the internal surface area of the fuel lines and a five-year useful life, 
even if the standards apply temporarily over a shorter useful life.
    (2) Establish an FEL for each emission family based on emission 
measurements as specified in 40 CFR 1060.515. The FEL may not exceed 400 
g/m\2\/day for any emission family.
    (3) Use an adjustment factor (AF) of 1.0 for calculating credits.
    (4) Cold-weather fuel lines are in a separate averaging set, which 
means you may not exchange emission credits between fuel tanks and fuel 
lines.
    (i) Use of California data for handheld fuel tank permeation. If you 
certified handheld fuel tanks to the permeation standards in 40 CFR 
90.129 based on emission measurements for demonstrating compliance with 
emission standards for California, you may continue to comply with the 
provisions of 40 CFR 90.129 instead of the provisions of Sec. 
1054.110(b) for the 2010 and 2011 model years, provided that we allow 
you to use carryover emission data under 40 CFR 1060.235(e) for your 
emission family.
    (j) Continued use of 40 CFR part 90 test procedures. You may use the 
test procedures for measuring exhaust emissions in 40 CFR part 90 
instead of those in subpart F of this part for 2010 through 2012 model 
years. This applies for certification, production-line, and in-use 
testing. You may continue to use data based on the test procedures in 40 
CFR part 90 for engine families in 2013 and later model years, provided 
that we allow you to use carryover emission data under 40 CFR 
1054.235(d) for your emission family. You may also use the test 
procedures for measuring exhaust emissions in 40 CFR part 90 for 
production-line testing with any engine family whose certification is 
based on testing with those procedures.
    (k) Carryover of exhaust emission data from Californa ARB 
procedures. You may certify your engines through the 2012

[[Page 471]]

model year based on exhaust emission data you previously submitted to 
California ARB. This applies for certification and production-line 
testing. This paragraph (k) no longer applies starting with the 2013 
model year. Note that other regulatory provisions may allow you to use 
data from California ARB for EPA certification in certain circumstances.
    (l) [Reserved]
    (m) Delayed compliance for rotation-molded fuel tanks. (1) You may 
produce limited numbers of 2011 and 2012 model year equipment with 
rotation-molded fuel tanks that do not meet permeation emission 
standards specified in Sec. 1054.112(b) and 40 CFR 1060.103, subject to 
the following provisions:
    (i) You may use allowances under this paragraph (m) only for Class 
II equipment models using identical fuel tanks such that the production 
volumes of the fuel tank design used in such equipment is no more than 
5,000 units in the 2011 and 2012 model years, with a total corporate 
allowance of 10,000 units in 2012. If production volumes are greater 
than 5,000 for a given fuel tank design (or greater than 10,000 
corporate-wide in the 2012 model year), all those tanks must comply with 
emission standards. Tanks are generally considered identical if they are 
produced under a single part number to conform to a single design or 
blueprint. Tanks should be considered identical if they differ only with 
respect to production variability, post-production changes (such as 
different fittings or grommets), supplier, color, or other extraneous 
design variables. The limit of 5,000 units for a given fuel tank design 
applies together for the total production from any parent or subsidiary 
companies.
    (ii) Include the following statement on the emission label specified 
in 40 CFR 1060.135: ``EXEMPT FROM TANK PERMEATION STANDARDS UNDER 40 CFR 
1054.145''.
    (iii) You must keep records to demonstrate that you do not exceed 
the specified production volumes. Identify the number of exempted 
equipment you produced from each model and from each production 
facility.
    (iv) You may not apply the provisions of this paragraph (m) for fuel 
tanks that are not rotation-molded or for equipment that is not powered 
by a Class II engine.
    (2) Fuel tank manufacturers may produce exempted fuel tanks as 
needed for equipment manufacturers under this paragraph (m) without our 
prior approval. Fuel tank manufacturers must keep records of the number 
of exempted fuel tanks sold to each equipment manufacturer.
    (3) Equipment you produce under this paragraph (m) are exempt from 
the prohibitions in 40 CFR 1068.101(a)(1) with respect to fuel tank 
permeation emissions, subject to the provisions of this paragraph (m). 
However, producing more exempted equipment than we allow under this 
paragraph (m) violates the prohibitions in 40 CFR 1068.101(a)(1). 
Equipment manufacturers and fuel tank manufacturers must keep the 
records we require under this paragraph (m) until at least December 31, 
2016 and give them to us if we ask for them (see 40 CFR 1068.101(a)(2)).
    (n) Ethanol-blended test fuel for nonhandheld engines. During the 
first two years of the Phase 3 standards, if you use an ethanol-blended 
test fuel for certifying a given engine family as described in Sec. 
1054.501(b)(2), we will also use the blended fuel for testing engines 
from that engine family, whether or not you use the blended fuel for 
certifying all your Class I (or Class II) engine families in that model 
year.
    (o) Interim bonding provisions. Through 2012, the maximum value of 
the bond under Sec. 1054.690 is $10 million. This maximum value applies 
without adjustment for inflation.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010]



                 Subpart C_Certifying Emission Families



Sec. 1054.201  What are the general requirements for obtaining a 

certificate of conformity?

    Engine manufacturers must certify their engines with respect to the 
exhaust emission standards in this part. Manufacturers of engines, 
equipment, or fuel-system components may need to certify their products 
with respect to evaporative emission standards as described in 40 CFR 
1060.1 and 1060.601.

[[Page 472]]

The following general requirements apply for obtaining a certificate of 
conformity:
    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year. If 
you certify with respect to both exhaust and evaporative emissions, you 
must submit separate applications.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec. 1054.255).
    (c) We may ask you to include less information than we specify in 
this subpart as long as you maintain all the information required by 
Sec. 1054.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 1054.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (see Sec. 1054.235(c)).
    (h) For engines that become new after being placed into service, 
such as engines converted to run on a different fuel, we may specify 
alternate certification provisions consistent with the intent of this 
part. See Sec. 1054.645 and the definition of ``new nonroad engine'' in 
Sec. 1054.801.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010]



Sec. 1054.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
1054.201(c). We may require you to provide additional information to 
evaluate your application. The provisions of this section apply to 
integrated equipment manufacturers and engine manufacturers selling 
loose engines. Nonintegrated equipment manufacturers must follow the 
requirements of 40 CFR part 1060.
    (a) Describe the emission family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, all-
season gasoline). List each distinguishable engine configuration in the 
emission family. For each engine configuration in which the maximum 
modal power of the emission-data engine is at or above 25 kW (or power 
at or above 15 kW if displacement is above 1000 cc), list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec. 1054.140.
    (b) Explain how the emission control systems operate. Describe the 
evaporative emission controls and show how your design will prevent 
running loss emissions, if applicable. Also describe in detail all 
system components for controlling exhaust emissions, including all 
auxiliary emission control devices (AECDs) and all fuel-system 
components you will install on any production or test engine. Identify 
the part number of each component you describe. For this paragraph (b), 
treat as separate AECDs any devices that modulate or activate 
differently from each other. Include sufficient detail to allow us to 
evaluate whether the AECDs are consistent with the defeat device 
prohibition of Sec. 1054.115. For example, if your engines will 
routinely experience in-use operation that differs from the specified 
duty cycle for certification, describe how the fuel-metering system 
responds to varying speeds and loads not represented by the duty cycle. 
If you test an emission-data engine by disabling the governor for full-
load operation such that the engine operates at an air-fuel ratio 
significantly different than under full-load operation with an installed 
governor, explain why these differences are necessary or appropriate. 
For conventional carbureted engines without electronic fuel controls, it 
is sufficient to state that there is no significant difference in air-
fuel ratios.
    (c) [Reserved]

[[Page 473]]

    (d) Describe the engines, equipment, and fuel system components you 
selected for testing and the reasons for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used. For 
handheld engines, describe how you selected the value for rated speed.
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the emission family's useful life. Describe the basis 
for selecting useful life values with respect to exhaust emissions (see 
Sec. 1054.107).
    (i) Include the maintenance and warranty instructions you will give 
to the ultimate purchaser of each new engine (see Sec. Sec. 1054.120 
and 1054.125). Describe your basis for meeting the warranty-assurance 
provisions in Sec. 1054.120(f). Describe your recall repair network if 
it is different than your warranty repair network. State that you will 
post a bond as specified in Sec. 1054.120(f) and 1054.690 or describe 
why those requirements do not apply.
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in nonroad equipment (see 
Sec. 1054.130).
    (k) Describe your emission control information label (see Sec. 
1054.135).
    (l) Identify the emission standards or FELs for the emission family.
    (m) Identify the emission family's deterioration factors and 
describe how you developed them (see Sec. 1054.245). Present any 
emission test data you used for this.
    (n) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (o) Present emission data to show that you meet exhaust emission 
standards, as follows:
    (1) Present emission data for hydrocarbons (such as THC, THCE, or 
NMHC, as applicable), NOX, and CO on an emission-data engine 
to show your engines meet the applicable exhaust emission standards as 
specified in Sec. 1054.101. Show emission figures before and after 
applying deterioration factors for each engine. Include test data from 
each applicable duty cycle specified in Sec. 1054.505(b). If we specify 
more than one grade of any fuel type (for example, low-temperature and 
all-season gasoline), you need to submit test data only for one grade, 
unless the regulations of this part specify otherwise for your engine.
    (2) Note that Sec. Sec. 1054.235 and 1054.245 allow you to submit 
an application in certain cases without new emission data.
    (p) Report test results as follows:
    (1) Report all test results involving measurement of pollutants for 
which emission standards apply. Include test results from invalid tests 
or from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR parts 1060 and 1065.
    (2) Report measured CO2, N2O, and 
CH4 as described in Sec. 1054.235. Small-volume engine 
manufacturers may omit reporting N2O and CH4.
    (q) Describe all adjustable operating parameters (see Sec. 
1054.115(b)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of 
inhibiting adjustment are effective in preventing adjustment of 
parameters on in-use engines to settings outside your intended 
physically adjustable ranges.

[[Page 474]]

    (r) Describe how your nonhandheld engines comply with emission 
standards at varying atmospheric pressures. Include a description of 
altitude kits you design to comply with the requirements of Sec. 
1054.115(c). Identify the part number of each component you describe. 
Identify the altitude range for which you expect proper engine 
performance and emission control with and without the altitude kit. 
State that your engines will comply with applicable emission standards 
throughout the useful life with the altitude kit installed according to 
your instructions. Describe any relevant testing, engineering analysis, 
or other information in sufficient detail to support your statement. In 
addition, describe your plan for making information and parts available 
such that you would reasonably expect that altitude kits would be widely 
used in the high-altitude counties specified in 40 CFR part 1068, 
Appendix III. For example, engine owners should have ready access to 
information describing when an altitude kit is needed and how to obtain 
this service. Similarly, parts and service information should be 
available to qualified service facilities in addition to authorized 
service centers if that is needed for owners to have such altitude kits 
installed locally.
    (s) If your engines are subject to handheld emission standards on 
the basis of meeting weight limitations described in the definition of 
``handheld'' in Sec. 1054.801, describe your analysis showing that you 
meet the applicable weight-related restrictions.
    (t) State whether your certification is limited for certain engines. 
If this is the case, describe how you will prevent use of these engines 
in applications for which they are not certified. This applies for 
engines such as the following:
    (1) Wintertime engines not certified to the specified 
HC+NOX standard.
    (2) Two-stroke snowthrower engines using the provisions of Sec. 
1054.101(d).
    (u) Unconditionally certify that all the engines in the emission 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (v) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes if 
they are substantially different than actual production volumes in 
earlier years for similar models. Also indicate whether you expect the 
engine family to contain only nonroad engines, only stationary engines, 
or both.
    (w) State that you will post a bond as specified in Sec. 1054.690 
or describe why those requirements do not apply.
    (x) Include the information required by other subparts of this part. 
For example, include the information required by Sec. 1054.725 if you 
participate in the ABT program.
    (y) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (z) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (aa) For imported engines or equipment, identify the following:
    (1) The port(s) at which you have imported your engines (or 
equipment containing your engines) over the previous 12 months.
    (2) The names and addresses of the agents you have authorized to 
import your engines or equipment.
    (3) The location of a test facility in the United States where you 
can test your engines if we select them for testing under a selective 
enforcement audit, as specified in 40 CFR part 1068, subpart E.

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 56511, Oct. 30, 2009; 75 
FR 23025, Apr. 30, 2010]



Sec. 1054.210  May I get preliminary approval before I complete my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to emission family definitions, auxiliary emission 
control devices, deterioration factors, useful life, testing for service 
accumulation, maintenance, and delegated final assembly. Decisions made 
under this section are considered to be preliminary approval, subject to

[[Page 475]]

final review and approval. We will generally not reverse a decision 
where we have given you preliminary approval, unless we find new 
information supporting a different decision. If you request preliminary 
approval related to the upcoming model year or the model year after 
that, we will make the appropriate determinations as soon as 
practicable. We will generally not provide preliminary approval related 
to a future model year more than two years ahead of time.



Sec. 1054.220  How do I amend the maintenance instructions in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification as long as the amended 
instructions remain consistent with the provisions of Sec. 1054.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for an engine family if you 
want to change the emission-related maintenance instructions in a way 
that could affect emissions. In your request, describe the proposed 
changes to the maintenance instructions. If operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those engines from 
in-use testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any specified maintenance, 
you may distribute the new maintenance instructions to your customers 30 
days after we receive your request, unless we disapprove your request. 
This would generally include replacing one maintenance step with 
another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of filter changes for 
engines in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010]



Sec. 1054.225  How do I amend my application for certification to include 

new or modified engines or fuel systems or change an FEL?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine or fuel-system 
configurations, subject to the provisions of this section. After we have 
issued your certificate of conformity, you may send us an amended 
application requesting that we include new or modified configurations 
within the scope of the certificate, subject to the provisions of this 
section. You must amend your application if any changes occur with 
respect to any information included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine or fuel-system configuration to an emission 
family. In this case, the configuration added must be consistent with 
other configurations in the emission family with respect to the criteria 
listed in Sec. 1054.230.
    (2) Change a configuration already included in an emission family in 
a way that may affect emissions, or change any of the components you 
described in your application for certification. This includes 
production and design changes that may affect emissions any time during 
the engine's lifetime.
    (3) Modify an FEL for an emission family with respect to exhaust 
emissions as described in paragraph (f) of this section.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the model or 
configuration you intend to make.

[[Page 476]]

    (2) Include engineering evaluations or data showing that the amended 
emission family complies with all applicable requirements. You may do 
this by showing that the original emission-data engine or emission-data 
equipment is still appropriate for showing that the amended family 
complies with all applicable requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For emission families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified configuration. You may ask for a 
hearing if we deny your request (see Sec. 1054.820).
    (e) For emission families already covered by a certificate of 
conformity, you may start producing the new or modified configuration 
anytime after you send us your amended application and before we make a 
decision under paragraph (d) of this section. However, if we determine 
that the affected configurations do not meet applicable requirements, we 
will notify you to cease production of the configurations and may 
require you to recall the engine or equipment at no expense to the 
owner. Choosing to produce engines under this paragraph (e) is deemed to 
be consent to recall all engines or equipment that we determine do not 
meet applicable emission standards or other requirements and to remedy 
the nonconformity at no expense to the owner. If you do not provide 
information required under paragraph (c) of this section within 30 days 
after we request it, you must stop producing the new or modified engine 
or equipment.
    (f) You may ask us to approve a change to your FEL with respect to 
exhaust emissions in certain cases after the start of production. The 
changed FEL may not apply to engines you have already introduced into 
U.S. commerce, except as described in this paragraph (f). If we approve 
a changed FEL after the start of production, you must identify the date 
or serial number for applying the new FEL. If you identify this by month 
and year, we will consider that a lowered FEL applies on the last day of 
the month and a raised FEL applies on the first day of the month. You 
may ask us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your emission family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified engine, as described in paragraph (b)(3) of this 
section, use the appropriate FELs with corresponding production volumes 
to calculate emission credits for the model year, as described in 
subpart H of this part. In all other circumstances, you must use the 
higher FEL for the entire family to calculate emission credits under 
subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if 
you have test data from production engines showing that emissions are 
below the proposed lower FEL. The lower FEL does not apply to engines 
you produce before the new FEL starts to apply, as specified in this 
paragraph (f). Use the appropriate FELs with corresponding production 
volumes to calculate emission credits for the model year, as described 
in subpart H of this part.



Sec. 1054.230  How do I select emission families?

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout their useful life as described in this 
section. Your emission family is limited to a single model year. For 
evaporative emissions, group engines into emission families as described 
in 40 CFR 1060.230.
    (b) Group engines into the same emission family for exhaust 
emissions if they are the same in all the following aspects:
    (1) The combustion cycle and fuel. See paragraph (g) of this section 
for

[[Page 477]]

special provisions that apply for dual-fuel engines.
    (2) The cooling system (liquid-cooled vs. air-cooled).
    (3) Valve configuration (for example, side-valve vs. overhead 
valve).
    (4) Method of air aspiration (for example, turbocharged vs. 
naturally aspirated).
    (5) The number, location, volume, and composition of catalytic 
converters.
    (6) The number and arrangement of cylinders (such as in-line or vee 
configuration) and approximate total displacement.
    (7) Engine class, as defined in Sec. 1054.801.
    (8) Method of control for engine operation, other than governing 
(mechanical or electronic).
    (9) The numerical level of the applicable emission standards. For 
example, an engine family may not include engines certified to different 
family emission limits, though you may change family emission limits 
without recertifying as specified in Sec. 1054.225.
    (10) Useful life.
    (c) You may subdivide a group that is identical under paragraph (b) 
of this section into different emission families if you show the 
expected emission characteristics are different during the useful life.
    (d) You may group engines that are not identical with respect to the 
things listed in paragraph (b) of this section into the same emission 
family, as follows:
    (1) In unusual circumstances, you may group such engines into the 
same emission family if you show that their emission characteristics 
during the useful life will be similar.
    (2) If you are a small-volume engine manufacturer, you may group any 
nonhandheld engines with the same useful life that are subject to the 
same emission standards into a single emission family.
    (3) The provisions of this paragraph (d) do not exempt any engines 
from meeting all the applicable standards and requirements in subpart B 
of this part.
    (e) Select test engines from the emission family as described in 40 
CFR 1065.401.
    (f) You may combine engines from different classes into a single 
emission family under paragraph (d)(1) of this section if you certify 
the emission family to the more stringent set of standards from the two 
classes in that model year.
    (g) You may certify dual-fuel or flexible-fuel engines in a single 
engine family. You may include dedicated-fuel versions of this same 
engine model in the same engine family, as long as they are identical to 
the engine configuration with respect to that fuel type for the dual-
fuel or flexible-fuel version of the engine. For example, if you produce 
an engine that can alternately run on gasoline and natural gas, you can 
include the gasoline-only and natural gas-only versions of the engine in 
the same engine family as the dual-fuel engine if engine operation on 
each fuel type is identical with or without installation of components 
for operating on the other fuel.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010]



Sec. 1054.235  What exhaust emission testing must I perform for my application 

for a certificate of conformity?

    This section describes the exhaust emission testing you must perform 
to show compliance with the emission standards in Sec. Sec. 1054.103 
and 1054.105. See Sec. Sec. 1054.240 and 1054.245 and 40 CFR part 1065, 
subpart E, regarding service accumulation before emission testing.
    (a) Select an emission-data engine from each engine family for 
testing as described in 40 CFR 1065.401. Select a configuration that is 
most likely to exceed the HC+NOX standard, using good 
engineering judgment. Configurations must be tested as they will be 
produced, including installed governors, if applicable.
    (b) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part. In the case of dual-fuel 
engines, measure emissions when operating with each type of fuel for 
which you intend to certify the engine. In the case of flexible-fuel 
engines, measure emissions when operating with the fuel mixture that is 
most likely to cause the engine to exceed the applicable 
HC+NOX emission standard, though you may ask us

[[Page 478]]

to exclude fuel mixtures that you can show are not likely to occur in 
use.
    (c) We may measure emissions from any of your emission-data engines 
or other engines from the emission family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the engine to a test facility 
we designate. The engine you provide must include appropriate manifolds, 
aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block. 
If we do the testing at your plant, you must schedule it as soon as 
possible and make available the instruments, personnel, and equipment we 
need.
    (2) If we measure emissions on one of your engines, the results of 
that testing become the official emission results for the engine.
    (3) We may set the adjustable parameters of your engine to any point 
within the physically adjustable ranges (see Sec. 1054.115(b)).
    (4) We may calibrate your engine within normal production tolerances 
for anything we do not consider an adjustable parameter. For example, 
this would apply where we determine that an engine parameter is not an 
adjustable parameter (as defined in Sec. 1054.801) but that it is 
subject to production variability.
    (d) You may ask to use carryover emission data from a previous model 
year instead of doing new tests, but only if all the following are true:
    (1) The emission family from the previous model year differs from 
the current emission family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec. 1054.225.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the emission family covered by the 
application for certification. For engines originally tested under the 
provisions of 40 CFR part 90, you may consider those test procedures to 
be equivalent to the procedures we specify in subpart F of this part.
    (e) We may require you to test another engine of the same or 
different configuration in addition to the engine(s) tested under 
paragraph (b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (g) Measure CO2 and CH4 with each low-hour 
certification test using the procedures specified in 40 CFR part 1065 
starting in the 2011 and 2012 model years, respectively. Also measure 
N2O with each low-hour certification test using the 
procedures specified in 40 CFR part 1065 starting in the 2013 model year 
for any engine family that depends on NOx aftertreatment to meet 
emission standards. Small-volume engine manufacturers may omit 
measurement of N2O and CH4. Use the same units and 
modal calculations as for your other results to report a single weighted 
value for each constituent. Round the final values as follows:
    (1) Round CO2 to the nearest 1 g/kW-hr.
    (2) Round N2O to the nearest 0.001 g/kW-hr.
    (3) Round CH4 to the nearest 0.001 g/kW-hr.

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 56511, Oct. 30, 2009]



Sec. 1054.240  How do I demonstrate that my emission family complies 

with exhaust emission standards?

    (a) For purposes of certification, your emission family is 
considered in compliance with the emission standards in Sec. 
1054.101(a) if all emission-data engines representing that family have 
test results showing deteriorated emission levels at or below these 
standards. This includes all test points over the course of the 
durability demonstration. Note that your FELs are considered to be the 
applicable emission standards with which you must comply if you 
participate in the ABT program in subpart H of this part.

[[Page 479]]

    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing a deteriorated 
emission level for any pollutant that is above an applicable emission 
standard. This includes all test points over the course of the 
durability demonstration.
    (c) Determine a deterioration factor to compare emission levels from 
the emission-data engine with the applicable emission standards. Section 
1054.245 specifies how to test engines to develop deterioration factors 
that represent the expected deterioration in emissions over your 
engines' full useful life. Calculate a multiplicative deterioration 
factor as described in Sec. 1054.245(b). If the deterioration factor is 
less than one, use one. Specify the deterioration factor to one more 
significant figure than the emission standard. You may use assigned 
deterioration factors that we establish for up to 10,000 nonhandheld 
engines from small-volume emission families in each model year, except 
that small-volume engine manufacturers may use assigned deterioration 
factors for any or all of their engine families.
    (d) Adjust the official emission results for each tested engine at 
the low-hour test point by multiplying the measured emissions by the 
deterioration factor, then rounding the adjusted figure to the same 
number of decimal places as the emission standard. Compare the rounded 
emission levels to the emission standard for each emission-data engine. 
In the case of HC+NOX standards, add the official emission 
results and apply the deterioration factor to the sum of the pollutants 
before rounding. However, if your deterioration factors are based on 
emission measurements that do not cover the engine's full useful life, 
apply deterioration factors to each pollutant and then add the results 
before rounding.
    (e) The provisions of this paragraph (e) apply only for engine 
families with a useful life at or below 300 hours. To apply the 
deterioration factor to engines other than the original emission-data 
engine, they must be operated for the same number of hours before 
starting emission measurements that you used for the original emission-
data engine, within one hour. For example, if the original emission-data 
engine operated for 8 hours before the low-hour emission test, operate 
the other test engines for 7 to 9 hours before starting emission 
measurements.



Sec. 1054.245  How do I determine deterioration factors from exhaust durability testing?

    This section describes how to determine deterioration factors, 
either with pre-existing test data or with new emission measurements.
    (a) You may ask us to approve deterioration factors for an emission 
family based on emission measurements from similar engines if you have 
already given us these data for certifying other engines in the same or 
earlier model years. Use good engineering judgment to decide whether the 
two engines are similar.
    (b) If you are unable to determine deterioration factors for an 
emission family under paragraph (a) of this section, select engines, 
subsystems, or components for testing. Determine deterioration factors 
based on service accumulation and related testing. Include consideration 
of wear and other causes of deterioration expected under typical 
consumer use. Determine deterioration factors as follows:
    (1) Measure emissions from the emission-data engine at a low-hour 
test point, at the midpoint of the useful life, and at the end of the 
useful life, except as specifically allowed by this paragraph (b). You 
may test at additional evenly spaced intermediate points. Collect 
emission data using measurements to one more decimal place than the 
emission standard.
    (2) Operate the engine over a representative duty cycle for a period 
at least as long as the useful life (in hours). You may operate the 
engine continuously. You may also use an engine installed in nonroad 
equipment to accumulate service hours instead of running the engine only 
in the laboratory.
    (3) In the case of dual-fuel or flexible-fuel engines, you may 
accumulate service hours on a single emission-data engine using the type 
or mixture of fuel expected to have the highest combustion and exhaust 
temperatures. For dual-fuel engines, you must measure

[[Page 480]]

emissions on each fuel type at each test point.
    (4) You may perform maintenance on emission-data engines as 
described in Sec. 1054.125 and 40 CFR part 1065, subpart E. If you 
change one or more spark plugs on an emission-data engine as allowed 
under Sec. 1054.125, you must measure emissions before and after this 
maintenance. If you clean or change an air filter on an emission-data 
engine as allowed under Sec. 1054.125, you must measure emissions 
before and after every second time you perform this maintenance. Use the 
average values from these two measurements to calculate deterioration 
factors. The emission-data engine must meet applicable emission 
standards before and after maintenance to be considered in compliance, 
as described in Sec. 1054.240(a) and (b).
    (5) Calculate your deterioration factor using a linear least-squares 
fit of your test data, but treat the low-hour test point as occurring at 
hour zero. Your deterioration factor is the ratio of the calculated 
emission level at the point representing the full useful life to the 
calculated emission level at zero hours.
    (6) If you test more than one engine to establish deterioration 
factors, average the deterioration factors from all the engines before 
rounding.
    (7) If your durability engine fails between 80 percent and 100 
percent of useful life, you may use the last emission measurement as the 
test point representing the full useful life, provided it occurred after 
at least 80 percent of the useful life.
    (8) If your useful life is 1,000 hours or longer, and your 
durability engine fails between 50 percent and 100 percent of useful 
life, you may extrapolate your emission results to determine the 
emission level representing the full useful life, provided emissions 
were measured at least once after 50 percent of the useful life.
    (9) Use good engineering judgment for all aspects of the effort to 
establish deterioration factors under this paragraph (b).
    (10) You may use other testing methods to determine deterioration 
factors, consistent with good engineering judgment, as long as we 
approve those methods in advance.
    (c) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different emission family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including the method you 
use to accumulate hours.



Sec. 1054.250  What records must I keep and what reports must I send to EPA?

    (a) Send the Designated Compliance Officer information related to 
your U.S.-directed production volumes as described in Sec. 1054.345. In 
addition, within 45 days after the end of the model year, you must send 
us a report describing information about engines you produced during the 
model year as follows:
    (1) State the total production volume for each engine family that is 
not subject to reporting under Sec. 1054.345.
    (2) State the total production volume for any engine family for 
which you produce engines after completing the reports required in Sec. 
1054.345.
    (3) If you produced exempted engines under the provisions of Sec. 
1054.625(j)(1), report the number of exempted engines you produced for 
each engine model and identify the buyer or shipping destination for 
each exempted engine.
    (4) For production volumes you report under this paragraph (a), 
identify whether or not the figures include California sales. Include a 
separate count of production volumes for California sales if those 
figures are available.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec. 1054.205 that you 
were not required to include in your application.
    (3) A detailed history of all emission-data engines. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and

[[Page 481]]

buildup, steps you took to ensure that it represents production engines, 
any components you built specially for it, and all the components you 
include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each emission family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in this section for eight years after we issue your 
certificate.
    (d) Store these records in any format and on any media as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.



Sec. 1054.255  What decisions may EPA make regarding my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
emission family meets all the requirements of this part and the Clean 
Air Act, we will issue a certificate of conformity for your emission 
family for that model year. We may make the approval subject to 
additional conditions.
    (b) We may deny your application for certification if we determine 
that your emission family fails to comply with emission standards or 
other requirements of this part or the Clean Air Act. We will base our 
decision on all available information. If we deny your application, we 
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing, reporting, or bonding 
requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance.
    (5) Produce engines or equipment for importation into the United 
States at a location where local law prohibits us from carrying out 
authorized activities.
    (6) Fail to supply requested information or amend your application 
to include all engines or equipment being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Clean Air Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 1054.820).



                    Subpart D_Production-line Testing



Sec. 1054.300  Applicability.

    This subpart specifies requirements for engine manufacturers to test 
their production engines for exhaust emissions to ensure that the 
engines are being produced as described in the application for 
certification. The production-line verification described in 40 CFR part 
1060, subpart D, applies for equipment and components for evaporative 
emissions.

[[Page 482]]



Sec. 1054.301  When must I test my production-line engines?

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart, except as 
follows:
    (1) Small-volume engine manufacturers may omit testing under this 
subpart.
    (2) We may exempt small-volume emission families from routine 
testing under this subpart. Request this exemption in your application 
for certification and include your basis for projecting a production 
volume below 5,000 units. We will approve your request if we agree that 
you have made good-faith estimates of your production volumes. Your 
exemption is approved when we grant your certificate. You must promptly 
notify us if your actual production exceeds 5,000 units during the model 
year. If you exceed the production limit or if there is evidence of a 
nonconformity, we may require you to test production-line engines under 
this subpart, or under 40 CFR part 1068, subpart E, even if we have 
approved an exemption under this paragraph (a)(2).
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line engines do not meet the 
requirements of this part or you do not fulfill your obligations under 
this subpart (see Sec. Sec. 1054.325 and 1054.340).
    (c) Other regulatory provisions authorize us to suspend, revoke, or 
void your certificate of conformity, or order recalls for engine 
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not 
affect our ability to do selective enforcement audits, as described in 
40 CFR part 1068. Individual engines in families that pass these 
production-line testing requirements must also conform to all applicable 
regulations of this part and 40 CFR part 1068.
    (d) You may use alternate programs for testing production-line 
engines in the following circumstances:
    (1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the 
otherwise applicable requirements in 40 CFR part 1065 for laboratory 
testing, to demonstrate compliance with emission standards if you double 
the minimum sampling rate specified in Sec. 1054.310(b). Use measured 
test results to determine whether engines comply with applicable 
standards without applying a measurement allowance. This alternate 
program does not require prior approval but we may disallow use of this 
option where we determine that use of field-grade equipment would 
prevent you from being able to demonstrate that your engines are being 
produced to conform to the specifications in your application for 
certification.
    (2) You may ask to use another alternate program for testing 
production-line engines. In your request, you must show us that the 
alternate program gives equal assurance that your products meet the 
requirements of this part. We may waive some or all of this subpart's 
requirements if we approve your alternate approach. For example, in 
certain circumstances you may be able to give us equal assurance that 
your products meet the requirements of this part by using less rigorous 
measurement methods if you offset that by increasing the number of test 
engines.
    (e) If you certify an engine family with carryover emission data, as 
described in Sec. 1054.235(d), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one engine per engine family. If we reduce your testing rate, we 
may limit our approval to any number of model years. In determining 
whether to approve your request, we may consider the number of engines 
that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
engines available for a reasonable time so we can test or inspect them 
for compliance with the requirements of this part.



Sec. 1054.305  How must I prepare and test my production-line engines?

    This section describes how to prepare and test production-line 
engines. You must assemble the test engine in a way

[[Page 483]]

that represents the assembly procedures for other engines in the engine 
family. You must ask us to approve any deviations from your normal 
assembly procedures for other production engines in the engine family.
    (a) Test procedures. Test your production-line engines using the 
applicable testing procedures in subpart F of this part to show you meet 
the emission standards in subpart B of this part.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec. 1054.310), you may adjust, repair, prepare, or modify it or 
check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Engine malfunction. If an engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair the 
engine or delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may require 
you to adjust any adjustable parameter to any setting within its 
physically adjustable range.
    (1) [Reserved]
    (2) We may specify adjustments within the physically adjustable 
range by considering their effect on emission levels. We may also 
consider how likely it is that someone will make such an adjustment with 
in-use equipment.
    (3) We may specify an air-fuel ratio within the adjustable range 
specified in Sec. 1054.115(b).
    (e) Stabilizing emission levels. Use good engineering judgment to 
operate your engines before testing such that deterioration factors can 
be applied appropriately. Determine the stabilization period as follows:
    (1) For engine families with a useful life at or below 300 hours, 
operate the engine for the same number of hours before starting emission 
measurements that you used for the emission-data engine, within one 
hour. For example, if the emission-data engine operated for 8 hours 
before the low-hour emission test, operate the test engines for 7 to 9 
hours before starting emission measurements.
    (2) For engine families with a useful life above 300 hours, operate 
each engine for no more than the greater of two periods:
    (i) 12 hours.
    (ii) The number of hours you operated your emission-data engine for 
certifying the engine family (see 40 CFR part 1065, subpart E, or the 
applicable regulations governing how you should prepare your test 
engine).
    (f) Damage during shipment. If shipping an engine to a remote 
facility for production-line testing makes necessary an adjustment or 
repair, you must wait until after the initial emission test to do this 
work. We may waive this requirement if the test would be impossible or 
unsafe or if it would permanently damage the engine. Report to us, in 
your written report under Sec. 1054.345, all adjustments or repairs you 
make on test engines before each test.
    (g) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid under subpart F of this part. 
Explain in your written report reasons for invalidating any test and the 
emission results from all tests. If we determine that you improperly 
invalidated a test, we may require you to ask for our approval for 
future testing before substituting results of the new tests for invalid 
ones.



Sec. 1054.310  How must I select engines for production-line testing?

    (a) Test engines from each engine family as described in this 
section based on test periods, as follows:
    (1) For engine families with projected U.S.-directed production 
volume of at least 1,600, the test periods are consecutive quarters (3 
months). However, if your annual production period is less than 12 
months long, you may take the following alternative approach to define 
quarterly test periods:
    (i) If your annual production period is 120 days or less, the whole 
model year constitutes a single test period.
    (ii) If your annual production period is 121 to 210 days, divide the 
annual

[[Page 484]]

production period evenly into two test periods.
    (iii) If your annual production period is 211 to 300 days, divide 
the annual production period evenly into three test periods.
    (iv) If your annual production period is 301 days or longer, divide 
the annual production period evenly into four test periods.
    (2) For engine families with projected U.S.-directed production 
volume below 1,600, the whole model year constitutes a single test 
period.
    (b) Early in each test period, randomly select and test an engine 
from the end of the assembly line for each engine family.
    (1) In the first test period for newly certified engines, randomly 
select and test one more engine. Then, calculate the required sample 
size for the model year as described in paragraph (c) of this section.
    (2) In later test periods of the same model year, combine the new 
test result with all previous testing in the model year. Then, calculate 
the required sample size for the model year as described in paragraph 
(c) of this section.
    (3) In the first test period for engine families relying on 
previously submitted test data, combine the new test result with the 
last test result from the previous model year. Then, calculate the 
required sample size for the model year as described in paragraph (c) of 
this section. Use the last test result from the previous model year only 
for this first calculation. For all subsequent calculations, use only 
results from the current model year.
    (c) Calculate the required sample size for each engine family. 
Separately calculate this figure for HC+NOX and CO. The 
required sample size is the greater of these calculated values. Use the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.095

Where:

N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number 
of tests completed, n, as specified in the table in paragraph (c)(1) of 
this section. It defines 95% confidence intervals for a one-tail 
distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of this 
section).
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).

    (1) Determine the 95% confidence coefficient, t\95\, from the 
following table:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                 n                                         t95               n               t95               n               t95
--------------------------------------------------------------------------------------------------------------------------------------------------------
 2.................................................................            6.31               12             1.80               22             1.72
 3.................................................................            2.92               13             1.78               23             1.72
 4.................................................................            2.35               14             1.77               24             1.71
 5.................................................................            2.13               15             1.76               25             1.71
 6.................................................................            2.02               16             1.75               26             1.71
 7.................................................................            1.94               17             1.75               27             1.71
 8.................................................................            1.90               18             1.74               28             1.70
 9.................................................................            1.86               19             1.73               29             1.70
10.................................................................            1.83               20             1.73               30             1.70
11.................................................................            1.81               21             1.72              31+             1.65
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (2) Calculate the standard deviation, for the test sample using the 
following formula:

[[Page 485]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.096

Where:

Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.

    (d) Use final deteriorated test results to calculate the variables 
in the equations in paragraph (c) of this section (see Sec. 
1054.315(a)(2)).
    (e) After each new test, recalculate the required sample size using 
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
    (f) Distribute the remaining engine tests evenly throughout the rest 
of the year. You may need to adjust your schedule for selecting engines 
if the required sample size changes. If your scheduled quarterly testing 
for the remainder of the model year is sufficient to meet the calculated 
sample size, you may wait until the next quarter to do additional 
testing. Continue to randomly select engines from each engine family.
    (g) Continue testing until one of the following things happens:
    (1) After completing the minimum number of tests required in 
paragraph (b) of this section, the number of tests completed in an 
engine family, n, is greater than the required sample size, N, and the 
sample mean, x, is less than or equal to the emission standard. For 
example, if N = 5.1 after the fifth test, the sample-size calculation 
does not allow you to stop testing.
    (2) The engine family does not comply according to Sec. 1054.315.
    (3) You test 30 engines from the engine family.
    (4) You test one percent of your projected annual U.S.-directed 
production volume for the engine family, rounded to the nearest whole 
number. Do not count an engine under this paragraph (g)(4) if it fails 
to meet an applicable emission standard.
    (5) You choose to declare that the engine family does not comply 
with the requirements of this subpart.
    (h) If the sample-size calculation allows you to stop testing for 
one pollutant but not another, you must continue measuring emission 
levels of all pollutants for any additional tests required under this 
section. However, you need not continue making the calculations 
specified in this subpart for the pollutant for which testing is not 
required. This paragraph (h) does not affect the number of tests 
required under this section, the required calculations in Sec. 
1054.315, or the remedial steps required under Sec. 1054.320.
    (i) You may elect to test more randomly chosen engines than we 
require under this section. Include these engines in the sample-size 
calculations.



Sec. 1054.315  How do I know when my engine family fails the production-line testing requirements?

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an emission-family 
basis. See Sec. 1054.320 for the requirements that apply to individual 
engines that fail a production-line test.
    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate and round the test 
results for each engine. If you do several tests on an engine, calculate 
the initial results for each test, then add all the test results 
together and divide by the number of tests. Round this final calculated 
value for the final test results on that engine.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec. 1054.240(c)).
    (3) Round deteriorated test results. Round the results to the number 
of decimal places in the emission standard expressed to one more decimal 
place.
    (b) Construct the following CumSum Equation for each engine family 
for HC+NOX and CO emissions:


[[Page 486]]


Ci = Max [0 or Ci-1 + Xi-(STD + 0.25 x 
[sigma])]

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, the 
CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual 
engine.
STD = Emission standard (or family emission limit, if applicable).

    (c) Use final deteriorated test results to calculate the variables 
in the equation in paragraph (b) of this section (see Sec. 
1054.315(a)).
    (d) After each new test, recalculate the CumSum statistic.
    (e) If you test more than the required number of engines, include 
the results from these additional tests in the CumSum Equation.
    (f) After each test, compare the current CumSum statistic, 
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x 
[sigma].
    (g) If the CumSum statistic exceeds the Action Limit in two 
consecutive tests, the engine family fails the production-line testing 
requirements of this subpart. Tell us within ten working days if this 
happens. You may request to amend the application for certification to 
raise the FEL of the entire engine family as described in Sec. 
1054.225(f).
    (h) If you amend the application for certification for an engine 
family under Sec. 1054.225, do not change any previous calculations of 
sample size or CumSum statistics for the model year.



Sec. 1054.320  What happens if one of my production-line engines fails to meet emission standards?

    (a) If you have a production-line engine with final deteriorated 
test results exceeding one or more emission standards (see Sec. 
1054.315(a)), the certificate of conformity is automatically suspended 
for that failing engine. You must take the following actions before your 
certificate of conformity can cover that engine:
    (1) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (2) Include the test results and describe the remedy for each engine 
in the written report required under Sec. 1054.345.
    (b) You may request to amend the application for certification to 
raise the FEL of the entire engine family at this point (see Sec. 
1054.225).



Sec. 1054.325  What happens if an engine family fails the production-line testing requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails under Sec. 1054.315. The suspension may apply to all 
facilities producing engines from an engine family even if you find 
noncompliant engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when you 
receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec. 1054.820). If we agree 
before a hearing occurs that we used erroneous information in deciding 
to suspend the certificate, we will reinstate the certificate.
    (d) Section 1054.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the engines 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.
    (e) You may request to amend the application for certification to 
raise the FEL of the engine family before or after we suspend your 
certificate as described in Sec. 1054.225(f). We will approve your 
request if the failure is not caused by a defect and it is clear that 
you used good engineering judgment in establishing the original FEL.



Sec. 1054.330  May I sell engines from an engine family with a suspended certificate of conformity?

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity under Sec. 1054.315 only if one of 
the following occurs:

[[Page 487]]

    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines and 
remedy any noncompliance at no expense to the owner if later testing 
shows that the engine family still does not comply.



Sec. 1054.335  How do I ask EPA to reinstate my suspended certificate?

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.



Sec. 1054.340  When may EPA revoke my certificate under this subpart 

and how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under Sec. 1054.335 is inadequate to solve the problem or requires you 
to change the engine's design or emission control system.
    (b) To sell engines from an engine family with a revoked certificate 
of conformity, you must modify the engine family and then show it 
complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec. 1054.345  What production-line testing records must I send to EPA?

    (a) Within 45 days of the end of each test period, send us a report 
with the following information:
    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe each test engine, including the engine family's 
identification and the engine's model year, build date, model number, 
identification number, and number of hours of operation before testing.
    (5) Identify how you accumulated hours of operation on the engines 
and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; all initial test results; final test results; and final 
deteriorated test results for all tests. Provide the emission results 
for all measured pollutants. Include information for both valid and 
invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure or 
type of engine.
    (8) Provide the CumSum analysis required in Sec. 1054.315 and the 
sample-size calculation required in Sec. 1054.310 for each engine 
family.
    (9) Report on each failed engine as described in Sec. 1054.320.
    (10) State the date the test period ended for each engine family.
    (b) We may ask you to add information to your written report so we 
can determine whether your new engines conform with the requirements of 
this

[[Page 488]]

subpart. We may also ask you to send less information.
    (c) An authorized representative of your company must sign the 
following statement:

    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1054. We have not changed production 
processes or quality-control procedures for test engines in a way that 
might affect emission controls. All the information in this report is 
true and accurate to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized Company 
Representative)

    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. Section 1054.815 describes how we treat information 
you consider confidential.



Sec. 1054.350  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.
    (b) Keep paper or electronic records of your production-line testing 
for eight years after you complete all the testing required for an 
engine family in a model year.
    (c) Keep a copy of the written reports described in Sec. 1054.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine and the names of all supervisors 
who oversee this work.
    (4) If you shipped the engine for testing, the date you shipped it, 
the associated storage or port facility, and the date the engine arrived 
at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (7) Any information specified in Sec. 1054.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us a more detailed description of 
projected or actual production figures for an engine family. We may ask 
you to divide your production figures by maximum engine power, 
displacement, fuel type, or assembly plant (if you produce engines at 
more than one plant).
    (f) Keep records of the engine identification number for each engine 
you produce under each certificate of conformity. You may identify these 
numbers as a range. Give us these records within 30 days if we ask for 
them.
    (g) We may ask you to keep or send other information necessary to 
implement this subpart.



                        Subpart E_In-use Testing



Sec. 1054.401  General provisions.

    We may perform in-use testing of any engines or equipment subject to 
the standards of this part. We will consult with you as needed for 
information or special equipment related to testing your engines.



                        Subpart F_Test Procedures



Sec. 1054.501  How do I run a valid emission test?

    (a) Applicability. This subpart is addressed to you as a 
manufacturer but it applies equally to anyone who does testing for you, 
and to us when we perform testing to determine if your engines or 
equipment meet emission standards.
    (b) General requirements. Use the equipment and procedures for 
spark-ignition engines in 40 CFR part 1065 to determine whether engines 
meet the exhaust emission standards, as follows:
    (1) Measure the emissions of all exhaust constituents subject to 
emissions standards as specified in Sec. 1054.505 and 40 CFR part 1065. 
Measure CO2, N2O, and CH4 as described 
in Sec. 1054.235. See Sec. 1054.650 for special provisions that

[[Page 489]]

apply for variable-speed engines (including engines shipped without 
governors).
    (2) Use the fuels and lubricants specified in 40 CFR part 1065, 
subpart H, for all the testing we require in this part. Except as 
specified in paragraph (d) of this section, use gasoline meeting the 
specifications described in 40 CFR 1065.710 for general testing. For 
service accumulation, use the test fuel or any commercially available 
fuel that is representative of the fuel that in-use engines will use. 
You may alternatively use gasoline blended with ethanol as follows:
    (i) For handheld engines, you may use the ethanol-blended fuel for 
certifying engines under this part without our advance approval. If you 
use the blended fuel for certifying a given engine family, you may also 
use it for production-line testing or any other testing you perform for 
that engine family under this part. If you use the blended fuel for 
certifying a given engine family, we may use the blended fuel or the 
specified gasoline test fuel with that engine family.
    (ii) For nonhandheld engines, you may use the blended fuel for 
certifying engines under this part without our advance approval. If you 
use the blended fuel for certifying a given engine family, you must also 
use it for production-line testing or any other testing you perform for 
that engine family under this part. If the certification of all your 
Class I (or Class II) engine families in a given model year is based on 
test data collected using the blended fuel, we will also use the blended 
fuel for testing your Class I (or Class II) engines. If the 
certification of some but not all of your Class I (or Class II) engine 
families in a given model year is based on test data collected using the 
blended fuel, we may use the blended fuel or the specified gasoline test 
fuel for testing any of your Class I (or Class II) engines.
    (iii) The blended fuel must consist of a mix of gasoline meeting the 
specifications described in 40 CFR 1065.710 for general testing and 
fuel-grade ethanol meeting the specifications described in 40 CFR 
1060.501(c) such that the blended fuel has 10.01.0 
percent ethanol by volume. You may also use ethanol with a higher or 
lower purity if you show us that it will not affect your ability to 
demonstrate compliance with the applicable emission standards. You do 
not need to measure the ethanol concentration of such blended fuels and 
may instead calculate the blended composition by assuming that the 
ethanol is pure and mixes perfectly with the base fuel.
    (iv) You may ask to use the provisions of this paragraph (b)(2) for 
a blended test fuel containing less than 10 percent ethanol if your 
engine is subject to emission standards from other organizations that 
specify testing with that fuel. If we approve testing with such a fuel, 
we may test your engines with that test fuel, with gasoline, or with a 
10-percent ethanol blend.
    (3) Ambient conditions for duty-cycle testing must be within ranges 
specified in 40 CFR 1065.520, subject to the provisions of Sec. 
1054.115(c).
    (i) Corrections. Emissions may not be corrected for the effects of 
test temperature or pressure. You may correct emissions for humidity as 
specified in 40 CFR 1065.670.
    (ii) Intake air temperature. Measure engine intake air temperature 
as described in 40 CFR 1065.125, and control it if necessary, consistent 
with good engineering judgment. For example, since the purpose of this 
requirement is to ensure that the measured air temperature is consistent 
with the intake air temperature that would occur during in-use operation 
at the same ambient temperature, do not cool the intake air and do not 
measure air temperature at a point where engine heat affects the 
temperature measurement.
    (4) The provisions of 40 CFR 1065.405 describes how to prepare an 
engine for testing. However, you may consider emission levels stable 
without measurement after 12 hours of engine operation, except for the 
following special provisions that apply for engine families with a 
useful life of 300 hours or less:
    (i) We will not approve a stabilization period longer than 12 hours 
even if you show that emissions are not yet stabilized.
    (ii) Identify the number of hours you use to stabilize engines for 
low-hour

[[Page 490]]

emission measurements. You may consider emissions stable at any point 
less than 12 hours. For example, you may choose a point at which 
emission levels reach a low value before the effects of deterioration 
are established.
    (5) Prepare your engines for testing by installing a governor that 
you normally use on production engines, consistent with Sec. Sec. 
1054.235(b) and 1054.505.
    (6) During testing, supply the engine with fuel in a manner 
consistent with how it will be supplied with fuel in use. If you sell 
engines with complete fuel systems and your production engines will be 
equipped with a vapor line that routes running loss vapors into the 
engine's intake system, measure exhaust emissions using a complete fuel 
system representing a production configuration that sends fuel vapors to 
the test engine's intake system in a way that represents the expected 
in-use operation. You may alternatively demonstrate by engineering 
analysis that your engines will continue to meet emission standards for 
any amount of running loss vapor that can reasonably be expected during 
in-use operation.
    (7) Determine the carbon mass fraction of fuel, wc, using a 
calculation based on measured fuel properties as described in 40 CFR 
1065.655(d)(1). You may not use the default values specified in 40 CFR 
1065.655(d)(2).
    (c) Special and alternate procedures. You may use special or 
alternate procedures to the extent we allow them under 40 CFR 1065.10. 
The following additional provisions apply:
    (1) If you are unable to run the test cycle specified in this part 
for your engine, use an alternate test cycle that will result in a 
cycle-weighted emission measurement equivalent to the expected average 
in-use emissions. This cycle must be approved under 40 CFR 1065.10.
    (2) Describe in your application for certification any specially 
designed fixtures or other hardware if they are needed for proper 
testing of your engines. (Note: You do not need to specify the size or 
performance characteristics of engine dynamometers.) You must send us 
these fixtures or other hardware if we ask for them. We may waive the 
requirement of Sec. 1054.205(aa) to identify a test facility in the 
United States for such engine families as long as the projected U.S.-
directed production volume of all your engine families using the 
provisions of this paragraph (c)(2) is less than 5 percent of your total 
production volume from all engine families certified under this part 
1054.
    (d) Wintertime engines. You may test wintertime engines at the 
ambient temperatures specified in 40 CFR 1065.520, even though this does 
not represent in-use operation for these engines (40 CFR 1065.10(c)(1)). 
In this case, you may use good engineering judgment to modify the test 
engine as needed to achieve intake temperatures that are analogous to 
in-use conditions. You may also test wintertime engines at reduced 
ambient temperatures as specified in 40 CFR 1051.505. Use the gasoline 
specified for low-temperature testing only if you test your engines at 
ambient temperatures below 20 [deg]C.

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 56511, Oct. 30, 2009]



Sec. 1054.505  How do I test engines?

    (a) This section describes how to test engines under steady-state 
conditions. For handheld engines you must perform tests with discrete-
mode sampling. For nonhandheld engines we allow you to perform tests 
with either discrete-mode or ramped-modal testing methods. You must use 
the same modal testing method for certification and all other testing 
you perform for an engine family. If we test your engines to confirm 
that they meet emission standards, we will use the modal testing method 
you select for your own testing. If you submit certification test data 
collected with both discrete-mode and ramped-modal testing (either in 
your original application or in an amendment to your application), 
either method may be used for subsequent testing. We may also perform 
other testing as allowed by the Clean Air Act. Conduct duty-cycle 
testing as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. In each mode, operate the 
engine

[[Page 491]]

for at least 5 minutes, then sample emissions for at least 1 minute. 
Control engine speed as specified in this section. Use one of the 
following methods for confirming torque values for nonhandheld engines:
    (i) Calculate torque-related cycle statistics and compare with the 
established criteria as specified in 40 CFR 1065.514 to confirm that the 
test is valid.
    (ii) Evaluate each mode separately to validate the duty cycle. All 
torque feedback values recorded during non-idle sampling periods must be 
within 2 percent of the reference value or within 
0.27 N[middot]m of the reference value, whichever 
is greater. Also, the mean torque value during non-idle sampling periods 
must be within 1 percent of the reference value or 
0.12 N[middot]m of the reference value, whichever 
is greater. Control torque during idle as specified in paragraph (c) of 
this section.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing as specified in 40 CFR part 1065. Unless we specify otherwise, 
you may simulate the governor for ramped-modal testing consistent with 
good engineering judgment.
    (b) Measure emissions by testing the engine on a dynamometer with 
the test procedures for constant-speed engines in 40 CFR part 1065 while 
using one of the steady-state duty cycles identified in this paragraph 
(b) to determine whether it meets the exhaust emission standards 
specified in Sec. 1054.101(a). This requirement applies for all 
engines, including those not meeting the definition of ``constant-speed 
engine'' in 40 CFR 1065.1001.
    (1) For handheld engines, use the two-mode duty cycle described in 
paragraph (a) of Appendix II of this part. Establish an engine's rated 
speed as follows:
    (i) For ungoverned handheld engines used in fixed-speed applications 
all having approximately the same nominal in-use operating speed, hold 
engine speed within 350 rpm of the nominal speed for testing. We may 
allow you to include in your engine family without additional testing a 
small number engines that will be installed such that they have a 
different nominal speed. If your engine family includes a majority of 
engines with approximately the same nominal in-use operating speed and a 
substantial number of engines with different nominal speeds, you must 
test engines as specified in this paragraph (b)(1)(i) and paragraph 
(b)(1)(ii) of this section.
    (ii) For ungoverned handheld engines for which there is not a 
dominant value for nominal in-use operating speeds, hold engine speed 
within 350 rpm of the point at which the engine generates maximum power.
    (iii) For governed handheld engines, hold engine speed at maximum 
test speed, as defined in 40 CFR 1065.1001.
    (2) For nonhandheld engines, use the six-mode duty cycle or the 
corresponding ramped-modal cycle described in paragraph (b) of Appendix 
II of this part. Control engine speeds and torques during idle mode as 
specified in paragraph (c) of this section and during full-load 
operating modes as specified in paragraph (d) of this section. For all 
other modes, control torque as needed to meet the cycle-validation 
criteria in 40 CFR 1065.514; control the engine speed to within 5 
percent of the nominal speed specified in paragraph (d) of this section 
or let the installed governor (in the production configuration) control 
engine speed. The governor may be adjusted before emission sampling to 
target the nominal speed identified in paragraph (d) of this section, 
but the installed governor must control engine speed throughout the 
emission-sampling period whether the governor is adjusted or not. Note 
that ramped-modal testing involves continuous sampling, so governor 
adjustments may not occur during such a test. Note also that our testing 
may involve running the engine with the governor in the standard 
configuration even if you adjust the governor as described in this 
paragraph (a)(2) for certification or production-line testing.
    (c) During idle mode for nonhandheld engines, operate the engine 
with the following parameters:
    (1) Allow the engine to operate at the idle speed determined by the 
installed governor. If any production engines

[[Page 492]]

from the engine family have a user-selectable idle speed, operate the 
engine with an installed governor that controls engine speed to the 
lowest available speed setting.
    (2) Keep engine torque under 5 percent of the nominal torque value 
for Mode 1.
    (3) You must conduct testing at the idle mode even if the allowable 
torque values overlap with those for another specified mode.
    (d) During full-load operation for nonhandheld engines, operate the 
engine with the following parameters:
    (1) In normal circumstances, select a test speed of either 3060 rpm 
or 3600 rpm that is most appropriate for the engine family. If all the 
engines in the engine family are used in intermediate-speed equipment, 
select a test speed of 3060 rpm. The test associated with intermediate-
speed operation is referred to as the A Cycle. If all the engines in the 
engine family are used in rated-speed equipment, select a test speed of 
3600 rpm. The test associated with rated-speed operation is referred to 
as the B Cycle. If an engine family includes engines used in both 
intermediate-speed equipment and rated-speed equipment, select the test 
speed for emission-data engines that will result in worst-case 
emissions. In unusual circumstances, you may ask to use a test speed 
different than that specified in this paragraph (d)(1) if it better 
represents in-use operation.
    (2) Operate the engine ungoverned at wide-open throttle at the test 
speed established in paragraph (d)(1) of this section until the engine 
reaches thermal stability as described in 40 CFR 1065.530(a)(2)(ii). 
Record the torque value after stabilization. Use this value for the 
full-load torque setting and for denormalizing the rest of the duty 
cycle.
    (3) Control engine speed during emission sampling to stay within 5 
percent of the nominal speed identified in paragraph (d)(1) of this 
section.
    (4) The provisions of this paragraph (d) apply instead of the engine 
mapping procedures in 40 CFR 1065.510.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.



Sec. 1054.520  What testing must I perform to establish deterioration factors?

    Sections 1054.240 and 1054.245 describe the required methods for 
testing to establish deterioration factors for an emission family.



                 Subpart G_Special Compliance Provisions



Sec. 1054.601  What compliance provisions apply?

    (a) Engine and equipment manufacturers, as well as owners, 
operators, and rebuilders of engines subject to the requirements of this 
part, and all other persons, must observe the provisions of this part, 
the requirements and prohibitions in 40 CFR part 1068, and the 
provisions of the Clean Air Act.
    (b) Note that the provisions of 40 CFR 1068.103(f) prohibit engine 
manufacturers from deviating from normal production and inventory 
practices to stockpile engines with a date of manufacture before new or 
changed emission standards take effect. If your normal practice for 
producing engines subject to this part 1054 includes maintaining engines 
in inventory for some engine families for more than 12 months, you must 
get our prior approval to continue this practice for model years in 
which emission standards change. Include in your request information 
showing that this is necessary and it is consistent with your normal 
business practice. Unless we specify otherwise, include relevant 
inventory and production records from the preceding eight years. Note 
that 40 CFR 1068.103(f) applies to any engines inventoried beyond your 
normal practice and authorizes us to review your records to verify your 
normal practices, whether or not you maintain the engines in inventory 
for more than 12 months.
    (c) The provisions of 40 CFR 1068.215 apply for cases in which the 
manufacturer takes possession of engines for purposes of recovering 
components as described in this paragraph (c). Note that this paragraph 
(c) does not apply for certified engines that still have the emission 
control information label since such engines do not need an exemption.
    (1) You must label the engine as specified in 40 CFR 1068.215(c)(3), 
except

[[Page 493]]

that the label may be removable as specified in 40 CFR 1068.45(b).
    (2) You may not resell the engine. For components other than the 
engine block, you may generate revenue from the sale of the components 
that you recover, or from the sale of new engines containing these 
components. You may also use components other than the engine block for 
engine rebuilds as otherwise allowed under the regulations. You may use 
the engine block from an engine that is exempted under this paragraph 
(c) only to make a new engine, and then only where such an engine has a 
separate identity from the original engine.
    (3) Once the engine has reached its final destination, you may stop 
collecting records describing the engine's final disposition and how you 
use the engine. This does not affect the requirement to maintain the 
records you have already collected under 40 CFR 1068.215. This also does 
not affect the requirement to maintain records for new engines.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010]



Sec. 1054.610  What is the exemption for delegated final assembly?

    The provisions of 40 CFR 1068.261 related to delegated final 
assembly do not apply for handheld engines certified under this part 
1054. The provisions of 40 CFR 1068.261 apply for nonhandheld engines, 
with the following exceptions and clarifications:
    (a) Through the 2014 model year, you may use the provisions of this 
section for engines you sell to a distributor, where you establish a 
contractual arrangement in which you designate the distributor to be 
your agent in all matters related to compliance with the requirements of 
this section. Identify each of the distributors you intend to designate 
as your agent under this paragraph (a) in your application for 
certification. You may continue to use the provisions of this paragraph 
(a) this for later model years for specific distributors if we approve 
it based on your clear and convincing demonstration that each 
distributor can be expected to comply fully with the requirements of 
this section and 40 CFR 1068.261. We may set additional conditions 
beyond the provisions specified in this section to ensure that all 
engines will be in a certified configuration when installed by the 
equipment manufacturer.
    (b) If you identify distributors as your agents under paragraph (a) 
of this section, you must perform or arrange for audits of all 
participating distributors and equipment manufacturers based on the 
following auditing rate instead of the provisions specified in 40 CFR 
1068.261(d)(3)(i) and (ii):
    (1) If you sell engines to 48 or more equipment manufacturers under 
the provisions of this section, you must annually perform or arrange for 
audits of twelve equipment manufacturers to whom you sell engines under 
this section. To select individual equipment manufacturers, divide all 
the affected equipment manufacturers into quartiles based on the number 
of engines they buy from you; select equal numbers of equipment 
manufacturers from each quartile each model year as much as possible. 
Vary the equipment manufacturers selected for auditing from year to 
year, though audits may be repeated in later model years if you find or 
suspect that a particular equipment manufacturer is not properly 
installing aftertreatment devices.
    (2) If you sell engines to fewer than 48 equipment manufacturers 
under the provisions of this section, set up a plan to perform or 
arrange for audits of each equipment manufacturer on average once every 
four model years.



Sec. 1054.612  What special provisions apply for equipment manufacturers 

modifying certified nonhandheld engines?

    The provisions of this section apply for all emission families 
through the 2014 model year; starting with the 2015 model year, these 
provisions are limited to small-volume emission families.
    (a) General provisions. If you buy certified nonhandheld engines for 
installation in equipment you produce, but you install the engines such 
that they use intake or exhaust systems that are not part of the 
originally certified configuration, you become the engine manufacturer 
for those engines and must certify that they will meet emission 
standards. We will allow you to utilize

[[Page 494]]

the provisions for simplified certification specified in paragraph (b) 
of this section, as long as your design stays within the overall 
specifications from the original engine manufacturer (such as exhaust 
backpressure) and you use a catalyst as described in the original engine 
manufacturer's application for certification.
    (b) Simplified certification. You must perform testing with an 
emission-data engine to show that you meet exhaust emission standards; 
however, you may use the deterioration factor from the original engine 
manufacturer. The production-line testing requirements in subpart D of 
this part do not apply for engines certified under this section. You 
must meet all the other requirements that apply to engine manufacturers 
for engines subject to standards under this part. The engine family must 
have the same useful life value specified by the original engine 
manufacturer for that engine. In your application for certification 
describe any differences between the original engine manufacturer's 
design and yours and explain why the deterioration data generated by the 
original engine manufacturer is appropriate for your configuration.
    (c) Engine exemption. As an engine manufacturer, you may produce 
nonconforming engines for equipment manufacturers as allowed under this 
section. You do not have to request this exemption for your engines, but 
you must have written assurance from equipment manufacturers that they 
need a certain number of exempted engines under this section. Add a 
removable label to the engines as described in 40 CFR 1068.262.



Sec. 1054.615  What is the exemption for engines certified to standards for Large SI engines?

    (a) An engine is exempt from the requirements of this part if it is 
in an emission family that has a valid certificate of conformity showing 
that it meets emission standards and other requirements under 40 CFR 
part 1048 for the appropriate model year.
    (b) The only requirements or prohibitions from this part that apply 
to an engine that is exempt under this section are in this section.
    (c) If your engines do not have the certificate required in 
paragraph (a) of this section, they will be subject to the provisions of 
this part. Introducing these engines into U.S. commerce without a valid 
exemption or certificate of conformity violates the prohibitions in 40 
CFR 1068.101(a).
    (d) Engines exempted under this section are subject to all the 
requirements affecting engines under 40 CFR part 1048, including 
evaporative emission standards. The requirements and restrictions of 40 
CFR part 1048 apply to anyone manufacturing these engines, anyone 
manufacturing equipment that uses these engines, and all other persons 
in the same manner as if these were nonroad spark-ignition engines above 
19 kW.
    (e) Engines exempted under this section may not generate or use 
emission credits under this part 1054.



Sec. 1054.620  What are the provisions for exempting engines used solely for competition?

    The provisions of this section apply for new engines and equipment 
built on or after January 1, 2010.
    (a) We may grant you an exemption from the standards and 
requirements of this part for a new engine on the grounds that it is to 
be used solely for competition. The requirements of this part, other 
than those in this section, do not apply to engines that we exempt for 
use solely for competition.
    (b) We will exempt engines that we determine will be used solely for 
competition. The basis of our determination is described in paragraphs 
(c) and (d) of this section. Exemptions granted under this section are 
good for only one model year and you must request renewal for each 
subsequent model year. We will not approve your renewal request if we 
determine the engine will not be used solely for competition.
    (c) Engines meeting all the following criteria are considered to be 
used solely for competition:
    (1) Neither the engine nor any equipment containing the engine may 
be displayed for sale in any public dealership or otherwise offered for 
sale to the general public. Note that this does not preclude display of 
these engines as long

[[Page 495]]

as they are not available for sale to the general public.
    (2) Sale of the equipment in which the engine is installed must be 
limited to professional competition teams, professional competitors, or 
other qualified competitors. For replacement engines, the sale of the 
engine itself must be limited to professional racing teams, professional 
racers, other qualified racers, or to the original equipment 
manufacturer.
    (3) The engine and the equipment in which it is installed must have 
performance characteristics that are substantially superior to 
noncompetitive models.
    (4) The engines are intended for use only as specified in paragraph 
(e) of this section.
    (d) You may ask us to approve an exemption for engines not meeting 
the criteria listed in paragraph (c) of this section as long as you have 
clear and convincing evidence that the engines will be used solely for 
competition.
    (e) Engines are considered to be used solely for competition only if 
their use is limited to competition events sanctioned by a state or 
federal government agency or another widely recognized public 
organization with authorizing permits for participating competitors. 
Operation of such engines may include only racing events, trials to 
qualify for racing events, and practice associated with racing events. 
Authorized attempts to set speed records are also considered racing 
events. Engines will not be considered to be used solely for competition 
if they are ever used for any recreational or other noncompetitive 
purpose. Any use of exempt engines in recreational events is a violation 
of 40 CFR 1068.101(b)(4).
    (f) You must permanently label engines exempted under this section 
to clearly indicate that they are to be used only for competition. 
Failure to properly label an engine will void the exemption for that 
engine.
    (g) If we request it, you must provide us any information we need to 
determine whether the engines are used solely for competition. This 
would generally include documentation regarding the number of engines 
and the ultimate purchaser of each engine as well as any documentation 
showing an equipment manufacturer's request for an exempted engine. Keep 
these records for five years.



Sec. 1054.625  What requirements apply under the Transition Program 

for Equipment Manufacturers?

    The provisions of this section allow equipment manufacturers to 
produce equipment with Class II engines that are subject to less 
stringent exhaust emission standards after the Phase 3 emission 
standards begin to apply. To be eligible to use these provisions, you 
must follow all the instructions in this section. See Sec. 1054.626 for 
requirements that apply specifically to companies that manufacture 
equipment outside the United States and to companies that import such 
equipment without manufacturing it. Engines and equipment you produce 
under this section are exempt from the prohibitions in 40 CFR 
1068.101(a)(1) with respect to exhaust emissions, subject to the 
provisions of this section. Except as specified in paragraph (e) of this 
section, equipment exempted under this section must meet all applicable 
requirements related to evaporative emissions.
    (a) General. If you are an equipment manufacturer, you may introduce 
into U.S. commerce limited numbers of nonroad equipment with Class II 
engines exempted under this section. You may use the exemptions in this 
section only if you have primary responsibility for designing and 
manufacturing equipment and your manufacturing procedures include 
installing some engines in this equipment. Consider all U.S.-directed 
equipment production in showing that you meet the requirements of this 
section, including those from any parent or subsidiary companies and 
those from any other companies you license to produce equipment for you. 
If you produce a type of equipment that has more than one engine, count 
each engine separately. These provisions are available during the first 
four model years that the Phase 3 exhaust emission standards apply.
    (b) Allowances. Calculate how many pieces of equipment with exempted 
engines you may produce under this section by determining your U.S.-
directed production volume of equipment with Class II engines from 
January 1, 2007

[[Page 496]]

through December 31, 2009, calculating your annual average production 
for this period, and multiplying the average value by 0.3. The same 
calculation applies for small-volume equipment manufacturers, except 
that average annual production is multiplied by 2.0. For companies with 
no eligible production in a given year, calculate annual average 
production based only on those years in which you produce equipment 
during the specified period with Class II engines for sale in the United 
States. Use these allowances for equipment using model year 2011 and 
later Class II engines. You may use these allowances for equipment you 
produce before December 31, 2014.
    (c) Access to exempted engines. You may use one of the following 
approaches to get exempted engines under this section:
    (1) Request a certain number of exempted Class II engines from the 
engine manufacturer as described in paragraph (j)(1) of this section.
    (2) You may make arrangements with the engine manufacturer to 
receive an engine without an exhaust system and install exhaust systems 
without aftertreatment that would otherwise be required to meet Phase 3 
standards, as described in paragraph (j)(2) of this section. You must 
follow the engine manufacturer's instructions for installing 
noncatalyzed mufflers. You must keep records to show which engines you 
modify as described in this paragraph (c)(2) and make them available to 
the engine manufacturer for any auditing under the provisions of Sec. 
1054.610. If you do not place the label we specify in paragraph (f) of 
this section adjacent to the engine manufacturer's emission control 
information label, you must place an additional permanent label as close 
as possible to the engine's emission control information label where it 
will be readily visible in the final installation with at least the 
following items:
    (i) Your corporate name and trademark.
    (ii) The following statement: ``THIS ENGINE MEETS PHASE 2 STANDARDS 
UNDER Sec. 1054.625(c)(2).''
    (d) Inclusion of engines not subject to Phase 3 standards. The 
following provisions apply to engines that are not subject to Phase 3 
standards:
    (1) If you use the provisions of 40 CFR 1068.105(a) to use up your 
inventories of engines not certified to new emission standards, do not 
include these units in your count of equipment with exempted engines 
under paragraph (g)(2) of this section.
    (2) If you install engines that are exempted from the Phase 3 
standards for any reason, other than for equipment-manufacturer 
allowances under this section, do not include these units in your count 
of equipment with exempted engines under paragraph (g)(2) of this 
section. For example, if we grant a hardship exemption for the engine 
manufacturer, you may count these as compliant engines under this 
section. This paragraph (d)(2) applies only if the engine has a 
permanent label describing why it is exempted from the Phase 3 
standards.
    (e) Standards. If you produce equipment with exempted engines under 
this section, the engines must meet the Phase 2 emission standards 
specified in 40 CFR part 90. Any equipment using exempted engines under 
this section is also exempt from the running loss standard specified in 
Sec. 1054.112.
    (f) Equipment labeling. You must add a permanent label, written 
legibly in English, to the engine or another readily visible part of 
each piece of equipment with exempted engines you produce under this 
section. This label, which supplements the engine manufacturer's 
emission control information label, must include at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) The calendar year in which the equipment is manufactured.
    (4) An e-mail address and phone number to contact for further 
information, or a Web site that includes this contact information.
    (5) The following statement: THIS EQUIPMENT [or identify the type of 
equipment] HAS AN ENGINE THAT MEETS U.S. EPA EMISSION STANDARDS UNDER 40 
CFR 1054.625.
    (g) Notification and reporting. You must notify us of your intent to

[[Page 497]]

produce equipment under the provisions of this section and send us an 
annual report to verify that you are not exceeding the production limits 
for equipment with exempted engines, as follows:
    (1) Send the Designated Compliance Officer a written notice of your 
intent before you use the provisions of this section including all the 
following:
    (i) Your company's name and address, and your parent company's name 
and address, if applicable. Also identify the names of any other 
companies operating under the same parent company.
    (ii) The name, phone number and e-mail address of a person to 
contact for more information.
    (iii) The calendar years in which you expect to use the exemption 
provisions of this section.
    (iv) The name and address of each company you expect to produce 
engines for the equipment you manufacture under this section.
    (v) How many pieces of equipment with exempted engines you may sell 
under this section, as described in paragraph (b) of this section. 
Include your production figures for the period from January 1, 2007 
through December 31, 2009, including figures broken down by equipment 
model and calendar year. You may send corrected figures with lower 
production volumes anytime after your initial notification. To make a 
correction for higher production volumes, send us the corrected figures 
by September 30, 2010. We may ask you to give us additional information 
to confirm your production figures.
    (2) For each year that you use the provisions of this section, send 
the Designated Compliance Officer a written report by March 31 of the 
following year. Identify the following things in your report:
    (i) The total count of equipment with exempted engines you sold in 
the preceding year, based on actual U.S.-directed production 
information. If you produce equipment in the 2010 calendar year with 
exempted engines from the 2011 model year, include these units in your 
March 31, 2012 report.
    (ii) Cumulative figures describing how many pieces of equipment with 
exempted engines you have produced for all the years you used the 
provisions of this section.
    (iii) The manufacturer of the engine installed in the equipment you 
produce under this section, if this is different than you specified 
under paragraph (g)(1)(iv) of this section.
    (3) If you send your initial notification under paragraph (g)(1) of 
this section after the specified deadline, we may approve your use of 
allowances under this section. In your request, describe why you were 
unable to meet the deadline.
    (h) Recordkeeping. Keep the following records of all equipment with 
exempted engines you produce under this section until at least December 
31, 2019:
    (1) The model number for each piece of equipment.
    (2) Detailed figures for determining how many pieces of equipment 
with exempted engines you may produce under this section, as described 
in paragraph (b) of this section.
    (3) The notifications and reports we require under paragraph (g) of 
this section.
    (i) Enforcement. Producing more exempted engines or equipment than 
we allow under this section or installing engines that do not meet the 
emission standards of paragraph (e) of this section violates the 
prohibitions in 40 CFR 1068.101(a)(1). You must give us the records we 
require under this section if we ask for them (see 40 CFR 
1068.101(a)(2)).
    (j) Provisions for engine manufacturers. As an engine manufacturer, 
use one of the following approaches to produce exempted engines under 
this section:
    (1) The provisions of this paragraph (j)(1) apply if you do not use 
the delegated-assembly provisions of Sec. 1054.610 for any of the 
engines in an engine family. You must have written assurance from 
equipment manufacturers or your authorized distributors that they need a 
certain number of exempted engines under this section. Keep these 
records for at least five years after you stop producing engines under 
this section. You must also send us an annual report of the engines you 
produce under this section, as described under Sec. 1054.250(a). The 
engines must meet the emission standards in paragraph (e) of this 
section and you must meet all the

[[Page 498]]

requirements of 40 CFR 1068.265. You must meet the labeling requirements 
in 40 CFR 90.114, but add the following statement instead of the 
compliance statement in 40 CFR 90.114(b)(7): THIS ENGINE MEETS U.S. EPA 
EMISSION STANDARDS UNDER 40 CFR 1054.625 AND MUST BE USED ONLY UNDER 
THOSE FLEXIBILITY PROVISIONS.
    (2) The following provisions apply if you notify us that you plan to 
use the delegated-assembly provisions of Sec. 1054.610 for one or more 
equipment manufacturers for an engine family:
    (i) Include test data in your application for certification showing 
that your engines will meet the standards specified in paragraph (e) of 
this section if they have a noncatalyzed muffler in place of the 
aftertreatment that is part of the certified configuration. Use good 
engineering judgment for these measurements, which may involve sampling 
exhaust upstream of the catalyst or operating the engine with a 
noncatalyzed muffler. This may be based on emission measurements from 
previous model years if the data is still appropriate for the current 
engine configuration.
    (ii) Produce all your engines with the emission control information 
label we specify in Sec. 1054.135. The engines must also be labeled as 
specified in 40 CFR 1068.261.
    (iii) Include in the installation instructions required under Sec. 
1054.610 any appropriate instructions or limitations on installing 
noncatalyzed mufflers to ensure that the fully assembled engine will 
meet the emission standards specified in paragraph (e) of this section. 
You may identify an appropriate range of backpressures, but this may not 
involve any instructions related to changing the fuel system for 
different fueling rates.
    (iv) Use one of the following approaches to properly account for 
emission credits if your engine family generates exhaust emission 
credits under subpart H of this part:
    (A) Multiply the credits calculated under Sec. 1054.705 by 0.9. 
This is based on the expectation that equipment manufacturers will 
modify 10 percent of the engines to no longer meet Phase 3 standards.
    (B) Include in your emission-credit calculations only those engines 
for which you can establish that the equipment manufacturer did not use 
the provisions of this section. This would involve an evaluation for 
each affected equipment manufacturer. For example, under this provision 
you may count emission credits for engines that you sell to equipment 
manufacturers with which you have no contract for delegated assembly. 
You may also count emission credits for engines that you sell to 
equipment manufacturers with which you have a delegated-assembly 
relationship if you confirm that the equipment manufacturer did not use 
the provisions of this section for those engines.
    (k) Additional exemptions for mid-sized companies. If your annual 
production of equipment with Class II engines in 2007, 2008, and 2009 is 
between 5,000 and 50,000 units, you may request additional engine 
allowances under this section. To do this, notify us by January 31, 2010 
if you believe the provisions of this section will not allow you to sell 
certain equipment models starting in the 2011 model year. In your 
notification, show us that you will be able to produce a number of Class 
II equipment models representing at least half your total U.S.-directed 
production volume in the 2011 model year that will be compliant with all 
Phase 3 exhaust and evaporative emission standards. Also describe why 
you need more allowances under this section to accommodate anticipated 
changes in engine designs resulting from engine manufacturers' 
compliance with changing exhaust emission standards. Include a proposal 
for the number of additional allowances you would need, with supporting 
rationale. We may approve allowances up to a total of 100 percent of the 
average annual U.S.-directed production volume you report under 
paragraph (b) of this section (in place of the 30 percent that is 
otherwise allowed).



Sec. 1054.626  What special provisions apply to equipment imported 

under the Transition Program for Equipment Manufacturers?

    This section describes requirements that apply to equipment 
manufacturers using the provisions of Sec. 1054.625 for

[[Page 499]]

equipment produced outside the United States. Note that Sec. 1054.625 
limits these provisions to equipment manufacturers that install some 
engines and have primary responsibility for designing and manufacturing 
equipment. Companies that import equipment into the United States 
without meeting these criteria are not eligible for allowances under 
Sec. 1054.625. Such importers may import equipment with exempted 
engines only as described in paragraph (b) of this section.
    (a) You or someone else may import your equipment with exempted 
engines under this section if you comply with the provisions in Sec. 
1054.625 and commit to the following:
    (1) Give any EPA inspector or auditor complete and immediate access 
to inspect and audit, as follows:
    (i) Inspections and audits may be announced or unannounced.
    (ii) Inspections and audits may be performed by EPA employees or EPA 
contractors.
    (iii) You must provide access to any location where--
    (A) Any nonroad engine, equipment, or vehicle is produced or stored.
    (B) Documents related to manufacturer operations are kept.
    (C) Equipment, engines, or vehicles are tested or stored for 
testing.
    (iv) You must provide any documents requested by an EPA inspector or 
auditor that are related to matters covered by the inspections or audit.
    (v) EPA inspections and audits may include review and copying of any 
documents related to demonstrating compliance with the exemptions in 
Sec. 1054.625.
    (vi) EPA inspections and audits may include inspection and 
evaluation of complete or incomplete equipment, engines, or vehicles, 
and interviewing employees.
    (vii) You must make any of your employees available for interview by 
the EPA inspector or auditor, on request, within a reasonable time 
period.
    (viii) You must provide English language translations of any 
documents to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) You must provide English-language interpreters to accompany EPA 
inspectors and auditors, on request.
    (2) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act.
    (4) The substantive and procedural laws of the United States shall 
apply to any civil or criminal enforcement action against you or any of 
your officers or employees related to the provisions of this section.
    (5) Provide the notification required by Sec. 1054.625(g). Include 
in the notice of intent in Sec. 1054.625(g)(1) a commitment to comply 
with the requirements and obligations of Sec. 1054.625 and this 
section. This commitment must be signed by the owner or president.
    (6) You, your agents, officers, and employees must not seek to 
detain or to impose civil or criminal remedies against EPA inspectors or 
auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) By submitting notification of your intent to use the provisions 
of Sec. 1054.625, producing and exporting for resale to the United 
States nonroad equipment under this section, or taking other actions to 
comply with the requirements of this part, you, your agents, officers, 
and employees, without exception, become subject to the full operation 
of the administrative and judicial enforcement powers and provisions of 
the United States as described in 28 U.S.C. 1605(a)(2), without 
limitation based on sovereign immunity, for conduct that violates the 
requirements applicable to you under this part 1054--including such 
conduct that violates 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other 
applicable provisions of the Clean Air Act--with respect to actions 
instituted against you and your agents, officers, and employees in any 
court or other tribunal in the United States.

[[Page 500]]

    (8) Any report or other document you submit to us must be in the 
English language or include a complete translation in English.
    (9) You may be required to post a bond to cover any potential 
enforcement actions under the Clean Air Act before you or anyone else 
imports your equipment with exempted engines under this section, as 
specified in Sec. 1054.690. Use the bond amount specified in Sec. 
1054.690 without adjusting for inflation. Note that you may post a 
single bond to meet the requirements of this section and Sec. 1054.690 
together.
    (b) The provisions of this paragraph (b) apply to importers that do 
not install engines into equipment and do not have primary 
responsibility for designing and manufacturing equipment. Such importers 
may import equipment with engines exempted under Sec. 1054.625 only if 
each engine is exempted under an allowance provided to an equipment 
manufacturer meeting the requirements of Sec. 1054.625 and this 
section. You must notify us of your intent to use the provisions of this 
section and send us an annual report, as follows:
    (1) Notify the Designated Compliance Officer in writing before you 
use the provisions of Sec. 1054.625. Include the following information:
    (i) Your company's name and address, and your parent company's name 
and address, if applicable.
    (ii) The name and address of the companies that produce the 
equipment and engines you will be importing under this section.
    (iii) Your best estimate of the number of units you will import 
under this section in the upcoming calendar year, broken down by 
equipment manufacturer.
    (2) For each year that you use the provisions of this section, send 
the Designated Compliance Officer a written report by March 31 of the 
following year. Include in your report the total number of engines you 
imported under this section in the preceding calendar year, broken down 
by engine manufacturer and by equipment manufacturer.



Sec. 1054.630  What provisions apply for importation of individual items for personal use?

    (a) Any individual may import previously used nonconforming engines 
for purposes other than resale, but no more than once in any five-year 
period. This may include up to three nonconforming engines imported at 
the same time. To import engines under this section, provide to the 
Customs official the following information:
    (1) Identify your name, address, and telephone number.
    (2) If you are importing engines under this section on behalf of 
another person, identify the ultimate engine owner's name, address, and 
telephone number.
    (3) Identify the total number of engines you are importing and 
specify the make, model, identification number, and original production 
year of each engine.
    (4) State: ``I am importing these previously used engines for 
personal use. I have not imported any engines under the provisions of 40 
CFR 1054.630 within the previous five years. I am not importing these 
engines for purpose of resale. I authorize EPA enforcement officers to 
inspect my engines and my facilities as permitted by the Clean Air 
Act.''
    (b) We may require you to send us additional information but you do 
not need written approval from us to import engines under this section. 
We will also not require a U.S. Customs Service bond for engines you 
import under this section.
    (c) The provisions of this section may not be used to circumvent 
emission standards that apply to new engines under this part. For 
example, you may not purchase new engines and use them in a trivial 
manner outside of the United States to qualify for importation under 
this section.
    (d) If you violate the provisions of this section, or submit false 
information to obtain this exemption, you will be subject to civil 
penalties as specified in 40 CFR 1068.101(a)(2) and (b)(5).

[[Page 501]]



Sec. 1054.635  What special provisions apply for small-volume engine and equipment manufacturers?

    This section describes how we apply the special provisions in this 
part for small-volume engine and equipment manufacturers.
    (a) If you qualify under paragraph (1) or (2) of the definition of 
small-volume engine manufacturer or under paragraph (1) or (2) of the 
definition of small-volume equipment manufacturer in Sec. 1054.801, the 
small-volume provisions apply as specified in this part.
    (b) If you are a small business (as defined by the Small Business 
Administration at 13 CFR 121.201) that manufactures nonroad spark-
ignition engines or equipment, but you do not qualify under paragraph 
(1) or (2) of the definition of small-volume engine manufacturer or 
under paragraph (1) or (2) of the definition of small-volume equipment 
manufacturer in Sec. 1054.801, you may ask us to designate you to be a 
small-volume engine or equipment manufacturer. You may do this whether 
you began manufacturing engines before, during, or after 2007. We may 
set other reasonable conditions that are consistent with the intent of 
this section and the Clean Air Act.
    (c) Special provisions apply for small-volume engine and equipment 
manufacturers, as illustrated by the following examples:
    (1) Additional lead time and other provisions related to the 
transition to new emission standards. See Sec. 1054.145.
    (2) More flexible arrangements for creating engine families. See 
Sec. 1054.230.
    (3) Assigned deterioration factors. See Sec. 1054.240.
    (4) Waived requirements for production-line testing. See Sec. 
1054.301.
    (5) Streamlined certification provisions for equipment manufacturers 
relying on engine manufacturer's design parameters. See Sec. 1054.612.
    (6) Additional allowances under the Transition Program for Equipment 
Manufacturers. See Sec. 1054.625.
    (7) Additional special provisions apply for small-volume engine and 
equipment manufacturers under 40 CFR part 1068. For example, see 40 CFR 
1068.250.
    (d) Small-volume engine and equipment manufacturers may ask us to 
waive or modify the requirements of Sec. 1054.690 if this would cause a 
serious economic hardship, as long as you demonstrate to us in some 
other way that you will meet any potential compliance-or enforcement-
related obligations. In evaluating such a request, we would consider the 
extent to which there is a risk of noncompliance or nonconformity and 
the extent to which the manufacturer could be expected to fulfill future 
regulatory obligations and administrative judgments. We may also 
consider how many years the manufacturer has certified engines without a 
violation or a finding of noncompliance to determine whether to adjust 
applicable asset thresholds or to reduce the minimum bond value. We may 
set other reasonable conditions to ensure that the manufacturer will 
meet applicable requirements.
    (e) If you use any of the provisions of this part that apply 
specifically to small-volume manufacturers and we find that you exceed 
the production limits or otherwise do not qualify as a small-volume 
manufacturer, we may consider you to be in violation of the requirements 
that apply for companies that are not small-volume manufacturers for 
those engines produced in excess of the specified production limits. If 
you no longer qualify as a small-volume engine manufacturer (based on 
increased production volumes or other factors), we will work with you to 
determine a reasonable schedule for complying with additional 
requirements that apply. For example, if you no longer qualify as a 
small-volume engine manufacturer shortly before you certify your engines 
for the next model year, we might allow you to use assigned 
deterioration factors for one more model year.



Sec. 1054.640  What special provisions apply to branded engines?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec. 1054.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:

[[Page 502]]

    (1) Meet the emission warranty requirements that apply under Sec. 
1054.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.



Sec. 1054.645  What special provisions apply for converting an engine to use an alternate fuel?

    A certificate of conformity is no longer valid for an engine if the 
engine is modified such that it is not in a configuration covered by the 
certificate. This section applies if such modifications are done to 
convert the engine to run on a different fuel type. Such engines may 
need to be recertified as specified in this section if the certificate 
is no longer valid for that engine.
    (a) Converting a certified new engine to run on a different fuel 
type violates 40 CFR 1068.101(a)(1) if the modified engine is not 
covered by a certificate of conformity.
    (b) Converting a certified engine that is not new to run on a 
different fuel type violates 40 CFR 1068.101(b)(1) if the modified 
engine is not covered by a certificate of conformity. We may specify 
alternate certification provisions consistent with the requirements of 
this part. For example, you may certify the modified engine for a 
partial useful life. For example, if the engine is modified halfway 
through its original useful life period, you may generally certify the 
engine based on completing the original useful life period; or if the 
engine is modified after the original useful life period is past, you 
may generally certify the engine based on testing that does not involve 
further durability demonstration.
    (c) Engines may be certified using the certification procedures for 
new engines as specified in this part or using the certification 
procedures for aftermarket parts as specified in 40 CFR part 85, subpart 
V. Unless the original engine manufacturer continues to be responsible 
for the engine as specified in paragraph (d) of this section, you must 
remove the original engine manufacturer's emission control information 
label if you recertify the engine.
    (d) The original engine manufacturer is not responsible for 
operation of modified engines in configurations resulting from 
modifications performed by others. In cases where the modification 
allows an engine to be operated in either its original configuration or 
a modified configuration, the original engine manufacturer remains 
responsible for operation of the modified engine in its original 
configuration.
    (e) Entities producing conversion kits may obtain certificates of 
conformity for the converted engines. Such entities are engine 
manufacturers for purposes of this part.



Sec. 1054.650  What special provisions apply for adding or changing governors?

    The special provisions in this section apply for engines that will 
not be governed to control engine speeds consistent with the constant-
speed operation reflected by the duty cycles specified in Sec. 
1054.505. We refer to these as constant-speed governors in this section. 
Paragraph (a) of this section also applies for any engines shipped 
without installed governors.
    (a) The representative-testing requirements of 40 CFR 1065.10(c)(1) 
related to in-use duty cycles do not apply to engines you produce and 
ship without constant-speed governors if you comply with all the 
following requirements:
    (1) You must have test data showing that the effectiveness of the 
engine's emission controls over the expected range of in-use operation 
will be similar to that measured over the specified duty cycle. 
Alternatively, if your emission controls depend on maintaining a 
consistent air-fuel ratio, you may demonstrate that the engine is 
calibrated to maintain a consistent air-fuel ratio over the expected 
range of in-use operation.
    (2) Describe in your application for certification the data and 
analysis that supports your conclusion.

[[Page 503]]

    (b) It is a violation of the tampering provisions in 40 CFR 
1068.101(b)(1) to remove a governor from a certified engine unless you 
recertify the engine in the modified configuration.



Sec. 1054.655  What special provisions apply for installing and removing altitude kits?

    An action for the purpose of installing or modifying altitude kits 
and performing other changes to compensate for changing altitude is not 
considered a prohibited act under 40 CFR 1068.101(b) as long as as it is 
done consistent with the manufacturer's instructions.



Sec. 1054.660  What are the provisions for exempting emergency rescue equipment?

    The provisions of this section apply for new equipment built on or 
after January 1, 2010.
    (a) Equipment manufacturers may introduce into U.S. commerce 
equipment that is not certified to current emission standards under the 
following conditions if the equipment will be used solely in emergency 
rescue situations:
    (1) You must determine annually that no engines certified to current 
emission standards are available to power the equipment safely and 
practically. We may review your records supporting this determination at 
any time.
    (2) You may not use exempted engines for the following equipment 
used to provide remote power to a rescue tool: generators, alternators, 
compressors, or pumps.
    (3) If engines that meet less stringent emission standards are 
capable of powering your equipment safely and practically, you must use 
them as a condition of this exemption. You must use available engines 
meeting the most stringent standards feasible.
    (4) You must send the engine manufacturer a written request for each 
exempted equipment model.
    (5) You must notify the Designated Compliance Officer of your intent 
to use the provisions of this section. We may require you to notify us 
annually or to send us annual reports describing how you meet the 
conditions of this section.
    (b) For the purposes of this section, ``emergency rescue 
situations'' means firefighting or other situations in which a person is 
retrieved from imminent danger.
    (c) As an engine manufacturer, you may produce exempt engines under 
this section without our prior approval if you have a written request 
for an exempted engine for use in emergency rescue equipment from the 
equipment manufacturer. You must permanently label engines with the 
following statement: ``EMERGENCY RESCUE EQUIPMENT--EXEMPT FROM EMISSION 
STANDARDS UNDER 40 CFR 1054.660.'' Failure to properly label an engine 
will void the exemption.
    (d) We may discontinue an exemption under this section if we find 
that engines are not used solely for emergency rescue equipment or if we 
find that a certified engine is available to power the equipment safely 
and practically.



Sec. 1054.690  What bond requirements apply for certified engines?

    (a) Before introducing certified engines into U.S. commerce, you 
must post a bond to cover any potential compliance or enforcement 
actions under the Clean Air Act unless you demonstrate to us in your 
application for certification that you are able to meet any potential 
compliance- or enforcement-related obligations, as described in this 
section. See paragraph (j) of this section for the requirements related 
to importing engines that have been certified by someone else. Note that 
you might also post bond under this section to meet your obligations 
under Sec. 1054.120.
    (b) The bonding requirements apply if you do not have long-term 
assets in the United States meeting any of the following thresholds:
    (1) A threshold of $3 million applies if you have been a certificate 
holder in each of the preceding ten years without failing a test 
conducted by EPA officials or having been found by EPA to be 
noncompliant under applicable regulations.
    (2) A threshold of $6 million applies if you are a secondary engine 
manufacturer.

[[Page 504]]

    (3) A threshold of $10 million applies if you do not qualify for the 
smaller bond thresholds in paragraph (b)(1) or (2) of this section.
    (c) For the purpose of establishing your level of long-term assets 
under paragraph (b) of this section, include the values from your most 
recent balance sheet for buildings, land, and fixed equipment, but 
subtract depreciation and related long-term liabilities (such as a 
mortgage). If you have sufficient long-term assets to avoid bond 
payments under this section, you must identify the location of these 
assets in your application for certification.
    (d) The minimum value of the bond is $500,000. A higher bond value 
may apply based on the per-engine bond values shown in Table 1 to this 
section and on the U.S.-directed production volume from each 
displacement grouping for the calendar model year. For example, if you 
have projected U.S.-directed production volumes of 10,000 engines with 
180 cc displacement and 10,000 engines with 400 cc displacement in 2013, 
the appropriate bond amount is $750,000. Adjust the value of the bond as 
follows:
    (1) If your estimated or actual U.S.-directed production volume in 
any later year increases beyond the level appropriate for your current 
bond payment, you must post additional bond to reflect the increased 
volume within 90 days after you change your estimate or determine the 
actual production volume. You may not decrease your bond.
    (2) If you sell engines without aftertreatment components under the 
provisions of Sec. 1054.610, you must increase the per-engine bond 
values for the current year by 20 percent.

           Table 1 to Sec.  1054.690--Per-engine bond values
------------------------------------------------------------------------
                                                          The per-engine
 For engines with displacement falling in the following   bond value  is
                      ranges . . .                            . . .
------------------------------------------------------------------------
Disp. < 225 cc.........................................              $25
225 <= Disp. < 740 cc..................................               50
740 <= Disp. <= 1,000 cc...............................              100
Disp.  1,000 cc.............................              200
------------------------------------------------------------------------

    (e) The threshold identified in paragraph (b) of this section and 
the bond values identified in paragraph (d) of this section are in 2008 
dollars. Adjust these values in 2010 and later calendar years by 
comparing the Consumer Price Index values published by the Bureau of 
Labor Statistics for the preceding June and June 2008 (see ftp://
ftp.bls.gov/pub/special.requests/cpi/cpiai.txt). Round calculated values 
for the thresholds and for total bond obligations to the nearest 
thousand dollars.
    (f) You may meet the bond requirements of this section by obtaining 
a bond from a third-party surety that is cited in the U.S. Department of 
Treasury Circular 570, ``Companies Holding Certificates of Authority as 
Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring 
Companies'' (http://www.fms.treas.gov/c570/c570.html#certified). You 
must maintain this bond for every year in which you sell certified 
engines. The surety agent remains responsible for obligations under the 
bond for two years after the bond is cancelled or expires without being 
replaced.
    (g) If you forfeit some or all of your bond in an enforcement 
action, you must post any appropriate bond for continuing sale within 90 
days after you forfeit the bond amount.
    (h) You will forfeit the proceeds of the bond posted under this 
section if you need to satisfy any United States administrative 
settlement agreement, administrative final order, or judicial judgment 
against you arising from your violation of this chapter, or violation of 
18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of 
the Clean Air Act.
    (i) If you are required to post a bond under this section, you must 
note that in your application for certification as described in Sec. 
1054.205. Your certification is conditioned on your compliance with this 
section. Your certificate is automatically suspended if you fail to 
comply with the requirements of this section. We may also revoke your 
certificate.
    (j) The following provisions apply if you import engines for resale 
when those engines have been certified by someone else (or equipment 
containing such engines):
    (1) You and the certificate holder are each responsible for 
compliance with the requirements of this part and the

[[Page 505]]

Clean Air Act. For example, we may require you to comply with the 
warranty requirements in Sec. 1054.120.
    (2) You do not need to post bond if you or the certificate holder 
complies with the bond requirements of this section. You also do not 
need to post bond if the certificate holder complies with the asset 
requirements of this section and the repair-network provisions of Sec. 
1054.120(f)(4).

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 8426, Feb. 24, 2009; 75 
FR 23025, Apr. 30, 2010]



       Subpart H_Averaging, Banking, and Trading for Certification



Sec. 1054.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. This applies for engines 
with respect to exhaust emissions and for equipment with respect to 
evaporative emissions. Participation in this program is voluntary.
    (b) The definitions of subpart I of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of engines (or equipment) in which 
emission credits may be exchanged only with other engines (or equipment) 
in the same averaging set.
    (3) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (4) Buyer means the entity that receives emission credits as a 
result of a trade.
    (5) Family means engine family for exhaust credits or emission 
family for evaporative credits.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Standard means the emission standard that applies under subpart 
B of this part for engines or fuel-system components not participating 
in the ABT program of this subpart.
    (9) Trade means to exchange emission credits, either as a buyer or 
seller.
    (c) The use of emission credits is limited to averaging sets, as 
follows:
    (1) You may not average or exchange exhaust credits with evaporative 
credits, or vice versa.
    (2) Handheld engines and nonhandheld engines are in separate 
averaging sets with respect to exhaust emissions except as specified in 
Sec. 1054.740(e). You may use emission credits generated under 40 CFR 
part 90 for handheld engines subject to the standards in Sec. 1054.103 
only if you can demonstrate that those credits were generated by 
handheld engines, except as specified in Sec. 1054.740(e). You may use 
emission credits generated under 40 CFR part 90 for nonhandheld engines 
only if you can demonstrate that those credits were generated by 
nonhandheld engines, subject to the provisions of Sec. 1054.740.
    (3) Equipment using handheld engines and equipment using nonhandheld 
engines are in separate averaging sets with respect to evaporative 
emissions. You may not average or exchange evaporative credits between 
either of these averaging sets.
    (4) For purposes of calculating emission credits under this subpart, 
engines with displacement at or below 80 cc are presumed to be handheld 
engines. You may treat these as nonhandheld engines for calculating 
exhaust or evaporative emission credits only for those engines you can 
demonstrate will be installed in nonhandheld equipment. For example, if 
50 percent of engines in a family will be used in nonhandheld equipment, 
you may calculate the emission credits for 50 percent of the engines to 
be nonhandheld credits. Use the specified calculation methods for 
handheld engines to quantify positive or negative exhaust emission 
credits for all engines at or below 80 cc.
    (d) You may not generate evaporative credits based on permeation 
measurements from metal fuel tanks.
    (e) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits,

[[Page 506]]

and other production-line testing. However, if exhaust emissions from an 
engine exceed an exhaust FEL or standard (for example, during a 
selective enforcement audit), you may use emission credits to recertify 
the family with a higher FEL that applies only to future production.
    (f) Emission credits may be used in the model year they are 
generated (averaging) and in future model years (banking). Emission 
credits may not be used for past model years.
    (g) You may increase or decrease an exhaust FEL during the model 
year by amending your application for certification under Sec. 
1054.225. See 40 CFR 1060.225 for provisions related to changing an FEL 
for fuel tank permeation.
    (h) Engine and equipment manufacturers certifying with respect to 
evaporative emissions may use emission credits to demonstrate compliance 
under this subpart. Component manufacturers may establish FELs for their 
certified products, but they may not generate or use emission credits 
under this subpart.
    (i) In your application for certification, base your showing of 
compliance on projected production volumes for engines or equipment 
intended for sale in the United States. As described in Sec. 1054.730, 
compliance with the requirements of this subpart is determined at the 
end of the model year based on actual production volumes for engines or 
equipment intended for sale in the United States. Do not include any of 
the following engines or equipment to calculate emission credits:
    (1) Engines or equipment exempted under subpart G of this part or 
under 40 CFR part 1068.
    (2) Engines or equipment intended for export.
    (3) Engines or equipment that are subject to state emission 
standards for that model year. However, this restriction does not apply 
if we determine that the state standards and requirements are equivalent 
to those of this part and that products sold in such a state will not 
generate credits under the state program. For example, you may not 
include engines or equipment certified for California if California has 
more stringent emission standards for these products or if your products 
generate or use emission credits under the California program.
    (4) Engines or equipment not subject to the requirements of this 
part, such as those excluded under Sec. 1054.5.
    (5) Any other engines or equipment where we indicate elsewhere in 
this part 1054 that they are not to be included in the calculations of 
this subpart.



Sec. 1054.705  How do I generate and calculate exhaust emission credits?

    The provisions of this section apply for calculating exhaust 
emission credits. You may generate exhaust emission credits only if you 
are a certifying engine manufacturer.
    (a) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard. 
Calculate positive emission credits for a family that has an FEL below 
the standard. Calculate negative emission credits for a family that has 
an FEL above the standard. Sum your positive and negative credits for 
the model year before rounding. Round the sum of emission credits to the 
nearest kilogram (kg) using consistent units throughout the following 
equation:

Emission credits (kg) = (STD - FEL) x (Volume) x (Power) x (UL) x (LF) x 
    (10-3)

Where:
STD = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the averaging, 
banking, and trading program within the given family during the model 
year, as described in Sec. 1054.701(i).
Power = the maximum modal power of the emission-data engine as 
calculated from the applicable test procedure described in subpart F of 
this part, in kilowatts.
UL = the useful life for the given family, in hours.
LF = load factor. Use 0.47 for nonhandheld engines and 0.85 for handheld 
engines. We may specify a different load factor if we approve the use of 
special test procedures for a family under 40 CFR 1065.10(c)(2), 
consistent with good engineering judgment.

    (b) [Reserved]

[[Page 507]]



Sec. 1054.706  How do I generate and calculate evaporative emission credits?

    The provisions of this section apply for calculating evaporative 
emission credits related to fuel tank permeation. You may generate 
credits only if you are a certifying equipment manufacturer. This may 
include engine manufacturers that make engines with complete fuel 
systems as described in Sec. 1054.2.
    (a) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard. 
Calculate positive emission credits for a family that has an FEL below 
the standard. Calculate negative emission credits for a family that has 
an FEL above the standard. Sum your positive and negative credits for 
the model year before rounding. Round the sum of emission credits to the 
nearest kilogram (kg) using consistent units throughout the following 
equation:

Emission credits (kg) = (STD-FEL) x (Total Area) x (UL) x (AF) x (365) x 
    (10-3)

Where:
STD = the emission standard, in g/m2/day.
FEL = the family emission limit for the family, in g/m2/day, 
as described in paragraph (b) of this section.
Total Area = The combined internal surface area of all fuel tanks in the 
family, taking production volume into account, in m2.
UL = 5 years, which represents the useful life for the given family.
AF= adjustment factor. Use 1.0 for testing at 28 [deg]C; use 0.60 for 
testing at 40 [deg]C.

    (b) For calculating credits under paragraph (a) of this section, the 
emission standard and FEL must both be based on test measurements at the 
same temperature (28 [deg] or 40 [deg]C). Determine the FEL for 
calculating emission credits relative to testing at 28 [deg]C as 
described in paragraphs (b)(1) and (2) of this section. Determine the 
FEL for calculating emission credits relative to testing at 40 [deg]C as 
described in paragraph (b)(3) of this section.
    (1) To use an FEL below 5.0 g/m2/day, it must be based on 
emission measurements.
    (2) The provisions of this paragraph (b)(2) apply for all emission 
families with FELs at or above 5.0 g/m2/day. To calculate 
emission credits for such emission families, you must choose from one of 
the following options and apply it to all your emission families with 
FELs at or above 5.0 g/m2/day:
    (i) Option 1: Establish all your FELs based on emission 
measurements. This may include measurements from a certifying fuel tank 
manufacturer.
    (ii) Option 2: Use an assigned FEL of 10.4 g/m2/day. This 
would apply without regard to whether any of these emission families 
have measured emission levels below 10.4 g/m2/day. If any of 
your fuel tanks were otherwise certified (by you or the fuel tank 
manufacturer) with an FEL at or above 5.0 g/m2/day, the 
assigned FEL of 10.4 g/m2/day applies only for emission 
credit calculations.
    (3) Determine the FEL for calculating emission credits relative to 
testing at 40 [deg]C as described in paragraph (b)(1) and (2) of this 
section, but use 8.3 g/m2/day instead of 5.0 g/m2/
day and use 17.3 g/m2/day instead of 10.4 g/m2/
day.



Sec. 1054.710  How do I average emission credits?

    (a) Averaging is the exchange of emission credits among your 
families. You may average emission credits only within the same 
averaging set.
    (b) You may certify one or more families to an FEL above the 
emission standard, subject to the FEL caps and other provisions in 
subpart B of this part, if you show in your application for 
certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify a family to an FEL that exceeds the otherwise 
applicable standard, you must obtain enough emission credits to offset 
the family's deficit by the due date for the final report required in 
Sec. 1054.730. The emission credits used to address the deficit may 
come from your other families that generate emission credits in the same 
model year, from emission credits you have banked, or from emission 
credits you obtain through trading.

[[Page 508]]



Sec. 1054.715  How do I bank emission credits?

    (a) Banking is the retention of emission credits by the manufacturer 
generating the emission credits for use in future model years for 
averaging or trading. You may use banked emission credits only within 
the averaging set in which they were generated, except as described in 
this subpart.
    (b) You may designate any emission credits you plan to bank in the 
reports you submit under Sec. 1054.730. During the model year and 
before the due date for the final report, you may designate your 
reserved emission credits for averaging or trading.
    (c) Reserved credits become actual emission credits when you submit 
your final report. However, we may revoke these emission credits if we 
are unable to verify them after reviewing your reports or auditing your 
records.



Sec. 1054.720  How do I trade emission credits?

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions. Traded emission credits may be 
used only within the averaging set in which they were generated, except 
as described in this subpart.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits. You may 
trade banked credits within an averaging set to any certifying engine or 
equipment manufacturer.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec. 1054.255(e) for cases involving fraud. 
We may void the certificates of all families participating in a trade 
that results in a manufacturer having a negative balance of emission 
credits. See Sec. 1054.745.



Sec. 1054.725  What must I include in my application for certification?

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each family that will 
be certified using the ABT program. You must also declare the FELs you 
select for the family for each pollutant for which you are using the ABT 
program. Your FELs must comply with the specifications of subpart B of 
this part, including the FEL caps. FELs must be expressed to the same 
number of decimal places as the emission standard.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes. We may require you to 
include similar calculations from your other engine families to 
demonstrate that you will be able to avoid a negative credit balance for 
the model year. If you project negative emission credits for a family, 
state the source of positive emission credits you expect to use to 
offset the negative emission credits.



Sec. 1054.730  What ABT reports must I send to EPA?

    (a) If any of your families are certified using the ABT provisions 
of this subpart, you must send an end-of-year report within 90 days 
after the end of the model year and a final report within 270 days after 
the end of the model year. We may waive the requirement to send the end-
of-year report as long as you send the final report on time.
    (b) Your end-of-year and final reports must include the following 
information for each family participating in the ABT program:
    (1) Family designation.
    (2) The emission standards that would otherwise apply to the family.
    (3) The FEL for each pollutant. If you change the FEL after the 
start of production, identify the date that you started using the new 
FEL and/or give the engine identification number for the first engine 
covered by the new

[[Page 509]]

FEL. In this case, identify each applicable FEL and calculate the 
positive or negative emission credits under each FEL.
    (4) The projected and actual U.S.-directed production volumes for 
the model year, as described in Sec. 1054.701(i). For fuel tanks, state 
the production volume in terms of surface area and production volume for 
each fuel tank configuration and state the total surface area for the 
emission family. If you changed an FEL during the model year, identify 
the actual production volume associated with each FEL.
    (5) The maximum modal power of the emission-data engine or the 
appropriate internal surface area of the fuel tank.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
family. Identify any emission credits that you traded, as described in 
paragraph (d)(1) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating families in each averaging set in the applicable model 
year is not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The families that generated emission credits for the trade, 
including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23026, Apr. 30, 2010]



Sec. 1054.735  What records must I keep?

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for at least eight 
years after the due date for the end-of-year report. You may not use 
emission credits for any engines or equipment if you do not keep all the 
records required under this section. You must therefore keep these 
records to continue to bank valid credits. Store these records in any 
format and on any media as long as you can promptly send us organized, 
written records in English if we ask for them. You must keep these 
records readily available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec. 1054.730.

[[Page 510]]

    (d) Keep records of the engine identification number for each engine 
or piece of equipment you produce that generates or uses emission 
credits under the ABT program. You may identify these numbers as a 
range. If you change the FEL after the start of production, identify the 
date you started using each FEL and the range of engine identification 
numbers associated with each FEL.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section in accordance with the 
Clean Air Act.



Sec. 1054.740  What special provisions apply for generating and using emission credits?

    (a) You may generate Phase 3 emission credits from 2008 through 2011 
model year Class I engines if you voluntarily meet the Phase 3 exhaust 
emission standards specified in Sec. 1054.105. Divide these into 
transitional and enduring emission credits as follows:
    (1) Transitional credits are based on reducing emissions from Phase 
2 levels down to Phase 3 levels. Calculate the value of transitional 
emission credits as described in Sec. 1054.705, based on setting STD 
equal to 15.0 g/kW-hr and FEL equal to 10.0 g/kW-hr. You may use these 
transitional credits only for Class I engines in 2012 through 2014 model 
years. You may not use these transitional credits for Class II engines.
    (2) Enduring credits are based on reducing emissions below Phase 3 
levels. Calculate the value of enduring credits as described in Sec. 
1054.705, based on setting STD equal to 10.0 g/kW-hr and FEL to the 
value of the family emission limit you select for the family. You may 
use these enduring credits for any nonhandheld engines certified to the 
Phase 3 standards under this part, except as specified in paragraph (d) 
of this section.
    (b) You may generate Phase 3 emission credits from 2008 through 2010 
model year Class II engines if you voluntarily meet the Phase 3 exhaust 
emission standards specified in Sec. 1054.105. Divide these into 
transitional and enduring emission credits as follows:
    (1) Transitional credits are based on reducing emissions from Phase 
2 levels down to Phase 3 levels. Calculate the value of transitional 
emission credits as described in Sec. 1054.705, based on setting STD 
equal to 11.0 g/kW-hr and FEL equal to 8.0 g/kW-hr. You may use these 
transitional credits only for Class II engines in 2011 through 2013 
model years. You may not use these transitional credits for Class I 
engines.
    (2) Enduring credits are based on reducing emissions below Phase 3 
levels. Calculate the value of enduring credits as described in Sec. 
1054.705, based on setting STD equal to 8.0 g/kW-hr and FEL to the value 
of the family emission limit you select for the family. You may use 
these enduring credits for any nonhandheld engines certified to the 
Phase 3 standards under this part, except as specified in paragraph (d) 
of this section.
    (c) You may use emission credits generated by Class I and Class II 
engines subject to Phase 2 emission standards under 40 CFR part 90 to 
demonstrate compliance with the Phase 3 exhaust emission standards, but 
only after you have exhausted all transitional credits from engines 
meeting Phase 3 standards, subject to the conditions of paragraph (d) of 
this section. You may use these Phase 2 emission credits only in the 
2012 and 2013 model years for Class I engines and only in the 2011 
through 2013 model years for Class II engines. Determine a maximum 
number of Phase 2 emission credits for demonstrating compliance with the 
Phase 3 standards for a given engine class (Class I or Class II) as 
follows:
    (1) Calculate a Phase 2 credit allowance for each engine class based 
on production information for model years 2007, 2008, and 2009 using the 
following equation:

Credit allowance (kg) = (Emissions Delta) x (Volume) x (Avg. Power) x 
    (Avg. UL) x (LF) x(10-3)

Where:

Emissions Delta = 1.6 g/kW-hr for Class I and 2.1 g/kW-hr for Class II.
Volume = the number of your engines eligible to participate in the 
averaging, banking, and trading program, as described in Sec. 
1054.701(i), based on actual U.S.-directed production volumes.

[[Page 511]]

Avg. Power = the production-weighted average value of the maximum modal 
power for all your engine families in the engine class, as described in 
Sec. 1054.705(a), in kilowatts.
Avg. UL = the production-weighted average value of the useful life for 
all your engine families in the engine class, in hours.
LF = load factor. Use 0.47.

    (2) Do not include wintertime engines in the calculation of credit 
allowances unless they are certified to meet the otherwise applicable 
HC+NOX emission standard.
    (3) Calculate the average annual Phase 2 credit allowance for each 
engine class over three model years as specified in paragraph (c)(1) of 
this section. The resulting average value is the maximum number of Phase 
2 emission credits you may use under this paragraph (c) for each engine 
class.
    (4) For 2013 and earlier model years, include in the reports 
described in Sec. 1054.730 the total allowable number of Phase 2 
emission credits and your cumulative totals of Phase 2 credits you have 
used to comply with the requirements of this part for each engine class.
    (d) If you generate enduring emission credits from Class I engines 
under paragraph (a) of this section, you may not use these for Class II 
engines in the 2011 or 2012 model year. Similarly, if you generate 
enduring emission credits from Class II engines under paragraph (b) of 
this section, you may not use these for Class I engines in the 2012 
model year. These restrictions also apply for emission credits you 
generate for engines subject to the standards of this part in the 2011 
or 2012 model year.
    (e) You may use Phase 2 or Phase 3 emission credits from nonhandheld 
engines to demonstrate compliance with the Phase 3 standards for 
handheld engines subject to the following restrictions:
    (1) The handheld family must be certified in 2008 and all later 
model years using carryover of emission data from an engine family that 
was most recently certified with new emission data in 2007 or an earlier 
model year.
    (2) The handheld family's FEL may not increase above the level 
selected for the 2007 model year in later years unless such an increase 
is based on emission data from production engines.
    (3) Your total production of handheld engines certified under this 
paragraph (e) may not exceed 30,000 in any model year.



Sec. 1054.745  What can happen if I do not comply with the provisions of this subpart?

    (a) For each family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for a 
family if you fail to comply with any provisions of this subpart.
    (b) You may certify your family to an FEL above an emission standard 
based on a projection that you will have enough emission credits to 
offset the deficit for the family. However, we may void the certificate 
of conformity if you cannot show in your final report that you have 
enough actual emission credits to offset a deficit for any pollutant in 
a family.
    (c) We may void the certificate of conformity for a family if you 
fail to keep records, send reports, or give us information we request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec. 1054.820).



          Subpart I_Definitions and Other Reference Information



Sec. 1054.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to

[[Page 512]]

access if it cannot be adjusted to affect emissions without 
significantly degrading engine performance, or if you otherwise show us 
that it will not be adjusted in a way that affects emissions during in-
use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, thermal reactor, or any other system, component, or technology 
mounted downstream of the exhaust valve (or exhaust port) whose design 
function is to decrease emissions in the engine exhaust before it is 
exhausted to the environment. Exhaust-gas recirculation (EGR), 
turbochargers, and oxygen sensors are not aftertreatment.
    Alcohol-fueled engine means an engine that is designed to run using 
an alcohol fuel. For purposes of this definition, alcohol fuels do not 
include fuels with a nominal alcohol content below 25 percent by volume.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Applicable emission standard or applicable standard means an 
emission standard to which an engine (or equipment) is subject. 
Additionally, if an engine (or equipment) has been or is being certified 
to another standard or FEL, applicable emission standard means the FEL 
or other standard to which the engine (or equipment) has been or is 
being certified. This definition does not apply to subpart H of this 
part.
    Auxiliary emission control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Carryover means relating to certification based on emission data 
generated from an earlier model year as described in Sec. 1054.235(d).
    Certification means relating to the process of obtaining a 
certificate of conformity for an emission family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an emission family for a given pollutant from either transient 
or steady-state testing.
    Class I means relating to nonhandheld engines with total 
displacement below 225 cc. See Sec. 1054.101 for special provisions 
that apply for engines with total displacement at or below 80 cc.
    Class II means relating to nonhandheld engines with total 
displacement at or above 225 cc.
    Class III means relating to handheld engines with total displacement 
below 20 cc.
    Class IV means relating to handheld engines with total displacement 
at or above 20 cc but below 50 cc.
    Class V means relating to handheld engines with total displacement 
at or above 50 cc.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Cold-weather equipment is limited to the following types of handheld 
equipment: chainsaws, cut-off saws, clearing saws, brush cutters with 
engines at or above 40cc, commercial earth and wood drills, and ice 
augers. This includes earth augers if they are also marketed as ice 
augers.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, air filters, 
spark

[[Page 513]]

plugs, and all sensors and actuators associated with any of these 
components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Date of manufacture has the meaning given in 40 CFR 1068.30.
    Days means calendar days unless otherwise specified. For example, 
when we specify working days we mean calendar days, excluding weekends 
and U.S. national holidays.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW.,Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point (see 
Sec. Sec. 1054.240 and 1054.245), expressed in one of the following 
ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1054.505.
    Displacement has the meaning given in Sec. 1054.140.
    Dry weight means the weight of the equipment as sold without fuel, 
oil, or engine coolant.
    Dual-fuel engine means an engine designed for operation on two 
different fuels but not on a continuous mixture of those fuels.
    Emission control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-data equipment means an engine, piece of equipment, or fuel 
system component that is tested for certification. This includes units 
tested to establish deterioration factors.
    Emission family has the meaning given in Sec. 1054.230. We may 
refer to emission families as ``engine families'' where provisions 
relate only to exhaust emissions from engines.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine has the meaning given in 40 CFR 1068.30. This includes 
complete and partially complete engines.
    Engine configuration means a unique combination of engine hardware 
and calibration within an emission family. Engines within a single 
engine configuration differ only with respect to normal production 
variability.
    Engine manufacturer means the manufacturer of the engine. See the 
definition of ``manufacturer'' in this section.
    Equipment means any mechanical device commonly known as equipment, 
including vehicles. If the equipment has an installed engine, the term 
equipment includes the installed engine and fuel system components.
    Equipment manufacturer means a manufacturer of nonroad equipment. 
All nonroad equipment manufacturing entities under the control of the 
same person are considered to be a single nonroad equipment 
manufacturer. (Note: In Sec. 1054.626, the term ``equipment 
manufacturer'' has a narrower meaning that applies only to that 
section.).
    Evaporative means relating to fuel emissions controlled by 40 CFR 
part 1060. This generally includes emissions that result from permeation 
of fuel through the fuel-system materials or from ventilation of the 
fuel system.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec. 1054.5, is not 
subject to this part 1054.

[[Page 514]]

    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation (EGR) means a technology that reduces 
emissions by routing exhaust gases that had been exhausted from the 
combustion chamber(s) back into the engine to be mixed with incoming air 
before or during combustion. The use of valve timing to increase the 
amount of residual exhaust gas in the combustion chamber(s) that is 
mixed with incoming air before or during combustion is not considered 
exhaust-gas recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places as 
the emission standard it replaces. The family emission limit serves as 
the emission standard for the engine family (exhaust) or emission family 
(evaporative) with respect to all required testing.
    Flexible-fuel engine means an engine designed for operation on any 
mixture of two or more different fuels.
    Fuel line means hose or tubing designed to contain liquid fuel 
(including molded hose or tubing). This does not include any of the 
following:
    (1) Fuel tank vent lines.
    (2) Segments of hose or tubing whose external surface is normally 
exposed to liquid fuel inside the fuel tank.
    (3) Hose or tubing designed to return unused fuel from the 
carburetor to the fuel tank for handheld engines.
    (4) Primer bulbs that contain liquid fuel only for priming the 
engine before starting.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as gasoline or 
natural gas. There can be multiple grades within a single fuel type, 
such as low-temperature or all-season gasoline.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    Handheld means relating to equipment that meets any of the following 
criteria:
    (1) It is carried by the operator throughout the performance of its 
intended function.
    (2) It is designed to operate multi-positionally, such as upside 
down or sideways, to complete its intended function.
    (3) It has a combined engine and equipment dry weight under 16.0 
kilograms, has no more than two wheels, and at least one of the 
following attributes is also present:
    (i) The operator provides support or carries the equipment 
throughout the performance of its intended function. Carry means to 
completely bear the weight of the equipment, including the engine. 
Support means to hold a piece of equipment in position to prevent it 
from falling, slipping, or sinking, without carrying it.
    (ii) The operator provides support or attitudinal control for the 
equipment throughout the performance of its intended function. 
Attitudinal control involves regulating the horizontal or vertical 
position of the equipment.
    (4) It is an auger with a combined engine and equipment dry weight 
under 22.0 kilograms.
    (5) It is used in a recreational application with a combined total 
vehicle dry weight under 20.0 kilograms. Note that snowmobiles, offroad 
motorcycles, and all-terrain vehicles are regulated under 40 CFR part 
1051 and marine vessels are regulated under 40 CFR part 1045.
    (6) It is a hand-supported jackhammer or rammer/compactor. This does 
not include equipment that can remain upright without operator support, 
such as a plate compactor.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type, as described in subpart B of 
this part.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a

[[Page 515]]

particular engine from other similar engines.
    Integrated equipment manufacturer means an equipment manufacturer 
that also manufactures the engines for its equipment. Equipment 
manufacturers that manufacture the engines for some but not all of their 
equipment are considered to be integrated manufacturers for that 
equipment using the manufacturer's own engines.
    Intermediate-speed equipment means nonhandheld equipment in which 
the installed engine is intended for operation at speeds substantially 
below 3600 rpm.
    Low-hour means relating to an engine that is considered to have 
stabilized emissions and represents the undeteriorated emission level. A 
low-hour engine typically operates no more than a few hours beyond the 
minimum stabilization period. However, a low-hour engine could have more 
hours as long as emissions remain stable. In the absence of other 
information, a low-hour engine with a useful life of 300 hours or less 
would generally have operated no more than 15 hours and a low-hour 
engine with a longer useful life would generally have operated no more 
than 24 hours.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling an engine or piece of equipment.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act (42 U.S.C. 7550(1)). In general, this term includes any person 
who manufactures an engine, vehicle, vessel, or piece of equipment for 
sale in the United States or otherwise introduces a new nonroad engine 
or piece of equipment into U.S. commerce. This includes importers who 
import engines, equipment, or vehicles for resale, but not dealers. All 
manufacturing entities under the control of the same person are 
considered to be a single manufacturer.
    Marine engine means a nonroad engine that is installed or intended 
to be installed on a vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion. This includes a portable auxiliary marine engine only if its 
fueling, cooling, or exhaust system is an integral part of the vessel.
    Marine generator engine means an auxiliary marine engine used 
primarily to operate an electrical generator or alternator to produce 
electric power.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has the meaning given in Sec. 1054.140.
    Maximum test torque has the meaning given in 40 CFR 1065.1001.
    Model year has the meaning given in 40 CFR part 1060 for equipment 
and means one of the following things for engines:
    (1) For freshly manufactured engines (see definition of ``new 
nonroad engine,'' paragraph (1)), model year means your annual new model 
production period. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year. For seasonal production periods not including January 1, 
model year means the calendar year in which the production occurs, 
unless you choose to certify the applicable emission family with the 
following model year. For example, if your production period is June 1, 
2010 through November 30, 2010, your model year would be 2010 unless you 
choose to certify the emission family for model year 2011.
    (2) For an engine that is converted to a nonroad engine after being 
placed into service as a stationary engine, or being certified and 
placed into service as a motor vehicle engine, model year means the 
calendar year in which the engine was originally produced. For a motor 
vehicle engine that is converted to be a nonroad engine without having 
been certified, model year means the calendar year in which the engine 
becomes a new nonroad engine. (See definition of ``new nonroad engine,'' 
paragraph (2).)

[[Page 516]]

    (3) For a nonroad engine excluded under Sec. 1054.5 that is later 
converted to operate in an application that is not excluded, model year 
means the calendar year in which the engine was originally produced (see 
definition of ``new nonroad engine,'' paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed 
in new nonroad equipment, model year means the calendar year in which 
the engine is installed in the new nonroad equipment (see definition of 
``new nonroad engine,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new nonroad engine,'' model year has the meaning given 
in paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of ``new nonroad engine,'' model year means the calendar year 
in which the engine is assembled in its final certified configuration.
    (iii) For imported engines described in paragraph (5)(iii) of the 
definition of ``new nonroad engine,'' model year means the calendar year 
in which the engine is assembled in its imported configuration, unless 
specified otherwise in this part or in 40 CFR part 1068.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New nonroad engine means any of the following things:
    (1) A freshly manufactured nonroad engine for which the ultimate 
purchaser has never received the equitable or legal title. This kind of 
engine might commonly be thought of as ``brand new.'' In the case of 
this paragraph (1), the engine is new from the time it is produced until 
the ultimate purchaser receives the title or the product is placed into 
service, whichever comes first.
    (2) An engine originally manufactured as a motor vehicle engine or a 
stationary engine that is later used or intended to be used in a piece 
of nonroad equipment. In this case, the engine is no longer a motor 
vehicle or stationary engine and becomes a ``new nonroad engine.'' The 
engine is no longer new when it is placed into nonroad service. This 
paragraph (2) applies if a motor vehicle engine or a stationary engine 
is installed in nonroad equipment, or if a motor vehicle or a piece of 
stationary equipment is modified (or moved) to become nonroad equipment.
    (3) A nonroad engine that has been previously placed into service in 
an application we exclude under Sec. 1054.5, when that engine is 
installed in a piece of equipment that is covered by this part 1054. The 
engine is no longer new when it is placed into nonroad service covered 
by this part 1054. For example, this would apply to a marine-propulsion 
engine that is no longer used in a marine vessel but is instead 
installed in a piece of nonroad equipment subject to the provisions of 
this part.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in new nonroad equipment. 
This generally includes installation of used engines in new equipment. 
The engine is no longer new when the ultimate purchaser receives a title 
for the equipment or the product is placed into service, whichever comes 
first.
    (5) An imported nonroad engine, subject to the following provisions:
    (i) An imported nonroad engine covered by a certificate of 
conformity issued under this part that meets the criteria of one or more 
of paragraphs (1) through (4) of this definition, where the original 
engine manufacturer holds the certificate, is new as defined by those 
applicable paragraphs.
    (ii) An imported engine that will be covered by a certificate of 
conformity issued under this part, where someone other than the original 
engine manufacturer holds the certificate (such as when the engine is 
modified after its initial assembly), is a new nonroad engine when it is 
imported. It is no longer new when the ultimate purchaser receives a 
title for the engine or it is placed into service, whichever comes 
first.
    (iii) An imported nonroad engine that is not covered by a 
certificate of conformity issued under this part at the time of 
importation is new. This addresses uncertified engines and equipment 
initially placed into service that someone seeks to import into the 
United States. Importation of this kind of engine (or equipment 
containing

[[Page 517]]

such an engine) is generally prohibited by 40 CFR part 1068. However, 
the importation of such an engine is not prohibited if the engine has a 
model year before 1997, since it is not subject to standards.
    New nonroad equipment means either of the following things:
    (1) A nonroad piece of equipment for which the ultimate purchaser 
has never received the equitable or legal title. The product is no 
longer new when the ultimate purchaser receives this title or the 
product is placed into service, whichever comes first.
    (2) A nonroad piece of equipment with an engine that becomes new 
while installed in the equipment. For example a complete piece of 
equipment that was imported without being covered by a certificate of 
conformity would be new nonroad equipment because the engine would be 
considered to be new at the time of importation.
    Noncompliant engine or noncompliant equipment means an engine or 
equipment that was originally covered by a certificate of conformity but 
is not in the certified configuration or otherwise does not comply with 
the conditions of the certificate.
    Nonconforming engine or nonconforming equipment means an engine or 
equipment not covered by a certificate of conformity that would 
otherwise be subject to emission standards.
    Nonhandheld means relating to an engine (or equipment) subject to 
the standards of this part that is not a handheld engine (or equipment).
    Nonintegrated equipment manufacturer means an equipment manufacturer 
that is not an integrated equipment manufacturer. Equipment 
manufacturers that manufacture the engines for some but not all of their 
equipment are considered to be nonintegrated manufacturers for that 
equipment using a different engine manufacturer's engines.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines or equipment that includes 
nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft.
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor.
    Overhead valve means relating to a four-stroke spark-ignition engine 
in which the intake and exhaust valves are located above the combustion 
chamber within the cylinder head. Such engines are sometimes referred to 
as ``valve-in-head'' engines.
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale. The owners manual may be in paper or electronic format.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Percent has the meaning given in 40 CFR 1065.1001.
    Permeation emissions means fuel that escapes from the fuel system by 
diffusing through the walls of fuel-system components.
    Phase 1 means relating to the Phase 1 emission standards described 
in 40 CFR 90.103.
    Phase 2 means relating to the Phase 2 emission standards described 
in 40 CFR 90.103.
    Phase 3 means relating to the Phase 3 exhaust emission standards 
described in Sec. 1054.105.
    Placed into service means put into initial use for its intended 
purpose.
    Pressurized oil system means a system designed to deliver 
lubricating oil to internal engine components, including a step to 
circulate oil through a filter.
    Ramped-modal means relating to the ramped-modal type of steady-state 
test described in Sec. 1054.505.
    Rated-speed equipment means nonhandheld equipment in which the

[[Page 518]]

installed engine is intended for operation at a rated speed that is 
nominally 3600 rpm or higher.
    Recreational application means an application in which a vehicle is 
ridden primarily for pleasure. Note that engines used in reduced-scale 
model vehicles that cannot be ridden (such as model airplanes) are 
excluded from this part under Sec. 1054.5.
    Relating to as used in this section means relating to something in a 
specific, direct manner. This expression is used in this section only to 
define terms as adjectives and not to broaden the meaning of the terms.
    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine family.
    Round has the meaning given in 40 CFR 1065.1001.
    Running loss emissions has the meaning given in 40 CFR 1060.801.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Side valve means relating to a four-stroke spark-ignition engine in 
which the intake and exhaust valves are located to the side of the 
cylinder, not within the cylinder head. Such engines are sometimes 
referred to as ``L-head'' engines.
    Small-volume emission family means one of the following:
    (1) For requirements related to exhaust emissions for nonhandheld 
engines and to exhaust and evaporative emissions for handheld engines, 
small-volume emission family means any emission family whose U.S.-
directed production volume in a given model year is projected at the 
time of certification to be no more than 5,000 engines.
    (2) For requirements related to evaporative emissions for 
nonhandheld equipment, small-volume emission family means any equipment 
manufacturer's U.S.-directed production volume for identical fuel tank 
is projected at the time of certification to be no more than 5,000 
units. Tanks are generally considered identical if they are produced 
under a single part number to conform to a single design or blueprint. 
Tanks should be considered identical if they differ only with respect to 
production variability, post-production changes (such as different 
fittings or grommets), supplier, color, or other extraneous design 
variables.
    Small-volume engine manufacturer means one of the following:
    (1) For handheld engines, an engine manufacturer that had U.S.-
directed production volume of handheld engines of no more than 25,000 
handheld engines in any calendar year. For manufacturers owned by a 
parent company, this production limit applies to the production of the 
parent company and all its subsidiaries.
    (2) For nonhandheld engines, an engine manufacturer that had U.S.-
directed production volume of no more than 10,000 nonhandheld engines in 
any calendar year. For manufacturers owned by a parent company, this 
production limit applies to the production of the parent company and all 
its subsidiaries.
    (3) An engine manufacturer that we designate to be a small-volume 
engine manufacturer under Sec. 1054.635.
    Small-volume equipment manufacturer means one of the following:
    (1) For handheld equipment, an equipment manufacturer that had a 
U.S.-directed production volume of no more than 25,000 pieces of 
handheld equipment in any calendar year. For manufacturers owned by a 
parent company, this production limit applies to the production of the 
parent company and all its subsidiaries.
    (2) For nonhandheld equipment, an equipment manufacturer with annual 
U.S.-directed production volumes of no more than 5,000 pieces of 
nonhandheld equipment in 2007, 2008, and 2009. For manufacturers owned 
by a parent company, this production limit applies to the production of 
the parent company and all its subsidiaries.
    (3) An equipment manufacturer that we designate to be a small-volume 
equipment manufacturer under Sec. 1054.635.

[[Page 519]]

    Snowthrower engine means an engine used exclusively to power 
snowthrowers.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Steady-state means relating to emission tests in which engine speed 
and load are held at a finite set of essentially constant values. 
Steady-state tests are either discrete-mode tests or ramped-modal tests.
    Structurally integrated nylon fuel tank has the meaning given in 40 
CFR 1060.801.
    Subchapter U means the portion of the Code of Federal Regulations 
including 40 CFR parts 1000 through 1299.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an emission family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tethered gas cap means a gas cap that is loosely but permanently 
connected to the fuel tank.
    Thermal reactor means a hot surface in the engine exhaust system 
that has the effect of significantly lowering emissions of one or more 
regulated pollutants. Hot surfaces that have an inconsequential effect 
on emissions are not thermal reactors.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as an 
atomic hydrocarbon with a hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass contributions 
of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic 
compounds that are measured separately as contained in a gas sample, 
expressed as exhaust hydrocarbon from petroleum-fueled engines. The 
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
    Ultimate purchaser means, with respect to any new nonroad equipment 
or new nonroad engine, the first person who in good faith purchases such 
new nonroad equipment or new nonroad engine for purposes other than 
resale.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year for an emission family means the model year 
after the one currently in production.
    U.S.-directed production volume means the number of engine or 
equipment units, subject to the requirements of this part, produced by a 
manufacturer for which the manufacturer has a reasonable assurance that 
sale was or will be made to ultimate purchasers in the United States.
    Useful life means the period during which the engine and equipment 
are designed to properly function in terms of power output and intended 
function, without being remanufactured, specified as a number of hours 
of operation or calendar years, whichever comes first. It is the period 
during which a nonroad engine is required to comply with all applicable 
emission standards. See, for example, Sec. Sec. 1054.107, 1054.110, and 
1054.112. If an engine has no hour meter, the specified number of hours 
does not limit the period during which an in-use engine is required to 
comply with emission standards unless the degree of service accumulation 
can be verified separately.
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Vessel means marine vessel.
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.

[[Page 520]]

    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Wide-open throttle means maximum throttle opening.
    Wintertime engine means an engine used exclusively to power 
equipment that is used only in wintertime, such as snowthrowers and ice 
augers.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23026, Apr. 30, 2010]



Sec. 1054.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:
ABT Averaging, banking, and trading.
cc cubic centimeters.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g gram.
HC hydrocarbon.
hr hour.
kPa kilopascals.
kW kilowatts.
N2O nitrous oxide.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
psig pounds per square inch of gauge pressure.
RPM revolutions per minute.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.



Sec. 1054.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec. 1054.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec. 1054.825  What reporting and recordkeeping requirements apply under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines and 
equipment regulated under this part:
    (a) We specify the following requirements related to engine and 
equipment certification in this part 1054:
    (1) In Sec. 1054.20 we require equipment manufacturers to label 
their equipment if they are relying on component certification.
    (2) In Sec. 1054.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to equipment 
manufacturers.
    (3) In Sec. 1054.145 we include various reporting and recordkeeping 
requirements related to interim provisions.
    (4) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (5) In Sec. Sec. 1054.345 and 1054.350 we specify certain records 
related to production-line testing.
    (6) [Reserved]

[[Page 521]]

    (7) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions.
    (8) In Sec. Sec. 1054.725, 1054.730, and 1054.735 we specify 
certain records related to averaging, banking, and trading.
    (b) We specify the following requirements related to equipment and 
component certification in 40 CFR part 1060:
    (1) In 40 CFR 1060.20 we give an overview of principles for 
reporting information.
    (2) In 40 CFR part 1060, subpart C, we identify a wide range of 
information required to certify products.
    (3) In 40 CFR 1060.301 we require manufacturers to make engines or 
equipment available for our testing if we make such a request.
    (4) In 40 CFR 1060.505 we specify information needs for establishing 
various changes to published test procedures.
    (c) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines using portable analyzers.
    (d) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require equipment manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.



  Sec. Appendix I to Part 1054--Summary of Previous Emission Standards

    The following standards apply to nonroad spark-ignition engines 
produced before the model years specified in Sec. 1054.1:
    (a) Handheld engines. Phase 1 and Phase 2 standards apply for 
handheld engines as specified in 40 CFR 90.103 and summarized in the 
following tables:

 Table 1 to Appendix I--Phase 1 Emission Standards for Handheld Engines
                              (g/kW-hr) \a\
------------------------------------------------------------------------
             Engine displacement class                 HC    NOX     CO
------------------------------------------------------------------------
Class III..........................................    295   5.36    805
Class IV...........................................    241   5.36    805
Class V............................................    161   5.36    603
------------------------------------------------------------------------
\a\ Phase 1 standards are based on testing with new engines only.


 Table 2 to Appendix I--Phase 2 Emission Standards for Handheld Engines
                              (g/kW-hr) \a\
------------------------------------------------------------------------
                 Engine displacement class                   HC+NOX   CO
------------------------------------------------------------------------
Class III.................................................       50  805
Class IV..................................................       50  805
Class V...................................................       72  603
 
------------------------------------------------------------------------
\a\ The standards shown are the fully phased-in standards. See 40 CFR
  90.103 for standards that applied during the phase-in period.

    (b) Nonhandheld engines. Phase 1 and Phase 2 standards apply for 
nonhandheld engines as

[[Page 522]]

specified in 40 CFR 90.103 and summarized in the following tables:

    Table 3 to Appendix I--Phase 1 Emission Standards for Nonhandheld
                          Engines (g/kW-hr) \a\
------------------------------------------------------------------------
              Engine displacement class                HC+NOX      CO
------------------------------------------------------------------------
Class I.............................................      16.1       519
Class II............................................      13.4      519
------------------------------------------------------------------------
\a\ Phase 1 standards are based on testing with new engines only.


    Table 4 to Appendix I--Phase 2 Emission Standards for Nonhandheld
                            Engines (g/kW-hr)
------------------------------------------------------------------------
                                                        NMHC+
        Engine displacement class            HC+NOX      NOX        CO
------------------------------------------------------------------------
Class I-A................................       50    .........      610
Class I-B................................       40         37        610
Class I..................................       16.1       14.8      610
Class II \a\.............................       12.1       11.3      610
------------------------------------------------------------------------
\a\ The Class II standards shown are the fully phased-in standards. See
  40 CFR 90.103 for standards that applied during the phase-in period.



    Sec. Appendix II to Part 1054--Duty Cycles for Laboratory Testing

    (a) Test handheld engines with the following steady-state duty 
cycle:

------------------------------------------------------------------------
                                                      Torque
          G3 mode No.            Engine speed \a\   (percent)  Weighting
                                                       \b\      factors
------------------------------------------------------------------------
1.............................  Rated speed.......       100       0.85
2.............................  Warm idle                  0      0.15
------------------------------------------------------------------------
\a\ Test engines at the specified speeds as described in Sec.
  1054.505.
\b\ Test engines at 100 percent torque by setting operator demand to
  maximum. Control torque during idle at its warm idle speed as
  described in 40 CFR 1065.510.

    (b) Test nonhandheld engines with one of the following steady-state 
duty cycles:
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                                     Torque
                 G2 mode No. \a\                   (percent)   Weighting
                                                      \b\       factors
------------------------------------------------------------------------
1................................................        100        0.09
2................................................         75        0.2
3................................................         50        0.29
4................................................         25        0.3
5................................................         10        0.07
6................................................          0        0.05 
------------------------------------------------------------------------
\a\ Control engine speed as described in Sec.  1054.505. Control engine
  speed for Mode 6 as described in Sec.  1054.505(c) for idle
  operation.
\b\ The percent torque is relative to the value established for full-
  load torque, as described in Sec.  1054.505.

    (2) The following duty cycle applies for ramped-modal testing:

------------------------------------------------------------------------
                                                      Time in    Torque
                   RMC mode \a\                        mode    (percent)
                                                    (seconds)   \b,\ \c\
------------------------------------------------------------------------
1a Steady-state...................................         41          0
1b Transition.....................................         20          *
2a Steady-state...................................        135        100
2b Transition.....................................         20          *
3a Steady-state...................................        112         10
3b Transition.....................................         20          *
4a Steady-state...................................        337         75
4b Transition.....................................         20          *
5a Steady-state...................................        518         25
5b Transition.....................................         20          *
6a Steady-state...................................        494         50
6b Transition.....................................         20          *
7 Steady-state....................................         43          0
------------------------------------------------------------------------
* Linear transition.
\a\ Control engine speed as described in Sec.  1054.505. Control engine
  speed for Mode 6 as described in Sec.  1054.505(c) for idle
  operation.
\b\ Advance from one mode to the next within a 20-second transition
  phase. During the transition phase, command a linear progression from
  the torque setting of the current mode to the torque setting of the
  next mode.
\c\ The percent torque is relative to the value established for full-
  load torque, as described in Sec.  1054.505.



PART 1060_CONTROL OF EVAPORATIVE EMISSIONS FROM NEW AND IN_USE NONROAD AND

STATIONARY EQUIPMENT--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1060.1 Which products are subject to this part's requirements?
1060.5 Do the requirements of this part apply to me?
1060.10 How is this part organized?
1060.15 Do any other CFR parts apply to me?
1060.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1060.101 What evaporative emission requirements apply under this part?
1060.102 What permeation emission control requirements apply for fuel 
          lines?
1060.103 What permeation emission control requirements apply for fuel 
          tanks?
1060.104 What running loss emission control requirements apply?
1060.105 What diurnal requirements apply for equipment?
1060.120 What emission-related warranty requirements apply?
1060.125 What maintenance instructions must I give to buyers?
1060.130 What installation instructions must I give to equipment 
          manufacturers?
1060.135 How must I label and identify the engines and equipment I 
          produce?
1060.137 How must I label and identify the fuel-system components I 
          produce?

[[Page 523]]

                 Subpart C_Certifying Emission Families

1060.201 What are the general requirements for obtaining a certificate 
          of conformity?
1060.202 What are the certification requirements related to the general 
          standards in Sec. 1060.101?
1060.205 What must I include in my application?
1060.210 What records should equipment manufacturers keep if they do not 
          apply for certification?
1060.225 How do I amend my application for certification?
1060.230 How do I select emission families?
1060.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1060.240 How do I demonstrate that my emission family complies with 
          evaporative emission standards?
1060.250 What records must I keep?
1060.255 What decisions may EPA make regarding my certificate of 
          conformity?

                Subpart D_Production Verification Testing

1060.301 Manufacturer testing.
1060.310 Supplying products to EPA for testing.

                        Subpart E_In-Use Testing

1060.401 General Provisions.

                        Subpart F_Test Procedures

1060.501 General testing provisions.
1060.505 Other procedures.
1060.510 How do I test EPA Low-Emission Fuel Lines for permeation 
          emissions?
1060.515 How do I test EPA Nonroad Fuel Lines and EPA Cold-Weather Fuel 
          Lines for permeation emissions?
1060.520 How do I test fuel tanks for permeation emissions?
1060.521 How do I test fuel caps for permeation emissions?
1060.525 How do I test fuel systems for diurnal emissions?

                 Subpart G_Special Compliance Provisions

1060.601 How do the prohibitions of 40 CFR 1068.101 apply with respect 
          to the requirements of this part?
1060.605 Exemptions from evaporative emission standards.
1060.640 What special provisions apply to branded equipment?

          Subpart H_Averaging, Banking, and Trading Provisions

1060.701 Applicability.
1060.705 How do I certify components to an emission level other than the 
          standard under this part or use such components in my 
          equipment?

          Subpart I_Definitions and Other Reference Information

1060.801 What definitions apply to this part?
1060.805 What symbols, acronyms, and abbreviations does this part use?
1060.810 What materials does this part reference?
1060.815 What provisions apply to confidential information?
1060.820 How do I request a hearing?
1060.825 What reporting and recordkeeping requirements apply under this 
          part?

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 59298, Oct. 8, 2008, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec. 1060.1  Which products are subject to this part's requirements?

    (a) The standards and other requirements in this part 1060 apply to 
the fuel lines, fuel tanks, couplings and fittings, and fuel caps used 
or intended to be used in the following categories of new engines and 
equipment that are fueled with a volatile liquid fuel (such as gasoline, 
but not including diesel fuel), and to the equipment in which these 
components are installed, starting with the model years shown in Table 1 
to this section:
    (1) Compression-ignition engines we regulate under 40 CFR part 1039. 
This includes stationary compression-ignition engines we regulate under 
the provisions of 40 CFR part 1039, as indicated under 40 CFR part 60, 
subpart IIII. See the evaporative emission standards specified in 40 CFR 
1048.105. These engines are considered to be Large SI engines for 
purposes of this part 1060.
    (2) Marine compression-ignition engines we regulate under 40 CFR 
part 1042. See the evaporative emission standards specified in 40 CFR 
1045.112. These engines are considered to be Marine SI engines for 
purposes of this part 1060.
    (3) Marine SI engines we regulate under 40 CFR part 1045. See the 
evaporative emission standards specified in 40 CFR 1045.112.
    (4) Large SI engines we regulate under 40 CFR part 1048. This 
includes

[[Page 524]]

stationary spark-ignition engines subject to standards under 40 CFR 
parts 1048 or 1054 as indicated in 40 CFR part 60, subpart JJJJ. See the 
evaporative emission standards specified in 40 CFR 1048.105.
    (5) Recreational vehicles and engines we regulate under 40 CFR part 
1051 (such as snowmobiles and off-highway motorcycles). This includes 
highway motorcycles subject to standards under 40 CFR part 1051 as 
indicated in 40 CFR part 86, subpart E since these motorcycles are 
considered to be recreational vehicles for purposes of this part 1060. 
See the evaporative emission standards specified in 40 CFR 1051.110.
    (6) Small SI engines we regulate under 40 CFR part 1054. See the 
evaporative emission standards specified for handheld engines in 40 CFR 
1054.110 and for nonhandheld engines in 40 CFR 1054.112.
    (7) Portable marine fuel tanks and fuel lines associated with such 
fuel tanks must meet evaporative emission standards specified in 40 CFR 
1045.112. Portable nonroad fuel tanks and fuel lines associated with 
such fuel tanks must also meet evaporative emission standards specified 
in 40 CFR 1045.112, whether or not they are used with marine vessels. 
Portable nonroad fuel tanks are considered to be portable marine fuel 
tanks for purposes of this part 1060.
    (b) The regulations in this part 1060 apply for new replacement 
components used with any of the engines or equipment specified in 
paragraph (a) of this section as described in Sec. 1060.601.
    (c) Fuel caps are subject to evaporative emission standards at the 
point of installation on a fuel tank. If a fuel cap is certified for use 
with Marine SI engines or Small SI engines under the optional standards 
of Sec. 1060.103, it is subject to all the requirements of this part 
1060 as if these optional standards were mandatory.
    (d) This part 1060 does not apply to any diesel-fueled engine or any 
other engine that does not use a volatile liquid fuel. In addition, this 
part does not apply to any engines or equipment in the following 
categories even if they use a volatile liquid fuel:
    (1) Light-duty motor vehicles (see 40 CFR part 86).
    (2) Heavy-duty motor vehicles and heavy-duty motor vehicle engines 
(see 40 CFR part 86). This part 1060 also does not apply to fuel systems 
for nonroad engines where such fuel systems are subject to part 86 
because they are part of a heavy-duty motor vehicle.
    (3) Aircraft engines (see 40 CFR part 87).
    (4) Locomotives (see 40 CFR part 92 and 1033).
    (5) Land-based nonroad diesel engines we regulate under 40 CFR part 
89.
    (6) Marine diesel engines we regulate under 40 CFR part 89, 94, or 
1042.
    (7) Land-based spark-ignition engines at or below 19 kW that we 
regulate under 40 CFR part 90. Note that there are provisions in 40 CFR 
part 90 that reference specific portions of this part 1060.
    (8) Marine spark-ignition engines we regulate under 40 CFR part 91.
    (e) This part 1060 does not apply for fuel lines made wholly of 
metal.

                              Table 1 to Sec.  1060.1--Part 1060 Applicability \a\
----------------------------------------------------------------------------------------------------------------
     Equipment  category or            Fuel line                                                 Running loss
           subcategory                permeation        Tank permeation   Diurnal  emissions       emissions
----------------------------------------------------------------------------------------------------------------
Marine SI--portable marine fuel   January 1, 2009     January 1, 2011...  January 1, 2010...  Not applicable.
 tanks.                            \b\.
Marine SI--personal watercraft..  January 1, 2009...  Model year 2011...  Model year 2010...  Not applicable.
Marine SI--other vessels with     January 1, 2009     Model year 2012...  July 31, 2011.....  Not applicable.
 installed fuel tanks.             \b\.
Large SI........................  Model year 2007...  Not applicable....  Model year 2007     Model year 2007.
                                                                           (includes tank
                                                                           permeation).
Recreational vehicles...........  Model year 2008...  Model year 2008...  Not applicable....  Not applicable.
Small SI--handheld..............  Model year 2012     Model year 2010     Not applicable....  Not applicable.
                                   \c\.                \d\.
Small SI--Class I nonhandheld...  January 1, 2009...  Model year 2012...  Not applicable \e\  Model year 2012.

[[Page 525]]

 
Small SI--Class II nonhandheld..  January 1, 2009...  Model year 2011...  Not applicable \e\  Model year 2011.
----------------------------------------------------------------------------------------------------------------
\a\ Implementation is based on the date of manufacture of the equipment. Where we do not identify a specific
  date, the emission standards start to apply at the beginning of the model year.
\b\ January 1, 2011 for primer bulbs. Standards phase in for under-cowl fuel lines on outboard engines, by
  length: 30% in 2010, 60% in 2011, 90% in 2012-2014, 100% in 2015.
\c\ 2013 for small-volume emission families that do not include cold-weather fuel lines.
\d\ 2011 for structurally integrated nylon fuel tanks and 2013 for all small-volume emission families.
\e\ Manufacturers may optionally meet diurnal standards as specified in Sec.  1060.105(e).



Sec. 1060.5  Do the requirements of this part apply to me?

    The requirements of this part are generally addressed to the 
manufacturers that are subject to this part's requirements as described 
in paragraph (a) of this section. The term ``you'' generally means the 
manufacturer or manufacturers that are subject to these requirements. 
Paragraphs (b) through (e) of this section describe which manufacturers 
may or must certify their products. (Note: Sec. 1060.601(f) allows the 
certification responsibility to be delegated in certain circumstances.)
    (a) Overall responsibilities. Manufacturers of the engines, 
equipment, and fuel-system components described in Sec. 1060.1 are 
subject to the standards and other requirements of this part 1060 except 
as otherwise noted. Multiple manufacturers may be subject to these 
standards and other requirements. For example, when a Small SI equipment 
manufacturer buys fuel line manufactured by another person and installs 
them in its equipment, both the equipment manufacturer and the fuel line 
manufacturer are subject to the standards and other requirements of this 
part. The following provisions apply in such cases:
    (1) Each person meeting the definition of manufacturer for a product 
that is subject to the standards and other requirements of this part 
must comply with such requirements. However, if one person complies with 
a specific requirement for a given product, then all manufacturers are 
deemed to have complied with that specific requirement. For example, if 
a Small SI equipment manufacturer uses fuel lines manufactured and 
certified by another company, the equipment manufacturer is not required 
to obtain a certificate with respect to the fuel line emission 
standards. Such an equipment manufacturer remains subject to the 
standards and other requirements of this part. However, where a 
provision requires a specific manufacturer to comply with certain 
provisions, this paragraph (a) does not change or modify such a 
requirement. For example, this paragraph (a) does not allow you to rely 
on another company to certify instead of you if we specifically require 
you to certify.
    (2) The requirements of subparts C and D of this part apply to the 
manufacturer that obtains the certificate of conformity. Other 
manufacturers are required to comply with the requirements of subparts C 
and D of this part only when we send notification. In our notification, 
we will specify a reasonable period for complying with the requirements 
identified in the notice. See Sec. 1060.601 for the applicability of 40 
CFR part 1068 to these other manufacturers.
    (3) Certificate holders are responsible for meeting all applicable 
requirements even if other manufacturers are also subject to those 
requirements.
    (b) Marine SI. Certify vessels, engines, and fuel-system components 
as follows:
    (1) Component manufacturers must certify their fuel lines and fuel 
tanks intended for installation with Marine SI engines and vessels under 
this part 1060, except as allowed by Sec. 1060.601(f). This includes 
permeation and diurnal emission standards.
    (2) Vessel manufacturers are subject to all the requirements of this 
part 1060 that apply to Marine SI engines and

[[Page 526]]

fuel systems. However, they must certify their vessels to the emission 
standards specified in Sec. Sec. 1060.102 through 1060.105 only if one 
or more of the following conditions apply:
    (i) Vessel manufacturers install certified components that are not 
certified to meet all applicable evaporative emission standards, 
including both permeation and diurnal standards. This would include 
vessel manufacturers that make their own fuel tanks. Vessel 
manufacturers would certify under this part 1060.
    (ii) Vessel manufacturers intend to generate or use evaporative 
emission credits, even if they use only certified components to meet all 
applicable evaporative emission standards. Vessel manufacturers would 
certify under part 40 CFR part 1045 using the emission-credit provisions 
in subpart H of that part to demonstrate compliance with the emission 
standard.
    (3) Engine manufacturers must meet all the requirements of this part 
1060 that apply to vessel manufacturers for all fuel-system components 
they install on their engines. For example, engine manufacturers that 
install under-cowl fuel lines and fuel tanks must comply with the 
requirements specified for vessel manufacturers with respect to those 
components.
    (c) Large SI. Certify engines, equipment, and fuel-system components 
as follows:
    (1) Engine manufacturers must certify their engines under 40 CFR 
part 1048.
    (2) Equipment manufacturers and component manufacturers may certify 
fuel lines and fuel tanks intended for use with Large SI engines under 
this part 1060.
    (d) Recreational vehicles. Certify vehicles, engines and fuel-system 
components as follows:
    (1) Vehicle manufacturers must certify their vehicles under 40 CFR 
part 1051.
    (2) Engine manufacturers must meet all the requirements of 40 CFR 
part 1051 that apply to vehicle manufacturers for all fuel-system 
components they install on their engines. For example, engine 
manufacturers that install fuel-line segments on the engines they ship 
to vehicle manufacturers must comply with the requirements specified for 
equipment manufacturers with respect to those components.
    (3) Component manufacturers may certify fuel lines and fuel tanks 
intended for recreational vehicles under this part 1060.
    (e) Small SI. Certify engines, equipment, and fuel-system components 
as follows:
    (1) Component manufacturers must certify their fuel lines and fuel 
tanks intended for Small SI engines and equipment under this part 1060, 
except as allowed by Sec. 1060.601(f).
    (2) Engine manufacturers must meet all the requirements of this part 
1060 that apply to equipment manufacturers for all fuel-system 
components they install on their engines. Engine manufacturers that 
produce Small SI engines with complete fuel systems are considered the 
equipment manufacturers for those engines under this part 1060.
    (3) Equipment manufacturers must certify their equipment and are 
subject to all the requirements of this part 1060.
    (f) Summary of certification responsibilities. Tables 1 through 3 of 
this section summarize the certification responsibilities for different 
kinds of manufacturers as described in paragraphs (b) through (e) of 
this section. The term ``No'' as used in the tables means that a 
manufacturer is not required to obtain a certificate of conformity under 
paragraphs (b) through (e) of this section. In situations where multiple 
manufacturers are subject to the standards and other requirements of 
this part, such a manufacturer must nevertheless certify if the 
manufacturer who is required to certify under paragraphs (b) through (e) 
of this section fails to obtain a certificate of conformity.

 Table 1 to Sec.  1060.5--Summary of Engine Manufacturer Certification
                            Responsibilities
------------------------------------------------------------------------
                                     Is the engine       Code of Federal
                                 manufacturer required  Regulations cite
        Equipment type              to certify fuel            for
                                     systems? \a\         certification
------------------------------------------------------------------------
Marine SI.....................  No....................

[[Page 527]]

 
Large SI......................  Yes...................  40 CFR part
                                                         1048.
Recreational vehicles.........  No....................
Small SI......................  No, unless engines are  40 CFR part
                                 sold with complete      1060.
                                 fuel systems.
------------------------------------------------------------------------
\a\ Fuel lines and fuel tanks that are attached to or sold with engines
  must be covered by a certificate of conformity.


       Table 2 to Sec.  1060.5--Summary of Equipment Manufacturer
                     Certification Responsibilities
------------------------------------------------------------------------
                                   Is the equipment      Code of Federal
                                 manufacturer required  Regulations cite
        Equipment type              to certify fuel            for
                                       systems?           certification
------------------------------------------------------------------------
Marine SI.....................  Yes, but only if        40 CFR part
                                 vessel manufacturers    1060. \a\
                                 install uncertified
                                 fuel lines or fuel
                                 tanks or intend to
                                 generate or use
                                 evaporative emission
                                 credits.
Large SI......................  Allowed but not         40 CFR part
                                 required.               1060.
Recreational vehicles.........  Yes, even if vehicle    40 CFR part
                                 manufacturers install   1051.
                                 certified components.
Small SI......................  Yes...................  40 CFR part
                                                         1060. \a\
------------------------------------------------------------------------
\a\ See the exhaust standard-setting part for provisions related to
  generating or using evaporative emission credits.


       Table 3 of Sec.  1060.5--Summary of Component Manufacturer
                     Certification Responsibilities
------------------------------------------------------------------------
                                   Is the component      Code of Federal
                                 manufacturer required  Regulations cite
        Equipment type           to certify fuel lines         for
                                    and fuel tanks?       certification
------------------------------------------------------------------------
Marine SI.....................  Yes, including          40 CFR part
                                 portable marine fuel    1060.
                                 tanks and associated
                                 fuel lines.
Large SI......................  Allowed but not         40 CFR part
                                 required.               1060.
Recreational vehicles.........  Allowed but not         40 CFR part
                                 required.               1060.
Small SI......................  Yes \a\...............  40 CFR part
                                                         1060.
------------------------------------------------------------------------
\a\ See Sec.  1060.601 for an allowance to make contractual
  arrangements with engine or equipment manufacturers instead of
  certifying.



Sec. 1060.10  How is this part organized?

    This part 1060 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1060 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify equipment or components 
under this part. Note that Sec. 1060.110 discusses certain interim 
requirements and compliance provisions that apply only for a limited 
time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes the requirements related to 
verifying that products are being produced as described in an approved 
application for certification.
    (e) Subpart E of this part describes the requirements related to 
verifying that products are meeting the standards in use.
    (f) Subpart F of this part describes how to measure evaporative 
emissions.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to 
manufacturers, owners, operators, and all others.
    (h) Subpart H of this part describes how to certify your equipment 
or components for inclusion in an emission averaging program allowed by 
an exhaust standard-setting part.
    (i) Subpart I of this part contains definitions and other reference 
information.



Sec. 1060.15  Do any other CFR parts apply to me?

    (a) There is a separate part of the CFR that includes exhaust 
emission requirements for each particular application, as described in 
Sec. 1060.1(a). We refer

[[Page 528]]

to these as the exhaust standard-setting parts. In cases where an 
exhaust standard-setting part includes evaporative requirements, apply 
this part 1060 as specified in the exhaust standard-setting part, as 
follows:
    (1) The requirements in the exhaust standard-setting part may differ 
from the requirements in this part. In cases where it is not possible to 
comply with both the exhaust standard-setting part and this part, you 
must comply with the requirements in the exhaust standard-setting part. 
The exhaust standard-setting part may also allow you to deviate from the 
procedures of this part for other reasons.
    (2) The exhaust standard-setting parts may reference some sections 
of this part 1060 or may allow or require certification under this part 
1060. See the exhaust standard-setting parts to determine what 
provisions of this part 1060 apply for these equipment types.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, owns, 
operates, or services any of the fuel systems subject to this part 1060. 
Part 1068 of this chapter describes general provisions, including the 
following areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Exclusions and exemptions for certain products.
    (3) Importing products.
    (4) Defect reporting and recall.
    (5) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.



Sec. 1060.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec. 1060.825, 40 CFR 1068.25, and the exhaust 
standard-setting part regarding recordkeeping requirements. If 
recordkeeping requirements are not specified, store these records in any 
format and on any media and keep them readily available for one year 
after you send an associated application for certification, or one year 
after you generate the data if they do not support an application for 
certification. You must promptly send us organized, written records in 
English if we ask for them. We may review them at any time.
    (b) The regulations in Sec. 1060.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 1060.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.



          Subpart B_Emission Standards and Related Requirements



Sec. 1060.101  What evaporative emission requirements apply under this part?

    Products subject to this part must meet emission standards and 
related requirements as follows:
    (a) Section 1060.102 describes permeation emission control 
requirements for fuel lines.
    (b) Section 1060.103 describes permeation emission control 
requirements for fuel tanks.
    (c) Section 1060.104 describes running loss emission control 
requirements for fuel systems.
    (d) Section 1060.105 describes diurnal emission control requirements 
for fuel tanks.
    (e) The following general requirements apply for components and 
equipment subject to the emission standards in Sec. Sec. 1060.102 
through 1060.105:
    (1) Adjustable parameters. Components or equipment with adjustable 
parameters must meet all the requirements of this part for any 
adjustment in the physically adjustable range.
    (2) Prohibited controls. The following controls are prohibited:
    (i) For anyone to design, manufacture, or install emission control 
systems so they cause or contribute to an unreasonable risk to public 
health, welfare, or safety while operating.

[[Page 529]]

    (ii) For anyone to design, manufacture, or install emission control 
systems with features that disable, deactivate, or bypass the emission 
controls, either actively or passively. For example, you may not include 
a manual vent that the operator can open to bypass emission controls. 
You may ask us to allow such features if needed for safety reasons or if 
the features are fully functional during emission tests described in 
subpart F of this part.
    (3) Emission credits. Equipment manufacturers are allowed to comply 
with the emission standards in this part using evaporative emission 
credits only if the exhaust standard-setting part explicitly allows it 
for evaporative emissions. See the exhaust standard-setting part and 
subpart H of this part for information about complying with evaporative 
emission credits. For equipment manufacturers to generate or use 
evaporative emission credits, components must be certified to a family 
emission limit, which serves as the standard for those components.
    (f) This paragraph (f) specifies requirements that apply to 
equipment manufacturers subject to requirements under this part, whether 
or not they are subject to and certify to any of the emission standards 
in Sec. Sec. 1060.102 through 1060.105. Equipment manufacturers meeting 
these requirements will be deemed to be certified as in conformity with 
the requirements of this paragraph (f) without submitting an application 
for certification, as follows:
    (1) Fuel caps, vents, and carbon canisters. You are responsible for 
ensuring that proper caps and vents are installed on each new piece of 
equipment that is subject to emission standards under this part. The 
following particular requirements apply to equipment that is subject to 
running loss or diurnal emission standards, including portable marine 
fuel tanks:
    (i) All equipment must have a tethered fuel cap. Fuel caps must also 
include a visual, audible, or other physical indication that they have 
been properly sealed.
    (ii) You may not add vents unless they are specified in or allowed 
by the applicable certificates of conformity.
    (iii) If the emission controls rely on carbon canisters, they must 
be installed in a way that prevents exposing the carbon to water or 
liquid fuel.
    (2) Fuel-line fittings. The following requirements apply for fuel-
line fittings that will be used with fuel lines that must meet 
permeation emission standards:
    (i) Use good engineering judgment to ensure that all fuel-line 
fittings will remain securely connected to prevent fuel leakage 
throughout the useful life of the equipment.
    (ii) Fuel lines that are intended to be detachable (such as those 
for portable marine fuel tanks) must be self-sealing when detached from 
the fuel tank or engine.
    (3) Refueling. For any equipment using fuel tanks that are subject 
to diurnal or permeation emission standards under this part, you must 
design and build your equipment such that operators can reasonably be 
expected to fill the fuel tank without spitback or spillage during the 
refueling event. The following examples illustrate designs that meet 
this requirement:
    (i) Equipment that is commonly refueled using a portable gasoline 
container should have a fuel tank inlet that is larger than a typical 
dispensing spout. The fuel tank inlet should be located so the operator 
can place the nozzle directly in the fuel tank inlet and see the fuel 
level in the tank while pouring the fuel from an appropriately sized 
refueling container (either through the tank wall or the fuel tank 
inlet). We will deem you to comply with the requirements of this 
paragraph (f)(3)(i) if you design your equipment to meet applicable 
industry standards related to fuel tank inlets.
    (ii) Marine SI vessels with a filler neck extending to the side of 
the boat should be designed for automatic fuel shutoff. Alternatively, 
the filler neck should be designed such that the orientation of the 
filler neck allows dispensed fuel that collects in the filler neck to 
flow back into the fuel tank. A filler neck that ends with a horizontal 
or nearly horizontal segment at the opening where fuel is dispensed 
would not be an acceptable design.
    (g) Components and equipment must meet the standards specified in 
this

[[Page 530]]

part throughout the applicable useful life. Where we do not specify 
procedures for demonstrating the durability of emission controls, use 
good engineering judgment to ensure that your products will meet the 
standards throughout the useful life. The useful life is one of the 
following values:
    (1) The useful life in years specified for the components or 
equipment in the exhaust standard-setting part.
    (2) The useful life in years specified for the engine in the exhaust 
standard-setting part if the exhaust standards are specified for the 
engine rather than the equipment and there is no useful life given for 
components or equipment.
    (3) Five years if no useful life is specified in years for the 
components, equipment, or engines in the exhaust standard-setting part.



Sec. 1060.102  What permeation emission control requirements apply for fuel lines?

    (a) Nonmetal fuel lines must meet permeation requirements as 
follows:
    (1) Marine SI fuel lines, including fuel lines associated with 
outboard engines or portable marine fuel tanks, must meet the permeation 
requirements in this section.
    (2) Large SI fuel lines must meet the permeation requirements 
specified in 40 CFR 1048.105.
    (3) Fuel lines for recreational vehicles must meet the permeation 
requirements specified in 40 CFR 1051.110 or in this section.
    (4) Small SI fuel lines must meet the permeation requirements in 
this section, unless they are installed in equipment certified to meet 
diurnal emission standards under Sec. 1060.105(e).
    (b) Different categories of nonroad equipment are subject to 
different requirements with respect to fuel line permeation. Fuel lines 
are classified based on measured emissions over the test procedure 
specified for the class.
    (c) The regulations in 40 CFR part 1048 require that fuel lines used 
with Large SI engines must meet the standards for EPA Low-Emission Fuel 
Lines. The regulations in 40 CFR part 1054 require that fuel lines used 
with handheld Small SI engines installed in cold-weather equipment must 
meet the standards for EPA Cold-Weather Fuel Lines. Unless specified 
otherwise in this subchapter U, fuel lines used with all other engines 
and equipment subject to the provisions of this part 1060, including 
fuel lines associated with outboard engines or portable marine fuel 
tanks, must meet the standards for EPA Nonroad Fuel Lines.
    (d) The following standards apply for each fuel line classification:
    (1) EPA Low-Emission Fuel Lines must have permeation emissions at or 
below 10 g/m\2\/day when measured according to the test procedure 
described in Sec. 1060.510. Fuel lines that comply with this emission 
standard are deemed to comply with all the emission standards specified 
in this section.
    (2) EPA Nonroad Fuel Lines must have permeation emissions at or 
below 15 g/m\2\/day when measured according to the test procedure 
described in Sec. 1060.515.
    (3) EPA Cold-Weather Fuel Lines must meet the following permeation 
emission standards when measured according to the test procedure 
described in Sec. 1060.515:

  Table 1 to Sec.  1060.102--Permeation Standards for EPA Cold-Weather
                               Fuel Lines
------------------------------------------------------------------------
                                                           Standard  (g/
                       Model year                            m\2\/day)
------------------------------------------------------------------------
2012....................................................             290
2013....................................................             275
2014....................................................             260
2015....................................................             245
2016 and later..........................................             225
------------------------------------------------------------------------

    (e) You may certify fuel lines as follow:
    (1) You may certify straight-run fuel lines as sections of any 
length.
    (2) You may certify molded fuel lines in any configuration 
representing your actual production, subject to the provisions for 
selecting a worst-case configuration in Sec. 1060.235(b).
    (3) You may certify fuel line assemblies as aggregated systems that 
include multiple sections of fuel line with connectors and fittings. For 
example, you may certify fuel lines for portable marine fuel tanks as 
assemblies of fuel hose, primer bulbs, and self-sealing end connections. 
The length of such an assembly must not be longer than a typical in-use 
installation and must always be less than 2.5

[[Page 531]]

meters long. You may also certify primer bulbs separately. The standard 
applies with respect to the total permeation emissions divided by the 
wetted internal surface area of the assembly. Where it is not practical 
to determine the actual internal surface area of the assembly, you may 
assume that the internal surface area per unit length of the assembly is 
equal to the ratio of internal surface area per unit length of the hose 
section of the assembly.

[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8426, Feb. 24, 2009]



Sec. 1060.103  What permeation emission control requirements apply for fuel tanks?

    (a) Fuel tanks must meet permeation requirements as follows:
    (1) Marine SI fuel tanks, including engine-mounted fuel tanks and 
portable marine fuel tanks, must meet the permeation requirements in 
this section.
    (2) Large SI fuel tanks must meet diurnal emission standards as 
specified in Sec. 1060.105, which includes measurement of permeation 
emissions. No separate permeation standard applies.
    (3) Fuel tanks for recreational vehicles must meet the permeation 
requirements specified in 40 CFR 1051.110 or in this section.
    (4) Small SI fuel tanks must meet the permeation requirements in 
this section unless they are installed in equipment certified to meet 
diurnal emission standards under Sec. 1060.105(e).
    (b) Permeation emissions from fuel tanks may not exceed 1.5 g/m\2\/
day when measured at a nominal temperature of 28 [deg]C with the test 
procedures for tank permeation in Sec. 1060.520. You may also choose to 
meet a standard of 2.5 g/m\2\/day if you perform testing at a nominal 
temperature of 40 [deg]C under Sec. 1060.520(d).
    (c) The exhaust standard-setting part may allow for certification of 
fuel tanks to a family emission limit for calculating evaporative 
emission credits as described in subpart H of this part instead of 
meeting the emission standards in this section.
    (d) For purposes of this part, fuel tanks do not include fuel lines 
that are subject to Sec. 1060.102, petcocks designed for draining fuel, 
grommets used with fuel lines, or grommets used with other hose or 
tubing excluded from the definition of ``fuel line.'' Fuel tanks include 
other fittings (such as fuel caps, gaskets, and O-rings) that are 
directly mounted to the fuel tank.
    (e) Fuel caps may be certified separately relative to the permeation 
emission standard in paragraph (b) of this section using the test 
procedures specified in Sec. 1060.521. Fuel caps certified alone do not 
need to meet the emission standard. Rather, fuel caps would be certified 
with a Family Emission Limit, which is used for demonstrating that fuel 
tanks meet the emission standard as described in Sec. 1060.520(b)(5). 
For the purposes of this paragraph (e), gaskets or O-rings that are 
produced as part of an assembly with the fuel cap are considered part of 
the fuel cap.
    (f) Metal fuel tanks that meet the permeation criteria in Sec. 
1060.240(d)(2) or use certified nonmetal fuel caps will be deemed to be 
certified as in conformity with the requirements of this section without 
submitting an application for certification.

[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8427, Feb. 24, 2009; 75 
FR 23026, Apr. 30, 2010]



Sec. 1060.104  What running loss emission control requirements apply?

    (a) Engines and equipment must meet running loss requirements as 
follows:
    (1) Marine SI engines and vessels are not subject to running loss 
emission standards.
    (2) Large SI engines and equipment must prevent fuel boiling during 
operation as specified in 40 CFR 1048.105.
    (3) Recreational vehicles are not subject to running loss emission 
standards.
    (4) Nonhandheld Small SI engines and equipment that are not used in 
wintertime equipment must meet running loss requirements described in 
this section. Handheld Small SI engines and equipment are not subject to 
running loss emission standards.
    (b) You must demonstrate control of running loss emissions in one of 
the following ways if your engines or equipment are subject to the 
requirements of this section:
    (1) Route running loss emissions into the engine intake system so 
fuel vapors

[[Page 532]]

vented from the tank during engine operation are combusted in the 
engine. This may involve routing vapors through a carbon canister. If 
another company has certified the engine with respect to exhaust 
emissions, state in your application for certification that you have 
followed the engine manufacturer's installation instructions.
    (2) Use a fuel tank that remains sealed under normal operating 
conditions. This may involve a bladder or other means to prevent 
pressurized fuel tanks.
    (3) Get an approved Executive Order from the California Air 
Resources Board showing that your system meets applicable running loss 
standards in California.
    (c) If you are subject to both running loss and diurnal emission 
standards, use good engineering judgment to ensure that the emission 
controls are compatible.



Sec. 1060.105  What diurnal requirements apply for equipment?

    (a) Fuel tanks must meet diurnal emission requirements as follows:
    (1) Marine SI fuel tanks, including engine-mounted fuel tanks and 
portable marine fuel tanks, must meet the requirements related to 
diurnal emissions specified in this section.
    (2) Large SI fuel tanks must meet the requirements related to 
diurnal emissions specified in 40 CFR 1048.105.
    (3) Recreational vehicles are not subject to diurnal emission 
standards.
    (4) Small SI fuel tanks are not subject to diurnal emission 
standards, except as specified in paragraph (e) of this section.
    (b) Diurnal emissions from Marine SI fuel tanks may not exceed 0.40 
g/gal/day when measured using the test procedures specified in Sec. 
1060.525 for general fuel temperatures. An alternative standard of 0.16 
g/gal/day applies for fuel tanks installed in nontrailerable boats when 
measured using the corresponding fuel temperature profile in Sec. 
1060.525. Portable marine fuel tanks are not subject to the requirements 
of this paragraph (b), but must instead comply with the requirements of 
paragraphs (c) and (d) of this section.
    (c) Portable marine fuel tanks and associated fuel-system components 
must meet the following requirements:
    (1) They must be self-sealing when detached from the engines. The 
tanks may not vent to the atmosphere when attached to an engine. An 
integrated or external manually activated device may be included in the 
fuel tank design to temporarily relieve pressure before refueling or 
connecting the fuel tank to the engine. However, the default setting for 
such a vent must be consistent with the requirement in paragraph (c)(2) 
of this section.
    (2) They must remain sealed up to a positive pressure of 24.5 kPa 
(3.5 psig); however, they may contain air inlets that open when there is 
a vacuum pressure inside the tank. Such fuel tanks may not contain air 
outlets that vent to the atmosphere at pressures below 34.5 kPa (5.0 
psig).
    (d) Detachable fuel lines that are intended for use with portable 
marine fuel tanks must have connection points that are self-sealing when 
not attached to the engine or fuel tank.
    (e) Manufacturers of nonhandheld Small SI equipment may optionally 
meet the diurnal emission standards adopted by the California Air 
Resources Board in the Final Regulation Order, Article 1, Chapter 15, 
Division 3, Title 13, California Code of Regulations, July 26, 2004 
(incorporated by reference in Sec. 1060.810). To meet this requirement, 
equipment must be certified to the performance standards specified in 
Title 13 CCR Sec. 2754(a) based on the applicable requirements 
specified in CP-902 and TP-902, including the requirements related to 
fuel caps in Title 13 CCR Sec. 2756. Equipment certified under this 
paragraph (e) does not need to use fuel lines or fuel tanks that have 
been certified separately. Equipment certified under this paragraph (e) 
are subject to all the referenced requirements as if these 
specifications were mandatory.
    (f) The following general provisions apply for controlling diurnal 
emissions:
    (1) If you are subject to both running loss and diurnal emission 
standards, use good engineering judgment to ensure that the emission 
controls are compatible.

[[Page 533]]

    (2) You may not use diurnal emission controls that increase the 
occurrence of fuel spitback or spillage during in-use refueling. Also, 
if you use a carbon canister, you must incorporate design features that 
prevent liquid gasoline from reaching the canister during refueling or 
as a result of fuel sloshing or fuel expansion.
    (3) You must meet the following provisions from ABYC H-25, July 2010 
(incorporated by reference in Sec. 1060.810) with respect to portable 
marine fuel tanks:
    (i) Provide information related to the pressure relief method 
(25.8.2.1 and 25.8.2.1.1).
    (ii) Perform system testing (25.10 through 25.10.5).

[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8427, Feb. 24, 2009; 75 
FR 56482, Sept. 16, 2010]



Sec. 1060.120  What emission-related warranty requirements apply?

    (a) General requirements. The certifying manufacturer must warrant 
to the ultimate purchaser and each subsequent purchaser that the new 
nonroad equipment, including its evaporative emission control system, 
meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least two years from the point of first retail sale.
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase the evaporative emissions, 
including those listed in 40 CFR part 1068, Appendix I, and those from 
any other system you develop to control emissions. Your emission-related 
warranty does not cover components whose failure would not increase 
evaporative emissions.
    (d) Relationships between manufacturers. (1) The emission-related 
warranty required for equipment manufacturers that certify equipment 
must cover all specified components even if another company produces the 
component.
    (2) Where an equipment manufacturer fulfills a warranty obligation 
for a given component, the component manufacturer is deemed to have also 
met that obligation.



Sec. 1060.125  What maintenance instructions must I give to buyers?

    Give ultimate purchasers written instructions for properly 
maintaining and using the emission control system. You may not specify 
any maintenance more frequently than once per year. For example, if you 
produce cold-weather equipment that requires replacement of fuel cap 
gaskets or O-rings, provide clear instructions to the ultimate 
purchaser, including the required replacement interval.



Sec. 1060.130  What installation instructions must I give to equipment manufacturers?

    (a) If you sell a certified fuel-system component for someone else 
to install in equipment, give the installer instructions for installing 
it consistent with the requirements of this part.
    (b) Make sure the instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing 
[IDENTIFY COMPONENT(S)] in a piece of nonroad equipment violates federal 
law (40 CFR 1068.105(b)), subject to fines or other penalties as 
described in the Clean Air Act.''
    (3) Describe any limits on the range of applications needed to 
ensure that the component operates consistently with your application 
for certification. For example:
    (i) For fuel tanks sold without fuel caps, you must specify the 
requirements for the fuel cap, such as the allowable materials, thread 
pattern, how it must seal, etc. You must also include instructions to 
tether the fuel cap as described in Sec. 1060.101(f)(1) if you do not 
sell your fuel tanks with tethered fuel caps.
    (ii) If your fuel lines do not meet permeation standards specified 
in Sec. 1060.102 for EPA Low-Emission Fuel Lines, tell

[[Page 534]]

equipment manufacturers not to install the fuel lines with Large SI 
engines that operate on gasoline or another volatile liquid fuel.
    (4) Describe instructions for installing components so they will 
operate according to design specifications in your application for 
certification. Specify sufficient detail to ensure that the equipment 
will meet the applicable standards when your component is installed.
    (5) If you certify a component with a family emission limit above 
the emission standard, be sure to indicate that the equipment 
manufacturer must have a source of credits to offset the higher 
emissions. Also indicate the applications for which the regulations 
allow for compliance using evaporative emission credits.
    (6) Instruct the equipment manufacturers that they must comply with 
the requirements of Sec. 1060.202.
    (c) You do not need installation instructions for components you 
install in your own equipment.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing, provided you keep a copy of these instructions 
in your records. If you do not provide the instructions in writing, 
explain in your application for certification how you will ensure that 
each installer is informed of the installation requirements.



Sec. 1060.135  How must I label and identify the engines and equipment I produce?

    The labeling requirements of this section apply for all equipment 
manufacturers and for engine manufacturers that certify with respect to 
evaporative emissions. See Sec. 1060.137 for the labeling requirements 
that apply separately for fuel lines, fuel tanks, and other fuel-system 
components.
    (a) You must affix a permanent and legible label identifying each 
engine or piece of equipment before introducing it into U.S. commerce. 
The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine or equipment needed for normal 
operation and not normally requiring replacement.
    (3) Durable and readable for the equipment's entire life.
    (4) Written in English.
    (5) Readily visible in the final installation. It may be under a 
hinged door or other readily opened cover. It may not be hidden by any 
cover attached with screws or any similar designs. Labels on marine 
vessels (except personal watercraft) must be visible from the helm.
    (b) If you hold a certificate for your engine or equipment with 
respect to evaporative emissions, the engine or equipment label 
specified in paragraph (a) of this section must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec. 1060.640.
    (3) State the date of manufacture [MONTH and YEAR] of the equipment; 
however, you may omit this from the label if you stamp or engrave it on 
the equipment.
    (4) State: ``THIS EQUIPMENT [or VEHICLE or BOAT] MEETS U.S. EPA EVAP 
STANDARDS.''
    (5) Identify the certified fuel-system components installed on the 
equipment as described in this paragraph (b)(5). Establish a component 
code for each certified fuel-system component, including those certified 
by other companies. You may use part numbers, certification numbers, or 
any other unique code that you or the certifying component manufacturer 
establish. This identifying information must correspond to printing or 
other labeling on each certified fuel-system component, whether you or 
the component manufacturer certifies the individual component. You may 
identify multiple part numbers if your equipment design might include an 
option to use more than one component design (such as from multiple 
component manufacturers). Use one of the following methods to include 
information on the label that identifies certified fuel-system 
components:

[[Page 535]]

    (i) Use the component codes to identify each certified fuel-system 
component on the label specified in this paragraph (b).
    (ii) Identify the emission family on the label using EPA's 
standardized designation or an abbreviated equipment code that you 
establish in your application for certification. Equipment manufacturers 
that also certify their engines with respect to exhaust emissions may 
use the same emission family name for both exhaust and evaporative 
emissions. If you use the provisions of this paragraph (b)(5)(ii), you 
must identify all the certified fuel-system components and the 
associated component codes in your application for certification. In 
this case the label specified in this paragraph (b) may omit the 
information related to specific fuel-system components.
    (c) If you produce equipment without certifying with respect to 
evaporative emissions, the equipment label specified in paragraph (a) of 
this section must--
    (1) State: ``MEETS U.S. EPA EVAP STANDARDS USING CERTIFIED 
COMPONENTS.''
    (2) Include your corporate name.
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine meets 
or does not meet (such as California standards). You may include this 
information by adding it to the statement we specify or by including a 
separate statement.
    (2) You may add other information to ensure that the engine will be 
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) Anyone subject to the labeling requirements in this part 1060 
may ask us to approve modified labeling requirements if it is necessary 
or appropriate. We will approve the request if the alternate label is 
consistent with the requirements of this part.

[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23026, Apr. 30, 2010]



Sec. 1060.137  How must I label and identify the fuel-system components I produce?

    The requirements of this section apply for manufacturers of fuel-
system components subject to emission standards under this part 1060. 
However, these requirements do not apply if you produce fuel-system 
components that will be covered by a certificate of conformity from 
another company under Sec. 1060.601(f). These requirements also do not 
apply for components you certify if you also certify the equipment in 
which the component is installed and meet the labeling requirements in 
Sec. 1060.135.
    (a) Label the components identified in this paragraph (a), unless 
the components are too small to be properly labeled. Unless we approve 
otherwise, we consider parts large enough to be properly labeled if they 
have space for 12 characters in six-point font (approximately 2 mm x 12 
mm). For these small parts, you may omit the label as long as you 
identify those part numbers in your maintenance and installation 
instructions.
    (1) All fuel tanks, except for metal fuel tanks that are deemed 
certified under Sec. 1060.103(f).
    (2) Fuel lines. This includes primer bulbs unless they are excluded 
from the definition of ``fuel line'' under the standard-setting part. 
Label primer bulbs separately.
    (3) Carbon canisters.
    (4) Fuel caps, as described in this paragraph (a)(4). Fuel caps must 
be labeled if they are separately certified under Sec. 1060.103 or if 
the diurnal control system requires that the fuel tank hold pressure. 
Fuel caps must also be labeled if they are mounted directly on the fuel 
tank, unless the fuel tank is certified based on a worst-case fuel cap.
    (5) Replaceable pressure-relief assemblies. This does not apply if 
the component is integral to the fuel tank or fuel cap.
    (6) Other components we determine to be critical to the proper 
functioning of evaporative emission controls.
    (b) Label your certified fuel-system components at the time of 
manufacture. The label must be--
    (1) Attached so it is not removable without being destroyed or 
defaced.

[[Page 536]]

This may involve printing directly on the product. For molded products, 
you may use the mold to apply the label.
    (2) Durable and readable for the equipment's entire life.
    (3) Written in English.
    (c) Except as specified in paragraph (d) of this section, you must 
create the label specified in paragraph (b) of this section as follows:
    (1) Include your corporate name. You may identify another company 
instead of yours if you comply with the provisions of Sec. 1054.640.
    (2) Include EPA's standardized designation for the emission family.
    (3) State: ``EPA COMPLIANT''.
    (4) Fuel tank labels must identify the FEL, if applicable.
    (5) Fuel line labels must identify the applicable permeation level. 
This may involve any of the following approaches:
    (i) Identify the applicable numerical emission standard (such as 15 
g/m \2\/day).
    (ii) Identify the applicable emission standards using EPA 
classifications (such as EPA Nonroad Fuel Lines).
    (iii) Identify the applicable industry standard specification (such 
as SAE J30 R12).
    (6) Fuel line labels must be continuous, with no more than 12 inches 
before repeating. We will consider labels to be continuous if the space 
between repeating segments is no longer than that of the repeated 
information. You may add a continuous stripe or other pattern to help 
identify the particular type or grade of your products.
    (d) You may create an abbreviated label for your components. Such a 
label may rely on codes to identify the component. The code must at a 
minimum identify the certification status, your corporate name, and the 
emission family. For example, XYZ Manufacturing may label its fuel lines 
as ``EPA-XYZ-A15'' to designate that their ``A15'' family was certified 
to meet EPA's 15 g/m \2\/day standard. If you do this, you must describe 
the abbreviated label in your application for certification and identify 
all the associated information specified in paragraph (c) of this 
section.
    (e) You may ask us to approve modified labeling requirements in this 
section as described in Sec. 1060.135(e).

[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23026, Apr. 30, 2010]



                 Subpart C_Certifying Emission Families



Sec. 1060.201  What are the general requirements for obtaining a certificate of conformity?

    Manufacturers of engines, equipment, or fuel-system components may 
need to certify their products with respect to evaporative emission 
standards as described in Sec. Sec. 1060.1 and 1060.601. See Sec. 
1060.202 for requirements related to certifying with respect to the 
requirements specified in Sec. 1060.101(f). The following general 
requirements apply for obtaining a certificate of conformity:
    (a) You must send us a separate application for a certificate of 
conformity for each emission family. A certificate of conformity for 
equipment is valid starting with the indicated effective date but it is 
not valid for any production after December 31 of the model year for 
which it is issued. No certificate will be issued after December 31 of 
the model year. A certificate of conformity for a component is valid 
starting with the indicated effective date but it is not valid for any 
production after the end of the production period for which it is 
issued.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec. 1060.255).
    (c) We may ask you to include less information than we specify in 
this subpart as long as you maintain all the information required by 
Sec. 1060.250. For example, equipment manufacturers might use only 
components that are certified by other companies to meet applicable 
emission standards, in which case we would not require submission of 
emission data already submitted by the component manufacturer.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.

[[Page 537]]

    (f) See Sec. 1060.255 for provisions describing how we will process 
your application.
    (g) We may specify streamlined procedures for small-volume equipment 
manufacturers.



Sec. 1060.202  What are the certification requirements related to the 

general standards in Sec. 1060.101?

    Equipment manufacturers must ensure that their equipment is 
certified with respect to the general standards specified in Sec. 
1060.101(f) as follows:
    (a) If Sec. 1060.5 requires you to certify your equipment to any of 
the emission standards specified in Sec. Sec. 1060.102 through 
1060.105, describe in your application for certification how you will 
meet the general standards specified in Sec. 1060.101(f).
    (b) If Sec. 1060.5 does not require you to certify your equipment 
to any of the emission standards specified in Sec. Sec. 1060.102 
through 1060.105, your equipment is deemed to be certified with respect 
to the general standards specified in Sec. 1060.101(f) if you design 
and produce your equipment to meet those standards.
    (1) You must keep records as described in Sec. 1060.210. The other 
provisions of this part for certificate holders apply only as specified 
in Sec. 1060.5.
    (2) Your equipment is deemed to be certified only to the extent that 
it meets the general standards in Sec. 1060.101(f). Thus, it is a 
violation of 40 CFR 1068.101(a)(1) to introduce into U.S. commerce such 
equipment that does not meet applicable requirements under Sec. 
1060.101(f).
    (c) Instead of relying on paragraph (b) of this section, you may 
submit an application for certification and obtain a certificate from 
us. The provisions of this part apply in the same manner for 
certificates issued under this paragraph (c) as for any other 
certificate issued under this part.



Sec. 1060.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec. 
1060.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the emission family's specifications and other basic 
parameters of the emission controls. Describe how you meet the running 
loss emission control requirements in Sec. 1060.104, if applicable. 
Describe how you meet any applicable equipment-based requirements of 
Sec. 1060.101(e) and (f). State whether you are requesting 
certification for gasoline or some other fuel type. List each 
distinguishable configuration in the emission family.
    (b) Describe the products you selected for testing and the reasons 
for selecting them.
    (c) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec. 
1060.501).
    (d) List the specifications of the test fuel to show that it falls 
within the required ranges specified in subpart F of this part.
    (e) State the equipment applications to which your certification is 
limited. For example, if your fuel system meets the emission 
requirements of this part applicable only to handheld Small SI 
equipment, state that the requested certificate would apply only for 
handheld Small SI equipment.
    (f) Identify the emission family's useful life.
    (g) Include the maintenance instructions you will give to the 
ultimate purchaser of each new nonroad engine (see Sec. 1060.125).
    (h) Include the emission-related installation instructions you will 
provide if someone else will install your component in a piece of 
nonroad equipment (see Sec. 1060.130).
    (i) Describe your emission control information label (see Sec. Sec. 
1060.135 and 1060.137).
    (j) Identify the emission standards or FELs to which you are 
certifying the emission family.
    (k) Present emission data to show your products meet the applicable 
emission standards. Note that Sec. Sec. 1060.235 and 1060.240 allow you 
to submit an application in certain cases without new emission data.
    (l) State that your product was tested as described in the 
application (including the test procedures, test parameters, and test 
fuels) to show you meet the requirements of this part. If

[[Page 538]]

you did not do the testing, identify the source of the data.
    (m) Report all test results, including those from invalid tests, 
whether or not they were conducted according to the test procedures of 
subpart F of this part. We may ask you to send other information to 
confirm that your tests were valid under the requirements of this part.
    (n) Unconditionally certify that all the products in the emission 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (o) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes if 
they are substantially different than actual production volumes in 
earlier years for similar models.
    (p) Include other applicable information, such as information 
required by other subparts of this part.
    (q) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.



Sec. 1060.210  What records should equipment manufacturers keep if they 

do not apply for certification?

    If you are an equipment manufacturer that does not need to obtain a 
certificate of conformity for your equipment as described in Sec. 
1060.5, you must keep the records specified in this section to document 
compliance with applicable requirements. We may review these records at 
any time. If we ask, you must send us these records within 30 days. You 
must keep these records for eight years from the end of the model year.
    (a) Identify your equipment models and the annual U.S.-directed 
production volumes for each model.
    (b) Identify the emission family names of the certificates that will 
cover your equipment, the part numbers of those certified components, 
and the names of the companies that hold the certificates. You must be 
able to identify this information for each piece of equipment you 
produce.
    (c) Describe how you comply with any emission-related installation 
instructions, labeling requirements, and the general standards in Sec. 
1060.101(e) and (f).



Sec. 1060.225  How do I amend my application for certification?

    Before we issue a certificate of conformity, you may amend your 
application to include new or modified configurations, subject to the 
provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add a configuration to an emission family. In this case, the 
configuration added must be consistent with other configurations in the 
emission family with respect to the criteria listed in Sec. 1060.230.
    (2) Change a configuration already included in an emission family in 
a way that may affect emissions, or change any of the components you 
described in your application for certification. This includes 
production and design changes that may affect emissions any time during 
the equipment's lifetime.
    (3) Modify an FEL for an emission family as described in paragraph 
(f) of this section. Note however that component manufacturers may not 
modify an FEL for their products unless they submit a separate 
application for a new emission family.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the configuration 
you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
emission family complies with all applicable requirements. You may do 
this by showing that the original emission

[[Page 539]]

data are still appropriate for showing that the amended family complies 
with all applicable requirements.
    (3) If the original emission data for the emission family are not 
appropriate to show compliance for the new or modified configuration, 
include new test data showing that the new or modified configuration 
meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. Within 
30 days after we make our request, you must provide the information or 
describe your plan for providing it in a timely manner.
    (d) For emission families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified configuration. You may ask for a 
hearing if we deny your request (see Sec. 1060.820).
    (e) For emission families already covered by a certificate of 
conformity, you may start producing the new or modified configuration 
anytime after you send us your amended application and before we make a 
decision under paragraph (d) of this section. However, if we determine 
that the affected configurations do not meet applicable requirements, we 
will notify you to cease production of the configurations and may 
require you to recall the equipment at no expense to the owner. Choosing 
to produce equipment under this paragraph (e) is deemed to be consent to 
recall all equipment that we determine do not meet applicable emission 
standards or other requirements and to remedy the nonconformity at no 
expense to the owner. If you do not provide information we request under 
paragraph (c) of this section within 30 days after we request it, you 
must stop producing the new or modified equipment.
    (f) If you hold a certificate of conformity for equipment and you 
have certified the fuel tank that you install in the equipment, you may 
ask us to approve a change to your FEL after the start of production. 
The changed FEL may not apply to equipment you have already introduced 
into U.S. commerce, except as described in this paragraph (f). If we 
approve a changed FEL after the start of production, you must identify 
the date or serial number for applying the new FEL. If you identify this 
by month and year, we will consider that a lowered FEL applies on the 
last day of the month and a raised FEL applies on the first day of the 
month. You may ask us to approve a change to your FEL in the following 
cases:
    (1) You may ask to raise your FEL for your emission family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in the exhaust standard-setting 
part. If you amend your application by submitting new test data to 
include a newly added or modified fuel tank configuration, as described 
in paragraph (b)(3) of this section, use the appropriate FELs with 
corresponding production volumes to calculate your production-weighted 
average FEL for the model year. In all other circumstances, you must use 
the higher FEL for the entire family to calculate your production-
weighted average FEL under subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if 
you have test data from production units showing that emissions are 
below the proposed lower FEL. The lower FEL applies only for units you 
produce after we approve the new FEL. Use the appropriate FELs with 
corresponding production volumes to calculate your production-weighted 
average FEL for the model year.
    (g) Component manufacturers may not change an emission family's FEL 
under any circumstances. Changing the FEL would require submission of a 
new application for certification.



Sec. 1060.230  How do I select emission families?

    (a) For purposes of certification, divide your product line into 
families of equipment (or components) that are expected to have similar 
emission characteristics throughout their useful life.
    (b) Group fuel lines into the same emission family if they are the 
same in all the following aspects:
    (1) Type of material including barrier layer.
    (2) Production method.
    (3) Types of connectors and fittings (material, approximate wall 
thickness, etc.) for fuel line assemblies certified together.

[[Page 540]]

    (c) Group fuel tanks (or fuel systems including fuel tanks) into the 
same emission family if they are the same in all the following aspects:
    (1) Type of material, including any pigments, plasticizers, UV 
inhibitors, or other additives that are expected to affect control of 
emissions.
    (2) Production method.
    (3) Relevant characteristics of fuel cap design for fuel systems 
subject to diurnal emission requirements.
    (4) Gasket material.
    (5) Emission control strategy.
    (6) Family emission limit, if applicable.
    (d) Group other fuel-system components and equipment into the same 
emission family if they are the same in all the following aspects:
    (1) Emission control strategy and design.
    (2) Type of material (such as type of charcoal used in a carbon 
canister). This criteria does not apply for materials that are unrelated 
to emission control performance.
    (3) The fuel systems meet the running loss emission standard based 
on the same type of compliance demonstration specified in Sec. 
1060.104(b), if applicable.
    (e) You may subdivide a group of equipment or components that are 
identical under paragraphs (b) through (d) of this section into 
different emission families if you show the expected emission 
characteristics are different during the useful life.
    (f) In unusual circumstances, you may group equipment or components 
that are not identical with respect to the things listed in paragraph 
(b) through (d) of this section into the same emission family if you 
show that their emission characteristics during the useful life will be 
similar. The provisions of this paragraph (f) do not exempt any engines 
or equipment from meeting all the applicable standards and requirements 
in subpart B of this part.
    (g) Emission families may include components used in multiple 
equipment categories. Such families are covered by a single certificate. 
For example, a single emission family may contain fuel tanks used in 
both Small SI equipment and Marine SI vessels.



Sec. 1060.235  What emission testing must I perform for my application for

a certificate of conformity?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in subpart B of this part.
    (a) Test your products using the procedures and equipment specified 
in subpart F of this part.
    (b) Select an emission-data unit from each emission family for 
testing. If you are certifying with a family emission limit, you must 
test at least three emission-data units. In general, you must test a 
preproduction product that will represent actual production. However, 
for fuel tank permeation, you may test a tank with standardized geometry 
provided that it is made of the same material(s) and appropriate wall 
thickness. In general, the test procedures specify that components or 
systems be tested rather than complete equipment. For example, to 
certify your family of Small SI equipment, you would need to test a 
sample of fuel line for permeation emissions and a fuel tank for 
permeation emissions. Note that paragraph (e) of this section and Sec. 
1060.240 allow you in certain circumstances to certify without testing 
an emission-data unit from the emission family. Select test components 
that are most likely to exceed (or have emissions nearer to) the 
applicable emission standards as follows:
    (1) For fuel tanks, consider the following factors associated with 
higher emission levels:
    (i) Smallest average wall thickness (or barrier thickness, as 
appropriate).
    (ii) Greatest extent of pinch welds for tanks using barrier 
technologies.
    (iii) Greatest relative area of gasket material, especially if 
gaskets are made of high-permeation materials.
    (2) For fuel lines, consider the following factors associated with 
higher emission levels:
    (i) Smallest average wall thickness (or barrier thickness, as 
appropriate).
    (ii) Smallest inner diameter.
    (c) You may not do maintenance on emission-data units.
    (d) We may measure emissions from any of your products from the 
emission family, as follows:

[[Page 541]]

    (1) You must supply your products to us if we choose to perform 
confirmatory testing.
    (2) If we measure emissions on one of your products, the results of 
that testing become the official emission results for the emission 
family. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your emission family meets 
applicable requirements.
    (e) You may ask to use carryover emission data from a previous 
production period instead of doing new tests, but only if all the 
following are true:
    (1) The emission family from the previous production period differs 
from the current emission family only with respect to production period 
or other characteristics unrelated to emissions. You may also ask to add 
a configuration subject to Sec. 1060.225.
    (2) The emission-data unit from the previous production period 
remains the appropriate emission-data unit under paragraph (b) of this 
section. For example, you may not carryover emission data for your 
family of nylon fuel tanks if you have added a thinner-walled fuel tank 
than was tested previously.
    (3) The data show that the emission-data unit would meet all the 
requirements that apply to the emission family covered by the 
application for certification.
    (f) We may require you to test another unit of the same or different 
configuration in addition to the unit(s) tested under paragraph (b) of 
this section.
    (g) If you use an alternate test procedure under Sec. 1060.505, and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in this part, we may reject data 
you generated using the alternate procedure.



Sec. 1060.240  How do I demonstrate that my emission family complies with 

evaporative emission standards?

    (a) For purposes of certification, your emission family is 
considered in compliance with an evaporative emission standard in 
subpart B of this part if you do either of the following:
    (1) You have test results showing a certified emission level from 
the fuel tank or fuel line (as applicable) in the family are at or below 
the applicable standard.
    (2) You comply with design specifications as specified in paragraphs 
(d) through (f) of this section.
    (b) Your emission family is deemed not to comply if any fuel tank or 
fuel line representing that family has an official emission result above 
the standard.
    (c) Round each official emission result to the same number of 
decimal places as the emission standard.
    (d) You may demonstrate for certification that your emission family 
complies with the fuel tank permeation standards specified in Sec. 
1060.103 with any of the following control technologies:
    (1) A coextruded high-density polyethylene fuel tank with a 
continuous ethylene vinyl alcohol barrier layer (with not more than 40 
molar percent ethylene) making up at least 2 percent of the fuel tank's 
overall wall thickness with any of the following gasket and fuel-cap 
characteristics:
    (i) No nonmetal gaskets or fuel caps.
    (ii) All nonmetal gaskets and fuel caps made from low-permeability 
materials.
    (iii) Nonmetal gaskets and fuel caps that are not made from low-
permeability materials up to the following limits:
    (A) Gaskets with a total exposed surface area less than 0.25 percent 
of the total inside surface area of the fuel tank. For example, a fuel 
tank with an inside surface area of 0.40 square meters may use high-
permeation gasket material representing a surface area of up to 1,000 
mm\2\ (0.25% x \1/100\ x 0.40 m\2\ x 1,000,000 mm\2\/m\2\). Determine 
surface area based on the amount of material exposed to liquid fuel.
    (B) Fuel caps directly mounted to the fuel tank with the surface 
area of the fuel cap less than 3.0 percent of the total inside surface 
area of the fuel tank. Use the smallest inside cross-sectional area of 
the opening on which the cap is mounted as the fuel cap's surface area.
    (2) A metal fuel tank with the gasket and fuel-cap characteristics 
meeting the specifications in paragraphs (d)(1)(i) through (iii) of this 
section.

[[Page 542]]

    (e) You may demonstrate for certification that your emission family 
complies with the diurnal emission standards specified in Sec. 1060.105 
with any of the following control technologies:
    (1) A Marine SI fuel tank sealed up to a positive pressure of 7.0 
kPa (1.0 psig); however, the fuel tank may contain air inlets that open 
when there is a vacuum pressure inside the tank.
    (2) A Marine SI fuel tank equipped with a passively purged carbon 
canister that meets the requirements of this paragraph (e)(2). The 
carbon must adsorb no more than 0.5 grams of water per gram of carbon at 
90% relative humidity and a temperature of 255 
[deg]C. The carbon granules must have a minimum mean diameter of 3.1 mm 
based on the procedures in ASTM D2862 (incorporated by reference in 
Sec. 1060.810). The carbon must also pass a dust attrition test based 
on ASTM D3802 (incorporated by reference in Sec. 1060.810), except that 
hardness is defined as the ratio of mean particle diameter before and 
after the test and the procedure must involve twenty \1/2\-inch steel 
balls and ten \3/4\-inch steel balls. Use good engineering judgment in 
the structural design of the carbon canister. The canister must have a 
volume compensator or some other device to prevent the carbon pellets 
from moving within the canister as a result of vibration or changing 
temperature. The canister must have a minimum working capacity as 
follows:
    (i) You may use the measurement procedures specified by the 
California Air Resources Board in Attachment 1 to TP-902 to show that 
canister working capacity is least 3.6 grams of vapor storage capacity 
per gallon of nominal fuel tank capacity (or 1.4 grams of vapor storage 
capacity per gallon of nominal fuel tank capacity for fuel tanks used in 
nontrailerable boats). TP-902 is part of Final Regulation Order, Article 
1, Chapter 15, Division 3, Title 13, California Code of Regulations, 
July 26, 2004 as adopted by the California Air Resources Board 
(incorporated by reference in Sec. 1060.810).
    (ii) You may produce canisters with a minimum carbon volume of 0.040 
liters per gallon of nominal fuel tank capacity (or 0.016 liters per 
gallon for fuel tanks used in nontrailerable boats). The carbon canister 
must have a minimum effective length-to-diameter ratio of 3.5 and the 
vapor flow must be directed with the intent of using the whole carbon 
bed. The carbon must have a minimum carbon working capacity of 90 grams 
per liter.
    (f) We may establish additional design certification options where 
we find that new test data demonstrate that the use of a different 
technology design will ensure compliance with the applicable emission 
standards.
    (g) You may not establish a family emission limit below the emission 
standard for components certified based on design specifications under 
this section even if actual emission rates are much lower.



Sec. 1060.250  What records must I keep?

    (a) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec. 1060.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data unit. For each emission 
data unit, include all of the following:
    (i) The emission-data unit's construction, including its origin and 
buildup, steps you took to ensure that it represents production 
equipment, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) All your emission tests, including documentation on routine and 
standard tests, and the date and purpose of each test.
    (iii) All tests to diagnose emission control performance, giving the 
date and time of each and the reasons for the test.
    (iv) Any other significant events.
    (4) Annual production figures for each emission family divided by 
assembly plant.
    (5) Keep a list of equipment identification numbers for all the 
equipment you produce under each certificate of conformity.
    (b) Keep required data from routine emission tests (such as 
temperature measurements) for one year after we issue the associated 
certificate of conformity. Keep all other information

[[Page 543]]

specified in paragraph (a) of this section for eight years after we 
issue your certificate.
    (c) Store these records in any format and on any media as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.



Sec. 1060.255  What decisions may EPA make regarding my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
emission family meets all the requirements of this part and the Clean 
Air Act, we will issue a certificate of conformity for your emission 
family for that production period. We may make the approval subject to 
additional conditions.
    (b) We may deny your application for certification if we determine 
that your emission family fails to comply with emission standards or 
other requirements of this part or the Clean Air Act. We will base our 
decision on all available information. If we deny your application, we 
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce equipment or components for importation into the United 
States at a location where local law prohibits us from carrying out 
authorized activities.
    (6) Fail to supply requested information or amend your application 
to include all equipment or components being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information when we ask for it.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec. 1060.820).



                Subpart D_Production Verification Testing



Sec. 1060.301  Manufacturer testing.

    (a) Using good engineering judgment, you must evaluate production 
samples to verify that equipment or components you produce are as 
specified in the certificate of conformity. This may involve testing 
using certification procedures or other measurements.
    (b) You must give us records to document your evaluation if we ask 
for them.



Sec. 1060.310  Supplying products to EPA for testing.

    Upon our request, you must supply a reasonable number of production 
samples to us for verification testing.



                        Subpart E_In-use Testing



Sec. 1060.401  General Provisions.

    We may perform in-use testing of any equipment or fuel-system 
components subject to the standards of this part.



                        Subpart F_Test Procedures



Sec. 1060.501  General testing provisions.

    (a) This subpart is addressed to you as a certifying manufacturer 
but it applies equally to anyone who does testing for you.
    (b) Unless we specify otherwise, the terms ``procedures'' and ``test 
procedures'' in this part include all aspects of testing, including the 
equipment specifications, calibrations, calculations, and other 
protocols and procedural specifications needed to measure emissions.
    (c) The specification for gasoline to be used for testing is given 
in 40 CFR

[[Page 544]]

1065.710. Use the grade of gasoline specified for general testing. For 
testing specified in this part that requires a blend of gasoline and 
ethanol, blend this grade of gasoline with fuel-grade ethanol meeting 
the specifications of ASTM D4806 (incorporated by reference in Sec. 
1060.810). You do not need to measure the ethanol concentration of such 
blended fuels and may instead calculate the blended composition by 
assuming that the ethanol is pure and mixes perfectly with the base 
fuel. For example, if you mix 10.0 liters of fuel-grade ethanol with 
90.0 liters of gasoline, you may assume the resulting mixture is 10.0 
percent ethanol. You may use more or less pure ethanol if you can 
demonstrate that it will not affect your ability to demonstrate 
compliance with the applicable emission standards. Note that unless we 
specify otherwise, any references to gasoline-ethanol mixtures 
containing a specified ethanol concentration means mixtures meeting the 
provisions of this paragraph (c).
    (d) Accuracy and precision of all temperature measurements must be 
1.0 [deg]C or better. If you use multiple sensors 
to measure differences in temperature, calibrate the sensors so they 
will be within 0.5 [deg]C of each other when they are in thermal 
equilibrium at a point within the range of test temperatures (use the 
starting temperature in Table 1 to Sec. 1060.525 unless this is not 
feasible).
    (e) Accuracy and precision of mass balances must be sufficient to 
ensure accuracy and precision of two percent or better for emission 
measurements for products at the maximum level allowed by the standard. 
The readability of the display may not be coarser than half of the 
required accuracy and precision. Examples are shown in the following 
table for a digital readout:

----------------------------------------------------------------------------------------------------------------
                                          Example 1       Example 2       Example 3
----------------------------------------------------------------------------------------------------------------
Applicable standard..................  1.5 g/m\2\/day.........  1.5 g/m\2\/day.........  15 g/m\2\/day.
Internal surface area................  1.15 m\2\..............  0.47 m\2\..............  0.015 m\2\.
Length of test.......................  14.0 days..............  14.0 days..............  14.1 days.
Maximum allowable mass change........  24.15 g................  9.87 g.................  3.173 g.
Required accuracy and precision......  0.483 g or better.    eq>0.197 g or better.    eq>0.0635 g or better.
Required readability.................  0.1 g or better........  0.1 g or better........  0.01 g or better.
----------------------------------------------------------------------------------------------------------------


[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8427, Feb. 24, 2009]



Sec. 1060.505  Other procedures.

    (a) Your testing. The procedures in this part apply for all testing 
you do to show compliance with emission standards, with certain 
exceptions listed in this section.
    (b) Our testing. These procedures generally apply for testing that 
we do to determine if your equipment complies with applicable emission 
standards. We may perform other testing as allowed by the Clean Air Act.
    (c) Exceptions. We may allow or require you to use procedures other 
than those specified in this part in the following cases:
    (1) You may request to use special procedures if your equipment 
cannot be tested using the specified procedures. We will approve your 
request if we determine that it would produce emission measurements that 
represent in-use operation and we determine that it can be used to show 
compliance with the requirements of the standard-setting part.
    (2) You may ask to use emission data collected using other 
procedures, such as those of the California Air Resources Board or the 
International Organization for Standardization. We will approve this 
only if you show us that using these other procedures does not affect 
your ability to show compliance with the applicable emission standards. 
This generally requires emission levels to be far enough below the 
applicable emission standards so any test differences do not affect your 
ability to state unconditionally that your equipment will meet all 
applicable emission standards when tested using the specified test 
procedures.
    (3) You may request to use alternate procedures that are equivalent 
to allowed procedures or are more accurate

[[Page 545]]

or more precise than allowed procedures. See 40 CFR 1065.12 for a 
description of the information that is generally required to show that 
an alternate test procedure is equivalent.
    (4) The test procedures are specified for gasoline-fueled equipment. 
If your equipment will use another volatile liquid fuel instead of 
gasoline, use a test fuel that is representative of the fuel that will 
be used with the equipment in use. You may ask us to approve other 
changes to the test procedures to reflect the effects of using a fuel 
other than gasoline.
    (d) Approval. If we require you to request approval to use other 
procedures under paragraph (c) of this section, you may not use them 
until we approve your request.



Sec. 1060.510  How do I test EPA Low-Emission Fuel Lines for permeation emissions?

    For EPA Low-Emission Fuel Lines, measure emissions according to SAE 
J2260, which is incorporated by reference in Sec. 1060.810.

[74 FR 8427, Feb. 24, 2009]



Sec. 1060.515  How do I test EPA Nonroad Fuel Lines and EPA Cold-Weather Fuel Lines

for permeation emissions?

    Measure emission as follows for EPA Nonroad Fuel Lines and EPA Cold-
Weather Fuel Lines:
    (a) Prior to permeation testing, use good engineering judgment to 
precondition the fuel line by filling it with the fuel specified in this 
paragraph (a), sealing the openings, and soaking it for at least four 
weeks at 43 5 [deg]C or eight weeks at 23  5 [deg]C.
    (1) For EPA Nonroad Fuel Lines, use Fuel CE10, which is Fuel C as 
specified in ASTM D471 (incorporated by reference in Sec. 1060.810) 
blended with ethanol such that the blended fuel has 10.0  1.0 percent ethanol by volume.
    (2) For EPA Cold-Weather Fuel Lines, use gasoline blended with 
ethanol such that the blended fuel has 10.0  1.0 
percent ethanol by volume.
    (b) Drain the fuel line and refill it immediately with the fuel 
specified in paragraph (a) of this section. Be careful not to spill any 
fuel.
    (c) Measure fuel line permeation emissions using the equipment and 
procedures for weight-loss testing specified in SAE J30 or SAE J1527 
(incorporated by reference in Sec. 1060.810). Start the measurement 
procedure within 8 hours after draining and refilling the fuel line. 
Perform the emission test over a sampling period of 14 days. Determine 
your final emission result based on the highest measured valued over the 
14-day period.
    (d) Use good engineering judgment to test fuel line segments with 
short length or narrow inner diameter. For example, size the fuel 
reservoir appropriately for the tested fuel line and take steps to 
eliminate air bubbles from narrow-diameter fuel lines.

[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8427, Feb. 24, 2009; 75 
FR 23027, Apr. 30, 2010]



Sec. 1060.520  How do I test fuel tanks for permeation emissions?

    Measure permeation emissions by weighing a sealed fuel tank before 
and after a temperature-controlled soak.
    (a) Preconditioning durability testing. Take the following steps 
before an emission test, in any order, if your emission control 
technology involves surface treatment or other post-processing 
treatments such as an epoxy coating:
    (1) Pressure cycling. Perform a pressure test by sealing the tank 
and cycling it between +13.8 and -1.7 kPa (+2.0 and -0.5 psig) for 
10,000 cycles at a rate of 60 seconds per cycle. The purpose of this 
test is to represent environmental wall stresses caused by pressure 
changes and other factors (such as vibration or thermal expansion). If 
your tank cannot be tested using the pressure cycles specified by this 
paragraph (a)(1), you may ask to use special test procedures under Sec. 
1060.505.
    (2) UV exposure. Perform a sunlight-exposure test by exposing the 
tank to an ultraviolet light of at least 24 W/m\2\ (0.40 W-hr/m\2\/min) 
on the tank surface for at least 450 hours. Alternatively, the fuel tank 
may be exposed to direct natural sunlight for an equivalent period of 
time as long as you ensure that the tank is exposed to at least 450 
daylight hours.
    (3) Slosh testing. Perform a slosh test by filling the tank to 40-50 
percent of

[[Page 546]]

its capacity with the fuel specified in paragraph (e) of this section 
and rocking it at a rate of 15 cycles per minute until you reach one 
million total cycles. Use an angle deviation of +15[deg] to -15[deg] 
from level.
    (4) Cap testing. Perform durability cycles on fuel caps intended for 
use with handheld equipment by putting the fuel cap on and taking it off 
300 times. Tighten the fuel cap each time in a way that represents the 
typical in-use experience.
    (b) Preconditioning fuel soak. Take the following steps before an 
emission test:
    (1) Fill the tank with the fuel specified in paragraph (e) of this 
section, seal it, and allow it to soak at 28 5 
[deg]C for at least 20 weeks. Alternatively, the tank may be soaked for 
at least 10 weeks at 435 [deg]C. You may count the 
time of the preconditioning steps in paragraph (a) of this section as 
part of the preconditioning fuel soak as long as the ambient temperature 
remains within the specified temperature range and the fuel tank is at 
least 40 percent full; you may add or replace fuel as needed to conduct 
the specified durability procedures.
    (2) Empty the fuel tank and immediately refill it with the specified 
test fuel to its nominal capacity. Be careful not to spill any fuel.
    (3) [Reserved]
    (4) Allow the tank and its contents to equilibrate to the 
temperatures specified in paragraph (d)(7) of this section. Seal the 
fuel tank as described in paragraph (b)(5) of this section once the fuel 
temperatures are stabilized at the test temperature. You must seal the 
tank no more than eight hours after refueling. Until the fuel tank is 
sealed, take steps to minimize the vapor losses from the fuel tank, such 
as keeping the fuel cap loose on the fuel inlet or routing vapors 
through a vent hose.
    (5) Seal the fuel tank as follows:
    (i) If fuel tanks are designed for use with a filler neck such that 
the fuel cap is not directly mounted on the fuel tank, you may seal the 
fuel inlet with a nonpermeable covering.
    (ii) If fuel tanks are designed with fuel caps directly mounted on 
the fuel tank, take one of the following approaches:
    (A) Use a production fuel cap expected to have permeation emissions 
at least as high as the highest-emitting fuel cap that you expect to be 
used with fuel tanks from the emission family. It would generally be 
appropriate to consider an HDPE fuel cap with a nitrile rubber seal to 
be worst-case.
    (B) You may seal the fuel inlet with a nonpermeable covering if you 
separately account for permeation emissions from the fuel cap. This may 
involve a separate measurement of permeation emissions from a worst-case 
fuel cap as described in Sec. 1060.521. This may also involve 
specifying a worst-case Family Emission Limit based on separately 
certified fuel caps as described in Sec. 1060.103(e).
    (C) If you use or specify a fuel gasket made of low-permeability 
material, you may seal the fuel inlet with a nonpermeable covering and 
calculate an emission rate for the complete fuel tank using a default 
value of 30 g/m\2\/day for the fuel cap (or 50 g/m\2\/day for testing at 
40 [deg]C). Use the smallest inside cross-sectional area of the opening 
on which the cap is mounted as the fuel cap's surface area.
    (iii) Openings that are not normally sealed on the fuel tank (such 
as hose-connection fittings and vents in fuel caps) may be sealed using 
nonpermeable fittings such as metal or fluoropolymer plugs.
    (iv) Openings for petcocks that are designed for draining fuel may 
be sealed using nonpermeable fittings such as metal or fluoropolymer 
plugs.
    (v) Openings for grommets may be sealed using nonpermeable fittings 
such as metal or fluoropolymer plugs.
    (vi) Rather than sealing a fuel tank with nonpermeable fittings, you 
may produce a fuel tank for testing without machining or stamping those 
holes.
    (c) Reference tank. A reference tank is required to correct for 
buoyancy effects that may occur during testing. Prepare the reference 
tank as follows:
    (1) Obtain a second tank that is identical to the test tank. You may 
not use a tank that has previously contained fuel or any other contents 
that might affect its mass stability.
    (2) Fill the reference tank with enough glass beads (or other inert 
material) so the mass of the reference

[[Page 547]]

tank is approximately the same as the test tank when filled with fuel. 
Considering the performance characteristics of your balance, use good 
engineering judgment to determine how similar the mass of the reference 
tank needs to be to the mass of the test tank.
    (3) Ensure that the inert material is dry.
    (4) Seal the tank.
    (d) Permeation test run. To run the test, take the following steps 
after preconditioning:
    (1) Determine the fuel tank's internal surface area in square-
meters, accurate to at least three significant figures. You may use less 
accurate estimates of the surface area if you make sure not to 
overestimate the surface area.
    (2) Weigh the sealed test tank and record the weight. Place the 
reference tank on the balance and tare it so it reads zero. Place the 
sealed test tank on the balance and record the difference between the 
test tank and the reference tank. This value is Mo. Take this 
measurement directly after sealing the test tank as specified in 
paragraphs (b)(4) and (5) of this section.
    (3) Carefully place the tank within a temperature-controlled room or 
enclosure. Do not spill or add any fuel.
    (4) Close the room or enclosure as needed to control temperatures 
and record the time. However, you may need to take steps to prevent an 
accumulation of hydrocarbon vapors in the room or enclosure that might 
affect the degree to which fuel permeates through the fuel tank. This 
might simply involve passive ventilation to allow fresh air exchanges.
    (5) Ensure that the measured temperature in the room or enclosure 
stays within the temperatures specified in paragraph (d)(6) of this 
section.
    (6) Leave the tank in the room or enclosure for the duration of the 
test run.
    (7) Hold the temperature of the room or enclosure at 28  2 [deg]C; measure and record the temperature at least 
daily. You may alternatively hold the temperature of the room or 
enclosure at 40  2 [deg]C to demonstrate 
compliance with the alternative standards specified in Sec. 
1060.103(b).
    (8) Measure weight loss daily by retaring the balance using the 
reference tank and weighing the sealed test tank. Calculate the 
cumulative weight loss in grams for each measurement. Calculate the 
coefficient of determination, r\2\, based on a linear plot of cumulative 
weight loss vs. test days. Use the equation in 40 CFR 1065.602(k), with 
cumulative weight loss represented by yi and cumulative time 
represented by yref. The daily measurements must be at 
approximately the same time each day. You may omit up to two daily 
measurements in any seven-day period. Test for ten full days, then 
determine when to stop testing as follows:
    (i) You may stop testing after the measurement on the tenth day if 
r\2\ is at or above 0.95 or if the measured value is less than 50 
percent of the applicable standard. (Note that if a Family Emission 
Limit applies for the family, it is considered to be the applicable 
standard for that family.) This means that if you stop testing with an 
r\2\ below 0.95, you may not use the data to show compliance with a 
Family Emission Limit less than twice the measured value.
    (ii) If after ten days of testing your r\2\ value is below 0.95 and 
your measured value is more than 50 percent of the applicable standard, 
continue testing for a total of 20 days or until r\2\ is at or above 
0.95. If r\2\ is not at or above 0.95 within 20 days of testing, 
discontinue the test and precondition the fuel tank further until it has 
stabilized emission levels, then repeat the testing.
    (9) Record the difference in mass between the reference tank and the 
test tank for each measurement. This value is Mi, where i is 
a counter representing the number of days elapsed. Subtract 
Mi from Mo and divide the difference by the 
internal surface area of the fuel tank. Divide this g/m\2\ value by the 
number of test days (using at least two decimal places) to calculate the 
emission rate in g/m\2\/day. Example: If a tank with an internal surface 
area of 0.720 m\2\ weighed 1.31 grams less than the reference tank at 
the beginning of the test and weighed 9.86 grams less than the reference 
tank after soaking for 10.03 days, the emission rate would be--

((-1.31 g) - (-9.82 g))/0.720 m\2\/10.03 days = 1.1784 g/m\2\/day


[[Page 548]]


    (10) Determine your final emission result based on the cumulative 
weight loss measured on the final day of testing. Round this result to 
the same number of decimal places as the emission standard.
    (e) Fuel specifications. Use gasoline blended with ethanol such that 
the blended fuel has 10.0  1.0 percent ethanol by 
volume as specified in Sec. 1060.501. As an alternative, you may use 
Fuel CE10, as described in Sec. 1060.515(a)(1).
    (f) Flow chart. The following figure presents a flow chart for the 
permeation testing described in this section:

[[Page 549]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.078


[[Page 550]]



[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23027, Apr. 30, 2010]



Sec. 1060.521  How do I test fuel caps for permeation emissions?

    If you measure a fuel tank's permeation emissions with a 
nonpermeable covering in place of the fuel cap under Sec. 
1060.520(b)(5)(ii)(B), you must separately measure permeation emissions 
from a fuel cap. You may show that your fuel tank and fuel cap meet 
emission standards by certifying them separately or by combining the 
separate measurements into a single emission rate based on the relative 
surface areas of the fuel tank and fuel cap. However, you may not 
combine these emission measurements if you test the fuel cap at a 
nominal temperature of 28 [deg]C and you test the fuel tank at 40 
[deg]C. Measure the fuel cap's permeation emissions as follows:
    (a) Select a fuel cap expected to have permeation emissions at least 
as high as the highest-emitting fuel cap that you expect to be used with 
fuel tanks from the emission family. Include a gasket that represents 
production models. If the fuel cap includes vent paths, seal these vents 
as follows:
    (1) If the vent path is through grooves in the gasket, you may use 
another gasket with no vent grooves if it is otherwise the same as a 
production gasket.
    (2) If the vent path is through the cap, seal any vents for testing.
    (b) Attach the fuel cap to a fuel tank with a capacity of at least 
one liter made of metal or some other impermeable material.
    (c) Use the procedures specified in Sec. 1060.520 to measure 
permeation emissions. Calculate emission rates using the smallest inside 
cross sectional area of the opening on which the cap is mounted as the 
fuel cap's surface area.



Sec. 1060.525  How do I test fuel systems for diurnal emissions?

    Use the procedures of this section to determine whether your fuel 
tanks meet diurnal emission standards as specified in Sec. 1060.105.
    (a) Except as specified in paragraph (c) of this section, use the 
following procedure to measure diurnal emissions:
    (1) Diurnal measurements are based on a representative temperature 
cycle. For marine fuel tanks, the temperature cycle specifies fuel 
temperatures rather than ambient temperatures. The applicable 
temperature cycle is indicated in the following table:

                     Table 1 to Sec.  1060.525--Diurnal Temperature Profiles for Fuel Tanks
----------------------------------------------------------------------------------------------------------------
                                                                               General Fuel     Fuel Temperature
                                                              Ambient          Temperature        Profile for
                                                            Temperature        Profile for     Marine Fuel Tanks
                      Time (hours)                       Profile for Land-   Installed Marine     Installed in
                                                          based Fuel Tanks     Fuel Tanks (      Nontrailerable
                                                             ( [deg]C)           [deg]C)        Boats ( [deg]C)
----------------------------------------------------------------------------------------------------------------
0......................................................               22.2               25.6               27.6
1......................................................               22.5               25.7               27.6
2......................................................               24.2               26.5               27.9
3......................................................               26.8               27.9               28.5
4......................................................               29.6               29.2               29.0
5......................................................               31.9               30.4               29.5
6......................................................               33.9               31.4               29.9
7......................................................               35.1               32.0               30.1
8......................................................               35.4               32.2               30.2
9......................................................               35.6               32.2               30.2
10.....................................................               35.3               32.1               30.2
11.....................................................               34.5               31.7               30.0
12.....................................................               33.2               31.0               29.7
13.....................................................               31.4               30.2               29.4
14.....................................................               29.7               29.3               29.1
15.....................................................               28.2               28.6               28.8
16.....................................................               27.2               28.0               28.5
17.....................................................               26.1               27.5               28.3
18.....................................................               25.1               27.0               28.1
19.....................................................               24.3               26.6               28.0
20.....................................................               23.7               26.3               27.9
21.....................................................               23.3               26.1               27.8
22.....................................................               22.9               25.9               27.7
23.....................................................               22.6               25.7               27.6

[[Page 551]]

 
24.....................................................               22.2               25.6               27.6
----------------------------------------------------------------------------------------------------------------

    (2) Fill the fuel tank to 40 percent of nominal capacity with the 
gasoline specified in 40 CFR 1065.710 for general testing.
    (3) Install a vapor line from any vent ports that would not be 
sealed in the final in-use configuration. Use a length of vapor line 
representing the largest inside diameter and shortest length that would 
be expected with the range of in-use installations for the emission 
family.
    (4) Stabilize the fuel tank at the starting temperature of the 
applicable temperature profile from paragraph (a)(1) of this section. 
For sealed fuel systems, replace the fuel cap once the fuel reaches 
equilibrium at the appropriate starting temperature.
    (5) If the fuel tank is equipped with a carbon canister, load the 
canister with butane or gasoline vapors to its canister working capacity 
as specified in Sec. 1060.240(e)(2)(i) and attach it to the fuel tank 
in a way that represents a typical in-use configuration.
    (6) Place the fuel tank with the carbon canister and vent line in a 
SHED meeting the specifications of 40 CFR 86.107-96(a)(1). Follow the 
applicable temperature trace from paragraph (a)(1) of this section for 
one 24-hour period. You need not measure emissions during this 
stabilization step.
    (7) As soon as possible after the stabilization in paragraph (a)(6) 
of this section, purge the SHED and follow the applicable temperature 
trace from paragraph (a)(1) of this section for three consecutive 24-
hour periods. Start measuring emissions when you start the temperature 
profile. The end of the first, second, and third emission sampling 
periods must occur 1440  6, 2880  6, and 4320  6 minutes, 
respectively, after starting the measurement procedure. Use the highest 
of the three emission levels to determine whether your fuel tank meets 
the diurnal emission standard.
    (8) For emission control technologies that rely on a sealed fuel 
system, you may omit the stabilization step in paragraph (a)(6) of this 
section and the last two 24-hour periods of emission measurements in 
paragraph (a)(7) of this section. For purposes of this paragraph (a), 
sealed fuel systems include those that rely on pressure-relief valves, 
limiting flow orifices, bladder fuel tanks, and volume-compensating air 
bags.
    (b) You may subtract your fuel tank's permeation emissions from the 
measured diurnal emissions if the fuel tank is preconditioned with 
diurnal test fuel as described in Sec. 1060.520(b) or if you use good 
engineering judgment to otherwise establish that the fuel tank has 
stabilized permeation emissions. Measure permeation emissions for 
subtraction as specified in Sec. 1060.520(c) and (d) before measuring 
diurnal emissions, except that the permeation measurement must be done 
with diurnal test fuel at 28  2 [deg]C. Use 
appropriate units and corrections to subtract the permeation emissions 
from the fuel tank during the diurnal emission test. You may not 
subtract a greater mass of emissions under this paragraph (b) than the 
fuel tank would emit based on meeting the applicable emission standard 
for permeation.



                 Subpart G_Special Compliance Provisions



Sec. 1060.601  How do the prohibitions of 40 CFR 1068.101 apply with 

respect to the requirements of this part?

    (a) As described in Sec. 1060.1, fuel tanks and fuel lines that are 
used with or intended to be used with new nonroad engines or equipment 
are subject to evaporative emission standards under this

[[Page 552]]

part 1060. This includes portable marine fuel tanks and fuel lines and 
other fuel-system components associated with portable marine fuel tanks. 
Note that Sec. 1060.1 specifies an implementation schedule based on the 
date of manufacture of nonroad equipment, so new fuel tanks and fuel 
lines are not subject to standards under this part 1060 if they will be 
installed for use in equipment built before the specified dates for 
implementing the appropriate standards, subject to the limitations in 
paragraph (b) of this section. Except as specified in paragraph (f) of 
this section, fuel-system components that are subject to permeation or 
diurnal emission standards under this part 1060 must be covered by a 
valid certificate of conformity before being introduced into U.S. 
commerce to avoid violating the prohibition of 40 CFR 1068.101(a). To 
the extent we allow it under the exhaust standard-setting part, fuel-
system components may be certified with a family emission limit higher 
than the specified emission standard. The provisions of this paragraph 
(a) do not apply to fuel caps.
    (b) New replacement fuel tanks and fuel lines must meet the 
requirements of this part 1060 if they are intended to be used with 
nonroad engines or equipment regulated under this part 1060, as follows:
    (1) Applicability of standards between January 1, 2012 and December 
31, 2019. Manufacturers, distributors, retailers, and importers must 
clearly state on the packaging for all replacement components that could 
reasonably be used with nonroad engines how such components may be used 
consistent with the prohibition in paragraph (a) of this section. It is 
presumed that such components are intended for use with nonroad engines 
regulated under this part 1060 unless the components, or the packaging 
for such components, clearly identify appropriate restrictions. This 
requirement does not apply for components that are clearly not intended 
for use with fuels.
    (2) Applicability of standards after January 1, 2020. Starting 
January 1, 2020 it is presumed that replacement components will be used 
with nonroad engines regulated under this part 1060 if they can 
reasonably be used with such engines. Manufacturers, distributors, 
retailers, and importers are therefore obligated to take reasonable 
steps to ensure that any uncertified components are not used to replace 
certified components. This would require labeling the components and may 
also require restricting the sales and requiring the ultimate purchaser 
to agree to not use the components inappropriately. This requirement 
does not apply for components that are clearly not intended for use with 
fuels.
    (3) Applicability of the tampering prohibition. If a fuel tank or 
fuel line needing replacement was certified to meet the emission 
standards in this part with a family emission limit below the otherwise 
applicable standard, the new replacement fuel tank or fuel line must be 
certified to current emission standards, but need not be certified with 
the same or lower family emission limit to avoid violating the tampering 
prohibition in 40 CFR 1068.101(b)(1).
    (c) [Reserved]
    (d) Manufacturers that generate or use evaporative emission credits 
related to Marine SI engines in 40 CFR part 1045 or Small SI engines in 
40 CFR part 1054 are subject to the emission standards for which they 
are generating or using evaporative emission credits. These engines or 
equipment must therefore be covered by a valid certificate of conformity 
showing compliance with emission-credit provisions before being 
introduced into U.S. commerce to avoid violating the prohibition of 40 
CFR 1068.101(a).
    (e) If there is no valid certificate of conformity for any given 
evaporative emission standard for new equipment, the manufacturers of 
the engine, equipment and fuel-system components are each liable for 
violations of the prohibited acts with respect to the fuel systems and 
fuel-system components they have introduced into U.S. commerce, 
including fuel systems and fuel-system components installed in engines 
or equipment at the time the engines or equipment are introduced into 
U.S. commerce.
    (f) If you manufacture fuel lines or fuel tanks that are subject to 
the requirements of this part as described in paragraph (a) of this 
section, 40 CFR 1068.101(a) does not prohibit you from

[[Page 553]]

shipping your products directly to an equipment manufacturer or another 
manufacturer from which you have received a written commitment to be 
responsible for certifying the components as required under this part 
1060. This includes SHED-based certification of Small SI equipment as 
described in Sec. 1060.105. If you ship fuel lines or fuel tanks under 
this paragraph (f), you must include documentation that accompanies the 
shipped products identifying the name and address of the company 
receiving shipment and stating that the fuel lines or fuel tanks are 
exempt under the provisions of 40 CFR 1060.601(f).
    (g) If new evaporative emission standards apply in a given model 
year, your equipment in that model year must have fuel-system components 
that are certified to the new standards, except that you may continue to 
use up your normal inventory of earlier fuel-system components that were 
built before the date of the new or changed standards. For example, if 
your normal inventory practice is to keep on hand a one-month supply of 
fuel tanks based on your upcoming production schedules, and a new tier 
of standards starts to apply for the 2012 model year, you may order fuel 
tanks based on your normal inventory requirements late in the fuel tank 
manufacturer's 2011 model year and install those fuel tanks in your 
equipment, regardless of the date of installation. Also, if your model 
year starts before the end of the calendar year preceding new standards, 
you may use fuel-system components from the previous model year (or 
uncertified components if no standards were in place) for those units 
you produce before January 1 of the year that new standards apply. If 
emission standards do not change in a given model year, you may continue 
to install fuel-system components from the previous model year without 
restriction. You may not circumvent the provisions of 40 CFR 
1068.101(a)(1) by stockpiling fuel-system components that were built 
before new or changed standards take effect.
    (h) If equipment manufacturers hold certificates of conformity for 
their equipment but they use only fuel-system components that have been 
certified by other companies, they may satisfy their defect-reporting 
obligations by tracking the information described in 40 CFR 
1068.501(b)(1) related to possible defects, reporting this information 
to the appropriate component manufacturers, and keeping these records 
for eight years. Such equipment manufacturers will not be considered in 
violation of 40 CFR 1068.101(b)(6) for failing to perform 
investigations, make calculations, or submit reports to EPA as specified 
in 40 CFR 1068.501. See Sec. 1060.5(a).

[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23027, Apr. 30, 2010]



Sec. 1060.605  Exemptions from evaporative emission standards.

    (a) Except as specified in the exhaust standard-setting part and 
paragraph (b) of this section, equipment using an engine that is exempt 
from exhaust emission standards under the provisions in 40 CFR part 
1068, subpart C or D, is also exempt from the requirements of this part 
1060. For example, engines or equipment exempted from exhaust emission 
standards for purposes of national security do not need to meet 
evaporative emission standards. Also, any engine that is exempt from 
emission standards because it will be used solely for competition does 
not need to meet evaporative emission standards. Equipment that is 
exempt from all exhaust emission standards under the standard-setting 
part are also exempt from the requirements of this part 1060; however, 
this does not apply for engines that must meet a less stringent exhaust 
emission standard as a condition of the exemption.
    (b) Engines produced under the replacement-engine exemption in 40 
CFR 1068.240 must use fuel-system components that meet the evaporative 
emission standards based on the model year of the engine being replaced 
subject to the provisions of 40 CFR 1068.265. If no evaporative emission 
standards applied at that time, no requirements related to evaporative 
emissions apply to the new engine. Installing a replacement engine does 
not change the applicability of requirements for the equipment into 
which the replacement engine is installed.

[[Page 554]]

    (c) Engines or equipment that are temporarily exempt from EPA 
exhaust emission standards are also exempt from the requirements of this 
part 1060 for the same period as the exhaust exemption.
    (d) For equipment powered by more than one engine, all the engines 
installed in the equipment must be exempt from all applicable EPA 
exhaust emission standards for the equipment to also be exempt under 
paragraph (a) or (b) of this section.
    (e) In unusual circumstances, we may exempt components or equipment 
from the requirements of this part 1060 even if the equipment is powered 
by one or more engines that are subject to EPA exhaust emission 
standards. See 40 CFR part 1068. Such exemptions will be limited to:
    (1) Testing. See 40 CFR 1068.210.
    (2) National security. See 40 CFR 1068.225.
    (3) Economic hardship. See 40 CFR 1068.245 and 1068.250.
    (f) Evaporative emission standards generally apply based on the 
model year of the equipment, which is determined by the equipment's date 
of final assembly. However, in the first year of new emission standards, 
equipment manufacturers may apply evaporative emission standards based 
on the model year of the engine as shown on the engine's emission 
control information label. For example, for fuel tank permeation 
standards starting in 2012, equipment manufacturers may order a batch of 
2011 model year engines for installation in 2012 model year equipment, 
subject to the anti-stockpiling provisions of 40 CFR 1068.105(a). The 
equipment with the 2011 model year engines would not need to meet fuel 
tank permeation standards as long as the equipment is fully assembled by 
December 31, 2012.



Sec. 1060.640  What special provisions apply to branded equipment?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label for equipment, as provided by Sec. Sec. 
1060.135 and 1060.137:
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec. 
1060.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use and describe the arrangements you have made 
to meet your requirements under this section.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.



          Subpart H_Averaging, Banking, and Trading Provisions



Sec. 1060.701  Applicability.

    (a) You are allowed to comply with the emission standards in this 
part with evaporative emission credits only if the exhaust standard-
setting part explicitly allows it for evaporative emissions.
    (b) The following exhaust standard-setting parts allow some use of 
evaporative emission credits:
    (1) 40 CFR part 1045 for marine vessels.
    (2) 40 CFR part 1051 for recreational vehicles.
    (3) 40 CFR part 1054 for Small SI equipment.
    (c) As specified in 40 CFR part 1048, there is no allowance to 
generate or use emission credits with Large SI equipment.



Sec. 1060.705  How do I certify components to an emission level other than the 

standard under this part or use such components in my equipment?

    As specified in this section, a fuel-system component may be 
certified to a family emission limit (FEL) instead of the otherwise 
applicable emission standard. Note that the exhaust standard-setting 
part may apply maximum values for an FEL (i.e., FEL caps).
    (a) Requirements for certifying component manufacturers. See subpart 
C of this part for instructions regarding the

[[Page 555]]

general requirements for certifying components.
    (1) When you submit your application for certification, indicate the 
FEL to which your components will be certified. This FEL will serve as 
the applicable standard for your component, and the equipment that uses 
the component. For example, when the regulations of this part use the 
phrase ``demonstrate compliance with the applicable emission standard'' 
it will mean ``demonstrate compliance with the FEL'' for your component.
    (2) You may not change the FEL for an emission family. To specify a 
different FEL for your components, you must send a new application for 
certification for a new emission family.
    (3) Unless your FEL is below all emission standards that could 
potentially apply, you must ensure that all equipment manufacturers that 
will use your component are aware of the limitations regarding the 
conditions under which they may use your component.
    (4) It is your responsibility to read the instructions relative to 
emission-credit provisions in the standard-setting parts identified in 
Sec. 1060.1.
    (b) Requirements for equipment manufacturers. See subpart C of this 
part for instructions regarding your ability to rely on the component 
manufacturer's certificate.
    (1) The FEL of the component will serve as the applicable standard 
for your equipment.
    (2) You may not specify more than one FEL for an emission family at 
one time; however, you may change the FEL during the model year as 
described in Sec. 1060.225(f).
    (3) If the FEL is above the emission standard you must ensure that 
the exhaust standard-setting part allows you to use evaporative emission 
credits to comply with emission standards and that you will have an 
adequate source of evaporative emission credits. You must certify your 
equipment as specified in Sec. 1060.201 and the rest of subpart C of 
this part.



          Subpart I_Definitions and Other Reference Information



Sec. 1060.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Accuracy and precision means the sum of accuracy and repeatability, 
as defined in 40 CFR 1065.1001. For example, if a measurement device is 
determined to have an accuracy of 1% and a 
repeatability of 2%, then its accuracy and 
precision would be 3%.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust and that, if adjusted, may affect emissions. You 
may ask us to exclude a parameter if you show us that it will not be 
adjusted in use in a way that affects emissions.
    Applicable emission standard or applicable standard means an 
emission standard to which a fuel-system component is subject. 
Additionally, if a fuel-system component has been or is being certified 
to another standard or FEL, applicable emission standard means the FEL 
or other standard to which the fuel-system component has been or is 
being certified. This definition does not apply to subpart H of this 
part.
    Canister working capacity means the measured amount of hydrocarbon 
vapor that can be stored in a canister as specified in Sec. 
1060.240(e)(2)(i).
    Carbon working capacity means the measured amount of hydrocarbon 
vapor that can be stored in a given volume of carbon when tested 
according to ASTM D5228 (incorporated by reference in Sec. 1060.810). 
See Sec. 1060.240(e)(2)(ii).
    Certification means relating to the process of obtaining a 
certificate of conformity for an emission family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest official emission result 
in an emission family.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.

[[Page 556]]

    Cold-weather equipment is limited to the following types of handheld 
equipment: Chainsaws, cut-off saws, clearing saws, brush cutters with 
engines at or above 40cc, commercial earth and wood drills, and ice 
augers. This includes earth augers if they are also marketed as ice 
augers.
    Configuration means a unique combination of hardware (material, 
geometry, and size) and calibration within an emission family. Units 
within a single configuration differ only with respect to normal 
production variability.
    Date of manufacture, means one of the following with respect to 
equipment:
    (1) For outboard engines with under-cowl fuel tanks and for vessels 
equipped with outboard engines and installed fuel tanks, date of 
manufacture means the date on which the fuel tank is installed.
    (2) For all other equipment, date of manufacture has the meaning 
given in 40 CFR 1068.30.
    Days means calendar days unless otherwise specified. For example, 
when we specify working days we mean calendar days, excluding weekends 
and U.S. national holidays.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Detachable fuel line means a fuel line or fuel line assembly 
intended to be used with a portable nonroad fuel tank and which is 
connected by special fittings to the fuel tank and/or engine for easy 
disassembly. Fuel lines that require a wrench or other tools to 
disconnect are not considered detachable fuel lines. Fuel lines that are 
labeled or marketed as USCG Type B1 fuel line as specified in 33 CFR 
183.540 are not considered detachable fuel lines if they are sold to the 
ultimate purchaser without quick-connect fittings or similar hardware.
    Diurnal emissions means evaporative emissions that occur as a result 
of venting fuel tank vapors during daily temperature changes while the 
engine is not operating.
    Effective length-to-diameter ratio means the mean vapor path length 
of a carbon canister divided by the effective diameter of that vapor 
path. The effective diameter is the diameter of a circle with the same 
cross-sectional area as the average cross-sectional area of the carbon 
canister's vapor path.
    Emission control system means any device, system, or element of 
design that controls or reduces the regulated evaporative emissions from 
a piece of nonroad equipment.
    Emission-data unit means a fuel line, fuel tank, fuel system, or 
fuel-system component that is tested for certification. This includes 
components tested by EPA.
    Emission family has the meaning given in Sec. 1060.230.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Equipment means vehicles, marine vessels, and other types of nonroad 
equipment that are subject to this part's requirements.
    Evaporative means relating to fuel emissions that result from 
permeation of fuel through the fuel-system materials or from ventilation 
of the fuel system.
    Exhaust standard-setting part means the part in the Code of Federal 
Regulations that contains exhaust emission standards for a particular 
piece of equipment (or the engine in that piece of equipment). For 
example, the exhaust standard-setting part for off-highway motorcycles 
is 40 CFR part 1051. Exhaust standard-setting parts may include 
evaporative emission requirements or describe how the requirements of 
this part 1060 apply.
    Exposed gasket surface area means the surface area of the gasket 
inside the fuel tank that is exposed to fuel or fuel vapor. For the 
purposes of calculating exposed surface area of a gasket, the thickness 
of the gasket and the outside dimension of the opening being sealed are 
used. Gasket overhang into the fuel tank should be ignored for the 
purpose of this calculation.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under an ABT program specified by the exhaust standard-setting 
part. The

[[Page 557]]

family emission limit must be expressed to the same number of decimal 
places as the emission standard it replaces. The family emission limit 
serves as the emission standard for the emission family with respect to 
all required testing.
    Fuel CE10 has the meaning given in Sec. 1060.515(a).
    Fuel line means hoses or tubing designed to contain liquid fuel. The 
exhaust standard-setting part may further specify which types of hoses 
and tubing are subject to the standards of this part.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents. In the case where the fuel tank cap or other components 
(excluding fuel lines) are directly mounted on the fuel tank, they are 
considered to be a part of the fuel tank.
    Fuel type means a general category of fuels such as gasoline or 
natural gas. There can be multiple grades within a single fuel type, 
such as premium gasoline, regular gasoline, or gasoline with 10 percent 
ethanol.
    Gasoline means one of the following:
    (1) For in-use fuels, gasoline means fuel that is commonly and 
commercially know as gasoline, including ethanol blends.
    (2) For testing, gasoline has the meaning given in subpart F of this 
part.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    High-permeability material means any nonmetal material that does not 
qualify as low-permeability material.
    Installed marine fuel line means a fuel line designed for delivering 
fuel to a Marine SI engine that does not meet the definition of portable 
marine fuel line.
    Installed marine fuel tank means a fuel tank designed for delivering 
fuel to a Marine SI engine that does not meet the definition of portable 
marine fuel tanks.
    Large SI means relating to engines that are subject to evaporative 
emission standards in 40 CFR part 1048.
    Low-permeability material means, for gaskets, a material with 
permeation emission rates at or below 10 (g-mm)/m\2\/day when measured 
according to SAE J2659 (incorporated by reference in Sec. 1060.810), 
where the test temperature is 23 [deg]C, the test fuel is Fuel CE10, and 
testing immediately follows a four-week preconditioning soak with the 
test fuel.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling an engine, piece of nonroad equipment, or 
fuel-system components subject to the requirements of this part.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act (42 U.S.C. 7550(1)). In general, this term includes:
    (1) Any person who manufactures an engine or piece of nonroad 
equipment for sale in the United States or otherwise introduces a new 
nonroad engine or a piece of new nonroad equipment into U.S. commerce.
    (2) Any person who manufactures a fuel-system component for an 
engine subject to the requirements of this part as described in Sec. 
1060.1(a).
    (3) Importers who import such products into the United States.
    Marine SI means relating to vessels powered by engines that are 
subject to exhaust emission standards in 40 CFR part 1045.
    Marine vessel has the meaning given in 40 CFR Sec. 1045.801, which 
generally includes all nonroad equipment used as a means of 
transportation on water.
    Model year means one of the following things:
    (1) For equipment defined as ``new nonroad equipment'' under 
paragraph (1) of the definition of ``new nonroad engine,'' model year 
means one of the following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin

[[Page 558]]

before January 2 of the previous calendar year and it must end by 
December 31 of the named calendar year.
    (2) For other equipment defined as ``new nonroad equipment'' under 
paragraph (2) of the definition of ``new nonroad engine,'' model year 
has the meaning given in the exhaust standard-setting part.
    (3) For other equipment defined as ``new nonroad equipment'' under 
paragraph (3) or paragraph (4) of the definition of ``new nonroad 
engine,'' model year means the model year of the engine as defined in 
the exhaust standard-setting part.
    New nonroad equipment means equipment meeting one or more of the 
following criteria:
    (1) Nonroad equipment for which the ultimate purchaser has never 
received the equitable or legal title. The equipment is no longer new 
when the ultimate purchaser receives this title or the product is placed 
into service, whichever comes first.
    (2) Nonroad equipment that is defined as new under the exhaust 
standard-setting part. (Note: equipment that is not defined as new under 
the exhaust standard-setting part may be defined as new under this 
definition of ``new nonroad equipment.'')
    (3) Nonroad equipment with an engine that becomes new (as defined in 
the exhaust standard-setting part) while installed in the equipment. The 
equipment is no longer new when it is subsequently placed into service. 
This paragraph (3) does not apply if the engine becomes new before being 
installed in the equipment.
    (4) Nonroad equipment not covered by a certificate of conformity 
issued under this part at the time of importation and manufactured after 
the requirements of this part start to apply (see Sec. 1060.1). The 
equipment is no longer new when it is subsequently placed into service. 
Importation of this kind of new nonroad equipment is generally 
prohibited by 40 CFR part 1068.
    Nominal capacity means a fuel tank's volume as specified by the fuel 
tank manufacturer, using at least two significant figures, based on the 
maximum volume of fuel the tank can hold with standard refueling 
techniques.
    Nonroad engine has the meaning we give in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft. This part does not apply to all nonroad engines (see Sec. 
1060.1).
    Nonroad equipment means a piece of equipment that is powered by or 
intended to be powered by one or more nonroad engines. Note that 
Sec. Sec. 1060.5 and 1060.601 describes how we treat outboard engines, 
portable marine fuel tanks, and associated fuel-system components as 
nonroad equipment under this part 1060.
    Nontrailerable boat means a vessel whose length is 26.0 feet or 
more, or whose width is more than 8.5 feet.
    Official emission result means the measured emission rate for an 
emission-data unit.
    Placed into service means put into initial use for its intended 
purpose.
    Portable marine fuel line means a detachable fuel line that is used 
or intended to be used to supply fuel to a marine engine during 
operation. This also includes any fuel line labeled or marketed at USCG 
Type B1 fuel line as specified in 33 CFR 183.540, whether or not it 
includes detachable connecting hardware; this is often called universal 
fuel line.
    Portable marine fuel tank means a portable fuel tank that is used or 
intended to be used to supply fuel to a marine engine during operation.
    Portable nonroad fuel tank means a fuel tank that meets each of the 
following criteria:
    (1) It has design features indicative of use in portable 
applications, such as a carrying handle and fuel line fitting that can 
be readily attached to and detached from a nonroad engine.
    (2) It has a nominal fuel capacity of 12 gallons or less.
    (3) It is designed to supply fuel to an engine while the engine is 
operating.
    (4) It is not used or intended to be used to supply fuel to a marine 
engine.
    Production period means the period in which a component or piece of 
equipment will be produced under a certificate of conformity. A given 
production period for an emission family may not

[[Page 559]]

include components certified using different test data. A production 
period may not exceed five years for certified components. Note that the 
definition of model year includes specifications related to production 
periods for which a certificate is valid for equipment.
    Recreational vehicle means vehicles that are subject to evaporative 
emission standards in 40 CFR part 1051. This generally includes engines 
that will be installed in recreational vehicles if the engines are 
certified separately under 40 CFR 1051.20.
    Relating to as used in this section means relating to something in a 
specific, direct manner. This expression is used in this section only to 
define terms as adjectives and not to broaden the meaning of the terms.
    Revoke has the meaning given in 40 CFR 1068.30. If we revoke a 
certificate or an exemption, you must apply for a new certificate or 
exemption before continuing to introduce the affected equipment into 
U.S. commerce.
    Round means to round numbers according to standard procedures as 
specified in 40 CFR 1065.1001.
    Running loss emissions means unburned fuel vapor that escapes from 
the fuel system to the ambient atmosphere while the engine is operating, 
excluding permeation emissions and diurnal emissions. Running loss 
emissions generally result from fuel-temperature increases caused by 
heat released from in-tank fuel pumps, fuel recirculation, or proximity 
to heat sources such as the engine or exhaust components.
    Sealed means lacking openings to the atmosphere that would allow a 
measurable amount of liquid or vapor to leak out under normal operating 
pressures or other pressures specified in this part. For example, you 
may generally establish a maximum value for operating pressures based on 
the highest pressure you would observe from an installed fuel tank 
during continuous equipment operation on a sunny day with ambient 
temperatures of 35 [deg]C. A fuel system may be considered to have no 
measurable leak if it does not release bubbles when held underwater at 
the identified tank pressure for 60 seconds. This determination presumes 
the use of good engineering judgment; for example, it would not be 
appropriate to test the fuel tank such that small leaks would avoid 
detection by collecting in a cavity created by holding the tank with a 
certain orientation. Sealed fuel systems may have openings for emission 
controls or for fuel lines needed to route fuel to the engine.
    Small SI means relating to engines that are subject to emission 
standards in 40 CFR part 90 or 1054.
    Structurally integrated nylon fuel tank means a fuel tank having all 
the following characteristics:
    (1) The fuel tank is made of a polyamide material that does not 
contain more than 50 percent by weight of a reinforcing glass fiber or 
mineral filler and does not contain more than 10 percent by weight of 
impact modified polyamides that use rubberized agents such as EPDM 
rubber.
    (2) The fuel tank must be used in a cut-off saw or chainsaw or be 
integrated into a major structural member where, as a single component, 
the fuel tank material is a primary structural/stress member for other 
major components such as the engine, transmission, or cutting 
attachment.
    Subchapter U means 40 CFR parts 1000 through 1299.
    Suspend has the meaning given in 40 CFR 1068.30. If we suspend a 
certificate, you may not introduce into U.S. commerce equipment from 
that emission family unless we reinstate the certificate or approve a 
new one. If we suspend an exemption, you may not introduce into U.S. 
commerce equipment that was previously covered by the exemption unless 
we reinstate the exemption.
    Tare means to use a container or other reference mass to zero a 
balance before weighing a sample. Generally, this means placing the 
container or reference mass on the balance, allowing it to stabilize, 
then zeroing the balance without removing the container or reference 
mass. This allows you to use the balance to determine the difference in 
mass between the sample and the container or reference mass.
    Test sample means the collection of fuel lines, fuel tanks, or fuel 
systems selected from the population of an emission family for emission 
testing. This may include certification testing or any kind of 
confirmatory testing.

[[Page 560]]

    Test unit means a piece of fuel line, a fuel tank, or a fuel system 
in a test sample.
    Ultimate purchaser means, with respect to any new nonroad equipment, 
the first person who in good faith purchases such new nonroad equipment 
for purposes other than resale.
    Ultraviolet light means electromagnetic radiation with a wavelength 
between 300 and 400 nanometers.
    United States has the meaning given in 40 CFR 1068.30.
    U.S.-directed production volume means the amount of equipment, 
subject to the requirements of this part, produced by a manufacturer for 
which the manufacturer has a reasonable assurance that sale was or will 
be made to ultimate purchasers in the United States.
    Useful life means the period during which new nonroad equipment is 
required to comply with all applicable emission standards. See Sec. 
1060.101.
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Wintertime equipment means equipment using a wintertime engine, as 
defined in 40 CFR 1054.801. Note this definition applies only for Small 
SI equipment.

[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23027, Apr. 30, 2010]



Sec. 1060.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

[deg] degree.
ASTM American Society for Testing and Materials.
C Celsius.
CFR Code of Federal Regulations.
EPA Environmental Protection Agency.
FEL family emission limit.
g gram.
gal gallon.
hr hour.
in inch.
kPa kilopascal.
kW kilowatt.
L liter.
m meter.
min minute.
mm millimeter.
psig pounds per square inch of gauge pressure.
SAE Society of Automotive Engineers.
SHED Sealed Housing for Evaporative Determination.
U.S. United States.
U.S.C. United States Code.
W watt.



Sec. 1060.810  What materials does this part reference?

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) ASTM material. Table 1 to this section lists material from the 
American Society for Testing and Materials that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the American Society 
for Testing and Materials, 100 Barr Harbor Dr., P.O. Box C700, West 
Conshohocken, PA 19428 or http://www.astm.com. Table 1 follows:

[[Page 561]]



               Table 1 to Sec.  1060.810--ASTM Materials
------------------------------------------------------------------------
                                                             Part 1060
                Document number and name                     reference
------------------------------------------------------------------------
ASTM D471-06, Standard Test Method for Rubber Property--        1060.515
 Effect of Liquids (``ASTM D471'')......................
ASTM D2862-97 (Reapproved 2004), Standard Test Method           1060.240
 for Particle Size Distribution of Granular Activated
 Carbon (``ASTM D2862'')................................
ASTM D3802-79 (Reapproved 2005), Standard Test Method           1060.240
 for Ball-Pan Hardness of Activated Carbon (``ASTM
 D3802'')...............................................
ASTM D4806-07, Standard Specification for Denatured Fuel        1060.501
 Ethanol for Blending with Gasolines for Use as
 Automotive Spark-Ignition Engine Fuel (``ASTM D4806'').
ASTM D5228-92 (Reapproved 2005), Standard Test Method           1060.801
 for Determination of Butane Working Capacity of
 Activated Carbon (``ASTM D5228'')......................
------------------------------------------------------------------------

    (b) SAE material. Table 2 to this section lists material from the 
Society of Automotive Engineers that we have incorporated by reference. 
The first column lists the number and name of the material. The second 
column lists the sections of this part where we reference it. Anyone may 
purchase copies of these materials from the Society of Automotive 
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://
www.sae.org. Table 2 follows:

                Table 2 to Sec.  1060.810--SAE Materials
------------------------------------------------------------------------
                                                             Part 1060
                Document number and name                     reference
------------------------------------------------------------------------
SAE J30, Fuel and Oil Hoses, June 1998..................        1060.515
SAE J1527, Marine Fuel Hoses, January 1993 (Issued 1985-        1060.515
 12, Revised 1993-02)...................................
SAE J2260, Nonmetallic Fuel System Tubing with One or           1060.510
 More Layers, November 2004.............................
SAE J2659, Test Method to Measure Fluid Permeation of           1060.801
 Polymeric Materials by Speciation, December 2003.......
------------------------------------------------------------------------

    (c) California Air Resources Board material. Table 3 to this section 
lists material from the California Air Resources Board that we have 
incorporated by reference. The first column lists the number and name of 
the material. The second column lists the sections of this part where we 
reference it. Anyone may obtain copies of these materials from 
California Air Resources Board, Haagen-Smit Laboratory, 9528 Telstar 
Avenue, El Monte, CA 91731-2990 or http://www.arb.ca.gov. Table 3 
follows:

  Table 3 to Sec.  1060.810--California Air Resources Board Materials
------------------------------------------------------------------------
                                                             Part 1060
                Document number and name                     reference
------------------------------------------------------------------------
Final Regulation Order, Article 1, Chapter 15, Division        1060.105,
 3, Title 13, California Code of Regulations, July 26,          1060.240
 2004...................................................
------------------------------------------------------------------------

    (d) American Boat and Yacht Council Material. Table 4 to this 
section lists material from the American Boat and Yacht Council 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 Boat and Yacht Council, 613 Third Street, Suite 10, 
Annapolis, MD 21403 or http://www.abycinc.org/. Table 4 follows:

  Table 4 to Sec.  1060.810--American Boat and Yacht Council Materials
------------------------------------------------------------------------
             Document No. and name                 Part 1060 reference
------------------------------------------------------------------------
ABYC H-25, Portable Marine Gasoline Fuel                        1060.105
 Systems, July 2010............................
------------------------------------------------------------------------


[[Page 562]]


[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 56482, Sept. 16, 2010]



Sec. 1060.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec. 1060.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec. 1060.825  What reporting and recordkeeping requirements apply under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for products 
regulated under this part:
    (a) We specify the following requirements related to equipment 
certification in this part 1060:
    (1) In 40 CFR 1060.20 we give an overview of principles for 
reporting information.
    (2) In 40 CFR part 1060, subpart C, we identify a wide range of 
information required to certify engines.
    (3) In 40 CFR 1060.301 we require manufacturers to make engines or 
equipment available for our testing if we make such a request.
    (4) In 40 CFR 1060.505 we specify information needs for establishing 
various changes to published test procedures.
    (b) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make equipment 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require equipment manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) [Reserved]
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing equipment.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line products in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming equipment.

[[Page 563]]



PART 1065_ENGINE-TESTING PROCEDURES--Table of Contents



             Subpart A_Applicability and General Provisions

Sec.
1065.1 Applicability.
1065.2 Submitting information to EPA under this part.
1065.5 Overview of this part 1065 and its relationship to the standard-
          setting part.
1065.10 Other procedures.
1065.12 Approval of alternate procedures.
1065.15 Overview of procedures for laboratory and field testing.
1065.20 Units of measure and overview of calculations.
1065.25 Recordkeeping.

                   Subpart B_Equipment Specifications

1065.101 Overview.
1065.110 Work inputs and outputs, accessory work, and operator demand.
1065.120 Fuel properties and fuel temperature and pressure.
1065.122 Engine cooling and lubrication.
1065.125 Engine intake air.
1065.127 Exhaust gas recirculation.
1065.130 Engine exhaust.
1065.140 Dilution for gaseous and PM constituents.
1065.145 Gaseous and PM probes, transfer lines, and sampling system 
          components.
1065.150 Continuous sampling.
1065.170 Batch sampling for gaseous and PM constituents.
1065.190 PM-stabilization and weighing environments for gravimetric 
          analysis.
1065.195 PM-stabilization environment for in-situ analyzers.

                    Subpart C_Measurement Instruments

1065.201 Overview and general provisions.
1065.202 Data updating, recording, and control.
1065.205 Performance specifications for measurement instruments.

         Measurement of Engine Parameters and Ambient Conditions

1065.210 Work input and output sensors.
1065.215 Pressure transducers, temperature sensors, and dewpoint 
          sensors.

                        Flow-Related Measurements

1065.220 Fuel flow meter.
1065.225 Intake-air flow meter.
1065.230 Raw exhaust flow meter.
1065.240 Dilution air and diluted exhaust flow meters.
1065.245 Sample flow meter for batch sampling.
1065.248 Gas divider.

                   CO and CO2 Measurements

1065.250 Nondispersive infra-red analyzer.

                        Hydrocarbon Measurements

1065.260 Flame ionization detector.
1065.265 Nonmethane cutter.
1065.267 Gas chromatograph.

                        NOX and N2O Measurements

1065.270 Chemiluminescent detector.
1065.272 Nondispersive ultraviolet analyzer.
1065.275 N2O measurement devices.

                       O2 Measurements

1065.280 Paramagnetic and magnetopneumatic O2 detection 
          analyzers.

                     Air-to-Fuel Ratio Measurements

1065.284 Zirconia (ZrO2) analyzer.

                             PM Measurements

1065.290 PM gravimetric balance.
1065.295 PM inertial balance for field-testing analysis.

                Subpart D_Calibrations and Verifications

1065.301 Overview and general provisions.
1065.303 Summary of required calibration and verifications.
1065.305 Verifications for accuracy, repeatability, and noise.
1065.307 Linearity verification.
1065.308 Continuous gas analyzer system-response and updating-recording 
          verification--for gas analyzers not continuously compensated 
          for other gas species.
1065.309 Continuous gas analyzer system-response and updating-recording 
          verification--for gas analyzers continuously compensated for 
          other gas species.

         Measurement of Engine Parameters and Ambient Conditions

1065.310 Torque calibration.
1065.315 Pressure, temperature, and dewpoint calibration.

                        Flow-Related Measurements

1065.320 Fuel-flow calibration.
1065.325 Intake-flow calibration.
1065.330 Exhaust-flow calibration.
1065.340 Diluted exhaust flow (CVS) calibration.
1065.341 CVS and batch sampler verification (propane check).
1065.342 Sample dryer verification.
1065.345 Vacuum-side leak verification.

                   CO and CO2 Measurements

1065.350 H2O interference verification for CO2 
          NDIR analyzers.

[[Page 564]]

1065.355 H2O and CO2 interference verification for 
          CO NDIR analyzers.

                        Hydrocarbon Measurements

1065.360 FID optimization and verification.
1065.362 Non-stoichiometric raw exhaust FID O2 interference 
          verification.
1065.365 Nonmethane cutter penetration fractions.

             NOX and N2O Measurements

1065.370 CLD CO2 and H2O quench verification.
1065.372 NDUV analyzer HC and H2O interference verification.
1065.375 Interference verification for N2O analyzers.
1065.376 Chiller NO2 penetration.
1065.378 NO2-to-NO converter conversion verification.

                             PM Measurements

1065.390 PM balance verifications and weighing process verification.
1065.395 Inertial PM balance verifications.

        Subpart E_Engine Selection, Preparation, and Maintenance

1065.401 Test engine selection.
1065.405 Test engine preparation and maintenance.
1065.410 Maintenance limits for stabilized test engines.
1065.415 Durability demonstration.

    Subpart F_Performing an Emission Test Over Specified Duty Cycles

1065.501 Overview.
1065.510 Engine mapping.
1065.512 Duty cycle generation.
1065.514 Cycle-validation criteria for operation over specified duty 
          cycles.
1065.520 Pre-test verification procedures and pre-test data collection.
1065.525 Engine starting, restarting, and shutdown.
1065.526 Repeating void modes or test intervals.
1065.530 Emission test sequence.
1065.545 Validation of proportional flow control for batch sampling.
1065.546 Validation of minimum dilution ratio for PM batch sampling.
1065.550 Gas analyzer range validation, drift validation, and drift 
          correction.
1065.590 PM sampling media (e.g., filters) preconditioning and tare 
          weighing.
1065.595 PM sample post-conditioning and total weighing.

              Subpart G_Calculations and Data Requirements

1065.601 Overview.
1065.602 Statistics.
1065.610 Duty cycle generation.
1065.630 1980 international gravity formula.
1065.640 Flow meter calibration calculations.
1065.642 SSV, CFV, and PDP molar flow rate calculations.
1065.644 Vacuum-decay leak rate.
1065.645 Amount of water in an ideal gas.
1065.650 Emission calculations.
1065.655 Chemical balances of fuel, intake air, and exhaust.
1065.659 Removed water correction.
1065.660 THC, NMHC, and CH4 determination.
1065.665 THCE and NMHCE determination.
1065.667 Dilution air background emission correction.
1065.670 NOX intake-air humidity and temperature corrections.
1065.672 Drift correction.
1065.675 CLD quench verification calculations.
1065.690 Buoyancy correction for PM sample media.
1065.695 Data requirements.

    Subpart H_Engine Fluids, Test Fuels, Analytical Gases and Other 
                          Calibration Standards

1065.701 General requirements for test fuels.
1065.703 Distillate diesel fuel.
1065.705 Residual and intermediate residual fuel.
1065.710 Gasoline.
1065.715 Natural gas.
1065.720 Liquefied petroleum gas.
1065.740 Lubricants.
1065.745 Coolants.
1065.750 Analytical Gases.
1065.790 Mass standards.

                 Subpart I_Testing with Oxygenated Fuels

1065.801 Applicability.
1065.805 Sampling system.
1065.845 Response factor determination.
1065.850 Calculations.

    Subpart J_Field Testing and Portable Emission Measurement Systems

1065.901 Applicability.
1065.905 General provisions.
1065.910 PEMS auxiliary equipment for field testing.
1065.915 PEMS instruments.
1065.920 PEMS calibrations and verifications.
1065.925 PEMS preparation for field testing.
1065.930 Engine starting, restarting, and shutdown.
1065.935 Emission test sequence for field testing.
1065.940 Emission calculations.

[[Page 565]]

          Subpart K_Definitions and Other Reference Information

1065.1001 Definitions.
1065.1005 Symbols, abbreviations, acronyms, and units of measure.
1065.1010 Reference materials.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 70 FR 40516, July 13, 2005, unless otherwise noted.



             Subpart A_Applicability and General Provisions



Sec. 1065.1  Applicability.

    (a) This part describes the procedures that apply to testing we 
require for the following engines or for vehicles using the following 
engines:
    (1) Locomotives we regulate under 40 CFR part 1033. For earlier 
model years, manufacturers may use the test procedures in this part or 
those specified in 40 CFR part 92 according to Sec. 1065.10.
    (2) Model year 2010 and later heavy-duty highway engines we regulate 
under 40 CFR part 86. For earlier model years, manufacturers may use the 
test procedures in this part or those specified in 40 CFR part 86, 
subpart N, according to Sec. 1065.10.
    (3) Nonroad diesel engines we regulate under 40 CFR part 1039 and 
stationary diesel engines that are certified to the standards in 40 CFR 
part 1039 as specified in 40 CFR part 60, subpart IIII. For earlier 
model years, manufacturers may use the test procedures in this part or 
those specified in 40 CFR part 89 according to Sec. 1065.10.
    (4) Marine diesel engines we regulate under 40 CFR part 1042. For 
earlier model years, manufacturers may use the test procedures in this 
part or those specified in 40 CFR part 94 according to Sec. 1065.10.
    (5) Marine spark-ignition engines we regulate under 40 CFR part 
1045. For earlier model years, manufacturers may use the test procedures 
in this part or those specified in 40 CFR part 91 according to Sec. 
1065.10.
    (6) Large nonroad spark-ignition engines we regulate under 40 CFR 
part 1048, and stationary engines that are certified to the standards in 
40 CFR part 1048 or as otherwise specified in 40 CFR part 60, subpart 
JJJJ.
    (7) Vehicles we regulate under 40 CFR part 1051 (such as snowmobiles 
and off-highway motorcycles) based on engine testing. See 40 CFR part 
1051, subpart F, for standards and procedures that are based on vehicle 
testing.
    (8) Small nonroad spark-ignition engines we regulate under 40 CFR 
part 1054 and stationary engines that are certified to the standards in 
40 CFR part 1054 as specified in 40 CFR part 60, subpart JJJJ. For 
earlier model years, manufacturers may use the test procedures in this 
part or those specified in 40 CFR part 90 according to Sec. 1065.10.
    (b) The procedures of this part may apply to other types of engines, 
as described in this part and in the standard-setting part.
    (c) The term ``you'' means anyone performing testing under this part 
other than EPA.
    (1) This part is addressed primarily to manufacturers of engines, 
vehicles, equipment, and vessels, but it applies equally to anyone who 
does testing under this part for such manufacturers.
    (2) This part applies to any manufacturer or supplier of test 
equipment, instruments, supplies, or any other goods or services related 
to the procedures, requirements, recommendations, or options in this 
part.
    (d) Paragraph (a) of this section identifies the parts of the CFR 
that define emission standards and other requirements for particular 
types of engines. In this part, we refer to each of these other parts 
generically as the ''standard-setting part.'' For example, 40 CFR part 
1051 is always the standard-setting part for snowmobiles. Note that 
while 40 CFR part 86 is the standard-setting part for heavy-duty highway 
engines, this refers specifically to 40 CFR part 86, subpart A, and to 
certain portions of 40 CFR part 86, subpart N, as described in 40 CFR 
86.1301.
    (e) Unless we specify otherwise, the terms ``procedures'' and ``test 
procedures'' in this part include all aspects of engine testing, 
including the equipment specifications, calibrations, calculations, and 
other protocols and procedural specifications needed to measure 
emissions.
    (f) For vehicles, equipment, or vessels subject to this part and 
regulated under vehicle-based, equipment-based,

[[Page 566]]

or vessel-based standards, use good engineering judgment to interpret 
the term ``engine'' in this part to include vehicles, equipment, or 
vessels, where appropriate.
    (g) For additional information regarding these test procedures, 
visit our Web site at http://www.epa.gov, and in particular http://
www.epa.gov/nvfel/testing/regulations.htm.

[73 FR 37288, June 30, 2008, as amended at 73 FR 59321, Oct. 8, 2008; 75 
FR 23028, Apr. 30, 2010]

    Effective Date Note: At 76 FR 37977, June 28, 2011, Sec. 1065.1 was 
amended by revising paragraphs (a)(3) and (a)(4), effective August 29, 
2011. For the convenience of the user, the revised text is set forth as 
follows:



Sec. 1065.1  Applicability.

    (a) * * *
    (3) Nonroad diesel engines we regulate under 40 CFR part 1039 and 
stationary compression-ignition engines that are certified to the 
standards in 40 CFR part 1039, as specified in 40 CFR part 60, subpart 
IIII. For earlier model years, manufacturers may use the test procedures 
in this part or those specified in 40 CFR part 89 according to Sec. 
1065.10.
    (4) Marine diesel engines we regulate under 40 CFR part 1042 and 
stationary compression-ignition engines that are certified to the 
standards in 40 CFR part 1042, as specified in 40 CFR part 60, subpart 
IIII. For earlier model years, manufacturers may use the test procedures 
in this part or those specified in 40 CFR part 94 according to Sec. 
1065.10.

                                * * * * *



Sec. 1065.2  Submitting information to EPA under this part.

    (a) You are responsible for statements and information in your 
applications for certification, requests for approved procedures, 
selective enforcement audits, laboratory audits, production-line test 
reports, field test reports, or any other statements you make to us 
related to this part 1065. If you provide statements or information to 
someone for submission to EPA, you are responsible for these statements 
and information as if you had submitted them to EPA yourself.
    (b) In the standard-setting part and in 40 CFR 1068.101, we describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. See also 18 U.S.C. 1001 
and 42 U.S.C. 7413(c)(2). This obligation applies whether you submit 
this information directly to EPA or through someone else.
    (c) We may void any certificates or approvals associated with a 
submission of information if we find that you intentionally submitted 
false, incomplete, or misleading information. For example, if we find 
that you intentionally submitted incomplete information to mislead EPA 
when requesting approval to use alternate test procedures, we may void 
the certificates for all engines families certified based on emission 
data collected using the alternate procedures. This would also apply if 
you ignore data from incomplete tests or from repeat tests with higher 
emission results.
    (d) We may require an authorized representative of your company to 
approve and sign the submission, and to certify that all of the 
information submitted is accurate and complete. This includes everyone 
who submits information, including manufacturers and others.
    (e) See 40 CFR 1068.10 for provisions related to confidential 
information. Note however that under 40 CFR 2.301, emission data is 
generally not eligible for confidential treatment.
    (f) Nothing in this part should be interpreted to limit our ability 
under Clean Air Act section 208 (42 U.S.C. 7542) to verify that engines 
conform to the regulations.

[73 FR 37289, June 30, 2008, as amended at 75 FR 23028, Apr. 30, 2010]



Sec. 1065.5  Overview of this part 1065 and its relationship to the standard-setting part.

    (a) This part specifies procedures that apply generally to testing 
various categories of engines. See the standard-setting part for 
directions in applying specific provisions in this part for a particular 
type of engine. Before using this part's procedures, read the standard-
setting part to answer at least the following questions:
    (1) What duty cycles must I use for laboratory testing?
    (2) Should I warm up the test engine before measuring emissions, or 
do I need to measure cold-start emissions

[[Page 567]]

during a warm-up segment of the duty cycle?
    (3) Which exhaust constituents do I need to measure? Measure all 
exhaust constituents that are subject to emission standards, any other 
exhaust constituents needed for calculating emission rates, and any 
additional exhaust constituents as specified in the standard-setting 
part. Alternatively, you may omit the measurement of N2O and 
CH4 for an engine, provided it is not subject to an 
N2O or CH4 emission standard. If you omit the 
measurement of N2O and CH4, you must provide other 
information and/or data that will give us a reasonable basis for 
estimating the engine's emission rates.
    (4) Do any unique specifications apply for test fuels?
    (5) What maintenance steps may I take before or between tests on an 
emission-data engine?
    (6) Do any unique requirements apply to stabilizing emission levels 
on a new engine?
    (7) Do any unique requirements apply to test limits, such as ambient 
temperatures or pressures?
    (8) Is field testing required or allowed, and are there different 
emission standards or procedures that apply to field testing?
    (9) Are there any emission standards specified at particular engine-
operating conditions or ambient conditions?
    (10) Do any unique requirements apply for durability testing?
    (b) The testing specifications in the standard-setting part may 
differ from the specifications in this part. In cases where it is not 
possible to comply with both the standard-setting part and this part, 
you must comply with the specifications in the standard-setting part. 
The standard-setting part may also allow you to deviate from the 
procedures of this part for other reasons.
    (c) The following table shows how this part divides testing 
specifications into subparts:

       Table 1 of Sec.  1065.5--Description of Part 1065 Subparts
------------------------------------------------------------------------
                                   Describes these specifications or
         This subpart                          procedures
------------------------------------------------------------------------
Subpart A....................  Applicability and general provisions.
Subpart B....................  Equipment for testing.
Subpart C....................  Measurement instruments for testing.
Subpart D....................  Calibration and performance verifications
                                for measurement systems.
Subpart E....................  How to prepare engines for testing,
                                including service accumulation.
Subpart F....................  How to run an emission test over a
                                predetermined duty cycle.
Subpart G....................  Test procedure calculations.
Subpart H....................  Fuels, engine fluids, analytical gases,
                                and other calibration standards.
Subpart I....................  Special procedures related to oxygenated
                                fuels.
Subpart J....................  How to test with portable emission
                                measurement systems (PEMS).
------------------------------------------------------------------------


[73 FR 37289, June 30, 2008, as amended at 74 FR 56511, Oct. 30, 2009]



Sec. 1065.10  Other procedures.

    (a) Your testing. The procedures in this part apply for all testing 
you do to show compliance with emission standards, with certain 
exceptions listed in this section. In some other sections in this part, 
we allow you to use other procedures (such as less precise or less 
accurate procedures) if they do not affect your ability to show that 
your engines comply with the applicable emission standards. This 
generally requires emission levels to be far enough below the applicable 
emission standards so that any errors caused by greater imprecision or 
inaccuracy do not affect your ability to state unconditionally that the 
engines meet all applicable emission standards.
    (b) Our testing. These procedures generally apply for testing that 
we do to determine if your engines comply with applicable emission 
standards. We may perform other testing as allowed by the Act.
    (c) Exceptions. We may allow or require you to use procedures other 
than those specified in this part in the following cases, which may 
apply to laboratory testing, field testing, or both. We intend to 
publicly announce when we allow or require such exceptions. All of the 
test procedures noted here as exceptions to the specified procedures are 
considered generically as ``other

[[Page 568]]

procedures.'' Note that the terms ``special procedures'' and ``alternate 
procedures'' have specific meanings; ``special procedures'' are those 
allowed by Sec. 1065.10(c)(2) and ``alternate procedures'' are those 
allowed by Sec. 1065.10(c)(7).
    (1) The objective of the procedures in this part is to produce 
emission measurements equivalent to those that would result from 
measuring emissions during in-use operation using the same engine 
configuration as installed in a vehicle, equipment, or vessel. However, 
in unusual circumstances where these procedures may result in 
measurements that do not represent in-use operation, you must notify us 
if good engineering judgment indicates that the specified procedures 
cause unrepresentative emission measurements for your engines. Note that 
you need not notify us of unrepresentative aspects of the test procedure 
if measured emissions are equivalent to in-use emissions. This provision 
does not obligate you to pursue new information regarding the different 
ways your engine might operate in use, nor does it obligate you to 
collect any other in-use information to verify whether or not these test 
procedures are representative of your engine's in-use operation. If you 
notify us of unrepresentative procedures under this paragraph (c)(1), we 
will cooperate with you to establish whether and how the procedures 
should be appropriately changed to result in more representative 
measurements. While the provisions of this paragraph (c)(1) allow us to 
be responsive to issues as they arise, we would generally work toward 
making these testing changes generally applicable through rulemaking. We 
will allow reasonable lead time for compliance with any resulting change 
in procedures. We will consider the following factors in determining the 
importance of pursuing changes to the procedures:
    (i) Whether supplemental emission standards or other requirements in 
the standard-setting part address the type of operation of concern or 
otherwise prevent inappropriate design strategies.
    (ii) Whether the unrepresentative aspect of the procedures affect 
your ability to show compliance with the applicable emission standards.
    (iii) The extent to which the established procedures require the use 
of emission-control technologies or strategies that are expected to 
ensure a comparable degree of emission control under the in-use 
operation that differs from the specified procedures.
    (2) You may request to use special procedures if your engine cannot 
be tested using the specified procedures. For example, this may apply if 
your engine cannot operate on the specified duty cycle. In this case, 
tell us in writing why you cannot satisfactorily test your engine using 
this part's procedures and ask to use a different approach. We will 
approve your request if we determine that it would produce emission 
measurements that represent in-use operation and we determine that it 
can be used to show compliance with the requirements of the standard-
setting part. Where we approve special procedures that differ 
substantially from the specified procedures, we may preclude you from 
participating in averaging, banking, and trading with the affected 
engine families.
    (3) In a given model year, you may use procedures required for later 
model year engines without request. If you upgrade your testing facility 
in stages, you may rely on a combination of procedures for current and 
later model year engines as long as you can ensure, using good 
engineering judgment, that the combination you use for testing does not 
affect your ability to show compliance with the applicable emission 
standards.
    (4) In a given model year, you may ask to use procedures allowed for 
earlier model year engines. We will approve this only if you show us 
that using the procedures allowed for earlier model years does not 
affect your ability to show compliance with the applicable emission 
standards.
    (5) You may ask to use emission data collected using other 
procedures, such as those of the California Air Resources Board or the 
International Organization for Standardization. We will approve this 
only if you show us that using these other procedures does not affect 
your ability to show compliance with the applicable emission standards.

[[Page 569]]

    (6) During the 12 months following the effective date of any change 
in the provisions of this part 1065, you may use data collected using 
procedures specified in the previously applicable version of this part 
1065. This paragraph (c)(6) does not restrict the use of carryover 
certification data otherwise allowed by the standard-setting part.
    (7) You may request to use alternate procedures that are equivalent 
to the allowed procedures, or procedures that are more accurate or more 
precise than the allowed procedures. The following provisions apply to 
requests for alternate procedures:
    (i) Applications. Follow the instructions in Sec. 1065.12.
    (ii) Submission. Submit requests in writing to the Designated 
Compliance Officer.
    (iii) Notification. We may approve your request by telling you 
directly, or we may issue guidance announcing our approval of a specific 
alternate procedure, which would make additional requests for approval 
unnecessary.
    (d) If we require you to request approval to use other procedures 
under paragraph (c) of this section, you may not use them until we 
approve your request.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37290, June 30, 2008; 
75 FR 23028, Apr. 30, 2010]



Sec. 1065.12  Approval of alternate procedures.

    (a) To get approval for an alternate procedure under Sec. 
1065.10(c), send the Designated Compliance Officer an initial written 
request describing the alternate procedure and why you believe it is 
equivalent to the specified procedure. Anyone may request alternate 
procedure approval. This means that an individual engine manufacturer 
may request to use an alternate procedure. This also means that an 
instrument manufacturer may request to have an instrument, equipment, or 
procedure approved as an alternate procedure to those specified in this 
part. We may approve your request based on this information alone, or, 
as described in this section, we may ask you to submit to us in writing 
supplemental information showing that your alternate procedure is 
consistently and reliably at least as accurate and repeatable as the 
specified procedure.
    (b) We may make our approval under this section conditional upon 
meeting other requirements or specifications. We may limit our approval, 
for example, to certain time frames, specific duty cycles, or specific 
emission standards. Based upon any supplemental information we receive 
after our initial approval, we may amend a previously approved alternate 
procedure to extend, limit, or discontinue its use. We intend to 
publicly announce alternate procedures that we approve.
    (c) Although we will make every effort to approve only alternate 
procedures that completely meet our requirements, we may revoke our 
approval of an alternate procedure if new information shows that it is 
significantly not equivalent to the specified procedure.
    If we do this, we will grant time to switch to testing using an 
allowed procedure, considering the following factors:
    (1) The cost, difficulty, and availability to switch to a procedure 
that we allow.
    (2) The degree to which the alternate procedure affects your ability 
to show that your engines comply with all applicable emission standards.
    (3) Any relevant factors considered in our initial approval.
    (d) If we do not approve your proposed alternate procedure based on 
the information in your initial request, we may ask you to send the 
following information to fully evaluate your request:
    (1) Theoretical basis. Give a brief technical description explaining 
why you believe the proposed alternate procedure should result in 
emission measurements equivalent to those using the specified procedure. 
You may include equations, figures, and references. You should consider 
the full range of parameters that may affect equivalence. For example, 
for a request to use a different NOX measurement procedure, 
you should theoretically relate the alternate detection principle to the 
specified detection principle over the expected concentration ranges for 
NO,

[[Page 570]]

NO2, and interference gases. For a request to use a different PM 
measurement procedure, you should explain the principles by which the 
alternate procedure quantifies particulate mass similarly to the 
specified procedures.
    (2) Technical description. Describe briefly any hardware or software 
needed to perform the alternate procedure. You may include dimensioned 
drawings, flowcharts, schematics, and component specifications. Explain 
any necessary calculations or other data manipulation.
    (3) Procedure execution. Describe briefly how to perform the 
alternate procedure and recommend a level of training an operator should 
have to achieve acceptable results.
    Summarize the installation, calibration, operation, and maintenance 
procedures in a step-by-step format. Describe how any calibration is 
performed using NIST-traceable standards or other similar standards we 
approve. Calibration must be specified by using known quantities and 
must not be specified as a comparison with other allowed procedures.
    (4) Data-collection techniques. Compare measured emission results 
using the proposed alternate procedure and the specified procedure, as 
follows:
    (i) Both procedures must be calibrated independently to NIST-
traceable standards or to other similar standards we approve.
    (ii) Include measured emission results from all applicable duty 
cycles. Measured emission results should show that the test engine meets 
all applicable emission standards according to specified procedures.
    (iii) Use statistical methods to evaluate the emission measurements, 
such as those described in paragraph (e) of this section.
    (e) We may give you specific directions regarding methods for 
statistical analysis, or we may approve other methods that you propose. 
Absent any other directions from us, use a t-test and an F-test 
calculated according to Sec. 1065.602 to evaluate whether your proposed 
alternate procedure is equivalent to the specified procedure. We 
recommend that you consult a statistician if you are unfamiliar with 
these statistical tests. Perform the tests as follows:
    (1) Repeat measurements for all applicable duty cycles at least 
seven times for each procedure. You may use laboratory duty cycles to 
evaluate field-testing procedures.
    Be sure to include all available results to evaluate the precision 
and accuracy of the proposed alternate procedure, as described in Sec. 
1065.2.
    (2) Demonstrate the accuracy of the proposed alternate procedure by 
showing that it passes a two-sided t-test. Use an unpaired t-test, 
unless you show that a paired t-test is appropriate under both of the 
following provisions:
    (i) For paired data, the population of the paired differences from 
which you sampled paired differences must be independent. That is, the 
probability of any given value of one paired difference is unchanged by 
knowledge of the value of another paired difference. For example, your 
paired data would violate this requirement if your series of paired 
differences showed a distinct increase or decrease that was dependent on 
the time at which they were sampled.
    (ii) For paired data, the population of paired differences from 
which you sampled the paired differences must have a normal (i.e., 
Gaussian) distribution. If the population of paired difference is not 
normally distributed, consult a statistician for a more appropriate 
statistical test, which may include transforming the data with a 
mathematical function or using some kind of non-parametric test.
    (3) Show that t is less than the critical t value, tcrit, tabulated 
in Sec. 1065.602, for the following confidence intervals:
    (i) 90% for a proposed alternate procedure for laboratory testing.
    (ii) 95% for a proposed alternate procedure for field testing.
    (4) Demonstrate the precision of the proposed alternate procedure by 
showing that it passes an F-test. Use a set of at least seven samples 
from the reference procedure and a set of at least seven samples from 
the alternate procedure to perform an F-test. The sets must meet the 
following requirements:
    (i) Within each set, the values must be independent. That is, the 
probability of any given value in a set must

[[Page 571]]

be unchanged by knowledge of another value in that set. For example, 
your data would violate this requirement if a set showed a distinct 
increase or decrease that was dependent upon the time at which they were 
sampled.
    (ii) For each set, the population of values from which you sampled 
must have a normal (i.e., Gaussian) distribution. If the population of 
values is not normally distributed, consult a statistician for a more 
appropriate statistical test, which may include transforming the data 
with a mathematical function or using some kind of non-parametric test.
    (iii) The two sets must be independent of each other. That is, the 
probability of any given value in one set must be unchanged by knowledge 
of another value in the other set. For example, your data would violate 
this requirement if one value in a set showed a distinct increase or 
decrease that was dependent upon a value in the other set. Note that a 
trend of emission changes from an engine would not violate this 
requirement.
    (iv) If you collect paired data for the paired t-test in paragraph 
(e)(2) in this section, use caution when selecting sets from paired data 
for the F-test. If you do this, select sets that do not mask the 
precision of the measurement procedure. We recommend selecting such sets 
only from data collected using the same engine, measurement instruments, 
and test cycle.
    (5) Show that F is less than the critical F value, Fcrit, tabulated 
in Sec. 1065.602. If you have several F-test results from several sets 
of data, show that the mean F-test value is less than the mean critical 
F value for all the sets. Evaluate Fcrit, based on the following 
confidence intervals:
    (i) 90% for a proposed alternate procedure for laboratory testing.
    (ii) 95% for a proposed alternate procedure for field testing.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37290, June 30, 2008]



Sec. 1065.15  Overview of procedures for laboratory and field testing.

    This section outlines the procedures to test engines that are 
subject to emission standards.
    (a) In the standard-setting part, we set brake-specific emission 
standards in g/(kW[middot]hr) (or g/(hp[middot]hr)), for the following 
constituents:
    (1) Total oxides of nitrogen, NOX.
    (2) Hydrocarbons (HC), which may be expressed in the following ways:
    (i) Total hydrocarbons, THC.
    (ii) Nonmethane hydrocarbons, NMHC, which results from subtracting 
methane (CH4) from THC.
    (iii) Total hydrocarbon-equivalent, THCE, which results from 
adjusting THC mathematically to be equivalent on a carbon-mass basis.
    (iv) Nonmethane hydrocarbon-equivalent, NMHCE, which results from 
adjusting NMHC mathematically to be equivalent on a carbon-mass basis.
    (3) Particulate mass, PM.
    (4) Carbon monoxide, CO.
    (b) Note that some engines are not subject to standards for all the 
emission constituents identified in paragraph (a) of this section.
    (c) We generally set brake-specific emission standards over test 
intervals and/or duty cycles, as follows:
    (1) Engine operation. Testing may involve measuring emissions and 
work in a laboratory-type environment or in the field, as described in 
paragraph (f) of this section. For most laboratory testing, the engine 
is operated over one or more duty cycles specified in the standard-
setting part. However, laboratory testing may also include non-duty 
cycle testing (such as simulation of field testing in a laboratory). For 
field testing, the engine is operated under normal in-use operation. The 
standard-setting part specifies how test intervals are defined for field 
testing. Refer to the definitions of ``duty cycle'' and ``test 
interval'' in Sec. 1065.1001. Note that a single duty cycle may have 
multiple test intervals and require weighting of results from multiple 
test intervals to calculate a composite brake-specific emissions value 
to compare to the standard.
    (2) Constituent determination. Determine the total mass of each 
constituent over a test interval by selecting from the following 
methods:
    (i) Continuous sampling. In continuous sampling, measure the 
constituent's concentration continuously from raw

[[Page 572]]

or dilute exhaust. Multiply this concentration by the continuous (raw or 
dilute) flow rate at the emission sampling location to determine the 
constituent's flow rate. Sum the constituent's flow rate continuously 
over the test interval. This sum is the total mass of the emitted 
constituent.
    (ii) Batch sampling. In batch sampling, continuously extract and 
store a sample of raw or dilute exhaust for later measurement. Extract a 
sample proportional to the raw or dilute exhaust flow rate. You may 
extract and store a proportional sample of exhaust in an appropriate 
container, such as a bag, and then measure HC, CO, and NOX 
concentrations in the container after the test interval. You may deposit 
PM from proportionally extracted exhaust onto an appropriate substrate, 
such as a filter. In this case, divide the PM by the amount of filtered 
exhaust to calculate the PM concentration. Multiply batch sampled 
concentrations by the total (raw or dilute) flow from which it was 
extracted during the test interval. This product is the total mass of 
the emitted constituent.
    (iii) Combined sampling. You may use continuous and batch sampling 
simultaneously during a test interval, as follows:
    (A) You may use continuous sampling for some constituents and batch 
sampling for others.
    (B) You may use continuous and batch sampling for a single 
constituent, with one being a redundant measurement. See Sec. 1065.201 
for more information on redundant measurements.
    (3) Work determination. Determine work over a test interval by one 
of the following methods:
    (i) Speed and torque. Synchronously multiply speed and brake torque 
to calculate instantaneous values for engine brake power. Sum engine 
brake power over a test interval to determine total work.
    (ii) Fuel consumed and brake-specific fuel consumption. Directly 
measure fuel consumed or calculate it with chemical balances of the 
fuel, intake air, and exhaust. To calculate fuel consumed by a chemical 
balance, you must also measure either intake-air flow rate or exhaust 
flow rate. Divide the fuel consumed during a test interval by the brake-
specific fuel consumption to determine work over the test interval. For 
laboratory testing, calculate the brake-specific fuel consumption using 
fuel consumed and speed and torque over a test interval. For field 
testing, refer to the standard-setting part and Sec. 1065.915 for 
selecting an appropriate value for brake-specific fuel consumption.
    (d) Refer to Sec. 1065.650 for calculations to determine brake-
specific emissions.
    (e) The following figure illustrates the allowed measurement 
configurations described in this part 1065:

[[Page 573]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.018

    (f) This part 1065 describes how to test engines in a laboratory-
type environment or in the field.
    (1) This affects test intervals and duty cycles as follows:

[[Page 574]]

    (i) For laboratory testing, you generally determine brake-specific 
emissions for duty-cycle testing by using an engine dynamometer in a 
laboratory or other environment. This typically consists of one or more 
test intervals, each defined by a duty cycle, which is a sequence of 
modes, speeds, and/or torques (or powers) that an engine must follow. If 
the standard-setting part allows it, you may also simulate field testing 
with an engine dynamometer in a laboratory or other environment.
    (ii) Field testing consists of normal in-use engine operation while 
an engine is installed in a vehicle, equipment, or vessel rather than 
following a specific engine duty cycle. The standard-setting part 
specifies how test intervals are defined for field testing.
    (2) The type of testing may also affect what test equipment may be 
used. You may use ``lab-grade'' test equipment for any testing. The term 
``lab-grade'' refers to equipment that fully conforms to the applicable 
specifications of this part. For some testing you may alternatively use 
``field-grade'' equipment. The term ``field-grade'' refers to equipment 
that fully conforms to the applicable specifications of subpart J of 
this part, but does not fully conform to other specifications of this 
part. You may use ``field-grade'' equipment for field testing. We also 
specify in this part and in the standard-setting parts certain cases in 
which you may use ``field-grade'' equipment for testing in a laboratory-
type environment. (Note: Although ``field-grade'' equipment is generally 
more portable than ``lab-grade'' test equipment, portability is not 
relevant to whether equipment is considered to be ``field-grade'' or 
``lab-grade''.)

[70 FR 40516, July 13, 2005, as amended at 73 FR 37290, June 30, 2008; 
75 FR 23028, Apr. 30, 2010]



Sec. 1065.20  Units of measure and overview of calculations.

    (a) System of units. The procedures in this part generally follow 
the International System of Units (SI), as detailed in NIST Special 
Publication 811, 1995 Edition, ``Guide for the Use of the International 
System of Units (SI),'' which we incorporate by reference in Sec. 
1065.1010. This document is available on the Internet at http://
physics.nist.gov/Pubs/SP811/contents.html. Note the following 
exceptions:
    (1) We designate rotational frequency, fn, of an engine's crankshaft 
in revolutions per minute (rev/min), rather than the SI unit of 
reciprocal seconds (1/s). This is based on the commonplace use of rev/
min in many engine dynamometer laboratories. Also, we use the symbol fn 
to identify rotational frequency in rev/min, rather than the SI 
convention of using n. This avoids confusion with our usage of the 
symbol n for a molar quantity.
    (2) We designate brake-specific emissions in grams per kilowatt-hour 
(g/(kW[middot]hr)), rather than the SI unit of grams per megajoule (g/
MJ). In addition, we use the symbol hr to identify hour, rather than the 
SI convention of using h. This is based on the fact that engines are 
generally subject to emission standards expressed in g/kW[middot]hr. If 
we specify engine standards in grams per horsepower[middot]hour (g/
(hp[middot]hr)) in the standard-setting part, convert units as specified 
in paragraph (d) of this section.
    (3) We designate temperatures in units of degrees Celsius ( [deg]C) 
unless a calculation requires an absolute temperature. In that case, we 
designate temperatures in units of Kelvin (K). For conversion purposes 
throughout this part, 0 [deg]C equals 273.15 K.
    (b) Concentrations. This part does not rely on amounts expressed in 
parts per million or similar units. Rather, we express such amounts in 
the following SI units:
    (1) For ideal gases, [micro]mol/mol, formerly ppm (volume).
    (2) For all substances, cm\3\/m\3\, formerly ppm (volume).
    (3) For all substances, mg/kg, formerly ppm (mass).
    (c) Absolute pressure. Measure absolute pressure directly or 
calculate it as the sum of atmospheric pressure plus a differential 
pressure that is referenced to atmospheric pressure.
    (d) Units conversion. Use the following conventions to convert 
units:
    (1) Testing. You may record values and perform calculations with 
other units. For testing with equipment that

[[Page 575]]

involves other units, use the conversion factors from NIST Special 
Publication 811, as described in paragraph (a) of this section.
    (2) Humidity. In this part, we identify humidity levels by 
specifying dewpoint, which is the temperature at which pure water begins 
to condense out of air. Use humidity conversions as described in Sec. 
1065.645.
    (3) Emission standards. If your standard is in g/(hp[middot]hr) 
units, convert kW to hp before any rounding by using the conversion 
factor of 1 hp ( 550 ft[middot]lbf/s) = 0.7456999 kW. Round the final 
value for comparison to the applicable standard.
    (e) Rounding. Unless the standard-setting part specifies otherwise, 
round only final values, not intermediate values. Round values to the 
number of significant digits necessary to match the number of decimal 
places of the applicable standard or specification. For information not 
related to standards or specifications, use good engineering judgment to 
record the appropriate number of significant digits.
    (f) Interpretation of ranges. Interpret a range as a tolerance 
unless we explicitly identify it as an accuracy, repeatability, 
linearity, or noise specification. See Sec. 1065.1001 for the 
definition of tolerance. In this part, we specify two types of ranges:
    (1) Whenever we specify a range by a single value and corresponding 
limit values above and below that value, target any associated control 
point to that single value. Examples of this type of range include 
`` 10% of maximum pressure'', or ``(30  10) kPa''.
    (2) Whenever we specify a range by the interval between two values, 
you may target any associated control point to any value within that 
range. An example of this type of range is ``(40 to 50) kPa''.
    (g) Scaling of specifications with respect to an applicable 
standard. Because this part 1065 is applicable to a wide range of 
engines and emission standards, some of the specifications in this part 
are scaled with respect to an engine's applicable standard or maximum 
power. This ensures that the specification will be adequate to determine 
compliance, but not overly burdensome by requiring unnecessarily high-
precision equipment. Many of these specifications are given with respect 
to a ``flow-weighted mean'' that is expected at the standard or during 
testing. Flow-weighted mean is the mean of a quantity after it is 
weighted proportional to a corresponding flow rate. For example, if a 
gas concentration is measured continuously from the raw exhaust of an 
engine, its flow-weighted mean concentration is the sum of the products 
of each recorded concentration times its respective exhaust flow rate, 
divided by the sum of the recorded flow rates. As another example, the 
bag concentration from a CVS system is the same as the flow-weighted 
mean concentration, because the CVS system itself flow-weights the bag 
concentration. Refer to Sec. 1065.602 for information needed to 
estimate and calculate flow-weighted means. Wherever a specification is 
scaled to a value based upon an applicable standard, interpret the 
standard to be the family emission limit if the engine is certified 
under an emission credit program in the standard-setting part.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37292, June 30, 2008]



Sec. 1065.25  Recordkeeping.

    The procedures in this part include various requirements to record 
data or other information. Refer to the standard-setting part regarding 
recordkeeping requirements. If the standard-setting part does not 
specify recordkeeping requirements, store these records in any format 
and on any media and keep them readily available for one year after you 
send an associated application for certification, or one year after you 
generate the data if they do not support an application for 
certification. You must promptly send us organized, written records in 
English if we ask for them. We may review them at any time.



                   Subpart B_Equipment Specifications



Sec. 1065.101  Overview.

    (a) This subpart specifies equipment, other than measurement 
instruments,

[[Page 576]]

related to emission testing. The provisions of this subpart apply for 
all engine dynamometer testing where engine speeds and loads are 
controlled to follow a prescribed duty cycle. See subpart J of this part 
to determine which of the provisions of this subpart apply for field 
testing. This equipment includes three broad categories-dynamometers, 
engine fluid systems (such as fuel and intake-air systems), and 
emission-sampling hardware.
    (b) Other related subparts in this part identify measurement 
instruments (subpart C), describe how to evaluate the performance of 
these instruments (subpart D), and specify engine fluids and analytical 
gases (subpart H).
    (c) Subpart J of this part describes additional equipment that is 
specific to field testing.
    (d) Figures 1 and 2 of this section illustrate some of the possible 
configurations of laboratory equipment. These figures are schematics 
only; we do not require exact conformance to them. Figure 1 of this 
section illustrates the equipment specified in this subpart and gives 
some references to sections in this subpart. Figure 2 of this section 
illustrates some of the possible configurations of a full-flow dilution, 
constant-volume sampling (CVS) system. Not all possible CVS 
configurations are shown.
    (e) Dynamometer testing involves engine operation over speeds and 
loads that are controlled to a prescribed duty cycle. Field testing 
involves measuring emissions over normal in-use operation of a vehicle 
or piece of equipment. Field testing does not involve operating an 
engine over a prescribed duty cycle.

[[Page 577]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.012


[[Page 578]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.013


[70 FR 40516, July 13, 2005, as amended at 73 FR 37292, June 30, 2008]



Sec. 1065.110  Work inputs and outputs, accessory work, and operator demand.

    (a) Work. Use good engineering judgment to simulate all engine work 
inputs and outputs as they typically would operate in use. Account for 
work inputs and outputs during an emission test by measuring them; or, 
if they are small, you may show by engineering analysis that 
disregarding them does not affect your ability to determine the net work 
output by more than  0.5% of the net expected work 
output over the test interval. Use equipment to simulate the specific 
types of work, as follows:
    (1) Shaft work. Use an engine dynamometer that is able to meet the 
cycle-validation criteria in Sec. 1065.514 over each applicable duty 
cycle.
    (i) You may use eddy-current and water-brake dynamometers for any 
testing that does not involve engine motoring, which is identified by 
negative torque commands in a reference duty cycle. See the standard 
setting part for reference duty cycles that are applicable to your 
engine.
    (ii) You may use alternating-current or direct-current motoring 
dynamometers for any type of testing.
    (iii) You may use one or more dynamometers.
    (iv) You may use any device that is already installed on a vehicle, 
equipment, or vessel to absorb work from the engine's output shaft(s). 
Examples of these types of devices include a vessel's propeller and a 
locomotive's generator.
    (2) Electrical work. Use one or more of the following to simulate 
electrical work:

[[Page 579]]

    (i) Use storage batteries or capacitors that are of the type and 
capacity installed in use.
    (ii) Use motors, generators, and alternators that are of the type 
and capacity installed in use.
    (iii) Use a resistor load bank to simulate electrical loads.
    (3) Pump, compressor, and turbine work. Use pumps, compressors, and 
turbines that are of the type and capacity installed in use. Use working 
fluids that are of the same type and thermodynamic state as normal in-
use operation.
    (b) Laboratory work inputs. You may supply any laboratory inputs of 
work to the engine. For example, you may supply electrical work to the 
engine to operate a fuel system, and as another example you may supply 
compressor work to the engine to actuate pneumatic valves. We may ask 
you to show by engineering analysis your accounting of laboratory work 
inputs to meet the criterion in paragraph (a) of this section.
    (c) Engine accessories. You must either install or account for the 
work of engine accessories required to fuel, lubricate, or heat the 
engine, circulate coolant to the engine, or to operate aftertreatment 
devices. Operate the engine with these accessories installed or 
accounted for during all testing operations, including mapping. If these 
accessories are not powered by the engine during a test, account for the 
work required to perform these functions from the total work used in 
brake-specific emission calculations. For air-cooled engines only, 
subtract externally powered fan work from total work. We may ask you to 
show by engineering analysis your accounting of engine accessories to 
meet the criterion in paragraph (a) of this section.
    (d) Engine starter. You may install a production-type starter.
    (e) Operator demand for shaft work. Operator demand is defined in 
Sec. 1065.1001. Command the operator demand and the dynamometer(s) to 
follow a prescribed duty cycle with set points for engine speed and 
torque as specified in Sec. 1065.512. Refer to the standard-setting 
part to determine the specifications for your duty cycle(s). Use a 
mechanical or electronic input to control operator demand such that the 
engine is able to meet the validation criteria in Sec. 1065.514 over 
each applicable duty cycle. Record feedback values for engine speed and 
torque as specified in Sec. 1065.512. Using good engineering judgment, 
you may improve control of operator demand by altering on-engine speed 
and torque controls. However, if these changes result in 
unrepresentative testing, you must notify us and recommend other test 
procedures under Sec. 1065.10(c)(1).
    (f) Other engine inputs. If your electronic control module requires 
specific input signals that are not available during dynamometer 
testing, such as vehicle speed or transmission signals, you may simulate 
the signals using good engineering judgment. Keep records that describe 
what signals you simulate and explain why these signals are necessary 
for representative testing.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37292, June 30, 2008]



Sec. 1065.120  Fuel properties and fuel temperature and pressure.

    (a) Use fuels as specified in the standard-setting part, or as 
specified in subpart H of this part if fuels are not specified in the 
standard-setting part.
    (b) If the engine manufacturer specifies fuel temperature and 
pressure tolerances and the location where they are to be measured, then 
measure the fuel temperature and pressure at the specified location to 
show that you are within these tolerances throughout testing.
    (c) If the engine manufacturer does not specify fuel temperature and 
pressure tolerances, use good engineering judgment to set and control 
fuel temperature and pressure in a way that represents typical in-use 
fuel temperatures and pressures.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37293, June 30, 2008]



Sec. 1065.122  Engine cooling and lubrication.

    (a) Engine cooling. Cool the engine during testing so its intake-
air, oil, coolant, block, and head temperatures are within their 
expected ranges for normal operation. You may use auxiliary coolers and 
fans.

[[Page 580]]

    (1) For air-cooled engines only, if you use auxiliary fans you must 
account for work input to the fan(s) according to Sec. 1065.110.
    (2) See Sec. 1065.125 for more information related to intake-air 
cooling.
    (3) See Sec. 1065.127 for more information related to exhaust gas 
recirculation cooling.
    (4) Measure temperatures at the manufacturer-specified locations. If 
the manufacturer does not specify temperature measurement locations, 
then use good engineering judgment to monitor intake-air, oil, coolant, 
block, and head temperatures to ensure that they are in their expected 
ranges for normal operation.
    (b) Forced cooldown. You may install a forced cooldown system for an 
engine and an exhaust aftertreatment device according to Sec. 
1065.530(a)(1).
    (c) Lubricating oil. Use lubricating oils specified in Sec. 
1065.740. For two-stroke engines that involve a specified mixture of 
fuel and lubricating oil, mix the lubricating oil with the fuel 
according to the manufacturer's specifications.
    (d) Coolant. For liquid-cooled engines, use coolant as specified in 
Sec. 1065.745.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37293, June 30, 2008]



Sec. 1065.125  Engine intake air.

    (a) Use the intake-air system installed on the engine or one that 
represents a typical in-use configuration. This includes the charge-air 
cooling and exhaust gas recirculation systems.
    (b) Measure temperature, humidity, and atmospheric pressure near the 
entrance of the furthest upstream engine or in-use intake system 
component. This would generally be near the engine's air filter, or near 
the inlet to the in-use air intake system for engines that have no air 
filter. For engines with multiple intakes, make measurements near the 
entrance of each intake.
    (1) Pressure. You may use a single shared atmospheric pressure meter 
as long as your laboratory equipment for handling intake air maintains 
ambient pressure at all intakes within 1 kPa of 
the shared atmospheric pressure. For engines with multiple intakes with 
separate atmospheric pressure measurements at each intake, use an 
average value for verifying compliance to Sec. 1065.520(b)(2).
    (2) Humidity. You may use a single shared humidity measurement for 
intake air as long as your equipment for handling intake air maintains 
dewpoint at all intakes to within 0.5 [deg]C of 
the shared humidity measurement. For engines with multiple intakes with 
separate humidity measurements at each intake, use a flow-weighted 
average humidity for NOX corrections. If individual flows of 
each intake are not measured, use good engineering judgment to estimate 
a flow-weighted average humidity.
    (3) Temperature. Good engineering judgment may require that you 
shield the temperature sensors or move them upstream of an elbow in the 
laboratory intake system to prevent measurement errors due to radiant 
heating from hot engine surfaces or in-use intake system components. You 
must limit the distance between the temperature sensor and the entrance 
to the furthest upstream engine or in-use intake system component to no 
more than 12 times the outer hydraulic diameter of the entrance to the 
furthest upstream engine or in-use intake system component. However, you 
may exceed this limit if you use good engineering judgment to show that 
the temperature at the furthest upstream engine or in-use intake system 
component meets the specification in paragraph (c) of this section. For 
engines with multiple intakes, use a flow-weighted average value to 
verify compliance with the specification in paragraph (c) of this 
section. If individual flows of each intake are not measured, you may 
use good engineering judgment to estimate a flow-weighted average 
temperature. You may also verify that each individual intake complies 
with the specification in paragraph (c) of this section.
    (c) Maintain the temperature of intake air to (25  5) [deg]C, except as follows:
    (1) Follow the standard-setting part if it specifies different 
temperatures.
    (2) For engines above 560 kW, you may use 35 [deg]C as the upper 
bound of the tolerance. However, your system must be capable of 
controlling the temperature to the 25 [deg]C setpoint for any

[[Page 581]]

steady-state operation at  30% of maximum engine power.
    (3) You may ask us to allow you to apply a different setpoint for 
intake air temperature if it is necessary to remain consistent with the 
provisions of Sec. 1065.10(c)(1) for testing during which ambient 
temperature will be outside this range.
    (d) Use an intake-air restriction that represents production 
engines. Make sure the intake-air restriction is between the 
manufacturer's specified maximum for a clean filter and the 
manufacturer's specified maximum allowed. Measure the static 
differential pressure of the restriction at the location and at the 
speed and torque set points specified by the manufacturer. If the 
manufacturer does not specify a location, measure this pressure upstream 
of any turbocharger or exhaust gas recirculation system connection to 
the intake air system. If the manufacturer does not specify speed and 
torque points, measure this pressure while the engine outputs maximum 
power. As the manufacturer, you are liable for emission compliance for 
all values up to the maximum restriction you specify for a particular 
engine.
    (e) This paragraph (e) includes provisions for simulating charge-air 
cooling in the laboratory. This approach is described in paragraph 
(e)(1) of this section. Limits on using this approach are described in 
paragraphs (e)(2) and (3) of this section.
    (1) Use a charge-air cooling system with a total intake-air capacity 
that represents production engines' in-use installation. Design any 
laboratory charge-air cooling system to minimize accumulation of 
condensate. Drain any accumulated condensate and completely close all 
drains before starting a duty cycle. Keep the drains closed during the 
emission test. Maintain coolant conditions as follows:
    (i) Maintain a coolant temperature of at least 20 [deg]C at the 
inlet to the charge-air cooler throughout testing. We recommend 
maintaining a coolant temperature of 25 5 [deg]C 
at the inlet of the charge-air cooler.
    (ii) At the engine conditions specified by the manufacturer, set the 
coolant flow rate to achieve an air temperature within 5 [deg]C of the value specified by the manufacturer 
after the charge-air cooler's outlet. Measure the air-outlet temperature 
at the location specified by the manufacturer. Use this coolant flow 
rate set point throughout testing. If the engine manufacturer does not 
specify engine conditions or the corresponding charge-air cooler air 
outlet temperature, set the coolant flow rate at maximum engine power to 
achieve a charge-air cooler air outlet temperature that represents in-
use operation.
    (iii) If the engine manufacturer specifies pressure-drop limits 
across the charge-air cooling system, ensure that the pressure drop 
across the charge-air cooling system at engine conditions specified by 
the manufacturer is within the manufacturer's specified limit(s). 
Measure the pressure drop at the manufacturer's specified locations.
    (2) Using a constant flow rate as described in paragraph (e)(1) of 
this section may result in unrepresentative overcooling of the intake 
air. The provisions of this paragraph (e)(2) apply instead of the 
provisions of Sec. 1065.10(c)(1) for this simulation. Our allowance to 
cool intake air as specified in this paragraph (e) does not affect your 
liability for field testing or for laboratory testing that is done in a 
way that better represents in-use operation. Where we determine that 
this allowance adversely affects your ability to demonstrate that your 
engines would comply with emission standards under in-use conditions, we 
may require you to use more sophisticated setpoints and controls of 
charge-air pressure drop, coolant temperature, and flow rate to achieve 
more representative results.
    (3) This approach does not apply for field testing. You may not 
correct measured emission levels from field testing to account for any 
differences caused by the simulated cooling in the laboratory.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37293, June 30, 2008; 
73 FR 59321, Oct. 8, 2008; 75 FR 23029, Apr. 30, 2010]



Sec. 1065.127  Exhaust gas recirculation.

    Use the exhaust gas recirculation (EGR) system installed with the 
engine or one that represents a typical in-use configuration. This 
includes any applicable EGR cooling devices.

[[Page 582]]



Sec. 1065.130  Engine exhaust.

    (a) General. Use the exhaust system installed with the engine or one 
that represents a typical in-use configuration. This includes any 
applicable aftertreatment devices.
    (b) Aftertreatment configuration. If you do not use the exhaust 
system installed with the engine, configure any aftertreatment devices 
as follows:
    (1) Position any aftertreatment device so its distance from the 
nearest exhaust manifold flange or turbocharger outlet is within the 
range specified by the engine manufacturer in the application for 
certification. If this distance is not specified, position 
aftertreatment devices to represent typical in-use vehicle 
configurations.
    (2) You may use exhaust tubing that is not from the in-use exhaust 
system upstream of any aftertreatment device that is of diameter(s) 
typical of in-use configurations. If you use exhaust tubing that is not 
from the in-use exhaust system upstream of any aftertreatment device, 
position each aftertreatment device according to paragraph (b)(1) of 
this section.
    (c) Sampling system connections. Connect an engine's exhaust system 
to any raw sampling location or dilution stage, as follows:
    (1) Minimize laboratory exhaust tubing lengths and use a total 
length of laboratory tubing of no more than 10 m or 50 outside 
diameters, whichever is greater. The start of laboratory exhaust tubing 
should be specified as the exit of the exhaust manifold, turbocharger 
outlet, last aftertreatment device, or the in-use exhaust system, 
whichever is furthest downstream. The end of laboratory exhaust tubing 
should be specified as the sample point, or first point of dilution. If 
laboratory exhaust tubing consists of several different outside tubing 
diameters, count the number of diameters of length of each individual 
diameter, then sum all the diameters to determine the total length of 
exhaust tubing in diameters. Use the mean outside diameter of any 
converging or diverging sections of tubing. Use outside hydraulic 
diameters of any noncircular sections. For multiple stack configurations 
where all the exhaust stacks are combined, the start of the laboratory 
exhaust tubing may be taken at the last joint of where all the stacks 
are combined.
    (2) You may install short sections of flexible laboratory exhaust 
tubing at any location in the engine or laboratory exhaust systems. You 
may use up to a combined total of 2 m or 10 outside diameters of 
flexible exhaust tubing.
    (3) Insulate any laboratory exhaust tubing downstream of the first 
25 outside diameters of length.
    (4) Use laboratory exhaust tubing materials that are smooth-walled, 
electrically conductive, and not reactive with exhaust constituents. 
Stainless steel is an acceptable material.
    (5) We recommend that you use laboratory exhaust tubing that has 
either a wall thickness of less than 2 mm or is air gap-insulated to 
minimize temperature differences between the wall and the exhaust.
    (6) We recommend that you connect multiple exhaust stacks from a 
single engine into one stack upstream of any emission sampling. To 
ensure mixing of the multiple exhaust streams before emission sampling, 
you may configure the exhaust system with turbulence generators, such as 
orifice plates or fins, to achieve good mixing. We recommend a minimum 
Reynolds number, Re#, of 4000 for the combined exhaust stream, where Re# 
is based on the inside diameter of the single stack. Re# is defined in 
Sec. 1065.640.
    (d) In-line instruments. You may insert instruments into the 
laboratory exhaust tubing, such as an in-line smoke meter. If you do 
this, you may leave a length of up to 5 outside diameters of laboratory 
exhaust tubing uninsulated on each side of each instrument, but you must 
leave a length of no more than 25 outside diameters of laboratory 
exhaust tubing uninsulated in total, including any lengths adjacent to 
in-line instruments.
    (e) Leaks. Minimize leaks sufficiently to ensure your ability to 
demonstrate compliance with the applicable standards. We recommend 
performing a chemical balance of fuel, intake air, and exhaust according 
to Sec. 1065.655 to verify exhaust system integrity.
    (f) Grounding. Electrically ground the entire exhaust system.

[[Page 583]]

    (g) Forced cooldown. You may install a forced cooldown system for an 
exhaust aftertreatment device according to Sec. 1065.530(a)(1)(i).
    (h) Exhaust restriction. As the manufacturer, you are liable for 
emission compliance for all values up to the maximum restriction(s) you 
specify for a particular engine. Measure and set exhaust restriction(s) 
at the location(s) and at the engine speed and torque values specified 
by the manufacturer. Also, for variable-restriction aftertreatment 
devices, measure and set exhaust restriction(s) at the aftertreatment 
condition (degreening/aging and regeneration/loading level) specified by 
the manufacturer. If the manufacturer does not specify a location, 
measure this pressure downstream of any turbocharger. If the 
manufacturer does not specify speed and torque points, measure pressure 
while the engine produces maximum power. Use an exhaust-restriction 
setpoint that represents a typical in-use value, if available. If a 
typical in-use value for exhaust restriction is not available, set the 
exhaust restriction at (80 to 100)% of the maximum exhaust restriction 
specified by the manufacturer, or if the maximum is 5 kPa or less, the 
set point must be no less than 1.0 kPa from the maximum. For example, if 
the maximum back pressure is 4.5 kPa, do not use an exhaust restriction 
set point that is less than 3.5 kPa.
    (i) Open crankcase emissions. If the standard-setting part requires 
measuring open crankcase emissions, you may either measure open 
crankcase emissions separately using a method that we approve in 
advance, or route open crankcase emissions directly into the exhaust 
system for emission measurement. If the engine is not already configured 
to route open crankcase emissions for emission measurement, route open 
crankcase emissions as follows:
    (1) Use laboratory tubing materials that are smooth-walled, 
electrically conductive, and not reactive with crankcase emissions. 
Stainless steel is an acceptable material. Minimize tube lengths. We 
also recommend using heated or thin-walled or air gap-insulated tubing 
to minimize temperature differences between the wall and the crankcase 
emission constituents.
    (2) Minimize the number of bends in the laboratory crankcase tubing 
and maximize the radius of any unavoidable bend.
    (3) Use laboratory crankcase exhaust tubing that meets the engine 
manufacturer's specifications for crankcase back pressure.
    (4) Connect the crankcase exhaust tubing into the raw exhaust 
downstream of any aftertreatment system, downstream of any installed 
exhaust restriction, and sufficiently upstream of any sample probes to 
ensure complete mixing with the engine's exhaust before sampling. Extend 
the crankcase exhaust tube into the free stream of exhaust to avoid 
boundary-layer effects and to promote mixing. You may orient the 
crankcase exhaust tube's outlet in any direction relative to the raw 
exhaust flow.

[73 FR 37293, June 30, 2008]



Sec. 1065.140  Dilution for gaseous and PM constituents.

    (a) General. You may dilute exhaust with ambient air, synthetic air, 
or nitrogen. For gaseous emission measurement the diluent must be at 
least 15 [deg]C. Note that the composition of the diluent affects some 
gaseous emission measurement instruments' response to emissions. We 
recommend diluting exhaust at a location as close as possible to the 
location where ambient air dilution would occur in use.
    (b) Dilution-air conditions and background concentrations. Before a 
diluent is mixed with exhaust, you may precondition it by increasing or 
decreasing its temperature or humidity. You may also remove constituents 
to reduce their background concentrations. The following provisions 
apply to removing constituents or accounting for background 
concentrations:
    (1) You may measure constituent concentrations in the diluent and 
compensate for background effects on test results. See Sec. 1065.650 
for calculations that compensate for background concentrations.
    (2) Either measure these background concentrations the same way you 
measure diluted exhaust constituents, or measure them in a way that does

[[Page 584]]

not affect your ability to demonstrate compliance with the applicable 
standards. For example, you may use the following simplifications for 
background sampling:
    (i) You may disregard any proportional sampling requirements.
    (ii) You may use unheated gaseous sampling systems.
    (iii) You may use unheated PM sampling systems.
    (iv) You may use continuous sampling if you use batch sampling for 
diluted emissions.
    (v) You may use batch sampling if you use continuous sampling for 
diluted emissions.
    (3) For removing background PM, we recommend that you filter all 
dilution air, including primary full-flow dilution air, with high-
efficiency particulate air (HEPA) filters that have an initial minimum 
collection efficiency specification of 99.97% (see Sec. 1065.1001 for 
procedures related to HEPA-filtration efficiencies). Ensure that HEPA 
filters are installed properly so that background PM does not leak past 
the HEPA filters. If you choose to correct for background PM without 
using HEPA filtration, demonstrate that the background PM in the 
dilution air contributes less than 50% to the net PM collected on the 
sample filter. You may correct net PM without restriction if you use 
HEPA filtration.
    (c) Full-flow dilution; constant-volume sampling (CVS). You may 
dilute the full flow of raw exhaust in a dilution tunnel that maintains 
a nominally constant volume flow rate, molar flow rate or mass flow rate 
of diluted exhaust, as follows:
    (1) Construction. Use a tunnel with inside surfaces of 300 series 
stainless steel. Electrically ground the entire dilution tunnel. We 
recommend a thin-walled and insulated dilution tunnel to minimize 
temperature differences between the wall and the exhaust gases.
    (2) Pressure control. Maintain static pressure at the location where 
raw exhaust is introduced into the tunnel within  
1.2 kPa of atmospheric pressure. You may use a booster blower to control 
this pressure. If you test an engine using more careful pressure control 
and you show by engineering analysis or by test data that you require 
this level of control to demonstrate compliance at the applicable 
standards, we will maintain the same level of static pressure control 
when we test that engine.
    (3) Mixing. Introduce raw exhaust into the tunnel by directing it 
downstream along the centerline of the tunnel. You may introduce a 
fraction of dilution air radially from the tunnel's inner surface to 
minimize exhaust interaction with the tunnel walls. You may configure 
the system with turbulence generators such as orifice plates or fins to 
achieve good mixing. We recommend a minimum Reynolds number, Re#, of 
4000 for the diluted exhaust stream, where Re is based on the 
inside diameter of the dilution tunnel. Re# is defined in Sec. 
1065.640.
    (4) Flow measurement preconditioning. You may condition the diluted 
exhaust before measuring its flow rate, as long as this conditioning 
takes place downstream of any heated HC or PM sample probes, as follows:
    (i) You may use flow straighteners, pulsation dampeners, or both of 
these.
    (ii) You may use a filter.
    (iii) You may use a heat exchanger to control the temperature 
upstream of any flow meter, but you must take steps to prevent aqueous 
condensation as described in paragraph (c)(6) of this section.
    (5) Flow measurement. Section 1065.240 describes measurement 
instruments for diluted exhaust flow.
    (6) Aqueous condensation. This paragraph (c)(6) describes how you 
must address aqueous condensation in the CVS. As described below, you 
may meet these requirements by preventing or limiting aqueous 
condensation in the CVS from the exhaust inlet to the last emission 
sample probe. See that paragraph for provisions related to the CVS 
between the last emission sample probe and the CVS flow meter. You may 
heat and/or insulate the dilution tunnel walls, as well as the bulk 
stream tubing downstream of the tunnel to prevent or limit aqueous 
condensation. Where we allow aqueous condensation to occur, use good 
engineering judgment to ensure that the condensation does not affect 
your ability to demonstrate that your engines comply

[[Page 585]]

with the applicable standards (see Sec. 1065.10(a)).
    (i) Preventing aqueous condensation. To prevent condensation, you 
must keep the temperature of internal surfaces, excluding any sample 
probes, above the dew point of the dilute exhaust passing through the 
CVS tunnel. Use good engineering judgment to monitor temperatures in the 
CVS. For the purposes of this paragraph (c)(6), assume that aqueous 
condensation is pure water condensate only, even though the definition 
of ``aqueous condensation'' in Sec. 1065.1001 includes condensation of 
any constituents that contain water. No specific verification check is 
required under this paragraph (c)(6)(i), but we may ask you to show how 
you comply with this requirement. You may use engineering analysis, CVS 
tunnel design, alarm systems, measurements of wall temperatures, and 
calculation of water dew point to demonstrate compliance with this 
requirement. For optional CVS heat exchangers, you may use the lowest 
water temperature at the inlet(s) and outlet(s) to determine the minimum 
internal surface temperature.
    (ii) Limiting aqueous condensation. This paragraph (c)(6)(ii) 
specifies limits of allowable condensation and requires you to verify 
that the amount of condensation that occurs during each test interval 
does not exceed the specified limits.
    (A) Use chemical balance equations in Sec. 1065.655 to calculate 
the mole fraction of water in the dilute exhaust continuously during 
testing. Alternatively, you may continuously measure the mole fraction 
of water in the dilute exhaust prior to any condensation during testing. 
Use good engineering judgment to select, calibrate and verify water 
analyzers/detectors. The linearity verification requirements of Sec. 
1065.307 do not apply to water analyzers/detectors used to correct for 
the water content in exhaust samples.
    (B) Use good engineering judgment to select and monitor locations on 
the CVS tunnel walls prior to the last emission sample probe. If you are 
also verifying limited condensation from the last emission sample probe 
to the CVS flow meter, use good engineering judgment to select and 
monitor locations on the CVS tunnel walls, optional CVS heat exchanger, 
and CVS flow meter. For optional CVS heat exchangers, you may use the 
lowest water temperature at the inlet(s) and outlet(s) to determine the 
minimum internal surface temperature. Identify the minimum surface 
temperature on a continuous basis.
    (C) Identify the maximum potential mole fraction of dilute exhaust 
lost on a continuous basis during the entire test interval. This value 
must be less than or equal to 0.02 (i.e. 2%). Calculate on a continuous 
basis the mole fraction of water that would be in equilibrium with 
liquid water at the measured minimum surface temperature. Subtract this 
mole fraction from the mole fraction of water that would be in the 
exhaust without condensation (either measured or from the chemical 
balance), and set any negative values to zero. This difference is the 
potential mole fraction of the dilute exhaust that would be lost due to 
water condensation on a continuous basis.
    (D) Integrate the product of the molar flow rate of the dilute 
exhaust and the potential mole fraction of dilute exhaust lost, and 
divide by the totalized dilute exhaust molar flow over the test 
interval. This is the potential mole fraction of the dilute exhaust that 
would be lost due to water condensation over the entire test interval. 
Note that this assumes no re-evaporation. This value must be less than 
or equal to 0.005 (i.e. 0.5%).
    (7) Flow compensation. Maintain nominally constant molar, volumetric 
or mass flow of diluted exhaust. You may maintain nominally constant 
flow by either maintaining the temperature and pressure at the flow 
meter or by directly controlling the flow of diluted exhaust. You may 
also directly control the flow of proportional samplers to maintain 
proportional sampling. For an individual test, validate proportional 
sampling as described in Sec. 1065.545.
    (d) Partial-flow dilution (PFD). You may dilute a partial flow of 
raw or previously diluted exhaust before measuring emissions. Section 
1065.240 describes PFD-related flow measurement

[[Page 586]]

instruments. PFD may consist of constant or varying dilution ratios as 
described in paragraphs (d)(2) and (3) of this section. An example of a 
constant dilution ratio PFD is a ``secondary dilution PM'' measurement 
system.
    (1) Applicability. (i) You may use PFD to extract a proportional raw 
exhaust sample for any batch or continuous PM emission sampling over any 
transient duty cycle, any steady-state duty cycle, or any ramped-modal 
cycle.
    (ii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous gaseous emission sampling over any transient 
duty cycle, any steady-state duty cycle, or any ramped-modal cycle.
    (iii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous field-testing.
    (iv) You may use PFD to extract a proportional diluted exhaust 
sample from a CVS for any batch or continuous emission sampling.
    (v) You may use PFD to extract a constant raw or diluted exhaust 
sample for any continuous emission sampling.
    (vi) You may use PFD to extract a constant raw or diluted exhaust 
sample for any steady-state emission sampling.
    (2) Constant dilution-ratio PFD. Do one of the following for 
constant dilution-ratio PFD:
    (i) Dilute an already proportional flow. For example, you may do 
this as a way of performing secondary dilution from a CVS tunnel to 
achieve overall dilution ratio for PM sampling.
    (ii) Continuously measure constituent concentrations. For example, 
you might dilute to precondition a sample of raw exhaust to control its 
temperature, humidity, or constituent concentrations upstream of 
continuous analyzers. In this case, you must take into account the 
dilution ratio before multiplying the continuous concentration by the 
sampled exhaust flow rate.
    (iii) Extract a proportional sample from a separate constant 
dilution ratio PFD system. For example, you might use a variable-flow 
pump to proportionally fill a gaseous storage medium such as a bag from 
a PFD system. In this case, the proportional sampling must meet the same 
specifications as varying dilution ratio PFD in paragraph (d)(3) of this 
section.
    (iv) For each mode of a discrete-mode test (such as a locomotive 
notch setting or a specific setting for speed and torque), use a 
constant dilution ratio for any PM sampling. You must change the overall 
PM sampling system dilution ratio between modes so that the dilution 
ratio on the mode with the highest exhaust flow rate meets Sec. 
1065.140(e)(2) and the dilution ratios on all other modes is higher than 
this (minimum) dilution ratio by the ratio of the maximum exhaust flow 
rate to the exhaust flow rate of the corresponding other mode. This is 
the same dilution ratio requirement for RMC or field transient testing. 
You must account for this change in dilution ratio in your emission 
calculations.
    (3) Varying dilution-ratio PFD. All the following provisions apply 
for varying dilution-ratio PFD:
    (i) Use a control system with sensors and actuators that can 
maintain proportional sampling over intervals as short as 200 ms (i.e., 
5 Hz control).
    (ii) For control input, you may use any sensor output from one or 
more measurements; for example, intake-air flow, fuel flow, exhaust 
flow, engine speed, and intake manifold temperature and pressure.
    (iii) Account for any emission transit time in the PFD system, as 
necessary.
    (iv) You may use preprogrammed data if they have been determined for 
the specific test site, duty cycle, and test engine from which you 
dilute emissions.
    (v) We recommend that you run practice cycles to meet the validation 
criteria in Sec. 1065.545. Note that you must validate every emission 
test by meeting the validation criteria with the data from that specific 
test. Data from previously validated practice cycles or other tests may 
not be used to validate a different emission test.
    (vi) You may not use a PFD system that requires preparatory tuning 
or calibration with a CVS or with the emission results from a CVS. 
Rather, you must be able to independently calibrate the PFD.
    (e) Dilution air temperature, dilution ratio, residence time, and 
temperature

[[Page 587]]

control of PM samples. Dilute PM samples at least once upstream of 
transfer lines. You may dilute PM samples upstream of a transfer line 
using full-flow dilution, or partial-flow dilution immediately 
downstream of a PM probe. In the case of partial-flow dilution, you may 
have up to 26 cm of insulated length between the end of the probe and 
the dilution stage, but we recommend that the length be as short as 
practical. The intent of these specifications is to minimize heat 
transfer to or from the emission sample before the final stage of 
dilution, other than the heat you may need to add to prevent aqueous 
condensation. This is accomplished by initially cooling the sample 
through dilution. Configure dilution systems as follows:
    (1) Set the diluent (i.e., dilution air) temperature to (25  5) [deg]C. Use good engineering judgment to select a 
location to measure this temperature. We recommend that you measure this 
temperature as close as practical upstream of the point where diluent 
mixes with raw exhaust.
    (2) For any PM dilution system (i.e., CVS or PFD), dilute raw 
exhaust with diluent such that the minimum overall ratio of diluted 
exhaust to raw exhaust is within the range of (5:1-7:1) and is at least 
2:1 for any primary dilution stage. Base this minimum value on the 
maximum engine exhaust flow rate for a given test interval. Either 
measure the maximum exhaust flow during a practice run of the test 
interval or estimate it based on good engineering judgment (for example, 
you might rely on manufacturer-published literature).
    (3) Configure any PM dilution system to have an overall residence 
time of (1 to 5) s, as measured from the location of initial diluent 
introduction to the location where PM is collected on the sample media. 
Also configure the system to have a residence time of at least 0.5 s, as 
measured from the location of final diluent introduction to the location 
where PM is collected on the sample media. When determining residence 
times within sampling system volumes, use an assumed flow temperature of 
25 [deg]C and pressure of 101.325 kPa.
    (4) Control sample temperature to a (47 5) 
[deg]C tolerance, as measured anywhere within 20 cm upstream or 
downstream of the PM storage media (such as a filter). Measure this 
temperature with a bare-wire junction thermocouple with wires that are 
(0.500 0.025) mm diameter, or with another 
suitable instrument that has equivalent performance.

[73 FR 37294, June 30, 2008, as amended at 75 FR 23029, Apr. 30, 2010; 
75 FR 68462, Nov. 8, 2010]



Sec. 1065.145  Gaseous and PM probes, transfer lines, and sampling system components.

    (a) Continuous and batch sampling. Determine the total mass of each 
constituent with continuous or batch sampling, as described in Sec. 
1065.15(c)(2). Both types of sampling systems have probes, transfer 
lines, and other sampling system components that are described in this 
section.
    (b) Options for engines with multiple exhaust stacks. Measure 
emissions from a test engine as described in this paragraph (b) if it 
has multiple exhaust stacks. You may choose to use different measurement 
procedures for different pollutants under this paragraph (b) for a given 
test. For purposes of this part 1065, the test engine includes all the 
devices related to converting the chemical energy in the fuel to the 
engine's mechanical output energy. This may or may not involve vehicle- 
or equipment-based devices. For example, all of an engine's cylinders 
are considered to be part of the test engine even if the exhaust is 
divided into separate exhaust stacks. As another example, all the 
cylinders of a diesel-electric locomotive are considered to be part of 
the test engine even if they transmit power through separate output 
shafts, such as might occur with multiple engine-generator sets working 
in tandem. Use one of the following procedures to measure emissions with 
multiple exhaust stacks:
    (1) Route the exhaust flow from the multiple stacks into a single 
flow as described in Sec. 1065.130(c)(6). Sample and measure emissions 
after the exhaust streams are mixed. Calculate the emissions as a single 
sample from the entire engine. We recommend this as the preferred 
option, since it requires only a single measurement and calculation of

[[Page 588]]

the exhaust molar flow for the entire engine.
    (2) Sample and measure emissions from each stack and calculate 
emissions separately for each stack. Add the mass (or mass rate) 
emissions from each stack to calculate the emissions from the entire 
engine. Testing under this paragraph (b)(2) requires measuring or 
calculating the exhaust molar flow for each stack separately. If the 
exhaust molar flow in each stack cannot be calculated from combustion 
air flow(s), fuel flow(s), and measured gaseous emissions, and it is 
impractical to measure the exhaust molar flows directly, you may 
alternatively proportion the engine's calculated total exhaust molar 
flow rate (where the flow is calculated using combustion air mass 
flow(s), fuel mass flow(s), and emissions concentrations) based on 
exhaust molar flow measurements in each stack using a less accurate, 
non-traceable method. For example, you may use a total pressure probe 
and static pressure measurement in each stack.
    (3) Sample and measure emissions from one stack and repeat the duty 
cycle as needed to collect emissions from each stack separately. 
Calculate the emissions from each stack and add the separate 
measurements to calculate the mass (or mass rate) emissions from the 
entire engine. Testing under this paragraph (b)(3) requires measuring or 
calculating the exhaust molar flow for each stack separately. You may 
alternatively proportion the engine's calculated total exhaust molar 
flow rate based on calculation and measurement limitations as described 
in paragraph (b)(2) of this section. Use the average of the engine's 
total power or work values from the multiple test runs to calculate 
brake-specific emissions. Divide the total mass (or mass rate) of each 
emission by the average power (or work). You may alternatively use the 
engine power or work associated with the corresponding stack during each 
test run if these values can be determined for each stack separately.
    (4) Sample and measure emissions from each stack separately and 
calculate emissions for the entire engine based on the stack with the 
highest concentration. Testing under this paragraph (b)(4) requires only 
a single exhaust flow measurement or calculation for the entire engine. 
You may determine which stack has the highest concentration by 
performing multiple test runs, reviewing the results of earlier tests, 
or using good engineering judgment. Note that the highest concentration 
of different pollutants may occur in different stacks. Note also that 
the stack with the highest concentration of a pollutant during a test 
interval for field testing may be a different stack than the one you 
identified based on average concentrations over a duty cycle.
    (5) Sample emissions from each stack separately and combine the wet 
sample streams from each stack proportionally to the exhaust molar flows 
in each stack. Measure the emission concentrations and calculate the 
emissions for the entire engine based on these weighted concentrations. 
Testing under this paragraph (b)(5) requires measuring or calculating 
the exhaust molar flow for each stack separately during the test run to 
proportion the sample streams from each stack. If it is impractical to 
measure the exhaust molar flows directly, you may alternatively 
proportion the wet sample streams based on less accurate, non-traceable 
flow methods. For example, you may use a total pressure probe and static 
pressure measurement in each stack. The following restrictions apply for 
testing under this paragraph (b)(5):
    (i) You must use an accurate, traceable measurement or calculation 
of the engine's total exhaust molar flow rate for calculating the mass 
of emissions from the entire engine.
    (ii) You may dry the single, combined, proportional sample stream; 
you may not dry the sample streams from each stack separately.
    (iii) You must measure and proportion the sample flows from each 
stack with active flow controls. For PM sampling, you must measure and 
proportion the diluted sample flows from each stack with active flow 
controls that use only smooth walls with no sudden change in cross-
sectional area. For example, you may control the dilute exhaust PM 
sample flows using electrically conductive vinyl tubing

[[Page 589]]

and a control device that pinches the tube over a long enough transition 
length so no flow separation occurs.
    (iv) For PM sampling, the transfer lines from each stack must be 
joined so the angle of the joining flows is 12.5[deg] or less. Note that 
the exhaust manifold must meet the same specifications as the transfer 
line according to paragraph (d) of this section.
    (6) Sample emissions from each stack separately and combine the wet 
sample streams from each stack equally. Measure the emission 
concentrations and calculate the emissions for the entire engine based 
on these measured concentrations. Testing under this paragraph (b)(6) 
assumes that the raw-exhaust and sample flows are the same for each 
stack. The following restrictions apply for testing under this paragraph 
(b)(6):
    (i) You must measure and demonstrate that the sample flow from each 
stack is within 5% of the value from the stack with the highest sample 
flow. You may alternatively ensure that the stacks have equal flow rates 
without measuring sample flows by designing a passive sampling system 
that meets the following requirements:
    (A) The probes and transfer line branches must be symmetrical, have 
equal lengths and diameters, have the same number of bends, and have no 
filters.
    (B) If probes are designed such that they are sensitive to stack 
velocity, the stack velocity must be similar at each probe. For example, 
a static pressure probe used for gaseous sampling is not sensitive to 
stack velocity.
    (C) The stack static pressure must be the same at each probe. You 
can meet this requirement by placing probes at the end of stacks that 
are vented to atmosphere.
    (D) For PM sampling, the transfer lines from each stack must be 
joined so the angle of the joining flows is 12.5[deg] or less. Note that 
the exhaust manifold must meet the same specifications as the transfer 
line according to paragraph (d) of this section.
    (ii) You may use the procedure in this paragraph (b)(6) only if you 
perform an analysis showing that the resulting error due to imbalanced 
stack flows and concentrations is either at or below 2%. You may 
alternatively show that the resulting error does not impact your ability 
to demonstrate compliance with applicable standards. For example, you 
may use less accurate, non-traceable measurements of emission 
concentrations and molar flow in each stack and demonstrate that the 
imbalances in flows and concentrations cause 2% or less error.
    (iii) For a two-stack engine, you may use the procedure in this 
paragraph (b)(6) only if you can show that the stack with the higher 
flow has the lower average concentration for each pollutant over the 
duty cycle.
    (iv) You must use an accurate, traceable measurement or calculation 
of the engine's total exhaust molar flow rate for calculating the mass 
of emissions from the entire engine.
    (v) You may dry the single, equally combined, sample stream; you may 
not dry the sample streams from each stack separately.
    (vi) You may determine your exhaust flow rates with a chemical 
balance of exhaust gas concentrations and either intake air flow or fuel 
flow.
    (c) Gaseous and PM sample probes. A probe is the first fitting in a 
sampling system. It protrudes into a raw or diluted exhaust stream to 
extract a sample, such that its inside and outside surfaces are in 
contact with the exhaust. A sample is transported out of a probe into a 
transfer line, as described in paragraph (d) of this section. The 
following provisions apply to sample probes:
    (1) Probe design and construction. Use sample probes with inside 
surfaces of 300 series stainless steel or, for raw exhaust sampling, use 
any nonreactive material capable of withstanding raw exhaust 
temperatures. Locate sample probes where constituents are mixed to their 
mean sample concentration. Take into account the mixing of any crankcase 
emissions that may be routed into the raw exhaust. Locate each probe to 
minimize interference with the flow to other probes. We recommend that 
all probes remain free from influences of boundary layers, wakes, and 
eddies--especially near the outlet of a raw-exhaust tailpipe where 
unintended dilution might occur. Make sure that purging or back-flushing 
of a probe does not

[[Page 590]]

influence another probe during testing. You may use a single probe to 
extract a sample of more than one constituent as long as the probe meets 
all the specifications for each constituent.
    (2) Gaseous sample probes. Use either single-port or multi-port 
probes for sampling gaseous emissions. You may orient these probes in 
any direction relative to the raw or diluted exhaust flow. For some 
probes, you must control sample temperatures, as follows:
    (i) For probes that extract NOX from diluted exhaust, 
control the probe's wall temperature to prevent aqueous condensation.
    (ii) For probes that extract hydrocarbons for THC or NMHC analysis 
from the diluted exhaust of compression-ignition engines, 2-stroke 
spark-ignition engines, or 4-stroke spark-ignition engines below 19 kW, 
we recommend heating the probe to minimize hydrocarbon contamination 
consistent with good engineering judgment. If you routinely fail the 
contamination check in the 1065.520 pretest check, we recommend heating 
the probe section to approximately 190 [deg]C to minimize contamination.
    (3) PM sample probes. Use PM probes with a single opening at the 
end. Orient PM probes to face directly upstream. If you shield a PM 
probe's opening with a PM pre-classifier such as a hat, you may not use 
the preclassifier we specify in paragraph (f)(1) of this section. We 
recommend sizing the inside diameter of PM probes to approximate 
isokinetic sampling at the expected mean flow rate.
    (d) Transfer lines. You may use transfer lines to transport an 
extracted sample from a probe to an analyzer, storage medium, or 
dilution system, noting certain restrictions for PM sampling in Sec. 
1065.140(e). Minimize the length of all transfer lines by locating 
analyzers, storage media, and dilution systems as close to probes as 
practical. We recommend that you minimize the number of bends in 
transfer lines and that you maximize the radius of any unavoidable bend. 
Avoid using 90[deg] elbows, tees, and cross-fittings in transfer lines. 
Where such connections and fittings are necessary, take steps, using 
good engineering judgment, to ensure that you meet the temperature 
tolerances in this paragraph (d). This may involve measuring temperature 
at various locations within transfer lines and fittings. You may use a 
single transfer line to transport a sample of more than one constituent, 
as long as the transfer line meets all the specifications for each 
constituent. The following construction and temperature tolerances apply 
to transfer lines:
    (1) Gaseous samples. Use transfer lines with inside surfaces of 300 
series stainless steel, PTFE, VitonTM, or any other material 
that you demonstrate has better properties for emission sampling. For 
raw exhaust sampling, use a non-reactive material capable of 
withstanding raw exhaust temperatures. You may use in-line filters if 
they do not react with exhaust constituents and if the filter and its 
housing meet the same temperature requirements as the transfer lines, as 
follows:
    (i) For NOX transfer lines upstream of either an 
NO2-to-NO converter that meets the specifications of Sec. 
1065.378 or a chiller that meets the specifications of Sec. 1065.376, 
maintain a sample temperature that prevents aqueous condensation.
    (ii) For THC transfer lines for testing compression-ignition 
engines, 2-stroke spark-ignition engines, or 4-stroke spark-ignition 
engines below 19 kW, maintain a wall temperature tolerance throughout 
the entire line of (191 11) [deg]C. If you sample 
from raw exhaust, you may connect an unheated, insulated transfer line 
directly to a probe. Design the length and insulation of the transfer 
line to cool the highest expected raw exhaust temperature to no lower 
than 191 [deg]C, as measured at the transfer line's outlet. For dilute 
sampling, you may use a transition zone between the probe and transfer 
line of up to 92 cm to allow your wall temperature to transition to (191 
11) [deg]C.
    (2) PM samples. We recommend heated transfer lines or a heated 
enclosure to minimize temperature differences between transfer lines and 
exhaust constituents. Use transfer lines that are inert with respect to 
PM and are electrically conductive on the inside surfaces. We recommend 
using PM transfer lines made of 300 series stainless steel. Electrically 
ground the inside surface of PM transfer lines.

[[Page 591]]

    (e) Optional sample-conditioning components for gaseous sampling. 
You may use the following sample-conditioning components to prepare 
gaseous samples for analysis, as long as you do not install or use them 
in a way that adversely affects your ability to show that your engines 
comply with all applicable gaseous emission standards.
    (1) NO2-to-NO converter. You may use an NO2-to-NO 
converter that meets the converter conversion verification specified in 
Sec. 1065.378 at any point upstream of a NOX analyzer, 
sample bag, or other storage medium.
    (2) Sample dryer. You may use either type of sample dryer described 
in this paragraph (e)(2) to decrease the effects of water on gaseous 
emission measurements. You may not use a chemical dryer, or use dryers 
upstream of PM sample filters.
    (i) Osmotic-membrane. You may use an osmotic-membrane dryer upstream 
of any gaseous analyzer or storage medium, as long as it meets the 
temperature specifications in paragraph (d)(1) of this section. Because 
osmotic-membrane dryers may deteriorate after prolonged exposure to 
certain exhaust constituents, consult with the membrane manufacturer 
regarding your application before incorporating an osmotic-membrane 
dryer. Monitor the dewpoint, Tdew, and absolute pressure, 
ptotal, downstream of an osmotic-membrane dryer. You may use 
continuously recorded values of Tdew and ptotal in 
the amount of water calculations specified in Sec. 1065.645. For our 
testing we may use average temperature and pressure values over the test 
interval or a nominal pressure value that we estimate as the dryer's 
average pressure expected during testing as constant values in the 
amount of water calculations specified in Sec. 1065.645. For your 
testing, you may use the maximum temperature or minimum pressure values 
observed during a test interval or duty cycle or the high alarm 
temperature setpoint or low alarm pressure setpoint as constant values 
in the calculations specified in Sec. 1065.645. For your testing, you 
may also use a nominal ptotal, which you may estimate as the 
dryer's lowest absolute pressure expected during testing.
    (ii) Thermal chiller. You may use a thermal chiller upstream of some 
gas analyzers and storage media. You may not use a thermal chiller 
upstream of a THC measurement system for compression-ignition engines, 
2-stroke spark-ignition engines, or 4-stroke spark-ignition engines 
below 19 kW. If you use a thermal chiller upstream of an NO2-
to-NO converter or in a sampling system without an NO2-to-NO 
converter, the chiller must meet the NO2 loss-performance 
check specified in Sec. 1065.376. Monitor the dewpoint, 
Tdew, and absolute pressure, ptotal, downstream of 
a thermal chiller. You may use continuously recorded values of 
Tdew and ptotal in the amount of water 
calculations specified in Sec. 1065.645. If it is valid to assume the 
degree of saturation in the thermal chiller, you may calculate 
Tdew based on the known chiller performance and continuous 
monitoring of chiller temperature, Tchiller. If it is valid 
to assume a constant temperature offset between Tchiller and 
Tdew, due to a known and fixed amount of sample reheat 
between the chiller outlet and the temperature measurement location, you 
may factor in this assumed temperature offset value into emission 
calculations. If we ask for it, you must show by engineering analysis or 
by data the validity of any assumptions allowed by this paragraph 
(e)(2)(ii). For our testing we may use average temperature and pressure 
values over the test interval or a nominal pressure value that we 
estimate as the dryer's average pressure expected during testing as 
constant values in the calculations specified in Sec. 1065.645. For 
your testing you may use the maximum temperature and minimum pressure 
values observed during a test interval or duty cycle or the high alarm 
temperature setpoint and the low alarm pressure setpoint as constant 
values in the amount of water calculations specified in Sec. 1065.645. 
For your testing you may also use a nominal ptotal, which you 
may estimate as the dryer's lowest absolute pressure expected during 
testing.
    (3) Sample pumps. You may use sample pumps upstream of an analyzer 
or storage medium for any gas. Use sample pumps with inside surfaces of 
300 series stainless steel, PTFE, or any

[[Page 592]]

other material that you demonstrate has better properties for emission 
sampling. For some sample pumps, you must control temperatures, as 
follows:
    (i) If you use a NOX sample pump upstream of either an 
NO2-to-NO converter that meets Sec. 1065.378 or a chiller 
that meets Sec. 1065.376, it must be heated to prevent aqueous 
condensation.
    (ii) For testing compression-ignition engines, 2-stroke spark-
ignition engines, or 4-stroke spark-ignition engines below 19 kW, if you 
use a THC sample pump upstream of a THC analyzer or storage medium, its 
inner surfaces must be heated to a tolerance of (191 11) [deg]C.
    (4) Ammonia Scrubber. You may use ammonia scrubbers for any or all 
gaseous sampling systems to prevent interference with NH3, 
poisoning of the NO2-to-NO converter, and deposits in the 
sampling system or analyzers. Follow the ammonia scrubber manufacturer's 
recommendations or use good engineering judgment in applying ammonia 
scrubbers.
    (f) Optional sample-conditioning components for PM sampling. You may 
use the following sample-conditioning components to prepare PM samples 
for analysis, as long as you do not install or use them in a way that 
adversely affects your ability to show that your engines comply with the 
applicable PM emission standards. You may condition PM samples to 
minimize positive and negative biases to PM results, as follows:
    (1) PM preclassifier. You may use a PM preclassifier to remove 
large-diameter particles. The PM preclassifier may be either an inertial 
impactor or a cyclonic separator. It must be constructed of 300 series 
stainless steel. The preclassifier must be rated to remove at least 50% 
of PM at an aerodynamic diameter of 10 [micro]m and no more than 1% of 
PM at an aerodynamic diameter of 1 [micro]m over the range of flow rates 
for which you use it. Follow the preclassifier manufacturer's 
instructions for any periodic servicing that may be necessary to prevent 
a buildup of PM. Install the preclassifier in the dilution system 
downstream of the last dilution stage. Configure the preclassifier 
outlet with a means of bypassing any PM sample media so the 
preclassifier flow may be stabilized before starting a test. Locate PM 
sample media within 75 cm downstream of the preclassifier's exit. You 
may not use this preclassifier if you use a PM probe that already has a 
preclassifier. For example, if you use a hat-shaped preclassifier that 
is located immediately upstream of the probe in such a way that it 
forces the sample flow to change direction before entering the probe, 
you may not use any other preclassifier in your PM sampling system.
    (2) Other components. You may request to use other PM conditioning 
components upstream of a PM preclassifier, such as components that 
condition humidity or remove gaseous-phase hydrocarbons from the diluted 
exhaust stream. You may use such components only if we approve them 
under Sec. 1065.10.

[75 FR 23030, Apr. 30, 2010]



Sec. 1065.150  Continuous sampling.

    You may use continuous sampling techniques for measurements that 
involve raw or dilute sampling. Make sure continuous sampling systems 
meet the specifications in Sec. 1065.145. Make sure continuous 
analyzers meet the specifications in subparts C and D of this part.



Sec. 1065.170  Batch sampling for gaseous and PM constituents.

    Batch sampling involves collecting and storing emissions for later 
analysis. Examples of batch sampling include collecting and storing 
gaseous emissions in a bag or collecting and storing PM on a filter. You 
may use batch sampling to store emissions that have been diluted at 
least once in some way, such as with CVS, PFD, or BMD. You may use 
batch-sampling to store undiluted emissions.
    (a) Sampling methods. If you extract from a constant-volume flow 
rate, sample at a constant-volume flow rate as follows:
    (1) Validate proportional sampling after an emission test as 
described in Sec. 1065.545. Use good engineering judgment to select 
storage media that will not significantly change measured emission 
levels (either up or down). For example, do not use sample bags for

[[Page 593]]

storing emissions if the bags are permeable with respect to emissions or 
if they offgas emissions to the extent that it affects your ability to 
demonstrate compliance with the applicable gaseous emission standards. 
As another example, do not use PM filters that irreversibly absorb or 
adsorb gases to the extent that it affects your ability to demonstrate 
compliance with the applicable PM emission standard.
    (2) You must follow the requirements in Sec. 1065.140(e)(2) related 
to PM dilution ratios. For each filter, if you expect the net PM mass on 
the filter to exceed 400 [micro]g, assuming a 38 mm diameter filter 
stain area, you may take the following actions in sequence:
    (i) For discrete-mode testing only, you may reduce sample time as 
needed to target a filter loading of 400 [micro]g, but not below the 
minimum sample time specified in the standard-setting part.
    (ii) Reduce filter face velocity as needed to target a filter 
loading of 400 [micro]g, down to 50 cm/s or less.
    (iii) Increase overall dilution ratio above the values specified in 
Sec. 1065.140(e)(2) to target a filter loading of 400 [micro]g.
    (b) Gaseous sample storage media. Store gas volumes in sufficiently 
clean containers that minimally off-gas or allow permeation of gases. 
Use good engineering judgment to determine acceptable thresholds of 
storage media cleanliness and permeation. To clean a container, you may 
repeatedly purge and evacuate a container and you may heat it. Use a 
flexible container (such as a bag) within a temperature-controlled 
environment, or use a temperature controlled rigid container that is 
initially evacuated or has a volume that can be displaced, such as a 
piston and cylinder arrangement. Use containers meeting the 
specifications in the following table, noting that you may request to 
use other container materials under Sec. 1065.10:

 Table 1 of Sec.  1065.170--Gaseous Batch Sampling Container Materials
------------------------------------------------------------------------
                                                 Engines
                               -----------------------------------------
                                 Compression-ignition,
           Emissions               two-stroke spark         All other
                                  ignition, 4-stroke         engines
                                 spark-ignition <19 kW
------------------------------------------------------------------------
CO, CO2, O2, CH4, C2H6, C3H8,   Tedlar\TM\, \2\         Tedlar\TM\, \2\
 NO, NO2 \1\.                    Kynar\TM\, \2\          Kynar\TM\, \2\
                                 Teflon\TM\, \3\ or      Teflon\TM\, \3\
                                 300 series stainless    or 300 series
                                 steel \3\.              stainless steel
                                                         \3\
THC, NMHC.....................  Teflon\TM\ \4\ or 300   Tedlar\TM\, \2\
                                 series stainless        Kynar\TM\, \2\
                                 steel \4\.              Teflon\TM\, \3\
                                                         or 300 series
                                                         stainless steel
                                                         \3\
------------------------------------------------------------------------
\1\ As long as you prevent aqueous condensation in storage container.
\2\ Up to 40 [deg]C.
\3\ Up to 202 [deg]C.
\4\ At (191 11) [deg]C.

    (c) PM sample media. Apply the following methods for sampling 
particulate emissions:
    (1) If you use filter-based sampling media to extract and store PM 
for measurement, your procedure must meet the following specifications:
    (i) If you expect that a filter's total surface concentration of PM 
will exceed 400 [micro]g, assuming a 38 mm diameter filter stain area, 
for a given test interval, you may use filter media with a minimum 
initial collection efficiency of 98%; otherwise you must use a filter 
media with a minimum initial collection efficiency of 99.7%. Collection 
efficiency must be measured as described in ASTM D2986-95a (incorporated 
by reference in Sec. 1065.1010), though you may rely on the sample-
media manufacturer's measurements reflected in their product ratings to 
show that you meet this requirement.
    (ii) The filter must be circular, with an overall diameter of 46.50 
0.6 mm and an exposed diameter of at least 38 mm. 
See the cassette specifications in paragraph (c)(1)(vii) of this 
section.
    (iii) We highly recommend that you use a pure PTFE filter material 
that does not have any flow-through support bonded to the back and has 
an overall thickness of 40 20 [micro]m. An inert

[[Page 594]]

polymer ring may be bonded to the periphery of the filter material for 
support and for sealing between the filter cassette parts. We consider 
Polymethylpentene (PMP) and PTFE inert materials for a support ring, but 
other inert materials may be used. See the cassette specifications in 
paragraph (c)(1)(vii) of this section. We allow the use of PTFE-coated 
glass fiber filter material, as long as this filter media selection does 
not affect your ability to demonstrate compliance with the applicable 
standards, which we base on a pure PTFE filter material. Note that we 
will use pure PTFE filter material for compliance testing, and we may 
require you to use pure PTFE filter material for any compliance testing 
we require, such as for selective enforcement audits.
    (iv) You may request to use other filter materials or sizes under 
the provisions of Sec. 1065.10.
    (v) To minimize turbulent deposition and to deposit PM evenly on a 
filter, use a filter holder with a 12.5[deg] (from center) divergent 
cone angle to transition from the transfer-line inside diameter to the 
exposed diameter of the filter face. Use 300 series stainless steel for 
this transition.
    (vi) Maintain a filter face velocity near 100 cm/s with less than 5% 
of the recorded flow values exceeding 100 cm/s, unless you expect either 
the net PM mass on the filter to exceed 400 [micro]g, assuming a 38 mm 
diameter filter stain area. Measure face velocity as the volumetric flow 
rate of the sample at the pressure upstream of the filter and 
temperature of the filter face as measured in Sec. 1065.140(e), divided 
by the filter's exposed area. You may use the exhaust stack or CVS 
tunnel pressure for the upstream pressure if the pressure drop through 
the PM sampler up to the filter is less than 2 kPa.
    (vii) Use a clean cassette designed to the specifications of Figure 
1 of Sec. 1065.170. In auto changer configurations, you may use 
cassettes of similar design. Cassettes must be made of one of the 
following materials: Delrin\TM\, 300 series stainless steel, 
polycarbonate, acrylonitrile-butadiene-styrene (ABS) resin, or 
conductive polypropylene. We recommend that you keep filter cassettes 
clean by periodically washing or wiping them with a compatible solvent 
applied using a lint-free cloth. Depending upon your cassette material, 
ethanol (C2H5OH) might be an acceptable solvent. 
Your cleaning frequency will depend on your engine's PM and HC 
emissions.
    (viii) If you keep the cassette in the filter holder after sampling, 
prevent flow through the filter until either the holder or cassette is 
removed from the PM sampler. If you remove the cassettes from filter 
holders after sampling, transfer the cassette to an individual container 
that is covered or sealed to prevent communication of semi-volatile 
matter from one filter to another. If you remove the filter holder, cap 
the inlet and outlet. Keep them covered or sealed until they return to 
the stabilization or weighing environments.
    (ix) The filters should not be handled outside of the PM 
stabilization and weighing environments and should be loaded into 
cassettes, filter holders, or auto changer apparatus before removal from 
these environments.
    (2) You may use other PM sample media that we approve under Sec. 
1065.10, including non-filtering techniques. For example, you might 
deposit PM on an inert substrate that collects PM using electrostatic, 
thermophoresis, inertia, diffusion, or some other deposition mechanism, 
as approved.

[[Page 595]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.079


[70 FR 40516, July 13, 2005, as amended at 73 FR 37298, June 30, 2008; 
73 FR 59321, Oct. 8, 2008]



Sec. 1065.190  PM-stabilization and weighing environments for gravimetric analysis.

    (a) This section describes the two environments required to 
stabilize and weigh PM for gravimetric analysis: the PM stabilization 
environment, where filters are stored before weighing; and the weighing 
environment, where the balance is located. The two environments may 
share a common space. These volumes may be one or more rooms, or they 
may be much smaller, such as a glove box or an automated weighing system 
consisting of one or more countertop-sized environments.
    (b) We recommend that you keep both the stabilization and the 
weighing environments free of ambient contaminants, such as dust, 
aerosols, or semi-volatile material that could contaminate PM samples. 
We recommend that these environments conform with an ``as-built'' Class 
Six clean room specification according to ISO 14644-1 (incorporated by 
reference in Sec. 1065.1010); however, we also recommend that you 
deviate from ISO 14644-1 as necessary to minimize air motion that might 
affect weighing. We recommend maximum air-supply and air-return 
velocities of 0.05 m/s in the weighing environment.
    (c) Verify the cleanliness of the PM-stabilization environment using 
reference filters, as described in Sec. 1065.390(d).
    (d) Maintain the following ambient conditions within the two 
environments during all stabilization and weighing:
    (1) Ambient temperature and tolerances. Maintain the weighing 
environment at a tolerance of (22 1) [deg]C. If 
the two environments share a common space, maintain both environments at 
a tolerance of (22 1) [deg]C. If they are 
separate, maintain the stabilization environment at a tolerance of (22 
3) [deg]C.

[[Page 596]]

    (2) Dewpoint. Maintain a dewpoint of 9.5 [deg]C in both 
environments. This dewpoint will control the amount of water associated 
with sulfuric acid (H2SO4) PM, such that 1.2216 
grams of water will be associated with each gram of 
H2SO4.
    (3) Dewpoint tolerances. If the expected fraction of sulfuric acid 
in PM is unknown, we recommend controlling dewpoint at within 1 [deg]C tolerance. This would limit any dewpoint-
related change in PM to less than 2%, even for PM 
that is 50% sulfuric acid. If you know your expected fraction of 
sulfuric acid in PM, we recommend that you select an appropriate 
dewpoint tolerance for showing compliance with emission standards using 
the following table as a guide:

       Table 1 of Sec.  1065.190--Dewpoint Tolerance as a Function of % PM Change and % Sulfuric Acid PM
----------------------------------------------------------------------------------------------------------------
                                      0.5% PM mass change    eq>1.0% PM mass change    eq>2.0% PM mass change
         of PM (percent)
----------------------------------------------------------------------------------------------------------------
5................................  3.0  12
                                    [deg]C.                    eq>6.0 [deg]C.            [deg]C
50...............................  0.30 [deg]C.            eq>0.60 [deg]C.           eq>1.2 [deg]C
100..............................  0.15 [deg]C.            eq>0.30 [deg]C.           eq>0.60 [deg]C
----------------------------------------------------------------------------------------------------------------

    (e) Verify the following ambient conditions using measurement 
instruments that meet the specifications in subpart C of this part:
    (1) Continuously measure dewpoint and ambient temperature. Use these 
values to determine if the stabilization and weighing environments have 
remained within the tolerances specified in paragraph (d) of this 
section for at least 60 min. before weighing sample media (e.g., 
filters). We recommend that you use an interlock that automatically 
prevents the balance from reporting values if either of the environments 
have not been within the applicable tolerances for the past 60 min.
    (2) Continuously measure atmospheric pressure within the weighing 
environment. An acceptable alternative is to use a barometer that 
measures atmospheric pressure outside the weighing environment, as long 
as you can ensure that atmospheric pressure at the balance is always 
within 100 Pa of that outside environment during 
weighing operations. Record atmospheric pressure as you weigh filters, 
and use these pressure values to perform the buoyancy correction in 
Sec. 1065.690.
    (f) We recommend that you install a balance as follows:
    (1) Install the balance on a vibration-isolation platform to isolate 
it from external noise and vibration.
    (2) Shield the balance from convective airflow with a static-
dissipating draft shield that is electrically grounded.
    (3) Follow the balance manufacturer's specifications for all 
preventive maintenance.
    (4) Operate the balance manually or as part of an automated weighing 
system.
    (g) Minimize static electric charge in the balance environment, as 
follows:
    (1) Electrically ground the balance.
    (2) Use 300 series stainless steel tweezers if PM sample media 
(e.g., filters) must be handled manually.
    (3) Ground tweezers with a grounding strap, or provide a grounding 
strap for the operator such that the grounding strap shares a common 
ground with the balance. Make sure grounding straps have an appropriate 
resistor to protect operators from accidental shock.
    (4) Provide a static-electricity neutralizer that is electrically 
grounded in common with the balance to remove static charge from PM 
sample media (e.g., filters), as follows:
    (i) You may use radioactive neutralizers such as a Polonium 
(210Po) source. Replace radioactive sources at the intervals 
recommended by the neutralizer manufacturer.
    (ii) You may use other neutralizers, such as corona-discharge 
ionizers. If you use a corona-discharge ionizer, we recommend that you 
monitor it for neutral net charge according to the ionizer 
manufacturer's recommendations.
    (5) We recommend that you use a device to monitor the static charge 
of PM sample media (e.g., filter) surface.
    (6) We recommend that you neutralize PM sample media (e.g., filters) 
to within 2.0 V of neutral. Measure static 
voltages as follows:
    (i) Measure static voltage of PM sample media (e.g., filters) 
according to the

[[Page 597]]

electrostatic voltmeter manufacturer's instructions.
    (ii) Measure static voltage of PM sample media (e.g., filters) while 
the media is at least 15 cm away from any grounded surfaces to avoid 
mirror image charge interference.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37299, June 30, 2008; 
73 FR 59323, Oct. 8, 2008]



Sec. 1065.195  PM-stabilization environment for in-situ analyzers.

    (a) This section describes the environment required to determine PM 
in-situ. For in-situ analyzers, such as an inertial balance, this is the 
environment within a PM sampling system that surrounds the PM sample 
media (e.g., filters). This is typically a very small volume.
    (b) Maintain the environment free of ambient contaminants, such as 
dust, aerosols, or semi-volatile material that could contaminate PM 
samples. Filter all air used for stabilization with HEPA filters. Ensure 
that HEPA filters are installed properly so that background PM does not 
leak past the HEPA filters.
    (c) Maintain the following thermodynamic conditions within the 
environment before measuring PM:
    (1) Ambient temperature. Select a nominal ambient temperature, Tamb, 
between (42 and 52) [deg]C. Maintain the ambient temperature within 
1.0 [deg]C of the selected nominal value.
    (2) Dewpoint. Select a dewpoint, Tdew, that corresponds to Tamb such 
that Tdew = (0.95Tamb-11.40) [deg]C. The resulting dewpoint will control 
the amount of water associated with sulfuric acid 
(H2SO4) PM, such that 1.1368 grams of water will 
be associated with each gram of H2SO4. For 
example, if you select a nominal ambient temperature of 47 [deg]C, set a 
dewpoint of 33.3 [deg]C.
    (3) Dewpoint tolerance. If the expected fraction of sulfuric acid in 
PM is unknown, we recommend controlling dewpoint within 1.0 [deg]C. This would limit any dewpoint-related change 
in PM to less than 2%, even for PM that is 50% 
sulfuric acid. If you know your expected fraction of sulfuric acid in 
PM, we recommend that you select an appropriate dewpoint tolerance for 
showing compliance with emission standards using Table 1 of Sec. 
1065.190 as a guide:
    (4) Absolute pressure. Use good engineering judgment to maintain a 
tolerance of absolute pressure if your PM measurement instrument 
requires it.
    (d) Continuously measure dewpoint, temperature, and pressure using 
measurement instruments that meet the PM-stabilization environment 
specifications in subpart C of this part. Use these values to determine 
if the in-situ stabilization environment is within the tolerances 
specified in paragraph (c) of this section. Do not use any PM quantities 
that are recorded when any of these parameters exceed the applicable 
tolerances.
    (e) If you use an inertial PM balance, we recommend that you install 
it as follows:
    (1) Isolate the balance from any external noise and vibration that 
is within a frequency range that could affect the balance.
    (2) Follow the balance manufacturer's specifications.
    (f) If static electricity affects an inertial balance, you may use a 
static neutralizer, as follows:
    (1) You may use a radioactive neutralizer such as a Polonium 
(\210\Po) source or a Krypton (\85\Kr) source. Replace radioactive 
sources at the intervals recommended by the neutralizer manufacturer.
    (2) You may use other neutralizers, such as a corona-discharge 
ionizer. If you use a corona-discharge ionizer, we recommend that you 
monitor it for neutral net charge according to the ionizer 
manufacturer's recommendations.

[70 FR 40516, July 13, 2005, as amended at 73 FR 32799, June 30, 2008]



                    Subpart C_Measurement Instruments



Sec. 1065.201  Overview and general provisions.

    (a) Scope. This subpart specifies measurement instruments and 
associated system requirements related to emission testing in a 
laboratory or similar environment and in the field. This includes 
laboratory instruments and portable emission measurement systems (PEMS) 
for measuring engine

[[Page 598]]

parameters, ambient conditions, flow-related parameters, and emission 
concentrations.
    (b) Instrument types. You may use any of the specified instruments 
as described in this subpart to perform emission tests. If you want to 
use one of these instruments in a way that is not specified in this 
subpart, or if you want to use a different instrument, you must first 
get us to approve your alternate procedure under Sec. 1065.10. Where we 
specify more than one instrument for a particular measurement, we may 
identify which instrument serves as the reference for comparing with an 
alternate procedure.
    (c) Measurement systems. Assemble a system of measurement 
instruments that allows you to show that your engines comply with the 
applicable emission standards, using good engineering judgment. When 
selecting instruments, consider how conditions such as vibration, 
temperature, pressure, humidity, viscosity, specific heat, and exhaust 
composition (including trace concentrations) may affect instrument 
compatibility and performance.
    (d) Redundant systems. For all measurement instruments described in 
this subpart, you may use data from multiple instruments to calculate 
test results for a single test. If you use redundant systems, use good 
engineering judgment to use multiple measured values in calculations or 
to disregard individual measurements. Note that you must keep your 
results from all measurements, as described in Sec. 1065.25. This 
requirements applies whether or not you actually use the measurements in 
your calculations.
    (e) Range. You may use an instrument's response above 100% of its 
operating range if this does not affect your ability to show that your 
engines comply with the applicable emission standards. Note that we 
require additional testing and reporting if an analyzer responds above 
100% of its range. See Sec. 1065.550. Auto-ranging analyzers do not 
require additional testing or reporting.
    (f) Related subparts for laboratory testing. Subpart D of this part 
describes how to evaluate the performance of the measurement instruments 
in this subpart. In general, if an instrument is specified in a specific 
section of this subpart, its calibration and verifications are typically 
specified in a similarly numbered section in subpart D of this part. For 
example, Sec. 1065.290 gives instrument specifications for PM balances 
and Sec. 1065.390 describes the corresponding calibrations and 
verifications. Note that some instruments also have other requirements 
in other sections of subpart D of this part. Subpart B of this part 
identifies specifications for other types of equipment, and subpart H of 
this part specifies engine fluids and analytical gases.
    (g) Field testing and testing with PEMS. Subpart J of this part 
describes how to use these and other measurement instruments for field 
testing and other PEMS testing.
    (h) Recommended practices. This subpart identifies a variety of 
recommended but not required practices for proper measurements. We 
believe in most cases it is necessary to follow these recommended 
practices for accurate and repeatable measurements. However, we do not 
specifically require you to follow these recommended practices to 
perform a valid test, as long as you meet the required calibrations and 
verifications of measurement systems specified in subpart D of this 
part. Similarly, we are not required to follow all recommended 
practices, as long as we meet the required calibrations and 
verifications. Our decision to follow or not follow a given 
recommendation when testing your engine is not dependent on whether or 
not you followed it during your testing.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37299, June 30, 2008; 
75 FR 23033, Apr. 30, 2010]



Sec. 1065.202  Data updating, recording, and control.

    Your test system must be able to update data, record data and 
control systems related to operator demand, the dynamometer, sampling 
equipment, and measurement instruments. Use data acquisition and control 
systems that can record at the specified minimum frequencies, as 
follows:

[[Page 599]]



                   Table 1 of Sec.  1065.202--Data Recording and Control Minimum Frequencies
----------------------------------------------------------------------------------------------------------------
                                                                    Minimum command and      Minimum recording
  Applicable test protocol section         Measured values           control frequency           frequency
----------------------------------------------------------------------------------------------------------------
Sec.  1065.510....................  Speed and torque during an   1 Hz..................  1 mean value per step.
                                      engine step-map.
Sec.  1065.510....................  Speed and torque during an   5 Hz..................  1 Hz means.
                                      engine sweep-map.
Sec.  1065.514, Sec.  1065.530...  Transient duty cycle         5 Hz..................  1 Hz means.
                                      reference and feedback
                                      speeds and torques.
Sec.  1065.514, Sec.  1065.530...  Steady-state and ramped-     1 Hz..................  1 Hz.
                                      modal duty cycle reference
                                      and feedback speeds and
                                      torques.
Sec.  1065.520, Sec.  1065.530,    Continuous concentrations    N/A...................  1 Hz.
 Sec.  1065.550.                     of raw or dilute analyzers.
Sec.  1065.520, Sec.  1065.530,    Batch concentrations of raw  N/A...................  1 mean value per test
 Sec.  1065.550.                     or dilute analyzers.                                 interval.
Sec.  1065.530, Sec.  1065.545...  Diluted exhaust flow rate    N/A...................  1 Hz.
                                      from a CVS with a heat
                                      exchanger upstream of the
                                      flow measurement.
Sec.  1065.530, Sec.  1065.545...  Diluted exhaust flow rate    5 Hz..................  1 Hz means.
                                      from a CVS without a heat
                                      exchanger upstream of the
                                      flow measurement.
Sec.  1065.530, Sec.  1065.545...  Intake-air or raw-exhaust    N/A...................  1 Hz means.
                                      flow rate.
Sec.  1065.530, Sec.  1065.545...  Dilution air if actively     5 Hz..................  1 Hz means.
                                      controlled.
Sec.  1065.530....................  Sample flow from a CVS that  1 Hz..................  1 Hz.
                                      has a heat exchanger.
Sec.  1065.530, Sec.  1065.545...  Sample flow from a CVS does  5 Hz..................  1 Hz mean.
                                      not have a heat exchanger.
----------------------------------------------------------------------------------------------------------------



Sec. 1065.205  Performance specifications for measurement instruments.

    Your test system as a whole must meet all the applicable 
calibrations, verifications, and test-validation criteria specified in 
subparts D and F of this part or subpart J of this part for using PEMS 
and for performing field testing. We recommend that your instruments 
meet the specifications in Table 1 of this section for all ranges you 
use for testing. We also recommend that you keep any documentation you 
receive from instrument manufacturers showing that your instruments meet 
the specifications in Table 1 of this section.

[[Page 600]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.105

[GRAPHIC] [TIFF OMITTED] TR30AP10.106


[[Page 601]]


[GRAPHIC] [TIFF OMITTED] TR30AP10.107


[75 FR 23033, Apr. 30, 2010]

         Measurement of Engine Parameters and Ambient Conditions



Sec. 1065.210  Work input and output sensors.

    (a) Application. Use instruments as specified in this section to 
measure work inputs and outputs during engine operation. We recommend 
that you use sensors, transducers, and meters that meet the 
specifications in Table 1 of Sec. 1065.205. Note that your overall 
systems for measuring work inputs and outputs must meet the linearity 
verifications in Sec. 1065.307. We recommend that you measure work 
inputs and outputs where they cross the system boundary as shown in 
Figure 1 of Sec. 1065.210. The system boundary is different for air-
cooled engines than for liquid-cooled engines. If you choose to measure 
work before or after a work conversion, relative to the system boundary, 
use good engineering judgment to estimate any work-conversion losses in 
a way that avoids overestimation of total work. For example, if it is 
impractical to instrument the shaft of an exhaust turbine generating 
electrical work, you may decide to measure its converted electrical 
work. As another example, you may decide to measure the tractive (i.e., 
electrical output) power of a locomotive, rather than the brake power of 
the locomotive engine. In these cases, divide the electrical work by 
accurate values of electrical generator efficiency ([eta]<1), or assume 
an efficiency of 1 ([eta]=1), which would over-estimate brake-specific 
emissions. For the example of using locomotive tractive power with a 
generator efficiency of 1 ([eta]=1), this means using the tractive power 
as the brake power in emission calculations. Do not underestimate any 
work conversion efficiencies for any components outside the system 
boundary that do not return work into the system boundary. And do not 
overestimate any work conversion efficiencies for components outside the 
system boundary that do return work into the system boundary. In all 
cases, ensure that you are able to accurately demonstrate compliance 
with the applicable standards.

[[Page 602]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.015

    (b) Shaft work. Use speed and torque transducer outputs to calculate 
total work according to Sec. 1065.650.
    (1) Speed. Use a magnetic or optical shaft-position detector with a 
resolution of at least 60 counts per revolution, in combination with a 
frequency

[[Page 603]]

counter that rejects common-mode noise.
    (2) Torque. You may use a variety of methods to determine engine 
torque. As needed, and based on good engineering judgment, compensate 
for torque induced by the inertia of accelerating and decelerating 
components connected to the flywheel, such as the drive shaft and 
dynamometer rotor. Use any of the following methods to determine engine 
torque:
    (i) Measure torque by mounting a strain gage or similar instrument 
in-line between the engine and dynamometer.
    (ii) Measure torque by mounting a strain gage or similar instrument 
on a lever arm connected to the dynamometer housing.
    (iii) Calculate torque from internal dynamometer signals, such as 
armature current, as long as you calibrate this measurement as described 
in Sec. 1065.310.
    (c) Electrical work. Use a watt-hour meter output to calculate total 
work according to Sec. 1065.650. Use a watt-hour meter that outputs 
active power (kW). Watt-hour meters typically combine a Wheatstone 
bridge voltmeter and a Hall-effect clamp-on ammeter into a single 
microprocessor-based instrument that analyzes and outputs several 
parameters, such as alternating or direct current voltage (V), current 
(A), power factor (pf), apparent power (VA), reactive power (VAR), and 
active power (W).
    (d) Pump, compressor or turbine work. Use pressure transducer and 
flow-meter outputs to calculate total work according to Sec. 1065.650. 
For flow meters, see Sec. 1065.220 through Sec. 1065.248.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008]



Sec. 1065.215  Pressure transducers, temperature sensors, and dewpoint sensors.

    (a) Application. Use instruments as specified in this section to 
measure pressure, temperature, and dewpoint.
    (b) Component requirements. We recommend that you use pressure 
transducers, temperature sensors, and dewpoint sensors that meet the 
specifications in Table 1 of Sec. 1065.205. Note that your overall 
systems for measuring pressure, temperature, and dewpoint must meet the 
calibration and verifications in Sec. 1065.315.
    (c) Temperature. For PM-balance environments or other precision 
temperature measurements over a narrow temperature range, we recommend 
thermistors. For other applications we recommend thermocouples that are 
not grounded to the thermocouple sheath. You may use other temperature 
sensors, such as resistive temperature detectors (RTDs).
    (d) Pressure. Pressure transducers must be located in a temperature-
controlled environment, or they must compensate for temperature changes 
over their expected operating range. Transducer materials must be 
compatible with the fluid being measured. For atmospheric pressure or 
other precision pressure measurements, we recommend either capacitance-
type, quartz crystal, or laser-interferometer transducers. For other 
applications, we recommend either strain gage or capacitance-type 
pressure transducers. You may use other pressure-measurement 
instruments, such as manometers, where appropriate.
    (e) Dewpoint. For PM-stabilization environments, we recommend 
chilled-surface hygrometers, which include chilled mirror detectors and 
chilled surface acoustic wave (SAW) detectors. For other applications, 
we recommend thin-film capacitance sensors. You may use other dewpoint 
sensors, such as a wet-bulb/dry-bulb psychrometer, where appropriate.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008]

                        Flow-Related Measurements



Sec. 1065.220  Fuel flow meter.

    (a) Application. You may use fuel flow in combination with a 
chemical balance of carbon (or oxygen) between the fuel, inlet air, and 
raw exhaust to calculate raw exhaust flow as described in Sec. 
1065.650, as follows:
    (1) Use the actual value of calculated raw exhaust flow rate in the 
following cases:
    (i) For multiplying raw exhaust flow rate with continuously sampled 
concentrations.

[[Page 604]]

    (ii) For multiplying total raw exhaust flow with batch-sampled 
concentrations.
    (2) In the following cases, you may use a fuel flow meter signal 
that does not give the actual value of raw exhaust, as long as it is 
linearly proportional to the exhaust molar flow rate's actual calculated 
value:
    (i) For feedback control of a proportional sampling system, such as 
a partial-flow dilution system.
    (ii) For multiplying with continuously sampled gas concentrations, 
if the same signal is used in a chemical-balance calculation to 
determine work from brake-specific fuel consumption and fuel consumed.
    (b) Component requirements. We recommend that you use a fuel flow 
meter that meets the specifications in Table 1 of Sec. 1065.205. We 
recommend a fuel flow meter that measures mass directly, such as one 
that relies on gravimetric or inertial measurement principles. This may 
involve using a meter with one or more scales for weighing fuel or using 
a Coriolis meter. Note that your overall system for measuring fuel flow 
must meet the linearity verification in Sec. 1065.307 and the 
calibration and verifications in Sec. 1065.320.
    (c) Recirculating fuel. In any fuel-flow measurement, account for 
any fuel that bypasses the engine or returns from the engine to the fuel 
storage tank.
    (d) Flow conditioning. For any type of fuel flow meter, condition 
the flow as needed to prevent wakes, eddies, circulating flows, or flow 
pulsations from affecting the accuracy or repeatability of the meter. 
You may accomplish this by using a sufficient length of straight tubing 
(such as a length equal to at least 10 pipe diameters) or by using 
specially designed tubing bends, straightening fins, or pneumatic 
pulsation dampeners to establish a steady and predictable velocity 
profile upstream of the meter. Condition the flow as needed to prevent 
any gas bubbles in the fuel from affecting the fuel meter.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008]



Sec. 1065.225  Intake-air flow meter.

    (a) Application. You may use an intake-air flow meter in combination 
with a chemical balance of carbon (or oxygen) between the fuel, inlet 
air, and raw exhaust to calculate raw exhaust flow as described in Sec. 
1065.650, as follows:
    (1) Use the actual value of calculated raw exhaust in the following 
cases:
    (i) For multiplying raw exhaust flow rate with continuously sampled 
concentrations.
    (ii) For multiplying total raw exhaust flow with batch-sampled 
concentrations.
    (2) In the following cases, you may use an intake-air flow meter 
signal that does not give the actual value of raw exhaust, as long as it 
is linearly proportional to the exhaust flow rate's actual calculated 
value:
    (i) For feedback control of a proportional sampling system, such as 
a partial-flow dilution system.
    (ii) For multiplying with continuously sampled gas concentrations, 
if the same signal is used in a chemical-balance calculation to 
determine work from brake-specific fuel consumption and fuel consumed.
    (b) Component requirements. We recommend that you use an intake-air 
flow meter that meets the specifications in Table 1 of Sec. 1065.205. 
This may include a laminar flow element, an ultrasonic flow meter, a 
subsonic venturi, a thermal-mass meter, an averaging Pitot tube, or a 
hot-wire anemometer. Note that your overall system for measuring intake-
air flow must meet the linearity verification in Sec. 1065.307 and the 
calibration in Sec. 1065.325.
    (c) Flow conditioning. For any type of intake-air flow meter, 
condition the flow as needed to prevent wakes, eddies, circulating 
flows, or flow pulsations from affecting the accuracy or repeatability 
of the meter. You may accomplish this by using a sufficient length of 
straight tubing (such as a length equal to at least 10 pipe diameters) 
or by using specially designed tubing bends, orifice plates or 
straightening fins to establish a predictable velocity profile upstream 
of the meter.

[[Page 605]]



Sec. 1065.230  Raw exhaust flow meter.

    (a) Application. You may use measured raw exhaust flow, as follows:
    (1) Use the actual value of calculated raw exhaust in the following 
cases:
    (i) Multiply raw exhaust flow rate with continuously sampled 
concentrations.
    (ii) Multiply total raw exhaust with batch sampled concentrations.
    (2) In the following cases, you may use a raw exhaust flow meter 
signal that does not give the actual value of raw exhaust, as long as it 
is linearly proportional to the exhaust flow rate's actual calculated 
value:
    (i) For feedback control of a proportional sampling system, such as 
a partial-flow dilution system.
    (ii) For multiplying with continuously sampled gas concentrations, 
if the same signal is used in a chemical-balance calculation to 
determine work from brake-specific fuel consumption and fuel consumed.
    (b) Component requirements. We recommend that you use a raw-exhaust 
flow meter that meets the specifications in Table 1 of Sec. 1065.205. 
This may involve using an ultrasonic flow meter, a subsonic venturi, an 
averaging Pitot tube, a hot-wire anemometer, or other measurement 
principle. This would generally not involve a laminar flow element or a 
thermal-mass meter. Note that your overall system for measuring raw 
exhaust flow must meet the linearity verification in Sec. 1065.307 and 
the calibration and verifications in Sec. 1065.330. Any raw-exhaust 
meter must be designed to appropriately compensate for changes in the 
raw exhaust's thermodynamic, fluid, and compositional states.
    (c) Flow conditioning. For any type of raw exhaust flow meter, 
condition the flow as needed to prevent wakes, eddies, circulating 
flows, or flow pulsations from affecting the accuracy or repeatability 
of the meter. You may accomplish this by using a sufficient length of 
straight tubing (such as a length equal to at least 10 pipe diameters) 
or by using specially designed tubing bends, orifice plates or 
straightening fins to establish a predictable velocity profile upstream 
of the meter.
    (d) Exhaust cooling. You may cool raw exhaust upstream of a raw-
exhaust flow meter, as long as you observe all the following provisions:
    (1) Do not sample PM downstream of the cooling.
    (2) If cooling causes exhaust temperatures above 202 [deg]C to 
decrease to below 180 [deg]C, do not sample NMHC downstream of the 
cooling for compression-ignition engines, 2-stroke spark-ignition 
engines, and 4-stroke spark-ignition engines below 19 kW.
    (3) If cooling causes aqueous condensation, do not sample 
NOX downstream of the cooling unless the cooler meets the 
performance verification in Sec. 1065.376.
    (4) If cooling causes aqueous condensation before the flow reaches a 
flow meter, measure dewpoint, Tdew and pressure, ptotal at the flow 
meter inlet. Use these values in emission calculations according to 
Sec. 1065.650.



Sec. 1065.240  Dilution air and diluted exhaust flow meters.

    (a) Application. Use a diluted exhaust flow meter to determine 
instantaneous diluted exhaust flow rates or total diluted exhaust flow 
over a test interval. You may use the difference between a diluted 
exhaust flow meter and a dilution air meter to calculate raw exhaust 
flow rates or total raw exhaust flow over a test interval.
    (b) Component requirements. We recommend that you use a diluted 
exhaust flow meter that meets the specifications in Table 1 of Sec. 
1065.205. Note that your overall system for measuring diluted exhaust 
flow must meet the linearity verification in Sec. 1065.307 and the 
calibration and verifications in Sec. 1065.340 and Sec. 1065.341. You 
may use the following meters:
    (1) For constant-volume sampling (CVS) of the total flow of diluted 
exhaust, you may use a critical-flow venturi (CFV) or multiple critical-
flow venturis arranged in parallel, a positive-displacement pump (PDP), 
a subsonic venturi (SSV), or an ultrasonic flow meter (UFM). Combined 
with an upstream heat exchanger, either a CFV or a PDP will also 
function as a passive flow controller in a CVS system. However, you may 
also combine any flow meter with any active flow control system to 
maintain proportional sampling

[[Page 606]]

of exhaust constituents. You may control the total flow of diluted 
exhaust, or one or more sample flows, or a combination of these flow 
controls to maintain proportional sampling.
    (2) For any other dilution system, you may use a laminar flow 
element, an ultrasonic flow meter, a subsonic venturi, a critical-flow 
venturi or multiple critical-flow venturis arranged in parallel, a 
positive-displacement meter, a thermal-mass meter, an averaging Pitot 
tube, or a hot-wire anemometer.
    (c) Flow conditioning. For any type of diluted exhaust flow meter, 
condition the flow as needed to prevent wakes, eddies, circulating 
flows, or flow pulsations from affecting the accuracy or repeatability 
of the meter. For some meters, you may accomplish this by using a 
sufficient length of straight tubing (such as a length equal to at least 
10 pipe diameters) or by using specially designed tubing bends, orifice 
plates or straightening fins to establish a predictable velocity profile 
upstream of the meter.
    (d) Exhaust cooling. You may cool diluted exhaust upstream of a 
dilute-exhaust flow meter, as long as you observe all the following 
provisions:
    (1) Do not sample PM downstream of the cooling.
    (2) If cooling causes exhaust temperatures above 202 [deg]C to 
decrease to below 180 [deg]C, do not sample NMHC downstream of the 
cooling for compression-ignition engines, 2-stroke spark-ignition 
engines, and 4-stroke spark-ignition engines below 19 kW.
    (3) If cooling causes aqueous condensation, do not sample 
NOX downstream of the cooling unless the cooler meets the 
performance verification in Sec. 1065.376.
    (4) If cooling causes aqueous condensation before the flow reaches a 
flow meter, measure dewpoint, Tdew and pressure, ptotal at the flow 
meter inlet. Use these values in emission calculations according to 
Sec. 1065.650.

[70 FR 40516, July 13, 2005, as amended at 75 FR 23035, Apr. 30, 2010]



Sec. 1065.245  Sample flow meter for batch sampling.

    (a) Application. Use a sample flow meter to determine sample flow 
rates or total flow sampled into a batch sampling system over a test 
interval. You may use the difference between a diluted exhaust sample 
flow meter and a dilution air meter to calculate raw exhaust flow rates 
or total raw exhaust flow over a test interval.
    (b) Component requirements. We recommend that you use a sample flow 
meter that meets the specifications in Table 1 of Sec. 1065.205. This 
may involve a laminar flow element, an ultrasonic flow meter, a subsonic 
venturi, a critical-flow venturi or multiple critical-flow venturis 
arranged in parallel, a positive-displacement meter, a thermal-mass 
meter, an averaging Pitot tube, or a hot-wire anemometer. Note that your 
overall system for measuring sample flow must meet the linearity 
verification in Sec. 1065.307. For the special case where CFVs are used 
for both the diluted exhaust and sample-flow measurements and their 
upstream pressures and temperatures remain similar during testing, you 
do not have to quantify the flow rate of the sample-flow CFV. In this 
special case, the sample-flow CFV inherently flow-weights the batch 
sample relative to the diluted exhaust CFV.
    (c) Flow conditioning. For any type of sample flow meter, condition 
the flow as needed to prevent wakes, eddies, circulating flows, or flow 
pulsations from affecting the accuracy or repeatability of the meter. 
For some meters, you may accomplish this by using a sufficient length of 
straight tubing (such as a length equal to at least 10 pipe diameters) 
or by using specially designed tubing bends, orifice plates or 
straightening fins to establish a predictable velocity profile upstream 
of the meter.



Sec. 1065.248  Gas divider.

    (a) Application. You may use a gas divider to blend calibration 
gases.
    (b) Component requirements. Use a gas divider that blends gases to 
the specifications of Sec. 1065.750 and to the flow-weighted 
concentrations expected during testing. You may use critical-flow gas 
dividers, capillary-tube gas dividers, or thermal-mass-meter gas 
dividers. Note that your overall gas-divider system must meet the 
linearity verification in Sec. 1065.307.

[[Page 607]]

                   CO and CO2 Measurements



Sec. 1065.250  Nondispersive infra-red analyzer.

    (a) Application. Use a nondispersive infra-red (NDIR) analyzer to 
measure CO and CO2 concentrations in raw or diluted exhaust 
for either batch or continuous sampling.
    (b) Component requirements. We recommend that you use an NDIR 
analyzer that meets the specifications in Table 1 of Sec. 1065.205. 
Note that your NDIR-based system must meet the calibration and 
verifications in Sec. 1065.350 and Sec. 1065.355 and it must also meet 
the linearity verification in Sec. 1065.307. You may use an NDIR 
analyzer that has compensation algorithms that are functions of other 
gaseous measurements and the engine's known or assumed fuel properties. 
The target value for any compensation algorithm is 0.0% (that is, no 
bias high and no bias low), regardless of the uncompensated signal's 
bias.

                        Hydrocarbon Measurements



Sec. 1065.260  Flame-ionization detector.

    (a) Application. Use a flame-ionization detector (FID) analyzer to 
measure hydrocarbon concentrations in raw or diluted exhaust for either 
batch or continuous sampling. Determine hydrocarbon concentrations on a 
carbon number basis of one, C1. Determine methane and 
nonmethane hydrocarbon values as described in paragraph (e) of this 
section. See subpart I of this part for special provisions that apply to 
measuring hydrocarbons when testing with oxygenated fuels.
    (b) Component requirements. We recommend that you use a FID analyzer 
that meets the specifications in Table 1 of Sec. 1065.205. Note that 
your FID-based system for measuring THC, THCE, or CH4 must 
meet all of the verifications for hydrocarbon measurement in subpart D 
of this part, and it must also meet the linearity verification in Sec. 
1065.307. You may use a FID that has compensation algorithms that are 
functions of other gaseous measurements and the engine's known or 
assumed fuel properties. The target value for any compensation algorithm 
is 0.0% (that is, no bias high and no bias low), regardless of the 
uncompensated signal's bias.
    (c) Heated FID analyzers. For compression-ignition engines, two-
stroke spark-ignition engines, and four-stroke spark-ignition engines 
below 19 kW, you must use heated FID analyzers that maintain all 
surfaces that are exposed to emissions at a temperature of (191  11) [deg]C.
    (d) FID fuel and burner air. Use FID fuel and burner air that meet 
the specifications of Sec. 1065.750. Do not allow the FID fuel and 
burner air to mix before entering the FID analyzer to ensure that the 
FID analyzer operates with a diffusion flame and not a premixed flame.
    (e) Methane. FID analyzers measure total hydrocarbons (THC). To 
determine nonmethane hydrocarbons (NMHC), quantify methane, 
CH4, either with a nonmethane cutter and a FID analyzer as 
described in Sec. 1065.265, or with a gas chromatograph as described in 
Sec. 1065.267. Instead of measuring methane, you may assume that 2% of 
measured total hydrocarbon is methane, as described in Sec. 
1065.650(c)(1)(vi). For a FID analyzer used to determine NMHC, determine 
its response factor to methane, RFCH4, as described in Sec. 
1065.360. Note that NMHC-related calculations are described in Sec. 
1065.660.

[70 FR 40516, July 13, 2005, as amended at 75 FR 23035, Apr. 30, 2010; 
75 FR 68462, Nov. 8, 2010]



Sec. 1065.265  Nonmethane cutter.

    (a) Application. You may use a nonmethane cutter to measure 
CH4 with a FID analyzer. A nonmethane cutter oxidizes all 
nonmethane hydrocarbons to CO2 and H2O. You may 
use a nonmethane cutter for raw or diluted exhaust for batch or 
continuous sampling.
    (b) System performance. Determine nonmethane-cutter performance as 
described in Sec. 1065.365 and use the results to calculate NMHC 
emission in Sec. 1065.660.
    (c) Configuration. Configure the nonmethane cutter with a bypass 
line if it is needed for the verification described in Sec. 1065.365.
    (d) Optimization. You may optimize a nonmethane cutter to maximize 
the penetration of CH4 and the oxidation of

[[Page 608]]

all other hydrocarbons. You may humidify a sample and you may dilute a 
sample with purified air or oxygen (O2) upstream of the 
nonmethane cutter to optimize its performance. You must account for any 
sample humidification and dilution in emission calculations.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008]



Sec. 1065.267  Gas chromatograph.

    (a) Application. You may use a gas chromatograph to measure 
CH4 concentrations of diluted exhaust for batch sampling. 
While you may also use a nonmethane cutter to measure CH4, as 
described in Sec. 1065.265, use a reference procedure based on a gas 
chromatograph for comparison with any proposed alternate measurement 
procedure under Sec. 1065.10.
    (b) Component requirements. We recommend that you use a gas 
chromatograph that meets the specifications in Table 1 of Sec. 
1065.205, and it must also meet the linearity verification in Sec. 
1065.307.

                        NOX and N2O Measurements



Sec. 1065.270  Chemiluminescent detector.

    (a) Application. You may use a chemiluminescent detector (CLD) to 
measure NOX concentration in raw or diluted exhaust for batch 
or continuous sampling. We generally accept a CLD for NOX 
measurement, even though it measures only NO and NO2, when 
coupled with an NO2-to-NO converter, since conventional 
engines and aftertreatment systems do not emit significant amounts of 
NOX species other than NO and NO2. Measure other 
NOX species if required by the standard-setting part. While 
you may also use other instruments to measure NOX, as 
described in Sec. 1065.272, use a reference procedure based on a 
chemiluminescent detector for comparison with any proposed alternate 
measurement procedure under Sec. 1065.10.
    (b) Component requirements. We recommend that you use a CLD that 
meets the specifications in Table 1 of Sec. 1065.205. Note that your 
CLD-based system must meet the quench verification in Sec. 1065.370 and 
it must also meet the linearity verification in Sec. 1065.307. You may 
use a heated or unheated CLD, and you may use a CLD that operates at 
atmospheric pressure or under a vacuum. You may use a CLD that has 
compensation algorithms that are functions of other gaseous measurements 
and the engine's known or assumed fuel properties. The target value for 
any compensation algorithm is 0.0% (that is, no bias high and no bias 
low), regardless of the uncompensated signal's bias.
    (c) NO2-to-NO converter. Place upstream of the CLD an internal or 
external NO2-to-NO converter that meets the verification in 
Sec. 1065.378. Configure the converter with a bypass line if it is 
needed to facilitate this verification.
    (d) Humidity effects. You must maintain all CLD temperatures to 
prevent aqueous condensation. If you remove humidity from a sample 
upstream of a CLD, use one of the following configurations:
    (1) Connect a CLD downstream of any dryer or chiller that is 
downstream of an NO2-to-NO converter that meets the 
verification in Sec. 1065.378.
    (2) Connect a CLD downstream of any dryer or thermal chiller that 
meets the verification in Sec. 1065.376.
    (e) Response time. You may use a heated CLD to improve CLD response 
time.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008]



Sec. 1065.272  Nondispersive ultraviolet analyzer.

    (a) Application. You may use a nondispersive ultraviolet (NDUV) 
analyzer to measure NOX concentration in raw or diluted 
exhaust for batch or continuous sampling. We generally accept an NDUV 
for NOX measurement, even though it measures only NO and 
NO2, since conventional engines and aftertreatment systems do 
not emit significant amounts of other NOX species. Measure 
other NOX species if required by the standard-setting part. 
Note that good engineering judgment may preclude you from using an NDUV 
analyzer if sampled exhaust from test engines contains oil (or other 
contaminants) in sufficiently high concentrations to interfere with 
proper operation.

[[Page 609]]

    (b) Component requirements. We recommend that you use an NDUV 
analyzer that meets the specifications in Table 1 of Sec. 1065.205. 
Note that your NDUV-based system must meet the verifications in Sec. 
1065.372 and it must also meet the linearity verification in Sec. 
1065.307. You may use a NDUV analyzer that has compensation algorithms 
that are functions of other gaseous measurements and the engine's known 
or assumed fuel properties. The target value for any compensation 
algorithm is 0.0% (that is, no bias high and no bias low), regardless of 
the uncompensated signal's bias.
    (c) NO2-to-NO converter. If your NDUV analyzer measures only NO, 
place upstream of the NDUV analyzer an internal or external 
NO2-to-NO converter that meets the verification in Sec. 
1065.378. Configure the converter with a bypass to facilitate this 
verification.
    (d) Humidity effects. You must maintain NDUV temperature to prevent 
aqueous condensation, unless you use one of the following 
configurations:
    (1) Connect an NDUV downstream of any dryer or chiller that is 
downstream of an NO2-to-NO converter that meets the 
verification in Sec. 1065.378.
    (2) Connect an NDUV downstream of any dryer or thermal chiller that 
meets the verification in Sec. 1065.376.

[70 FR 40516, July 13, 2005, as amended at 73 FR 59323, Oct. 8, 2008]



Sec. 1065.275  N2O measurement devices.

    (a) General component requirements. We recommend that you use an 
analyzer that meets the specifications in Table 1 of Sec. 1065.205. 
Note that your system must meet the linearity verification in Sec. 
1065.307.
    (b) Instrument types. You may use any of the following analyzers to 
measure N2O:
    (1) Nondispersive infra-red (NDIR) analyzer. You may use an NDIR 
analyzer that has compensation algorithms that are functions of other 
gaseous measurements and the engine's known or assumed fuel properties. 
The target value for any compensation algorithm is 0.0% (that is, no 
bias high and no bias low), regardless of the uncompensated signal's 
bias.
    (2) Fourier transform infra-red (FTIR) analyzer. You may use an FTIR 
analyzer that has compensation algorithms that are functions of other 
gaseous measurements and the engine's known or assumed fuel properties. 
The target value for any compensation algorithm is 0.0% (that is, no 
bias high and no bias low), regardless of the uncompensated signal's 
bias. Use appropriate analytical procedures for interpretation of 
infrared spectra. For example, EPA Test Method 320 is considered a valid 
method for spectral interpretation (see http://www.epa.gov/ttn/emc/
methods/method320.html).
    (3) Photoacoustic analyzer. You may use a photoacoustic analyzer 
that has compensation algorithms that are functions of other gaseous 
measurements. The target value for any compensation algorithm is 0.0% 
(that is, no bias high and no bias low), regardless of the uncompensated 
signal's bias. Use an optical wheel configuration that gives analytical 
priority to measurement of the least stable components in the sample. 
Select a sample integration time of at least 5 seconds. Take into 
account sample chamber and sample line volumes when determining flush 
times for your instrument.
    (4) Gas chromatograph analyzer. You may use a gas chromatograph with 
an electron-capture detector (GC-ECD) to measure N2O 
concentrations of diluted exhaust for batch sampling.
    (i) You may use a packed or porous layer open tubular (PLOT) column 
phase of suitable polarity and length to achieve adequate resolution of 
the N2O peak for analysis. Examples of acceptable columns are 
a PLOT column consisting of bonded polystyrene-divinylbenzene or a 
Porapack Q packed column. Take the column temperature profile and 
carrier gas selection into consideration when setting up your method to 
achieve adequate N2O peak resolution.
    (ii) Use good engineering judgment to zero your instrument and 
correct for drift. You do not need to follow the specific procedures in 
Sec. 1065.530 and Sec. 1065.550(b) that would otherwise apply. For 
example, you may perform a span gas measurement before and after sample 
analysis without zeroing. Use the average area counts of the pre-span 
and post-span measurements to generate a response factor (area counts/
span gas

[[Page 610]]

concentration), which you then multiply by the area counts from your 
sample to generate the sample concentration.
    (c) Interference validation. Perform interference validation for 
NDIR, FTIR, and photoacoustic analyzers using the procedures of Sec. 
1065.375. Interference validation is not required for GC-ECD. Certain 
interference gases can positively interfere with NDIR, FTIR, and 
photoacoustic analyzers by causing a response similar to N2O. 
When running the interference verification for these analyzers, use 
interference gases as follows:
    (1) The interference gases for NDIR analyzers are CO, 
CO2, H2O, CH4 and SO2. Note 
that interference species, with the exception of H2O, are 
dependent on the N2O infrared absorption band chosen by the 
instrument manufacturer and should be determined dently for each 
analyzer.
    (2) Use good engineering judgment to determine interference gases 
for FTIR. Note that interference species, with the exception of 
H2O, are dependent on the N2O infrared absorption 
band chosen by the instrument manufacturer and should be determined 
independently for each analyzer.
    (3) The interference gases for photoacoustic analyzers are CO, 
CO2, and H2O.

[74 FR 56512, Oct. 30, 2009]

                       O2 Measurements



Sec. 1065.280  Paramagnetic and magnetopneumatic O[bdi2] detection analyzers.

    (a) Application. You may use a paramagnetic detection (PMD) or 
magnetopneumatic detection (MPD) analyzer to measure O2 
concentration in raw or diluted exhaust for batch or continuous 
sampling. You may use O2 measurements with intake air or fuel 
flow measurements to calculate exhaust flow rate according to Sec. 
1065.650.
    (b) Component requirements. We recommend that you use a PMD or MPD 
analyzer that meets the specifications in Table 1 of Sec. 1065.205. 
Note that it must meet the linearity verification in Sec. 1065.307. You 
may use a PMD or MPD that has compensation algorithms that are functions 
of other gaseous measurements and the engine's known or assumed fuel 
properties. The target value for any compensation algorithm is 0.0% 
(that is, no bias high and no bias low), regardless of the uncompensated 
signal's bias.

[73 FR 37300, June 30, 2008]

                     Air-to-Fuel Ratio Measurements



Sec. 1065.284  Zirconia (ZrO[bdi2]) analyzer.

    (a) Application. You may use a zirconia (ZrO2) analyzer 
to measure air-to-fuel ratio in raw exhaust for continuous sampling. You 
may use O2 measurements with intake air or fuel flow 
measurements to calculate exhaust flow rate according to Sec. 1065.650.
    (b) Component requirements. We recommend that you use a 
ZrO2 analyzer that meets the specifications in Table 1 of 
Sec. 1065.205. Note that your ZrO2-based system must meet 
the linearity verification in Sec. 1065.307. You may use a Zirconia 
analyzer that has compensation algorithms that are functions of other 
gaseous measurements and the engine's known or assumed fuel properties. 
The target value for any compensation algorithm is 0.0% (that is, no 
bias high and no bias low), regardless of the uncompensated signal's 
bias.

                             PM Measurements



Sec. 1065.290  PM gravimetric balance.

    (a) Application. Use a balance to weigh net PM on a sample medium 
for laboratory testing.
    (b) Component requirements. We recommend that you use a balance that 
meets the specifications in Table 1 of Sec. 1065.205. Note that your 
balance-based system must meet the linearity verification in Sec. 
1065.307. If the balance uses internal calibration weights for routine 
spanning and the weights do not meet the specifications in Sec. 
1065.790, the weights must be verified independently with external 
calibration weights meeting the requirements of Sec. 1065.790. While 
you may also use an inertial balance to measure PM, as described in 
Sec. 1065.295, use a reference procedure based on a gravimetric balance 
for comparison with any proposed alternate measurement procedure under 
Sec. 1065.10.

[[Page 611]]

    (c) Pan design. We recommend that you use a balance pan designed to 
minimize corner loading of the balance, as follows:
    (1) Use a pan that centers the PM sample media (such as a filter) on 
the weighing pan. For example, use a pan in the shape of a cross that 
has upswept tips that center the PM sample media on the pan.
    (2) Use a pan that positions the PM sample as low as possible.
    (d) Balance configuration. Configure the balance for optimum 
settling time and stability at your location.

[73 FR 37300, June 30, 2008, as amended at 75 FR 68462, Nov. 8, 2010]



Sec. 1065.295  PM inertial balance for field-testing analysis.

    (a) Application. You may use an inertial balance to quantify net PM 
on a sample medium for field testing.
    (b) Component requirements. We recommend that you use a balance that 
meets the specifications in Table 1 of Sec. 1065.205. Note that your 
balance-based system must meet the linearity verification in Sec. 
1065.307. If the balance uses an internal calibration process for 
routine spanning and linearity verifications, the process must be NIST-
traceable. You may use an inertial PM balance that has compensation 
algorithms that are functions of other gaseous measurements and the 
engine's known or assumed fuel properties. The target value for any 
compensation algorithm is 0.0% (that is, no bias high and no bias low), 
regardless of the uncompensated signal's bias.
    (c) Loss correction. You may use PM loss corrections to account for 
PM loss in the inertial balance, including the sample handling system.
    (d) Deposition. You may use electrostatic deposition to collect PM 
as long as its collection efficiency is at least 95%.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 68462, Nov. 8, 2010]



                Subpart D_Calibrations and Verifications



Sec. 1065.301  Overview and general provisions.

    (a) This subpart describes required and recommended calibrations and 
verifications of measurement systems. See subpart C of this part for 
specifications that apply to individual instruments.
    (b) You must generally use complete measurement systems when 
performing calibrations or verifications in this subpart. For example, 
this would generally involve evaluating instruments based on values 
recorded with the complete system you use for recording test data, 
including analog-to-digital converters. For some calibrations and 
verifications, we may specify that you disconnect part of the 
measurement system to introduce a simulated signal.
    (c) If we do not specify a calibration or verification for a portion 
of a measurement system, calibrate that portion of your system and 
verify its performance at a frequency consistent with any 
recommendations from the measurement-system manufacturer, consistent 
with good engineering judgment.
    (d) Use NIST-traceable standards to the tolerances we specify for 
calibrations and verifications. Where we specify the need to use NIST-
traceable standards, you may alternatively ask for our approval to use 
international standards that are not NIST-traceable.



Sec. 1065.303  Summary of required calibration and verifications

    The following table summarizes the required and recommended 
calibrations and verifications described in this subpart and indicates 
when these have to be performed:

     Table 1 of Sec.  1065.303--Summary of Required Calibration and
                              Verifications
------------------------------------------------------------------------
  Type of calibration or verification         Minimum frequency \a\
------------------------------------------------------------------------
Sec.  1065.305: Accuracy,               Accuracy: Not required, but
 repeatability and noise.                 recommended for initial
                                          installation.
                                         Repeatability: Not required,
                                          but recommended for initial
                                          installation.
                                         Noise: Not required, but
                                          recommended for initial
                                          installation.

[[Page 612]]

 
Sec.  1065.307: Linearity verification  Speed: Upon initial
                                          installation, within 370 days
                                          before testing and after major
                                          maintenance.
                                         Torque: Upon initial
                                          installation, within 370 days
                                          before testing and after major
                                          maintenance.
                                         Electrical power: Upon initial
                                          installation, within 370 days
                                          before testing and after major
                                          maintenance.
                                         Fuel flow: Upon initial
                                          installation, within 370 days
                                          before testing, and after
                                          major maintenance.
                                         Clean gas and diluted exhaust
                                          flows: Upon initial
                                          installation, within 370 days
                                          before testing and after major
                                          maintenance, unless flow is
                                          verified by propane check or
                                          by carbon or oxygen balance.
                                         Raw exhaust flow: Upon initial
                                          installation, within 185 days
                                          before testing and after major
                                          maintenance, unless flow is
                                          verified by propane check or
                                          by carbon or oxygen balance.
                                         Gas dividers: Upon initial
                                          installation, within 370 days
                                          before testing, and after
                                          major maintenance.
                                         Gas analyzers: Upon initial
                                          installation, within 35 days
                                          before testing and after major
                                          maintenance.
                                         FTIR and photoacoustic
                                          analyzers: Upon initial
                                          installation, within 370 days
                                          before testing and after major
                                          maintenance.
                                         GC-ECD: Upon initial
                                          installation and after major
                                          maintenance.
                                         PM balance: Upon initial
                                          installation, within 370 days
                                          before testing and after major
                                          maintenance.
                                         Pressure, temperature, and
                                          dewpoint: Upon initial
                                          installation, within 370 days
                                          before testing and after major
                                          maintenance.
Sec.  1065.308: Continuous gas          Upon initial installation or
 analyzer system response and updating-   after system modification that
 recording verification--for gas          would affect response.
 analyzers not continuously compensated
 for other gas species.
Sec.  1065.309: Continuous gas          Upon initial installation or
 analyzer system-response and updating-   after system modification that
 recording verification--for gas          would affect response.
 analyzers continuously compensated for
 other gas species.
Sec.  1065.310: Torque................  Upon initial installation and
                                          after major maintenance.
Sec.  1065.315: Pressure, temperature,  Upon initial installation and
 dewpoint.                                after major maintenance.
Sec.  1065.320: Fuel flow.............  Upon initial installation and
                                          after major maintenance.
Sec.  1065.325: Intake flow...........  Upon initial installation and
                                          after major maintenance.
Sec.  1065.330: Exhaust flow..........  Upon initial installation and
                                          after major maintenance.
Sec.  1065.340: Diluted exhaust flow    Upon initial installation and
 (CVS).                                   after major maintenance.
Sec.  1065.341: CVS and batch sampler   Upon initial installation,
 verification \b\.                        within 35 days before testing,
                                          and after major maintenance.
Sec.  1065.342 Sample dryer             For thermal chillers: Upon
 verification.                            installation and after major
                                          maintenance.
                                         For osmotic membranes; upon
                                          installation, within 35 days
                                          of testing, and after major
                                          maintenance.
Sec.  1065.345: Vacuum leak...........  For laboratory testing: Upon
                                          initial installation of the
                                          sampling system, within 8
                                          hours before the start of the
                                          first test interval of each
                                          duty-cycle sequence, and after
                                          maintenance such as pre-filter
                                          changes.
                                         For field testing: After each
                                          installation of the sampling
                                          system on the vehicle, prior
                                          to the start of the field
                                          test, and after maintenance
                                          such as pre-filter changes.
Sec.  1065.350: CO2 NDIR H2O            Upon initial installation and
 interference.                            after major maintenance.
Sec.  1065.355: CO NDIR CO2 and H2O     Upon initial installation and
 interference.                            after major maintenance.
Sec.  1065.360: FID calibration.......  Calibrate all FID analyzers:
                                          Upon initial installation and
                                          after major maintenance.
THC FID optimization, and THC FID        Optimize and determine CH4
 verification.                            response for THC FID
                                          analyzers: Upon initial
                                          installation and after major
                                          maintenance.
                                         Verify CH4 response for THC FID
                                          analyzers: Upon initial
                                          installation, within 185 days
                                          before testing, and after
                                          major maintenance.
Sec.  1065.362: Raw exhaust FID O2      For all FID analyzers: Upon
 interference.                            initial installation, and
                                          after major maintenance.
                                         For THC FID analyzers: Upon
                                          initial installation, after
                                          major maintenance, and after
                                          FID optimization according to
                                          Sec.  1065.360.
Sec.  1065.365: Nonmethane cutter       Upon initial installation,
 penetration.                             within 185 days before
                                          testing, and after major
                                          maintenance.
Sec.  1065.370: CLD CO2 and H2O quench  Upon initial installation and
                                          after major maintenance.
Sec.  1065.372: NDUV HC and H2O         Upon initial installation and
 interference.                            after major maintenance.
Sec.  1065.375: N2O analyzer            Upon initial installation and
 interference.                            after major maintenance.
Sec.  1065.376: Chiller NO2             Upon initial installation and
 penetration.                             after major maintenance.

[[Page 613]]

 
Sec.  1065.378: NO2-to-NO converter     Upon initial installation,
 conversion.                              within 35 days before testing,
                                          and after major maintenance.
Sec.  1065.390: PM balance and          Independent verification: Upon
 weighing.                                initial installation, within
                                          370 days before testing, and
                                          after major maintenance.
                                         Zero, span, and reference
                                          sample verifications: Within
                                          12 hours of weighing, and
                                          after major maintenance.
Sec.  1065.395: Inertial PM balance     Independent verification: Upon
 and weighing.                            initial installation, within
                                          370 days before testing, and
                                          after major maintenance.
                                         Other verifications: Upon
                                          initial installation and after
                                          major maintenance.
------------------------------------------------------------------------
\a\ Perform calibrations and verifications more frequently, according to
  measurement system manufacturer instructions and good engineering
  judgment.
\b\ The CVS verification described in Sec.  1065.341 is not required
  for systems that agree within  2% based on a
  chemical balance of carbon or oxygen of the intake air, fuel, and
  diluted exhaust.


[75 FR 23035, Apr. 30, 2010]



Sec. 1065.305  Verifications for accuracy, repeatability, and noise.

    (a) This section describes how to determine the accuracy, 
repeatability, and noise of an instrument. Table 1 of Sec. 1065.205 
specifies recommended values for individual instruments.
    (b) We do not require you to verify instrument accuracy, 
repeatability, or noise.
    However, it may be useful to consider these verifications to define 
a specification for a new instrument, to verify the performance of a new 
instrument upon delivery, or to troubleshoot an existing instrument.
    (c) In this section we use the letter ``y'' to denote a generic 
measured quantity, the superscript over-bar to denote an arithmetic mean 
(such as y), and the subscript ``ref'' to denote the reference quantity 
being measured.
    (d) Conduct these verifications as follows:
    (1) Prepare an instrument so it operates at its specified 
temperatures, pressures, and flows. Perform any instrument linearization 
or calibration procedures prescribed by the instrument manufacturer.
    (2) Zero the instrument as you would before an emission test by 
introducing a zero signal. Depending on the instrument, this may be a 
zero-concentration gas, a reference signal, a set of reference 
thermodynamic conditions, or some combination of these. For gas 
analyzers, use a zero gas that meets the specifications of Sec. 
1065.750.
    (3) Span the instrument as you would before an emission test by 
introducing a span signal. Depending on the instrument, this may be a 
span-concentration gas, a reference signal, a set of reference 
thermodynamic conditions, or some combination of these. For gas 
analyzers, use a span gas that meets the specifications of Sec. 
1065.750.
    (4) Use the instrument to quantify a NIST-traceable reference 
quantity, yref. For gas analyzers the reference gas must meet 
the specifications of Sec. 1065.750. Select a reference quantity near 
the mean value expected during testing. For all gas analyzers, use a 
quantity near the flow-weighted mean concentration expected at the 
standard or expected during testing, whichever is greater. For noise 
verification, use the same zero gas from paragraph (d)(2) of this 
section as the reference quantity. In all cases, allow time for the 
instrument to stabilize while it measures the reference quantity. 
Stabilization time may include time to purge an instrument and time to 
account for its response.
    (5) Sample and record values for 30 seconds (you may select a longer 
sampling period if the recording update frequency is less than 0.5 Hz), 
record the arithmetic mean, yi and record the standard 
deviation, [sigma]i of the recorded values. Refer to Sec. 
1065.602 for an example of calculating arithmetic mean and standard 
deviation.
    (6) Also, if the reference quantity is not absolutely constant, 
which might be the case with a reference flow, sample and record values 
of yrefi for 30 seconds and record the arithmetic mean of the 
values, yref. Refer to Sec. 1065.602 for an example of calculating 
arithmetic mean.

[[Page 614]]

    (7) Subtract the reference value, yref (or 
yrefi), from the arithmetic mean, yi. Record this 
value as the error, [egr]i.
    (8) Repeat the steps specified in paragraphs (d)(2) through (7) of 
this section until you have ten arithmetic means (y1, 
y2, yi, ...y10), ten standard 
deviations, ([sigma]1, [sigma]2, 
[sigma]i,...[sigma]10), and ten errors 
([egr]1, [egr]2, 
[egr]i,...[egr]10).
    (9) Use the following values to quantify your measurements:
    (i) Accuracy. Instrument accuracy is the absolute difference between 
the reference quantity, yref (or yref), and the arithmetic mean of the 
ten yi, y values. Refer to the example of an accuracy calculation in 
Sec. 1065.602. We recommend that instrument accuracy be within the 
specifications in Table 1 of Sec. 1065.205.
    (ii) Repeatability. Repeatability is two times the standard 
deviation of the ten errors (that is, repeatability = 2 [middot] 
[sigma][egr]). Refer to the example of a standard-deviation calculation 
in Sec. 1065.602. We recommend that instrument repeatability be within 
the specifications in Table 1 of Sec. 1065.205.
    (iii) Noise. Noise is two times the root-mean-square of the ten 
standard deviations (that is, noise = 2[middot]rms[sigma]) when the 
reference signal is a zero-quantity signal. Refer to the example of a 
root-mean-square calculation in Sec. 1065.602. We recommend that 
instrument noise be within the specifications in Table 1 of Sec. 
1065.205.
    (10) You may use a measurement instrument that does not meet the 
accuracy, repeatability, or noise specifications in Table 1 of Sec. 
1065.205, as long as you meet the following criteria:
    (i) Your measurement systems meet all the other required 
calibration, verification, and validation specifications in subparts D, 
F, and J of this part, as applicable.
    (ii) The measurement deficiency does not adversely affect your 
ability to demonstrate compliance with the applicable standards.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37301, June 30, 2008; 
75 FR 23037, Apr. 30, 2010]



Sec. 1065.307  Linearity verification.

    (a) Scope and frequency. Perform a linearity verification on each 
measurement system listed in Table 1 of this section at least as 
frequently as indicated in the table, consistent with measurement system 
manufacturer recommendations and good engineering judgment. Note that 
this linearity verification may replace requirements we previously 
referred to as ``calibrations''. The intent of a linearity verification 
is to determine that a measurement system responds proportionally over 
the measurement range of interest. A linearity verification generally 
consists of introducing a series of at least 10 reference values to a 
measurement system. The measurement system quantifies each reference 
value. The measured values are then collectively compared to the 
reference values by using a least squares linear regression and the 
linearity criteria specified in Table 1 of this section.
    (b) Performance requirements. If a measurement system does not meet 
the applicable linearity criteria in Table 1 of this section, correct 
the deficiency by re-calibrating, servicing, or replacing components as 
needed. Repeat the linearity verification after correcting the 
deficiency to ensure that the measurement system meets the linearity 
criteria. Before you may use a measurement system that does not meet 
linearity criteria, you must demonstrate to us that the deficiency does 
not adversely affect your ability to demonstrate compliance with the 
applicable standards.
    (c) Procedure. Use the following linearity verification protocol, or 
use good engineering judgment to develop a different protocol that 
satisfies the intent of this section, as described in paragraph (a) of 
this section:
    (1) In this paragraph (c), we use the letter ``y'' to denote a 
generic measured quantity, the superscript over-bar to denote an 
arithmetic mean (such as y), and the subscript ``ref'' to denote the 
known or reference quantity being measured.
    (2) Operate a measurement system at its specified temperatures, 
pressures, and flows. This may include any specified adjustment or 
periodic calibration of the measurement system.
    (3) Zero the instrument as you would before an emission test by 
introducing a zero signal. Depending on the instrument, this may be a 
zero-concentration

[[Page 615]]

gas, a reference signal, a set of reference thermodynamic conditions, or 
some combination of these. For gas analyzers, use a zero gas that meets 
the specifications of Sec. 1065.750 and introduce it directly at the 
analyzer port.
    (4) Span the instrument as you would before an emission test by 
introducing a span signal. Depending on the instrument, this may be a 
span-concentration gas, a reference signal, a set of reference 
thermodynamic conditions, or some combination of these. For gas 
analyzers, use a span gas that meets the specifications of Sec. 
1065.750 and introduce it directly at the analyzer port.
    (5) After spanning the instrument, check zero with the same signal 
you used in paragraph (c)(3) of this section. Based on the zero reading, 
use good engineering judgment to determine whether or not to rezero and 
or re-span the instrument before proceeding to the next step.
    (6) For all measured quantities, use instrument manufacturer 
recommendations and good engineering judgment to select reference 
values, yrefi, that cover a range of values that you expect 
would prevent extrapolation beyond these values during emission testing. 
We recommend selecting a zero reference signal as one of the reference 
values of the linearity verification. For pressure, temperature, 
dewpoint, and GC-ECD linearity verifications, we recommend at least 
three reference values. For all other linearity verifications select at 
least ten reference values.
    (7) Use instrument manufacturer recommendations and good engineering 
judgment to select the order in which you will introduce the series of 
reference values. For example you may select the reference values 
randomly to avoid correlation with previous measurements, you may select 
reference values in ascending or descending order to avoid long settling 
times of reference signals, or as another example you may select values 
to ascend and then descend which might incorporate the effects of any 
instrument hysteresis into the linearity verification.
    (8) Generate reference quantities as described in paragraph (d) of 
this section. For gas analyzers, use gas concentrations known to be 
within the specifications of Sec. 1065.750 and introduce them directly 
at the analyzer port.
    (9) Introduce a reference signal to the measurement instrument.
    (10) Allow time for the instrument to stabilize while it measures 
the reference value. Stabilization time may include time to purge an 
instrument and time to account for its response.
    (11) At a recording frequency of at least f Hz, specified in Table 1 
of Sec. 1065.205, measure the reference value for 30 seconds (you may 
select a longer sampling period if the recording update frequency is 
less than 0.5 Hz) and record the arithmetic mean of the recorded values, 
yi. Refer to Sec. 1065.602 for an example of calculating an 
arithmetic mean.
    (12) Repeat steps in paragraphs (c)(9) through (11) of this section 
until all reference quantities are measured.
    (13) Use the arithmetic means, yi, and reference values, 
yrefi, to calculate least-squares linear regression 
parameters and statistical values to compare to the minimum performance 
criteria specified in Table 1 of this section. Use the calculations 
described in Sec. 1065.602. Using good engineering judgment, you may 
weight the results of individual data pairs (i.e., (yrefi, 
yi)), in the linear regression calculations.
    (d) Reference signals. This paragraph (d) describes recommended 
methods for generating reference values for the linearity-verification 
protocol in paragraph (c) of this section. Use reference values that 
simulate actual values, or introduce an actual value and measure it with 
a reference-measurement system. In the latter case, the reference value 
is the value reported by the reference-measurement system. Reference 
values and reference-measurement systems must be NIST-traceable. We 
recommend using calibration reference quantities that are NIST-traceable 
within 0.5% uncertainty, if not specified otherwise in other sections of 
this part 1065. Use the following recommended methods to generate 
reference values or use good engineering

[[Page 616]]

judgment to select a different reference:
    (1) Speed. Run the engine or dynamometer at a series of steady-state 
speeds and use a strobe, a photo tachometer, or a laser tachometer to 
record reference speeds.
    (2) Torque. Use a series of calibration weights and a calibration 
lever arm to simulate engine torque. You may instead use the engine or 
dynamometer itself to generate a nominal torque that is measured by a 
reference load cell or proving ring in series with the torque-
measurement system. In this case use the reference load cell measurement 
as the reference value. Refer to Sec. 1065.310 for a torque-calibration 
procedure similar to the linearity verification in this section.
    (3) Electrical power. Use a controlled source of current and a watt-
hour standard reference meter. Complete calibration systems that contain 
a current source and a reference watt-hour meter are commonly used in 
the electrical power distribution industry and are therefore 
commercially available.
    (4) Fuel rate. Operate the engine at a series of constant fuel-flow 
rates or re-circulate fuel back to a tank through the fuel flow meter at 
different flow rates. Use a gravimetric reference measurement (such as a 
scale, balance, or mass comparator) at the inlet to the fuel-measurement 
system. Use a stopwatch or timer to measure the time intervals over 
which reference masses of fuel are introduced to the fuel measurement 
system. The reference fuel mass divided by the time interval is the 
reference fuel flow rate.
    (5) Flow rates--inlet air, dilution air, diluted exhaust, raw 
exhaust, or sample flow. Use a reference flow meter with a blower or 
pump to simulate flow rates. Use a restrictor, diverter valve, a 
variable-speed blower or a variable-speed pump to control the range of 
flow rates. Use the reference meter's response as the reference values.
    (i) Reference flow meters. Because the flow range requirements for 
these various flows are large, we allow a variety of reference meters. 
For example, for diluted exhaust flow for a full-flow dilution system, 
we recommend a reference subsonic venturi flow meter with a restrictor 
valve and a blower to simulate flow rates. For inlet air, dilution air, 
diluted exhaust for partial-flow dilution, raw exhaust, or sample flow, 
we allow reference meters such as critical flow orifices, critical flow 
venturis, laminar flow elements, master mass flow standards, or Roots 
meters. Make sure the reference meter is calibrated by the flow-meter 
manufacturer and its calibration is NIST-traceable. If you use the 
difference of two flow measurements to determine a net flow rate, you 
may use one of the measurements as a reference for the other.
    (ii) Reference flow values. Because the reference flow is not 
absolutely constant, sample and record values of nrefi for 30 
seconds and use the arithmetic mean of the values, nref, as 
the reference value. Refer to Sec. 1065.602 for an example of 
calculating arithmetic mean.
    (6) Gas division. Use one of the two reference signals:
    (i) At the outlet of the gas-division system, connect a gas analyzer 
that meets the linearity verification described in this section and has 
not been linearized with the gas divider being verified. For example, 
verify the linearity of an analyzer using a series of reference 
analytical gases directly from compressed gas cylinders that meet the 
specifications of Sec. 1065.750. We recommend using a FID analyzer or a 
PMD or MPD O2 analyzer because of their inherent linearity. 
Operate this analyzer consistent with how you would operate it during an 
emission test. Connect a span gas to the gas-divider inlet. Use the gas-
division system to divide the span gas with purified air or nitrogen. 
Select gas divisions that you typically use. Use a selected gas division 
as the measured value. Use the analyzer response divided by the span gas 
concentration as the reference gas-division value. Because the 
instrument response is not absolutely constant, sample and record values 
of xrefi for 30 seconds and use the arithmetic mean of the 
values, xref, as the reference value. Refer to Sec. 1065.602 
for an example of calculating arithmetic mean.
    (ii) Using good engineering judgment and gas divider manufacturer 
recommendations, use one or more reference flow meters to measure the 
flow

[[Page 617]]

rates of the gas divider and verify the gas-division value.
    (7) Continuous constituent concentration. For reference values, use 
a series of gas cylinders of known gas concentration or use a gas-
division system that is known to be linear with a span gas. Gas 
cylinders, gas-division systems, and span gases that you use for 
reference values must meet the specifications of Sec. 1065.750.
    (8) Temperature. You may perform the linearity verification for 
temperature measurement systems with thermocouples, RTDs, and 
thermistors by removing the sensor from the system and using a simulator 
in its place. Use a NIST-traceable simulator that is independently 
calibrated and, as appropriate, cold-junction compensated. The simulator 
uncertainty scaled to temperature must be less than 0.5% of 
Tmax. If you use this option, you must use sensors that the 
supplier states are accurate to better than 0.5% of Tmax 
compared with their standard calibration curve.
    (9) Mass. For linearity verification for gravimetric PM balances, 
use external calibration weights that that meet the requirements in 
Sec. 1065.790.
    (e) Measurement systems that require linearity verification. Table 1 
of this section indicates measurement systems that require linearity 
verifications, subject to the following provisions:
    (1) Perform a linearity verification more frequently based on the 
instrument manufacturer's recommendation or good engineering judgment.
    (2) The expression ``xmin'' refers to the reference value 
used during the linearity verification that is closest to zero. This is 
the value used to calculate the first tolerance in Table 1 of this 
section using the intercept, a0. Note that this value may be 
zero, positive, or negative depending on the reference values. For 
example, if the reference values chosen to validate a pressure 
transducer vary from -10 to -1 kPa, xmin is -1 kPa. If the 
reference values used to validate a temperature device vary from 290 to 
390 K, xmin is 290 K.
    (3) The expression ``max'' generally refers to the absolute value of 
the reference value used during the linearity verification that is 
furthest from zero. This is the value used to scale the first and third 
tolerances in Table 1 of this section using a0 and SEE. For 
example, if the reference values chosen to validate a pressure 
transducer vary from -10 to -1 kPa, then pmax is +10 kPa. If 
the reference values used to validate a temperature device vary from 290 
to 390 K, then Tmax is 390 K. For gas dividers where ``max'' 
is expressed as, xmax/xspan; xmax is 
the maximum gas concentration used during the verification, 
xspan is the undivided, undiluted, span gas concentration, 
and the resulting ratio is the maximum divider point reference value 
used during the verification (typically 1). The following are special 
cases where ``max'' refers to a different value:
    (i) For linearity verification with a PM balance, mmax 
refers to the typical mass of a PM filter.
    (ii) For linearity verification of torque on the engine's primary 
output shaft, Tmax refers to the manufacturer's specified 
engine torque peak value of the lowest torque engine to be tested.
    (4) The specified ranges are inclusive. For example, a specified 
range of 0.98-1.02 for a1 means 0.98<=a1<=1.02.
    (5) These linearity verifications are optional for systems that pass 
the flow-rate verification for diluted exhaust as described in Sec. 
1065.341 (the propane check) or for systems that agree within 2% based on a chemical balance of carbon or oxygen of 
the intake air, fuel, and exhaust.
    (6) You must meet the a1 criteria for these quantities 
only if the absolute value of the quantity is required, as opposed to a 
signal that is only linearly proportional to the actual value.
    (7) Linearity checks are required for the following temperature 
measurements:
    (i) The following temperature measurements always require linearity 
checks:
    (A) Air intake.
    (B) Aftertreatment bed(s), for engines tested with aftertreatment 
devices subject to cold-start testing.
    (C) Dilution air for PM sampling, including CVS, double-dilution, 
and partial-flow systems.
    (D) PM sample, if applicable.
    (E) Chiller sample, for gaseous sampling systems that use thermal 
chillers

[[Page 618]]

to dry samples and use chiller temperature to calculate the dewpoint at 
the outlet of the chiller. For your testing, if you choose to use a high 
alarm temperature setpoint for the chiller temperature as a constant 
value in the amount of water calculations in Sec. 1065.645, you may use 
good engineering judgment to verify the accuracy of the high alarm 
temperature setpoint in lieu of the linearity verification on the 
chiller temperature. We recommend that you input a reference simulated 
temperature signal below the alarm trip point, increase this signal 
until the high alarm trips, and verify that the alarm trip point value 
is no less than 2.0 [deg]C below the reference value at the trip point.
    (ii) Linearity checks are required for the following temperature 
measurements if these temperature measurements are specified by the 
engine manufacturer:
    (A) Fuel inlet.
    (B) Air outlet to the test cell's charge air cooler air outlet, for 
engines tested with a laboratory heat exchanger that simulates an 
installed charge air cooler.
    (C) Coolant inlet to the test cell's charge air cooler, for engines 
tested with a laboratory heat exchanger that simulates an installed 
charge air cooler.
    (D) Oil in the sump/pan.
    (E) Coolant before the thermostat, for liquid-cooled engines.
    (8) Linearity checks are required for the following pressure 
measurements:
    (i) The following pressure measurements always require linearity 
checks:
    (A) Air intake restriction.
    (B) Exhaust back pressure.
    (C) Barometer.
    (D) CVS inlet gage pressure.
    (E) Sample dryer, for gaseous sampling systems that use either 
osmotic-membrane or thermal chillers to dry samples. For your testing, 
if you choose to use a low alarm pressure setpoint for the sample dryer 
pressure as a constant value in the amount of water calculations in 
Sec. 1065.645, you may use good engineering judgment to verify the 
accuracy of the low alarm pressure setpoint in lieu of the linearity 
verification on the sample dryer pressure. We recommend that you input a 
reference pressure signal above the alarm trip point, decrease this 
signal until the low alarm trips, and verify that the trip point value 
is no more than 4.0 kPa above the reference value at the trip point.
    (ii) Linearity checks are required for the following pressure 
measurements if these pressure measurements are specified by the engine 
manufacturer:
    (A) The test cell's charge air cooler and interconnecting pipe 
pressure drop, for turbo-charged engines tested with a laboratory heat 
exchanger that simulates an installed charge air cooler.
    (B) Fuel outlet.

                             Table 1 of Sec.  1065.307--Measurement Systems That Require Linearity Verifications--continued
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                      Linearity criteria
                                                       Minimum       -----------------------------------------------------------------------------------
        Measurement system           Quantity        verification      [verbarlm]xmin(a1-1) +
                                                      frequency             a0 [verbarlm]             a1                   SEE                 r \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Speed............................  fn..........  Within 370 days      <=0.05% [middot] fnmax..       0.98-1.02  <=2% [middot] fnmax.....  =0.
                                                  before testing.                                                                                    990
Torque...........................  T...........  Within 370 days      <=1% [middot] Tmax......       0.98-1.02  <=2% [middot] Tmax......  =0.
                                                  before testing.                                                                                    990
Electrical power.................  P...........  Within 370 days      <=1% [middot] Pmax......       0.98-1.02  <=2% [middot] Pmax......  =0.
                                                  before testing.                                                                                    990
Fuel flow rate...................  m...........  Within 370 days      <=1% [middot] mmax......       0.98-1.02  <=2% [middot] mmax......  0.9
                                                  before testing.                                                                                     90
Intake-air flow rate.............  n...........  Within 370 days      <=1% [middot] nmax......       0.98-1.02  <=2% [middot] nmax......  =0.
                                                  before testing.                                                                                    990
Dilution air flow rate...........  n...........  Within 370 days      <=1% [middot] nmax......       0.98-1.02  <=2% [middot] nmax......  =0.
                                                  before testing.                                                                                    990

[[Page 619]]

 
Diluted exhaust..................  n...........  Within 370 days      <=1% [middot] nmax......       0.98-1.02  <=2% [middot] nmax......  =0.
flow rate........................                 before testing.                                                                                    990
Raw exhaust flow rate............  n...........  Within 185 days      <=1% [middot] nmax......       0.98-1.02  <=2% [middot] nmax......  =0.
                                                  before testing.                                                                                    990
Batch sampler flow rates.........  n...........  Within 370 days      <=1% [middot] nmax......       0.98-1.02  <=2% [middot] nmax......  =0.
                                                  before testing.                                                                                    990
Gas dividers.....................  x/xspan.....  Within 370 days      <=0.5% [middot] xmax/          0.98-1.02  <=2% [middot] xmax/xspan  0.9
                                                  before testing.      xspan.                                                                         90
Gas analyzers for laboratory       x...........  Within 35 days       <=0.5% [middot] xmax....       0.99-1.01  <=1% [middot] xmax......  =0.
 testing.                                         before testing.                                                                                    998
Gas analyzers for field testing..  x...........  Within 35 days       <=1% [middot] xmax......       0.99-1.01  <=1% [middot] xmax......  =0.
                                                  before testing.                                                                                    998
PM balance.......................  m...........  Within 370 days      <=1% [middot] mmax......       0.99-1.01  <=1% [middot] mmax......  =0.
                                                  before testing.                                                                                    998
Pressures........................  p...........  Within 370 days      <=1% [middot] pmax......       0.99-1.01  <=1% [middot] pmax......  =0.
                                                  before testing.                                                                                    998
Dewpoint for intake air, PM-       Tdew........  Within 370 days      <=0.5% [middot] Tdewmax.       0.99-1.01  <=0.5% [middot] Tdewmax.  =0.
 stabilization and balance                        before testing.                                                                                    998
 environments.
Other dewpoint measurements......  Tdew........  Within 370 days      <=1% [middot] Tdewmax...       0.99-1.01  <=1% [middot] Tdewmax...  =0.
                                                  before testing.                                                                                    998
Analog-to-digital conversion of    T...........  Within 370 days      <=1% [middot] Tmax......       0.99-1.01  <=1% [middot] Tmax......  =0.
 temperature signals.                             before testing.                                                                                    998
--------------------------------------------------------------------------------------------------------------------------------------------------------


[70 FR 40516, July 13, 2005, as amended at 73 FR 37302, June 30, 2008; 
73 FR 59325, Oct. 8, 2008; 74 FR 56513, Oct. 30, 2009; 75 FR 23037, Apr. 
30, 2010; 75 FR 68462, Nov. 8, 2010]



Sec. 1065.308  Continuous gas analyzer system-response and updating-recording 

verification--for gas analyzers not continuously compensated for other gas 
          species.

    (a) Scope and frequency. This section describes a verification 
procedure for system response and updating-recording frequency for 
continuous gas analyzers that output a gas species mole fraction (i.e., 
concentration) using a single gas detector, i.e., gas analyzers not 
continuously compensated for other gas species measured with multiple 
gas detectors. See Sec. 1065.309 for verification procedures that apply 
to continuous gas analyzers that are continuously compensated for other 
gas species measured with multiple gas detectors. Perform this 
verification to determine the system response of the continuous gas 
analyzer and its sampling system. This verification is required for 
continuous gas analyzers used for transient or ramped-modal testing. You 
need not perform this verification for batch gas analyzer systems or for 
continuous gas analyzer systems that are used only for discrete-mode 
testing. Perform this verification after initial installation (i.e., 
test cell commissioning) and after any modifications to the system that 
would change system response. For example, perform this verification if 
you add a significant volume to the transfer lines by increasing their 
length or adding a filter; or if you reduce the frequency at

[[Page 620]]

which the gas analyzer updates its output or the frequency at which you 
sample and record gas-analyzer concentrations.
    (b) Measurement principles. This test verifies that the updating and 
recording frequencies match the overall system response to a rapid 
change in the value of concentrations at the sample probe. Gas analyzers 
and their sampling systems must be optimized such that their overall 
response to a rapid change in concentration is updated and recorded at 
an appropriate frequency to prevent loss of information. This test also 
verifies that the measurement system meets a minimum response time. You 
may use the results of this test to determine transformation time, 
t50, for the purposes of time alignment of continuous data in 
accordance with Sec. 1065.650(c)(2)(i). You may also use an alternate 
procedure to determine t50 in accordance with good 
engineering judgment. Note that any such procedure for determining 
t50 must account for both transport delay and analyzer 
response time.
    (c) System requirements. Demonstrate that each continuous analyzer 
has adequate update and recording frequencies and has a minimum rise 
time and a minimum fall time during a rapid change in gas concentration. 
You must meet one of the following criteria:
    (1) The product of the mean rise time, t10-90, and the 
frequency at which the system records an updated concentration must be 
at least 5, and the product of the mean fall time, t90-10, 
and the frequency at which the system records an updated concentration 
must be at least 5. If the recording frequency is different than the 
analyzer's output update frequency, you must use the lower of these two 
frequencies for this verification, which is referred to as the updating-
recording frequency. This verification applies to the nominal updating 
and recording frequencies. This criterion makes no assumption regarding 
the frequency content of changes in emission concentrations during 
emission testing; therefore, it is valid for any testing. Also, the mean 
rise time must be at or below 10 seconds and the mean fall time must be 
at or below 10 seconds.
    (2) The frequency at which the system records an updated 
concentration must be at least 5 Hz. This criterion assumes that the 
frequency content of significant changes in emission concentrations 
during emission testing do not exceed 1 Hz. Also, the mean rise time 
must be at or below 10 seconds and the mean fall time must be at or 
below 10 seconds.
    (3) You may use other criteria if we approve the criteria in 
advance.
    (4) You may meet the overall PEMS verification in Sec. 1065.920 
instead of the verification in this section for field testing with PEMS.
    (d) Procedure. Use the following procedure to verify the response of 
each continuous gas analyzer:
    (1) Instrument setup. Follow the analyzer manufacturer's start-up 
and operating instructions. Adjust the measurement system as needed to 
optimize performance. Run this verification with the analyzer operating 
in the same manner you will use for emission testing. If the analyzer 
shares its sampling system with other analyzers, and if gas flow to the 
other analyzers will affect the system response time, then start up and 
operate the other analyzers while running this verification test. You 
may run this verification test on multiple analyzers sharing the same 
sampling system at the same time. If you use any analog or real-time 
digital filters during emission testing, you must operate those filters 
in the same manner during this verification.
    (2) Equipment setup. We recommend using minimal lengths of gas 
transfer lines between all connections and fast-acting three-way valves 
(2 inlets, 1 outlet) to control the flow of zero and blended span gases 
to the sample system's probe inlet or a tee near the outlet of the 
probe. Normally the gas flow rate is higher than the probe sample flow 
rate and the excess is overflowed out the inlet of the probe. If the gas 
flow rate is lower than the probe flow rate, the gas concentrations must 
be adjusted to account for the dilution from ambient air drawn into the 
probe. Select span gases for the species being measured. You may use 
binary or multi-gas span gases. You may use a gas blending or mixing 
device to blend span gases. A gas blending or mixing

[[Page 621]]

device is recommended when blending span gases diluted in N2 
with span gases diluted in air. You may use a multi-gas span gas, such 
as NO-CO-CO2-C3H8-CH4, to 
verify multiple analyzers at the same time. If you use standard binary 
span gases, you must run separate response tests for each analyzer. In 
designing your experimental setup, avoid pressure pulsations due to 
stopping the flow through the gas-blending device.
    (3) Data collection. (i) Start the flow of zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest analyzer's full response.
    (iii) Start recording data. For this verification you must record 
data at a frequency greater than or equal to that of the updating-
recording frequency used during emission testing. You may not use 
interpolation or filtering to alter the recorded values.
    (iv) Switch the flow to allow the blended span gases to flow to the 
analyzer. If you intend to use the data from this test to determine 
t50 for time alignment, record this time as t0.
    (v) Allow for transport delays and the slowest analyzer's full 
response.
    (vi) Switch the flow to allow zero gas to flow to the analyzer. If 
you intend to use the data from this test to determine t50 
for time alignment, record this time as t100.
    (vii) Allow for transport delays and the slowest analyzer's full 
response.
    (viii) Repeat the steps in paragraphs (d)(3)(iv) through (vii) of 
this section to record seven full cycles, ending with zero gas flowing 
to the analyzers.
    (ix) Stop recording.
    (e) Performance evaluation. (1) If you choose to demonstrate 
compliance with paragraph (c)(1) of this section, use the data from 
paragraph (d)(3) of this section to calculate the mean rise time, 
t10-90, and mean fall time, t90-10, for each of 
the analyzers being verified. You may use interpolation between recorded 
values to determine rise and fall times. If the recording frequency used 
during emission testing is different from the analyzer's output update 
frequency, you must use the lower of these two frequencies for this 
verification. Multiply these times (in seconds) by their respective 
updating-recording frequencies in Hertz (1/second). The resulting 
product must be at least 5 for both rise time and fall time. If either 
value is less than 5, increase the updating-recording frequency, or 
adjust the flows or design of the sampling system to increase the rise 
time and fall time as needed. You may also configure analog or digital 
filters before recording to increase rise and fall times. In no case may 
the mean rise time or mean fall time be greater than 10 seconds.
    (2) If a measurement system fails the criterion in paragraph (e)(1) 
of this section, ensure that signals from the system are updated and 
recorded at a frequency of at least 5 Hz. In no case may the mean rise 
time or mean fall time be greater than 10 seconds.
    (3) If a measurement system fails the criteria in paragraphs (e)(1) 
and (2) of this section, you may use the measurement system only if the 
deficiency does not adversely affect your ability to show compliance 
with the applicable standards.
    (f) Transformation time, t50, determination. If you 
choose to determine t50 for purposes of time alignment using 
data generated in paragraph (d)(3) of this section, calculate the mean 
t0-50 and the mean t100-50 from the recorded data. 
Average these two values to determine the final t50 for the 
purposes of time alignment in accordance with Sec. 1065.650(c)(2)(i).

[73 FR 59325, Oct. 8, 2008]



Sec. 1065.309  Continuous gas analyzer system-response and updating-recording

verification--for gas analyzers continuously compensated for other gas species.

    (a) Scope and frequency. This section describes a verification 
procedure for system response and updating-recording frequency for 
continuous gas analyzers that output a single gas species mole fraction 
(i.e., concentration) based on a continuous combination of multiple gas 
species measured with multiple detectors (i.e., gas analyzers 
continuously compensated for other gas species). See Sec. 1065.308 for 
verification procedures that apply to continuous gas analyzers that are 
not continuously compensated for other

[[Page 622]]

gas species or that use only one detector for gaseous species. Perform 
this verification to determine the system response of the continuous gas 
analyzer and its sampling system. This verification is required for 
continuous gas analyzers used for transient or ramped-modal testing. You 
need not perform this verification for batch gas analyzers or for 
continuous gas analyzers that are used only for discrete-mode testing. 
For this check we consider water vapor a gaseous constituent. This 
verification does not apply to any processing of individual analyzer 
signals that are time aligned to their t50 times and were 
verified according to Sec. 1065.308. For example, this verification 
does not apply to correction for water removed from the sample done in 
post-processing according to Sec. 1065.659 and it does not apply to 
NMHC determination from THC and CH4 according to Sec. 
1065.660. Perform this verification after initial installation (i.e., 
test cell commissioning) and after any modifications to the system that 
would change the system response.
    (b) Measurement principles. This procedure verifies that the 
updating and recording frequencies match the overall system response to 
a rapid change in the value of concentrations at the sample probe. It 
indirectly verifies the time-alignment and uniform response of all the 
continuous gas detectors used to generate a continuously combined/
compensated concentration measurement signal. Gas analyzer systems must 
be optimized such that their overall response to rapid change in 
concentration is updated and recorded at an appropriate frequency to 
prevent loss of information. This test also verifies that the 
measurement system meets a minimum response time. For this procedure, 
ensure that all compensation algorithms and humidity corrections are 
turned on. You may use the results of this test to determine 
transformation time, t50, for the purposes of time alignment 
of continuous data in accordance with Sec. 1065.650(c)(2)(i). You may 
also use an alternate procedure to determine t50 consistent 
with good engineering judgment. Note that any such procedure for 
determining t50 must account for both transport delay and 
analyzer response time.
    (c) System requirements. Demonstrate that each continuously 
combined/compensated concentration measurement has adequate updating and 
recording frequencies and has a minimum rise time and a minimum fall 
time during a system response to a rapid change in multiple gas 
concentrations, including H2O concentration if H2O 
compensation is applied. You must meet one of the following criteria:
    (1) The product of the mean rise time, t10-90, and the 
frequency at which the system records an updated concentration must be 
at least 5, and the product of the mean fall time, t90-10, 
and the frequency at which the system records an updated concentration 
must be at least 5. If the recording frequency is different than the 
update frequency of the continuously combined/compensated signal, you 
must use the lower of these two frequencies for this verification. This 
criterion makes no assumption regarding the frequency content of changes 
in emission concentrations during emission testing; therefore, it is 
valid for any testing. Also, the mean rise time must be at or below 10 
seconds and the mean fall time must be at or below 10 seconds.
    (2) The frequency at which the system records an updated 
concentration must be at least 5 Hz. This criterion assumes that the 
frequency content of significant changes in emission concentrations 
during emission testing do not exceed 1 Hz. Also, the mean rise time 
must be at or below 10 seconds and the mean fall time must be at or 
below 10 seconds.
    (3) You may use other criteria if we approve them in advance.
    (4) You may meet the overall PEMS verification in Sec. 1065.920 
instead of the verification in this section for field testing with PEMS.
    (d) Procedure. Use the following procedure to verify the response of 
each continuously compensated analyzer (verify the combined signal, not 
each individual continuously combined concentration signal):

[[Page 623]]

    (1) Instrument setup. Follow the analyzer manufacturer's start-up 
and operating instructions. Adjust the measurement system as needed to 
optimize performance. Run this verification with the analyzer operating 
in the same manner you will use for emission testing. If the analyzer 
shares its sampling system with other analyzers, and if gas flow to the 
other analyzers will affect the system response time, then start up and 
operate the other analyzers while running this verification test. You 
may run this verification test on multiple analyzers sharing the same 
sampling system at the same time. If you use any analog or real-time 
digital filters during emission testing, you must operate those filters 
in the same manner during this verification.
    (2) Equipment setup. We recommend using minimal lengths of gas 
transfer lines between all connections and fast-acting three-way valves 
(2 inlets, 1 outlet) to control the flow of zero and blended span gases 
to the sample system's probe inlet or a tee near the outlet of the 
probe. Normally the gas flow rate is higher than the probe sample flow 
rate and the excess is overflowed out the inlet of the probe. If the gas 
flow rate is lower than the probe flow rate, the gas concentrations must 
be adjusted to account for the dilution from ambient air drawn into the 
probe. Select span gases for the species being continuously combined, 
other than H2O. Select concentrations of compensating species 
that will yield concentrations of these species at the analyzer inlet 
that covers the range of concentrations expected during testing. You may 
use binary or multi-gas span gases. You may use a gas blending or mixing 
device to blend span gases. A gas blending or mixing device is 
recommended when blending span gases diluted in N2 with span 
gases diluted in air. You may use a multi-gas span gas, such as NO-CO-
CO2-C3H8-CH4, to verify 
multiple analyzers at the same time. In designing your experimental 
setup, avoid pressure pulsations due to stopping the flow through the 
gas blending device. If H2O correction is applicable, then 
span gases must be humidified before entering the analyzer; however, you 
may not humidify NO2 span gas by passing it through a sealed 
humidification vessel that contains water. You must humidify 
NO2 span gas with another moist gas stream. We recommend 
humidifying your NO-CO-CO2-C3H8-
CH4, balance N2 blended gas by flowing the gas 
mixture through a sealed vessel that humidifies the gas by bubbling it 
through distilled water and then mixing the gas with dry NO2 
gas, balance purified synthetic air. If your system does not use a 
sample dryer to remove water from the sample gas, you must humidify your 
span gas to the highest sample H2O content that you estimate 
during emission sampling. If your system uses a sample dryer during 
testing, it must pass the sample dryer verification check in Sec. 
1065.342, and you must humidify your span gas to an H2O 
content greater than or equal to the level determined in Sec. 
1065.145(e)(2). If you are humidifying span gases without 
NO2, use good engineering judgment to ensure that the wall 
temperatures in the transfer lines, fittings, and valves from the 
humidifying system to the probe are above the dewpoint required for the 
target H2O content. If you are humidifying span gases with 
NO2, use good engineering judgment to ensure that there is no 
condensation in the transfer lines, fittings, or valves from the point 
where humidified gas is mixed with NO2 span gas to the probe. 
We recommend that you design your setup so that the wall temperatures in 
the transfer lines, fittings, and valves from the humidifying system to 
the probe are at least 5 [deg]C above the local sample gas dewpoint. 
Operate the measurement and sample handling system as you do for 
emission testing. Make no modifications to the sample handling system to 
reduce the risk of condensation. Flow humidified gas through the 
sampling system before this check to allow stabilization of the 
measurement system's sampling handling system to occur, as it would for 
an emission test.
    (3) Data collection. (i) Start the flow of zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest analyzer's full response.
    (iii) Start recording data. For this verification you must record 
data at a frequency greater than or equal to that of the updating-
recording frequency

[[Page 624]]

used during emission testing. You may not use interpolation or filtering 
to alter the recorded values.
    (iv) Switch the flow to allow the blended span gases to flow to the 
analyzer. If you intend to use the data from this test to determine 
t50 for time alignment, record this time as t0.
    (v) Allow for transport delays and the slowest analyzer's full 
response.
    (vi) Switch the flow to allow zero gas to flow to the analyzer. If 
you intend to use the data from this test to determine t50 
for time alignment, record this time as t100.
    (vii) Allow for transport delays and the slowest analyzer's full 
response.
    (viii) Repeat the steps in paragraphs (d)(3)(iv) through (vii) of 
this section to record seven full cycles, ending with zero gas flowing 
to the analyzers.
    (ix) Stop recording.
    (e) Performance evaluations. (1) If you choose to demonstrate 
compliance with paragraph (c)(1) of this section, use the data from 
paragraph (d)(3) of this section to calculate the mean rise time, 
t10-90, and mean fall time, t90-10, for the 
continuously combined signal from each analyzer being verified. You may 
use interpolation between recorded values to determine rise and fall 
times. If the recording frequency used during emission testing is 
different from the analyzer's output update frequency, you must use the 
lower of these two frequencies for this verification. Multiply these 
times (in seconds) by their respective updating-recording frequencies in 
Hz (1/second). The resulting product must be at least 5 for both rise 
time and fall time. If either value is less than 5, increase the 
updating-recording frequency or adjust the flows or design of the 
sampling system to increase the rise time and fall time as needed. You 
may also configure analog or digital filters before recording to 
increase rise and fall times. In no case may the mean rise time or mean 
fall time be greater than 10 seconds.
    (2) If a measurement system fails the criterion in paragraph (e)(1) 
of this section, ensure that signals from the system are updated and 
recorded at a frequency of at least 5 Hz. In no case may the mean rise 
time or mean fall time be greater than 10 seconds.
    (3) If a measurement system fails the criteria in paragraphs (e)(1) 
and (2) of this section, you may use the measurement system only if the 
deficiency does not adversely affect your ability to show compliance 
with the applicable standards.
    (f) Transformation time, t50, determination. If you 
choose to determine t50 for purposes of time alignment using 
data generated in paragraph (d)(3) of this section, calculate the mean 
t0-50 and the mean t100-50 from the recorded data. 
Average these two values to determine the final t50 for the 
purposes of time alignment in accordance with Sec. 1065.650(c)(2)(i).

[73 FR 59326, Oct. 8, 2008, as amended at 75 FR 23039, Apr. 30, 2010]

         Measurement of Engine Parameters and Ambient Conditions



Sec. 1065.310  Torque calibration.

    (a) Scope and frequency. Calibrate all torque-measurement systems 
including dynamometer torque measurement transducers and systems upon 
initial installation and after major maintenance. Use good engineering 
judgment to repeat the calibration. Follow the torque transducer 
manufacturer's instructions for linearizing your torque sensor's output. 
We recommend that you calibrate the torque-measurement system with a 
reference force and a lever arm.
    (b) Recommended procedure. (1) Reference force quantification. Use 
either a set of dead-weights or a reference meter such as strain gage or 
a proving ring to quantify the reference force, NIST-traceable within 
0.5% uncertainty.
    (2) Lever-arm length quantification. Quantify the lever arm length, 
NIST-traceable within 0.5% uncertainty. The lever 
arm's length must be measured from the centerline of the dynamometer to 
the point at which the reference force is measured. The lever arm must 
be perpendicular to gravity (i.e., horizontal), and it must be 
perpendicular to the dynamometer's rotational axis. Balance the lever 
arm's torque or quantify its net hanging torque, NIST-traceable within 
1% uncertainty, and account for it as part of the 
reference torque.

[[Page 625]]

    (c) Dead-weight calibration. This technique applies a known force by 
hanging known weights at a known distance along a lever arm. Make sure 
the weights' lever arm is perpendicular to gravity (i.e., horizontal) 
and perpendicular to the dynamometer's rotational axis. Apply at least 
six calibration-weight combinations for each applicable torque-measuring 
range, spacing the weight quantities about equally over the range. 
Oscillate or rotate the dynamometer during calibration to reduce 
frictional static hysteresis. Determine each weight's force by 
multiplying its NIST-traceable mass by the local acceleration of Earth's 
gravity (using this equation: force = mass [middot] acceleration). The 
local acceleration of gravity, ag, at your latitude, longitude, and 
elevation may be determined by entering position and elevation data into 
the U.S. National Oceanographic and Atmospheric Administration's surface 
gravity prediction Web site at http://www.ngs.noaa.gov/cgi-bin/grav--
pdx.prl. If this Web site is unavailable, you may use the equation in 
Sec. 1065.630, which returns the local acceleration of gravity based on 
a given latitude. In this case, calculate the reference torque as the 
weights' reference force multiplied by the lever arm reference length 
(using this equation: torque = force [middot] lever arm length).
    (d) Strain gage or proving ring calibration. This technique applies 
force either by hanging weights on a lever arm (these weights and their 
lever arm length are not used as part of the reference torque 
determination) or by operating the dynamometer at different torques. 
Apply at least six force combinations for each applicable torque-
measuring range, spacing the force quantities about equally over the 
range. Oscillate or rotate the dynamometer during calibration to reduce 
frictional static hysteresis. In this case, the reference torque is 
determined by multiplying the force output from the reference meter 
(such as a strain gage or proving ring) by its effective lever-arm 
length, which you measure from the point where the force measurement is 
made to the dynamometer's rotational axis. Make sure you measure this 
length perpendicular to the reference meter's measurement axis and 
perpendicular to the dynamometer's rotational axis.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37305, June 30, 2008]



Sec. 1065.315  Pressure, temperature, and dewpoint calibration.

    (a) Calibrate instruments for measuring pressure, temperature, and 
dewpoint upon initial installation. Follow the instrument manufacturer's 
instructions and use good engineering judgment to repeat the 
calibration, as follows:
    (1) Pressure. We recommend temperature-compensated, digital-
pneumatic, or deadweight pressure calibrators, with data-logging 
capabilities to minimize transcription errors. We recommend using 
calibration reference quantities that are NIST-traceable within 0.5% 
uncertainty.
    (2) Temperature. We recommend digital dry-block or stirred-liquid 
temperature calibrators, with data logging capabilities to minimize 
transcription errors. We recommend using calibration reference 
quantities that are NIST-traceable within 0.5% uncertainty. You may 
perform the linearity verification for temperature measurement systems 
with thermocouples, RTDs, and thermistors by removing the sensor from 
the system and using a simulator in its place. Use a NIST-traceable 
simulator that is independently calibrated and, as appropriate, cold-
junction compensated. The simulator uncertainty scaled to temperature 
must be less than 0.5% of Tmax. If you use this option, you 
must use sensors that the supplier states are accurate to better than 
0.5% of Tmax compared with their standard calibration curve.
    (3) Dewpoint. We recommend a minimum of three different temperature-
equilibrated and temperature-monitored calibration salt solutions in 
containers that seal completely around the dewpoint sensor. We recommend 
using calibration reference quantities that are NIST-traceable within 
0.5% uncertainty.

[[Page 626]]

    (b) You may remove system components for off-site calibration. We 
recommend specifying calibration reference quantities that are NIST-
traceable within 0.5% uncertainty.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37305, June 30, 2008; 
75 FR 23040, Apr. 30, 2010]

                        Flow-Related Measurements



Sec. 1065.320  Fuel-flow calibration.

    (a) Calibrate fuel-flow meters upon initial installation. Follow the 
instrument manufacturer's instructions and use good engineering judgment 
to repeat the calibration.
    (b) You may also develop a procedure based on a chemical balance of 
carbon or oxygen in engine exhaust.
    (c) You may remove system components for off-site calibration. When 
installing a flow meter with an off-site calibration, we recommend that 
you consider the effects of the tubing configuration upstream and 
downstream of the flow meter. We recommend specifying calibration 
reference quantities that are NIST-traceable within 0.5% uncertainty.



Sec. 1065.325  Intake-flow calibration.

    (a) Calibrate intake-air flow meters upon initial installation. 
Follow the instrument manufacturer's instructions and use good 
engineering judgment to repeat the calibration. We recommend using a 
calibration subsonic venturi, ultrasonic flow meter or laminar flow 
element. We recommend using calibration reference quantities that are 
NIST-traceable within 0.5% uncertainty.
    (b) You may remove system components for off-site calibration. When 
installing a flow meter with an off-site calibration, we recommend that 
you consider the effects of the tubing configuration upstream and 
downstream of the flow meter. We recommend specifying calibration 
reference quantities that are NIST-traceable within 0.5% uncertainty.
    (c) If you use a subsonic venturi or ultrasonic flow meter for 
intake flow measurement, we recommend that you calibrate it as described 
in Sec. 1065.340.



Sec. 1065.330  Exhaust-flow calibration.

    (a) Calibrate exhaust-flow meters upon initial installation. Follow 
the instrument manufacturer's instructions and use good engineering 
judgment to repeat the calibration. We recommend that you use a 
calibration subsonic venturi or ultrasonic flow meter and simulate 
exhaust temperatures by incorporating a heat exchanger between the 
calibration meter and the exhaust-flow meter. If you can demonstrate 
that the flow meter to be calibrated is insensitive to exhaust 
temperatures, you may use other reference meters such as laminar flow 
elements, which are not commonly designed to withstand typical raw 
exhaust temperatures. We recommend using calibration reference 
quantities that are NIST-traceable within 0.5% uncertainty.
    (b) You may remove system components for off-site calibration. When 
installing a flow meter with an off-site calibration, we recommend that 
you consider the effects of the tubing configuration upstream and 
downstream of the flow meter. We recommend specifying calibration 
reference quantities that are NIST-traceable within 0.5% uncertainty.
    (c) If you use a subsonic venturi or ultrasonic flow meter for raw 
exhaust flow measurement, we recommend that you calibrate it as 
described in Sec. 1065.340.



Sec. 1065.340  Diluted exhaust flow (CVS) calibration.

    (a) Overview. This section describes how to calibrate flow meters 
for diluted exhaust constant-volume sampling (CVS) systems.
    (b) Scope and frequency. Perform this calibration while the flow 
meter is installed in its permanent position. Perform this calibration 
after you change any part of the flow configuration upstream or 
downstream of the flow meter that may affect the flow-meter calibration. 
Perform this calibration upon initial CVS installation and whenever 
corrective action does not resolve a failure to meet the diluted exhaust 
flow verification (i.e., propane check) in Sec. 1065.341.
    (c) Reference flow meter. Calibrate a CVS flow meter using a 
reference flow meter such as a subsonic venturi flow

[[Page 627]]

meter, a long-radius ASME/NIST flow nozzle, a smooth approach orifice, a 
laminar flow element, a set of critical flow venturis, or an ultrasonic 
flow meter. Use a reference flow meter that reports quantities that are 
NIST-traceable within 1% uncertainty. Use this 
reference flow meter's response to flow as the reference value for CVS 
flow-meter calibration.
    (d) Configuration. Do not use an upstream screen or other 
restriction that could affect the flow ahead of the reference flow 
meter, unless the flow meter has been calibrated with such a 
restriction.
    (e) PDP calibration. Calibrate a positive-displacement pump (PDP) to 
determine a flow-versus-PDP speed equation that accounts for flow 
leakage across sealing surfaces in the PDP as a function of PDP inlet 
pressure. Determine unique equation coefficients for each speed at which 
you operate the PDP. Calibrate a PDP flow meter as follows:
    (1) Connect the system as shown in Figure 1 of this section.
    (2) Leaks between the calibration flow meter and the PDP must be 
less than 0.3% of the total flow at the lowest calibrated flow point; 
for example, at the highest restriction and lowest PDP-speed point.
    (3) While the PDP operates, maintain a constant temperature at the 
PDP inlet within 2% of the mean absolute inlet 
temperature, Tin.
    (4) Set the PDP speed to the first speed point at which you intend 
to calibrate.
    (5) Set the variable restrictor to its wide-open position.
    (6) Operate the PDP for at least 3 min to stabilize the system. 
Continue operating the PDP and record the mean values of at least 30 
seconds of sampled data of each of the following quantities:
    (i) The mean flow rate of the reference flow meter, nref. This may 
include several measurements of different quantities, such as reference 
meter pressures and temperatures, for calculating nref.
    (ii) The mean temperature at the PDP inlet, Tin.
    (iii) The mean static absolute pressure at the PDP inlet, pin.
    (iv) The mean static absolute pressure at the PDP outlet, pout.
    (v) The mean PDP speed, fnPDP.
    (7) Incrementally close the restrictor valve to decrease the 
absolute pressure at the inlet to the PDP, pin.
    (8) Repeat the steps in paragraphs (e)(6) and (7) of this section to 
record data at a minimum of six restrictor positions ranging from the 
wide open restrictor position to the minimum expected pressure at the 
PDP inlet.
    (9) Calibrate the PDP by using the collected data and the equations 
in Sec. 1065.640.
    (10) Repeat the steps in paragraphs (e)(6) through (9) of this 
section for each speed at which you operate the PDP.
    (11) Use the equations in Sec. 1065.642 to determine the PDP flow 
equation for emission testing.
    (12) Verify the calibration by performing a CVS verification (i.e., 
propane check) as described in Sec. 1065.341.
    (13) Do not use the PDP below the lowest inlet pressure tested 
during calibration.
    (f) CFV calibration. Calibrate a critical-flow venturi (CFV) to 
verify its discharge coefficient, Cd, at the lowest expected static 
differential pressure between the CFV inlet and outlet. Calibrate a CFV 
flow meter as follows:
    (1) Connect the system as shown in Figure 1 of this section.
    (2) Start the blower downstream of the CFV.
    (3) While the CFV operates, maintain a constant temperature at the 
CFV inlet within 2% of the mean absolute inlet 
temperature, Tin.
    (4) Leaks between the calibration flow meter and the CFV must be 
less than 0.3 % of the total flow at the highest restriction.
    (5) Set the variable restrictor to its wide-open position. Instead 
of a variable restrictor, you may alternately vary the pressure 
downstream of the CFV by varying blower speed or by introducing a 
controlled leak. Note that some blowers have limitations on nonloaded 
conditions.
    (6) Operate the CFV for at least 3 min to stabilize the system. 
Continue operating the CFV and record the mean values of at least 30 
seconds of sampled

[[Page 628]]

data of each of the following quantities:
    (i) The mean flow rate of the reference flow meter, nref. This may 
include several measurements of different quantities, such as reference 
meter pressures and temperatures, for calculating nref.
    (ii) The mean dewpoint of the calibration air, Tdew. See 
Sec. 1065.640 for permissible assumptions during emission measurements.
    (iii) The mean temperature at the venturi inlet, Tin.
    (iv) The mean static absolute pressure at the venturi inlet, pin.
    (v) The mean static differential pressure between the CFV inlet and 
the CFV outlet, [Delta]pCFV.
    (7) Incrementally close the restrictor valve or decrease the 
downstream pressure to decrease the differential pressure across the 
CFV,[Delta]pCFV.
    (8) Repeat the steps in paragraphs (f)(6) and (7) of this section to 
record mean data at a minimum of ten restrictor positions, such that you 
test the fullest practical range of [Delta]pCFV expected during testing. 
We do not require that you remove calibration components or CVS 
components to calibrate at the lowest possible restrictions.
    (9) Determine Cd and the lowest allowable pressure ratio, 
r, according to Sec. 1065.640.
    (10) Use Cd to determine CFV flow during an emission 
test. Do not use the CFV below the lowest allowed r, as determined in 
Sec. 1065.640.
    (11) Verify the calibration by performing a CVS verification (i.e., 
propane check) as described in Sec. 1065.341.
    (12) If your CVS is configured to operate more than one CFV at a 
time in parallel, calibrate your CVS by one of the following:
    (i) Calibrate every combination of CFVs according to this section 
and Sec. 1065.640. Refer to Sec. 1065.642 for instructions on 
calculating flow rates for this option.
    (ii) Calibrate each CFV according to this section and Sec. 
1065.640. Refer to Sec. 1065.642 for instructions on calculating flow 
rates for this option.
    (g) SSV calibration. Calibrate a subsonic venturi (SSV) to determine 
its calibration coefficient, Cd , for the expected range of inlet 
pressures. Calibrate an SSV flow meter as follows:
    (1) Connect the system as shown in Figure 1 of this section.
    (2) Start the blower downstream of the SSV.
    (3) Leaks between the calibration flow meter and the SSV must be 
less than 0.3 % of the total flow at the highest restriction.
    (4) While the SSV operates, maintain a constant temperature at the 
SSV inlet within 2 % of the mean absolute inlet 
temperature, Tin.
    (5) Set the variable restrictor or variable-speed blower to a flow 
rate greater than the greatest flow rate expected during testing. You 
may not extrapolate flow rates beyond calibrated values, so we recommend 
that you make sure the Reynolds number, Re#, at the SSV throat at the 
greatest calibrated flow rate is greater than the maximum Re# expected 
during testing.
    (6) Operate the SSV for at least 3 min to stabilize the system. 
Continue operating the SSV and record the mean of at least 30 seconds of 
sampled data of each of the following quantities:
    (i) The mean flow rate of the reference flow meter,nref. 
This may include several measurements of different quantities, such as 
reference meter pressures and temperatures, for calculating 
nref.
    (ii) Optionally, the mean dewpoint of the calibration air, Tdew. See 
Sec. 1065.640 for permissible assumptions.
    (iii) The mean temperature at the venturi inlet, Tin .
    (iv) The mean static absolute pressure at the venturi inlet, pin.
    (v) Static differential pressure between the static pressure at the 
venturi inlet and the static pressure at the venturi throat, 
[Delta]pSSV.
    (7) Incrementally close the restrictor valve or decrease the blower 
speed to decrease the flow rate.
    (8) Repeat the steps in paragraphs (g)(6) and (7) of this section to 
record data at a minimum of ten flow rates.
    (9) Determine a functional form of Cd versus Re# by using the 
collected data and the equations in Sec. 1065.640.
    (10) Verify the calibration by performing a CVS verification (i.e., 
propane check) as described in Sec. 1065.341 using the new Cd versus 
Re# equation.

[[Page 629]]

    (11) Use the SSV only between the minimum and maximum calibrated 
flow rates.
    (12) Use the equations in Sec. 1065.642 to determine SSV flow 
during a test.
    (h) Ultrasonic flow meter calibration. [Reserved]
    [GRAPHIC] [TIFF OMITTED] TR06MY08.020
    

[[Page 630]]



[70 FR 40516, July 13, 2005, as amended at 73 FR 37305, June 30, 2008; 
75 FR 68463, Nov. 8, 2010]



Sec. 1065.341  CVS and batch sampler verification (propane check).

    (a) A propane check serves as a CVS verification to determine if 
there is a discrepancy in measured values of diluted exhaust flow. A 
propane check also serves as a batch-sampler verification to determine 
if there is a discrepancy in a batch sampling system that extracts a 
sample from a CVS, as described in paragraph (g) of this section. Using 
good engineering judgment and safe practices, this check may be 
performed using a gas other than propane, such as CO2 or CO. 
A failed propane check might indicate one or more problems that may 
require corrective action, as follows:
    (1) Incorrect analyzer calibration. Re-calibrate, repair, or replace 
the FID analyzer.
    (2) Leaks. Inspect CVS tunnel, connections, fasteners, and HC 
sampling system, and repair or replace components.
    (3) Poor mixing. Perform the verification as described in this 
section while traversing a sampling probe across the tunnel's diameter, 
vertically and horizontally. If the analyzer response indicates any 
deviation exceeding 2% of the mean measured 
concentration, consider operating the CVS at a higher flow rate or 
installing a mixing plate or orifice to improve mixing.
    (4) Hydrocarbon contamination in the sample system. Perform the 
hydrocarbon-contamination verification as described in Sec. 1065.520.
    (5) Change in CVS calibration. Perform an in-situ calibration of the 
CVS flow meter as described in Sec. 1065.340.
    (6) Other problems with the CVS or sampling verification hardware or 
software.Inspect the CVS system, CVS verification hardware, and software 
for discrepancies.
    (b) A propane check uses either a reference mass or a reference flow 
rate of C3H8 as a tracer gas in a CVS. Note that 
if you use a reference flow rate, account for any non-ideal gas behavior 
of C3H8 in the reference flow meter. Refer to 
Sec. 1065.640 and Sec. 1065.642, which describe how to calibrate and 
use certain flow meters. Do not use any ideal gas assumptions in Sec. 
1065.640 and Sec. 1065.642. The propane check compares the calculated 
mass of injected C3H8 using HC measurements and 
CVS flow rate measurements with the reference value.
    (c) Prepare for the propane check as follows:
    (1) If you use a reference mass of C3H8 
instead of a reference flow rate, obtain a cylinder charged with 
C3H8. Determine the reference cylinder's mass of 
C3H8 within 0.5% of the 
amount of C3H8 that you expect to use.
    (2) Select appropriate flow rates for the CVS and 
C3H8.
    (3) Select a C3H8 injection port in the CVS. 
Select the port location to be as close as practical to the location 
where you introduce engine exhaust into the CVS. Connect the 
C3H8 cylinder to the injection system.
    (4) Operate and stabilize the CVS.
    (5) Preheat or precool any heat exchangers in the sampling system.
    (6) Allow heated and cooled components such as sample lines, 
filters, chillers, and pumps to stabilize at operating temperature.
    (7) You may purge the HC sampling system during stabilization.
    (8) If applicable, perform a vacuum side leak verification of the HC 
sampling system as described in Sec. 1065.345.
    (9) You may also conduct any other calibrations or verifications on 
equipment or analyzers.
    (d) If you performed the vacuum-side leak verification of the HC 
sampling system as described in paragraph (c)(8) of this section, you 
may use the HC contamination procedure in Sec. 1065.520(g) to verify HC 
contamination. Otherwise, zero, span, and verify contamination of the HC 
sampling system, as follows:
    (1) Select the lowest HC analyzer range that can measure the 
C3H8 concentration expected for the CVS and 
C3H8 flow rates.
    (2) Zero the HC analyzer using zero air introduced at the analyzer 
port.
    (3) Span the HC analyzer using C3H8 span gas 
introduced at the analyzer port.
    (4) Overflow zero air at the HC probe inlet or into a tee near the 
outlet of the probe.

[[Page 631]]

    (5) Measure the stable HC concentration of the HC sampling system as 
overflow zero air flows. For batch HC measurement, fill the batch 
container (such as a bag) and measure the HC overflow concentration.
    (6) If the overflow HC concentration exceeds 2 [micro]mol/mol, do 
not proceed until contamination is eliminated. Determine the source of 
the contamination and take corrective action, such as cleaning the 
system or replacing contaminated portions.
    (7) When the overflow HC concentration does not exceed 2 [micro]mol/
mol, record this value as xTHCinit and use it to correct for 
HC contamination as described in Sec. 1065.660.
    (e) Perform the propane check as follows:
    (1) For batch HC sampling, connect clean storage media, such as 
evacuated bags.
    (2) Operate HC measurement instruments according to the instrument 
manufacturer's instructions.
    (3) If you will correct for dilution air background concentrations 
of HC, measure and record background HC in the dilution air.
    (4) Zero any integrating devices.
    (5) Begin sampling, and start any flow integrators.
    (6) Release the contents of the C3H8 reference 
cylinder at the rate you selected. If you use a reference flow rate of 
C3H8, start integrating this flow rate.
    (7) Continue to release the cylinder's contents until at least 
enough C3H8 has been released to ensure accurate 
quantification of the reference C3H8 and the 
measured C3H8.
    (8) Shut off the C3H8 reference cylinder and 
continue sampling until you have accounted for time delays due to sample 
transport and analyzer response.
    (9) Stop sampling and stop any integrators.
    (f) Perform post-test procedure as follows:
    (1) If you used batch sampling, analyze batch samples as soon as 
practical.
    (2) After analyzing HC, correct for contamination and background.
    (3) Calculate total C3H8 mass based on your 
CVS and HC data as described in Sec. 1065.650 and Sec. 1065.660, using 
the molar mass of C3H8, MC3H8, instead the 
effective molar mass of HC, MHC.
    (4) If you use a reference mass, determine the cylinder's propane 
mass within 0.5% and determine the 
C3H8 reference mass by subtracting the empty 
cylinder propane mass from the full cylinder propane mass.
    (5) Subtract the reference C3H8 mass from the 
calculated mass. If this difference is within 2.0 
% of the reference mass, the CVS passes this verification. If not, take 
corrective action as described in paragraph (a) of this section.
    (g) You may repeat the propane check to verify a batch sampler, such 
as a PM secondary dilution system. (1) Configure the HC sampling system 
to extract a sample near the location of the batch sampler's storage 
media (such as a PM filter). If the absolute pressure at this location 
is too low to extract an HC sample, you may sample HC from the batch 
sampler pump's exhaust. Use caution when sampling from pump exhaust 
because an otherwise acceptable pump leak downstream of a batch sampler 
flow meter will cause a false failure of the propane check.
    (2) Repeat the propane check described in this section, but sample 
HC from the batch sampler.
    (3) Calculate C3H8 mass, taking into account 
any secondary dilution from the batch sampler.
    (4) Subtract the reference C3H8 mass from the 
calculated mass. If this difference is within 5% 
of the reference mass, the batch sampler passes this verification. If 
not, take corrective action as described in paragraph (a) of this 
section.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37307, June 30, 2008; 
73 FR 59328, Oct. 8, 2008]



Sec. 1065.342  Sample dryer verification.

    (a) Scope and frequency. If you use a sample dryer as allowed in 
Sec. 1065.145(e)(2) to remove water from the sample gas, verify the 
performance upon installation, after major maintenance, for thermal 
chiller. For osmotic membrane dryers, verify the performance upon 
installation, after major maintenance, and within 35 days of testing.

[[Page 632]]

    (b) Measurement principles. Water can inhibit an analyzer's ability 
to properly measure the exhaust component of interest and thus is 
sometimes removed before the sample gas reaches the analyzer. For 
example water can negatively interfere with a CLD's NOX 
response through collisional quenching and can positively interfere with 
an NDIR analyzer by causing a response similar to CO.
    (c) System requirements. The sample dryer must meet the 
specifications as determined in Sec. 1065.145(e)(2) for dewpoint, 
Tdew, and absolute pressure, ptotal, downstream of 
the osmotic-membrane dryer or thermal chiller.
    (d) Sample dryer verification procedure. Use the following method to 
determine sample dryer performance. Run this verification with the dryer 
and associated sampling system operating in the same manner you will use 
for emission testing (including operation of sample pumps). You may run 
this verification test on multiple sample dryers sharing the same 
sampling system at the same time. You may run this verification on the 
sample dryer alone, but you must use the maximum gas flow rate expected 
during testing. You may use good engineering judgment to develop a 
different protocol.
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) Humidify room air, N2, or purified air by bubbling it 
through distilled water in a sealed vessel that humidifies the gas to 
the highest sample water content that you estimate during emission 
sampling.
    (3) Introduce the humidified gas upstream of the sample dryer. You 
may disconnect the transfer line from the probe and introduce the 
humidified gas at the inlet of the transfer line of the sample system 
used during testing. You may use the sample pumps in the sample system 
to draw gas through the vessel.
    (4) Maintain the sample lines, fittings, and valves from the 
location where the humidified gas water content is measured to the inlet 
of the sampling system at a temperature at least 5 [deg]C above the 
local humidified gas dewpoint. For dryers used in NOX sample 
systems, verify the sample system components used in this verification 
prevent aqueous condensation as required in Sec. 1065.145(d)(1)(i). We 
recommend that the sample system components be maintained at least 5 
[deg]C above the local humidified gas dewpoint to prevent aqueous 
condensation.
    (5) Measure the humidified gas dewpoint, Tdew, and 
absolute pressure, ptotal, as close as possible to the inlet 
of the sample dryer or inlet of the sample system to verify the water 
content is at least as high as the highest value that you estimated 
during emission sampling. You may verify the water content based on any 
humidity parameter (e.g. mole fraction water, local dewpoint, or 
absolute humidity).
    (6) Measure the humidified gas dewpoint, Tdew, and 
absolute pressure, ptotal, as close as possible to the outlet 
of the sample dryer. Note that the dewpoint changes with absolute 
pressure. If the dewpoint at the sample dryer outlet is measured at a 
different pressure, then this reading must be corrected to the dewpoint 
at the sample dryer absolute pressure, ptotal.
    (7) The sample dryer meets the verification if the dewpoint at the 
sample dryer pressure as measured in paragraph (d)(6) of this section is 
less than the dewpoint corresponding to the sample dryer specifications 
as determined in Sec. 1065.145(e)(2) plus 2 [deg]C or if the mole 
fraction of water as measured in (d)(6) is less than the corresponding 
sample dryer specifications plus 0.002 mol/mol.
    (e) Alternate sample dryer verification procedure. The following 
method may be used in place of the sample dryer verification procedure 
in (d) of this section. If you use a humidity sensor for continuous 
monitoring of dewpoint at the sample dryer outlet you may skip the 
performance check in Sec. 1065.342(d), but you must make sure that the 
dryer outlet humidity is at or below the minimum value used for quench, 
interference, and compensation checks.

[73 FR 37307, June 30, 2008, as amended at 73 FR 59328, Oct. 8, 2008; 75 
FR 23040, Apr. 30, 2010]



Sec. 1065.345  Vacuum-side leak verification.

    (a) Scope and frequency. Verify that there are no significant 
vacuum-side leaks using one of the leak tests described in this section. 
For laboratory

[[Page 633]]

testing, perform the vacuum-side leak verification upon initial sampling 
system installation, within 8 hours before the start of the first test 
interval of each duty-cycle sequence, and after maintenance such as pre-
filter changes. For field testing, perform the vacuum-side leak 
verification after each installation of the sampling system on the 
vehicle, prior to the start of the field test, and after maintenance 
such as pre-filter changes. This verification does not apply to any 
full-flow portion of a CVS dilution system.
    (b) Measurement principles. A leak may be detected either by 
measuring a small amount of flow when there should be zero flow, or by 
detecting the dilution of a known concentration of span gas when it 
flows through the vacuum side of a sampling system.
    (c) Low-flow leak test. Test a sampling system for low-flow leaks as 
follows:
    (1) Seal the probe end of the system by taking one of the following 
steps:
    (i) Cap or plug the end of the sample probe.
    (ii) Disconnect the transfer line at the probe and cap or plug the 
transfer line.
    (iii) Close a leak-tight valve located in the sample transfer line 
within 92 cm of the probe.
    (2) Operate all vacuum pumps. After stabilizing, verify that the 
flow through the vacuum-side of the sampling system is less than 0.5% of 
the system's normal in-use flow rate. You may estimate typical analyzer 
and bypass flows as an approximation of the system's normal in-use flow 
rate.
    (d) Dilution-of-span-gas leak test. You may use any gas analyzer for 
this test. If you use a FID for this test, correct for any HC 
contamination in the sampling system according to Sec. 1065.660. To 
avoid misleading results from this test, we recommend using only 
analyzers that have a repeatability of 0.5% or better at the span gas 
concentration used for this test. Perform a vacuum-side leak test as 
follows:
    (1) Prepare a gas analyzer as you would for emission testing.
    (2) Supply span gas to the analyzer port and verify that it measures 
the span gas concentration within its expected measurement accuracy and 
repeatability.
    (3) Route overflow span gas to the inlet of the sample probe or at a 
tee fitting in the transfer line near the exit of the probe. You may use 
a valve upstream of the overflow fitting to prevent overflow of span gas 
out of the inlet of the probe, but you must then provide an overflow 
vent in the overflow supply line.
    (4) Verify that the measured overflow span gas concentration is 
within  0.5% of the span gas concentration. A 
measured value lower than expected indicates a leak, but a value higher 
than expected may indicate a problem with the span gas or the analyzer 
itself. A measured value higher than expected does not indicate a leak.
    (e) Vacuum-decay leak test. To perform this test you must apply a 
vacuum to the vacuum-side volume of your sampling system and then 
observe the leak rate of your system as a decay in the applied vacuum. 
To perform this test you must know the vacuum-side volume of your 
sampling system to within  10% of its true volume. 
For this test you must also use measurement instruments that meet the 
specifications of subpart C of this part and of this subpart D. Perform 
a vacuum-decay leak test as follows:
    (1) Seal the probe end of the system as close to the probe opening 
as possible by taking one of the following steps:
    (i) Cap or plug the end of the sample probe.
    (ii) Disconnect the transfer line at the probe and cap or plug the 
transfer line.
    (iii) Close a leak-tight valve located in the sample transfer line 
within 92 cm of the probe.
    (2) Operate all vacuum pumps. Draw a vacuum that is representative 
of normal operating conditions. In the case of sample bags, we recommend 
that you repeat your normal sample bag pump-down procedure twice to 
minimize any trapped volumes.
    (3) Turn off the sample pumps and seal the system. Measure and 
record the absolute pressure of the trapped gas and optionally the 
system absolute temperature. Wait long enough for any transients to 
settle and long enough for a leak at 0.5% to have caused a pressure 
change of at least 10 times the

[[Page 634]]

resolution of the pressure transducer, then again record the pressure 
and optionally temperature.
    (4) Calculate the leak flow rate based on an assumed value of zero 
for pumped-down bag volumes and based on known values for the sample 
system volume, the initial and final pressures, optional temperatures, 
and elapsed time. Using the calculations specified in 1065.644, verify 
that the vacuum-decay leak flow rate is less than 0.5% of the system's 
normal in-use flow rate.

[73 FR 37307, June 30, 2008, as amended at 73 FR 59328, Oct. 8, 2008; 75 
FR 23040, Apr. 30, 2010]

                   CO and CO2 Measurements



Sec. 1065.350  H[bdi2]O interference verification for CO[bdi2] NDIR analyzers.

    (a) Scope and frequency. If you measure CO2 using an NDIR 
analyzer, verify the amount of H2O interference after initial 
analyzer installation and after major maintenance.
    (b) Measurement principles. H2O can interfere with an 
NDIR analyzer's response to CO2.
    If the NDIR analyzer uses compensation algorithms that utilize 
measurements of other gases to meet this interference verification, 
simultaneously conduct these other measurements to test the compensation 
algorithms during the analyzer interference verification.
    (c) System requirements. A CO2 NDIR analyzer must have an 
H2O interference that is within (0.0 0.4) mmol/mol, though we strongly recommend a lower 
interference that is within (0.0 0.2) mmol/mol.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the CO2 NDIR analyzer 
as you would before an emission test. If the sample is passed through a 
dryer during emission testing, you may run this verification test with 
the dryer if it meets the requirements of Sec. 1065.342. Operate the 
dryer at the same conditions as you will for an emission test. You may 
also run this verification test without the sample dryer.
    (2) Create a humidified test gas by bubbling zero gas that meets the 
specifications in Sec. 1065.750 through distilled water in a sealed 
vessel. If the sample is not passed through a dryer during emission 
testing, control the vessel temperature to generate an H2O 
level at least as high as the maximum expected during emission testing. 
If the sample is passed through a dryer during emission testing, control 
the vessel temperature to generate an H2O level at least as 
high as the level determined in Sec. 1065.145(e)(2) for that dryer.
    (3) Introduce the humidified test gas into the sample system. You 
may introduce it downstream of any sample dryer, if one is used during 
testing.
    (4) If the sample is not passed through a dryer during this 
verification test, measure the water mole fraction, xH2O, of 
the humidified test gas, as close as possible to the inlet of the 
analyzer. For example, measure dewpoint, Tdew, and absolute 
pressure, ptotal, to calculate xH2O. Verify that 
the water content meets the requirement in paragraph (d)(2) of this 
section. If the sample is passed through a dryer during this 
verification test, you must verify that the water content of the 
humidified test gas downstream of the vessel meets the requirement in 
paragraph (d)(2) of this section based on either direct measurement of 
the water content (e.g., dewpoint and pressure) or an estimate based on 
the vessel pressure and temperature. Use good engineering judgment to 
estimate the water content. For example, you may use previous direct 
measurements of water content to verify the vessel's level of 
saturation.
    (5) If a sample dryer is not used in this verification test, use 
good engineering judgment to prevent condensation in the transfer lines, 
fittings, or valves from the point where xH2O is measured to 
the analyzer. We recommend that you design your system so the wall 
temperatures in the transfer lines, fittings, and valves from the point 
where xH2O is measured to the analyzer are at least 5 [deg]C 
above the local sample gas dewpoint.
    (6) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer

[[Page 635]]

line and to account for analyzer response.
    (7) While the analyzer measures the sample's concentration, record 
30 seconds of sampled data. Calculate the arithmetic mean of this data. 
The analyzer meets the interference verification if this value is within 
(0 0.4) mmol/mol.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37308, June 30, 2008; 
73 FR 59328, Oct. 8, 2008; 75 FR 23040, Apr. 30, 2010]



Sec. 1065.355  H[bdi2]O and CO[bdi2] interference verification for CO NDIR analyzers.

    (a) Scope and frequency. If you measure CO using an NDIR analyzer, 
verify the amount of H2O and CO2 interference 
after initial analyzer installation and after major maintenance.
    (b) Measurement principles. H2O and CO2 can 
positively interfere with an NDIR analyzer by causing a response similar 
to CO. If the NDIR analyzer uses compensation algorithms that utilize 
measurements of other gases to meet this interference verification, 
simultaneously conduct these other measurements to test the compensation 
algorithms during the analyzer interference verification.
    (c) System requirements. A CO NDIR analyzer must have combined 
H2O and CO2 interference that is within 2 % of the flow-weighted mean concentration of CO 
expected at the standard, though we strongly recommend a lower 
interference that is within 1%.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the CO NDIR analyzer as you would 
before an emission test. If the sample is passed through a dryer during 
emission testing, you may run this verification test with the dryer if 
it meets the requirements of Sec. 1065.342. Operate the dryer at the 
same conditions as you will for an emission test. You may also run this 
verification test without the sample dryer.
    (2) Create a humidified CO2 test gas by bubbling a 
CO2 span gas that meets the specifications in Sec. 1065.750 
through distilled water in a sealed vessel. If the sample is not passed 
through a dryer during emission testing, control the vessel temperature 
to generate an H2O level at least as high as the maximum 
expected during emission testing. If the sample is passed through a 
dryer during emission testing, control the vessel temperature to 
generate an H2O level at least as high as the level 
determined in Sec. 1065.145(e)(2) for that dryer. Use a CO2 
span gas concentration at least as high as the maximum expected during 
testing.
    (3) Introduce the humidified CO2 test gas into the sample 
system. You may introduce it downstream of any sample dryer, if one is 
used during testing.
    (4) If the sample is not passed through a dryer during this 
verification test, measure the water mole fraction, xH2O, of 
the humidified CO2 test gas as close as possible to the inlet 
of the analyzer. For example, measure dewpoint, Tdew, and 
absolute pressure, ptotal, to calculate xH2O. 
Verify that the water content meets the requirement in paragraph (d)(2) 
of this section. If the sample is passed through a dryer during this 
verification test, you must verify that the water content of the 
humidified test gas downstream of the vessel meets the requirement in 
paragraph (d)(2) of this section based on either direct measurement of 
the water content (e.g., dewpoint and pressure) or an estimate based on 
the vessel pressure and temperature. Use good engineering judgment to 
estimate the water content. For example, you may use previous direct 
measurements of water content to verify the vessel's level of 
saturation.
    (5) If a sample dryer is not used in this verification test, use 
good engineering judgment to prevent condensation in the transfer lines, 
fittings, or valves from the point where xH2O is measured to 
the analyzer. We recommend that you design your system so that the wall 
temperatures in the transfer lines, fittings, and valves from the point 
where xH2O is measured to the analyzer are at least 5 [deg]C 
above the local sample gas dewpoint.
    (6) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (7) While the analyzer measures the sample's concentration, record 
its output for 30 seconds. Calculate the arithmetic mean of this data.

[[Page 636]]

    (8) The analyzer meets the interference verification if the result 
of paragraph (d)(7) of this section meets the tolerance in paragraph (c) 
of this section.
    (9) You may also run interference procedures for CO2 and 
H2O separately. If the CO2 and H2O 
levels used are higher than the maximum levels expected during testing, 
you may scale down each observed interference value by multiplying the 
observed interference by the ratio of the maximum expected concentration 
value to the actual value used during this procedure. You may run 
separate interference concentrations of H2O (down to 0.025 
mol/mol H2O content) that are lower than the maximum levels 
expected during testing, but you must scale up the observed 
H2O interference by multiplying the observed interference by 
the ratio of the maximum expected H2O concentration value to 
the actual value used during this procedure. The sum of the two scaled 
interference values must meet the tolerance in paragraph (c) of this 
section.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your CO sampling system and your emission-calculation 
procedures, the combined CO2 and H2O interference 
for your CO NDIR analyzer always affects your brake-specific CO emission 
results within 0.5% of the applicable CO standard.
    (2) You may use a CO NDIR analyzer that you determine does not meet 
this verification, as long as you try to correct the problem and the 
measurement deficiency does not adversely affect your ability to show 
that engines comply with all applicable emission standards.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37308, June 30, 2008; 
73 FR 59328, Oct. 8, 2008; 75 FR 23041, Apr. 30, 2010]

                        Hydrocarbon Measurements



Sec. 1065.360  FID optimization and verification.

    (a) Scope and frequency. For all FID analyzers, calibrate the FID 
upon initial installation. Repeat the calibration as needed using good 
engineering judgment. For a FID that measures THC, perform the following 
steps:
    (1) Optimize the response to various hydrocarbons after initial 
analyzer installation and after major maintenance as described in 
paragraph (c) of this section.
    (2) Determine the methane (CH4) response factor after 
initial analyzer installation and after major maintenance as described 
in paragraph (d) of this section.
    (3) Verify the methane (CH4) response within 185 days 
before testing as described in paragraph (e) of this section.
    (b) Calibration. Use good engineering judgment to develop a 
calibration procedure, such as one based on the FID-analyzer 
manufacturer's instructions and recommended frequency for calibrating 
the FID. Alternately, you may remove system components for off-site 
calibration. For a FID that measures THC, calibrate using 
C3H8 calibration gases that meet the 
specifications of Sec. 1065.750. For a FID that measures 
CH4, calibrate using CH4 calibration gases that 
meet the specifications of Sec. 1065.750. We recommend FID analyzer 
zero and span gases that contain approximately the flow-weighted mean 
concentration of O2 expected during testing. If you use a FID 
to measure methane (CH4) downstream of a nonmethane cutter, 
you may calibrate that FID using CH4 calibration gases with 
the cutter. Regardless of the calibration gas composition, calibrate on 
a carbon number basis of one (C1). For example, if you use a 
C3H8 span gas of concentration 200 [micro]mol/mol, 
span the FID to respond with a value of 600 [micro]mol/mol. As another 
example, if you use a CH4 span gas with a concentration of 
200 [micro]mol/mol, span the FID to respond with a value of 200 
[micro]mol/mol.
    (c) THC FID response optimization. This procedure is only for FID 
analyzers that measure THC. Use good engineering judgment for initial 
instrument start-up and basic operating adjustment using FID fuel and 
zero air. Heated FIDs must be within their required operating 
temperature ranges. Optimize FID response at the most common analyzer 
range expected during emission testing. Optimization involves adjusting 
flows and pressures of FID fuel, burner air, and sample to

[[Page 637]]

minimize response variations to various hydrocarbon species in the 
exhaust. Use good engineering judgment to trade off peak FID response to 
propane calibration gases to achieve minimal response variations to 
different hydrocarbon species. For an example of trading off response to 
propane for relative responses to other hydrocarbon species, see SAE 
770141 (incorporated by reference in Sec. 1065.1010). Determine the 
optimum flow rates and/or pressures for FID fuel, burner air, and sample 
and record them for future reference.
    (d) THC FID CH4 response factor determination. This procedure is 
only for FID analyzers that measure THC. Since FID analyzers generally 
have a different response to CH4 versus 
C3H8, determine each THC FID analyzer's 
CH4 response factor, RFCH4[THC-FID], after FID 
optimization. Use the most recent RFCH4[THC-FID] measured 
according to this section in the calculations for HC determination 
described in Sec. 1065.660 to compensate for CH4 response. 
Determine RFCH4[THC-FID] as follows, noting that you do not 
determine RFCH4[THC-FID] for FIDs that are calibrated and 
spanned using CH4 with a nonmethane cutter:
    (1) Select a C3H8 span gas concentration that 
you use to span your analyzers before emission testing. Use only span 
gases that meet the specifications of Sec. 1065.750. Record the 
C3H8 concentration of the gas.
    (2) Select a CH4 span gas concentration that you use to 
span your analyzers before emission testing. Use only span gases that 
meet the specifications of Sec. 1065.750. Record the CH4 
concentration of the gas.
    (3) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (4) Confirm that the FID analyzer has been calibrated using 
C3H8. Calibrate on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [micro]mol/mol, span the FID to respond 
with a value of 600 [micro]mol/mol.
    (5) Zero the FID with a zero gas that you use for emission testing.
    (6) Span the FID with the C3H8 span gas that 
you selected under paragraph (d)(1) of this section.
    (7) Introduce at the sample port of the FID analyzer, the 
CH4 span gas that you selected under paragraph (d)(2) of this 
section.
    (8) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the analyzer and to account for its 
response.
    (9) While the analyzer measures the CH4 concentration, 
record 30 seconds of sampled data. Calculate the arithmetic mean of 
these values.
    (10) Divide the mean measured concentration by the recorded span 
concentration of the CH4 calibration gas. The result is the 
FID analyzer's response factor for CH4, 
RFCH4[THC-FID].
    (e) THC FID methane (CH4) response verification. This procedure is 
only for FID analyzers that measure THC. If the value of 
RFCH4[THC-FID] from paragraph (d) of this section is within 
5.0% of its most recent previously determined 
value, the THC FID passes the methane response verification. For 
example, if the most recent previous value for RFCH4[THC-FID] 
was 1.05 and it changed by 0.05 to become 1.10 or 
it changed by -0.05 to become 1.00, either case would be acceptable 
because 4.8% is less than 5.0%. Verify RFCH4[THC-FID] as follows:
    (1) First verify that the flow rates and/or pressures of FID fuel, 
burner air, and sample are each within 0.5% of 
their most recent previously recorded values, as described in paragraph 
(c) of this section. You may adjust these flow rates as necessary. Then 
determine the RFCH4[THC-FID] as described in paragraph (d) of 
this section and verify that it is within the tolerance specified in 
this paragraph (e).
    (2) If RFCH4[THC-FID] is not within the tolerance 
specified in this paragraph (e), re-optimize the FID response as 
described in paragraph (c) of this section.
    (3) Determine a new RFCH4[THC-FID] as described in 
paragraph (d) of this section. Use this new value of 
RFCH4[THC-FID] in the calculations for HC determination, as 
described in Sec. 1065.660.

[73 FR 37308, June 30, 2008, as amended at 75 FR 23041, Apr. 30, 2010]

[[Page 638]]



Sec. 1065.362  Non-stoichiometric raw exhaust FID O[bdi2] interference verification.

    (a) Scope and frequency. If you use FID analyzers for raw exhaust 
measurements from engines that operate in a non-stoichiometric mode of 
combustion (e.g., compression-ignition, lean-burn), verify the amount of 
FID O2 interference upon initial installation and after major 
maintenance.
    (b) Measurement principles. Changes in O2 concentration 
in raw exhaust can affect FID response by changing FID flame 
temperature. Optimize FID fuel, burner air, and sample flow to meet this 
verification. Verify FID performance with the compensation algorithms 
for FID O2 interference that you have active during an 
emission test.
    (c) System requirements. Any FID analyzer used during testing must 
meet the FID O2 interference verification according to the 
procedure in this section.
    (d) Procedure. Determine FID O2 interference as follows, 
noting that you may use one or more gas dividers to create the reference 
gas concentrations that are required to perform this verification:
    (1) Select three span reference gases that contain a 
C3H8 concentration that you use to span your 
analyzers before emission testing. Use only span gases that meet the 
specifications of Sec. 1065.750. You may use CH4 span 
reference gases for FIDs calibrated on CH4 with a nonmethane 
cutter. Select the three balance gas concentrations such that the 
concentrations of O2 and N2 represent the minimum, 
maximum, and average O2 concentrations expected during 
testing. The requirement for using the average O2 
concentration can be removed if you choose to calibrate the FID with 
span gas balanced with the average expected oxygen concentration.
    (2) Confirm that the FID analyzer meets all the specifications of 
Sec. 1065.360.
    (3) Start and operate the FID analyzer as you would before an 
emission test. Regardless of the FID burner's air source during testing, 
use zero air as the FID burner's air source for this verification.
    (4) Zero the FID analyzer using the zero gas used during emission 
testing.
    (5) Span the FID analyzer using a span gas that you use during 
emission testing.
    (6) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
sampled data is within 0.5% of the span reference 
value used in paragraph (d)(5) of this section, then proceed to the next 
step; otherwise restart the procedure at paragraph (d)(4) of this 
section.
    (7) Check the analyzer response using the span gas that has the 
minimum concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2minHC.
    (8) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, then proceed 
to the next step; otherwise restart the procedure at paragraph (d)(4) of 
this section.
    (9) Check the analyzer response using the span gas that has the 
average concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2avgHC.
    (10) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, proceed to the 
next step; otherwise restart the procedure at paragraph (d)(4) of this 
section.
    (11) Check the analyzer response using the span gas that has the 
maximum concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2maxHC.
    (12) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, then proceed 
to the next step; otherwise restart the procedure at paragraph (d)(4) of 
this section.
    (13) Calculate the percent difference between xO2maxHC 
and its reference gas

[[Page 639]]

concentration. Calculate the percent difference between 
xO2avgHC and its reference gas concentration. Calculate the 
percent difference between xO2minHC and its reference gas 
concentration. Determine the maximum percent difference of the three. 
This is the O2 interference.
    (14) If the O2 interference is within 2%, the FID passes the O2 interference 
verification; otherwise perform one or more of the following to address 
the deficiency:
    (i) Repeat the verification to determine if a mistake was made 
during the procedure.
    (ii) Select zero and span gases for emission testing that contain 
higher or lower O2 concentrations and repeat the 
verification.
    (iii) Adjust FID burner air, fuel, and sample flow rates. Note that 
if you adjust these flow rates on a THC FID to meet the O2 
interference verification, you have reset RFCH4 for the next 
RFCH4 verification according to Sec. 1065.360. Repeat the 
O2 interference verification after adjustment and determine 
RFCH4.
    (iv) Repair or replace the FID and repeat the O2 
interference verification.
    (v) Demonstrate that the deficiency does not adversely affect your 
ability to demonstrate compliance with the applicable emission 
standards.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37309, June 30, 2008]



Sec. 1065.365  Nonmethane cutter penetration fractions.

    (a) Scope and frequency. If you use a FID analyzer and a nonmethane 
cutter (NMC) to measure methane (CH4), determine the 
nonmethane cutter's penetration fractions of methane, PFCH4, 
and ethane, PFC2H6. As detailed in this section, these 
penetration fractions may be determined as a combination of NMC 
penetration fractions and FID analyzer response factors, depending on 
your particular NMC and FID analyzer configuration. Perform this 
verification after installing the nonmethane cutter. Repeat this 
verification within 185 days of testing to verify that the catalytic 
activity of the cutter has not deteriorated. Note that because 
nonmethane cutters can deteriorate rapidly and without warning if they 
are operated outside of certain ranges of gas concentrations and outside 
of certain temperature ranges, good engineering judgment may dictate 
that you determine a nonmethane cutter's penetration fractions more 
frequently.
    (b) Measurement principles. A nonmethane cutter is a heated catalyst 
that removes nonmethane hydrocarbons from an exhaust sample stream 
before the FID analyzer measures the remaining hydrocarbon 
concentration. An ideal nonmethane cutter would have a methane 
penetration fraction, PFCH4, of 1.000, and the penetration 
fraction for all other nonmethane hydrocarbons would be 0.000, as 
represented by PFC2H6. The emission calculations in Sec. 
1065.660 use the measured values from this verification to account for 
less than ideal NMC performance.
    (c) System requirements. We do not limit NMC penetration fractions 
to a certain range. However, we recommend that you optimize a nonmethane 
cutter by adjusting its temperature to achieve a PFCH4 
0.85 and a PFC2H6 <0.02, as determined by 
paragraphs (d), (e), or (f) of this section, as applicable. If we use a 
nonmethane cutter for testing, it will meet this recommendation. If 
adjusting NMC temperature does not result in achieving both of these 
specifications simultaneously, we recommend that you replace the 
catalyst material. Use the most recently determined penetration values 
from this section to calculate HC emissions according to Sec. 1065.660 
and Sec. 1065.665 as applicable.
    (d) Procedure for a FID calibrated with the NMC. The method 
described in this paragraph (d) is recommended over the procedures 
specified in paragraphs (e) and (f) of this section. If your FID 
arrangement is such that a FID is always calibrated to measure 
CH4 with the NMC, then span that FID with the NMC using a 
CH4 span gas, set the product of that FID's CH4 
response factor and CH4 penetration fraction, 
RFPFCH4[NMC-FID], equal to 1.0 for all emission calculations, 
and determine its combined ethane (C2H6) response 
factor and penetration fraction, RFPFC2H6[NMC-FID] as 
follows:
    (1) Select CH4 and C2H6 analytical 
gas mixtures and ensure that both mixtures meet the specifications of

[[Page 640]]

Sec. 1065.750. Select a CH4 concentration that you would use 
for spanning the FID during emission testing and select a 
C2H6 concentration that is typical of the peak 
NMHC concentration expected at the hydrocarbon standard or equal to the 
THC analyzer's span value.
    (2) Start, operate, and optimize the nonmethane cutter according to 
the manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec. 1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID with the nonmethane cutter as you would 
during emission testing. Span the FID through the cutter by using 
CH4 span gas.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter. Use good engineering judgment to 
address the effect of hydrocarbon contamination if your point of 
introduction is vastly different from the point of zero/span gas 
introduction.
    (7) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the nonmethane cutter and to account for 
the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Divide the mean C2H6 concentration by the 
reference concentration of C2H6, converted to a 
C1 basis. The result is the C2H6 
combined response factor and penetration fraction, 
RFPFC2H6[NMC-FID]. Use this combined response factor and 
penetration fraction and the product of the CH4 response 
factor and CH4 penetration fraction, 
RFPFCH4[NMC-FID], set to 1.0 in emission calculations 
according to Sec. 1065.660(b)(2)(i), Sec. 1065.660(c)(1)(i), or Sec. 
1065.665, as applicable.
    (e) Procedure for a FID calibrated with propane, bypassing the NMC. 
If you use a single FID for THC and CH4 determination with an 
NMC that is calibrated with propane, C3H8, by 
bypassing the NMC, determine its penetration fractions, 
PFC2H6[NMC-FID] and PFCH4[NMC-FID], as follows:
    (1) Select CH4 and C2H6 analytical 
gas mixtures and ensure that both mixtures meet the specifications of 
Sec. 1065.750. Select a CH4 concentration that you would use 
for spanning the FID during emission testing and select a 
C2H6 concentration that is typical of the peak 
NMHC concentration expected at the hydrocarbon standard or equal to the 
THC analyzer's span value.
    (2) Start and operate the nonmethane cutter according to the 
manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec. 1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID as you would during emission testing. Span 
the FID by bypassing the cutter and by using C3H8 
span gas.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter. Use good engineering judgment to 
address the effect of hydrocarbon contamination if your point of 
introduction is vastly different from the point of zero/span gas 
introduction.
    (7) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the nonmethane cutter and to account for 
the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Reroute the flow path to bypass the nonmethane cutter, introduce 
the C2H6 analytical gas mixture, and repeat the 
steps in paragraph (e)(7) through (e)(8) of this section.
    (10) Divide the mean C2H6 concentration 
measured through the nonmethane cutter by the mean 
C2H6 concentration measured after bypassing the 
nonmethane cutter. The result is the C2H6 
penetration fraction, PFC2H6[NMC-FID]. Use this penetration 
fraction according to Sec. 1065.660(b)(2)(ii), Sec. 
1065.660(c)(1)(ii), or Sec. 1065.665, as applicable.
    (11) Repeat the steps in paragraphs (e)(6) through (e)(10) of this 
section, but with the CH4 analytical gas mixture instead of 
C2H6. The result will be the CH4 
penetration fraction,

[[Page 641]]

PFCH4[NMC-FID]. Use this penetration fraction according to 
Sec. 1065.660(b)(2)(ii), Sec. 1065.660(c)(1)(ii), or Sec. 1065.665, 
as applicable.
    (f) Procedure for a FID calibrated with methane, bypassing the NMC. 
If you use a FID with an NMC that is calibrated with methane, 
CH4, by bypassing the NMC, determine its combined ethane 
(C2H6) response factor and penetration fraction, 
RFPFC2H6[NMC-FID], as well as its CH4 penetration 
fraction, PFCH4[NMC-FID], as follows:
    (1) Select CH4 and C2H6 analytical 
gas mixtures and ensure that both mixtures meet the specifications of 
Sec. 1065.750. Select a CH4 concentration that you would use 
for spanning the FID during emission testing and select a 
C2H6 concentration that is typical of the peak 
NMHC concentration expected at the hydrocarbon standard or equal to the 
THC analyzer's span value.
    (2) Start and operate the nonmethane cutter according to the 
manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec. 1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID as you would during emission testing. Span 
the FID by bypassing the cutter and by using CH4 span gas. 
Note that you must span the FID on a C1 basis. For example, 
if your span gas has a methane reference value of 100 [micro]mol/mol, 
the correct FID response to that span gas is 100 [micro]mol/mol because 
there is one carbon atom per CH4 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter. Use good engineering judgment to 
address the effect of hydrocarbon contamination if your point of 
introduction is vastly different from the point of zero/span gas 
introduction.
    (7) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the nonmethane cutter and to account for 
the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Divide the mean C2H6 concentration by the 
reference concentration of C2H6, converted to a 
C1 basis. The result is the C2H6 
combined response factor and penetration fraction, 
RFPFC2H6[NMC-FID]. Use this combined response factor and 
penetration fraction according to Sec. 1065.660(b)(2)(iii), Sec. 
1065.660(c)(1)(iii), or Sec. 1065.665, as applicable.
    (10) Introduce the CH4 analytical gas mixture upstream of 
the nonmethane cutter. Use good engineering judgment to address the 
effect of hydrocarbon contamination if your point of introduction is 
vastly different from the point of zero/span gas introduction.
    (11) Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the nonmethane cutter and 
to account for the analyzer's response.
    (12) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (13) Reroute the flow path to bypass the nonmethane cutter, 
introduce the CH4 analytical gas mixture, and repeat the 
steps in paragraphs (e)(11) and (12) of this section.
    (14) Divide the mean CH4 concentration measured through 
the nonmethane cutter by the mean CH4 concentration measured 
after bypassing the nonmethane cutter. The result is the CH4 
penetration fraction, PFCH4[NMC-FID]. Use this penetration 
fraction according to Sec. 1065.660(b)(2)(iii), Sec. 
1065.660(c)(1)(iii), or Sec. 1065.665, as applicable.

[73 FR 37310, June 30, 2008, as amended at 74 FR 56513, Oct. 30, 2009]

             NOX and N2O Measurements



Sec. 1065.370  CLD CO[bdi2] and H[bdi2]O quench verification.

    (a) Scope and frequency. If you use a CLD analyzer to measure 
NOX, verify the amount of H2O and CO2 
quench after installing the CLD analyzer and after major maintenance.
    (b) Measurement principles. H2O and CO2 can 
negatively interfere with a CLD's NOX response by collisional 
quenching, which inhibits the chemiluminescent reaction that a CLD 
utilizes to detect NOX. This procedure

[[Page 642]]

and the calculations in Sec. 1065.675 determine quench and scale the 
quench results to the maximum mole fraction of H2O and the 
maximum CO2 concentration expected during emission testing. 
If the CLD analyzer uses quench compensation algorithms that utilize 
H2O and/or CO2 measurement instruments, evaluate 
quench with these instruments active and evaluate quench with the 
compensation algorithms applied.
    (c) System requirements. A CLD analyzer must have a combined 
H2O and CO2 quench of  2% or 
less, though we strongly recommend a quench of  1% 
or less. Combined quench is the sum of the CO2 quench 
determined as described in paragraph (d) of this section, plus the 
H2O quench determined in paragraph (e) of this section.
    (d) CO2 quench verification procedure. Use the following 
method to determine CO2 quench by using a gas divider that 
blends binary span gases with zero gas as the diluent and meets the 
specifications in Sec. 1065.248, or use good engineering judgment to 
develop a different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) Configure the gas divider such that nearly equal amounts of the 
span and diluent gases are blended with each other.
    (3) If the CLD analyzer has an operating mode in which it detects 
NO-only, as opposed to total NOX, operate the CLD analyzer in 
the NO-only operating mode.
    (4) Use a CO2 span gas that meets the specifications of 
Sec. 1065.750 and a concentration that is approximately twice the 
maximum CO2 concentration expected during emission testing.
    (5) Use an NO span gas that meets the specifications of Sec. 
1065.750 and a concentration that is approximately twice the maximum NO 
concentration expected during emission testing.
    (6) Zero and span the CLD analyzer. Span the CLD analyzer with the 
NO span gas from paragraph (d)(5) of this section through the gas 
divider. Connect the NO span gas to the span port of the gas divider; 
connect a zero gas to the diluent port of the gas divider; use the same 
nominal blend ratio selected in paragraph (d)(2) of this section; and 
use the gas divider's output concentration of NO to span the CLD 
analyzer. Apply gas property corrections as necessary to ensure accurate 
gas division.
    (7) Connect the CO2 span gas to the span port of the gas 
divider.
    (8) Connect the NO span gas to the diluent port of the gas divider.
    (9) While flowing NO and CO2 through the gas divider, 
stabilize the output of the gas divider. Determine the CO2 
concentration from the gas divider output, applying gas property 
correction as necessary to ensure accurate gas division. Record this 
concentration, xCO2act, and use it in the quench verification 
calculations in Sec. 1065.675. Alternatively, you may use a simple gas 
blending device and use an NDIR to determine this CO2 
concentration. If you use an NDIR, it must meet the requirements of this 
part for laboratory testing and you must span it with the CO2 
span gas from paragraph (d)(4) of this section.
    (10) Measure the NO concentration downstream of the gas divider with 
the CLD analyzer. Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the transfer line and to 
account for analyzer response. While the analyzer measures the sample's 
concentration, record the analyzer's output for 30 seconds. Calculate 
the arithmetic mean concentration from these data, xNOmeas. 
Record xNOmeas, and use it in the quench verification 
calculations in Sec. 1065.675.
    (11) Calculate the actual NO concentration at the gas divider's 
outlet, xNOact, based on the span gas concentrations and 
xCO2act according to Equation 1065.675-2. Use the calculated 
value in the quench verification calculations in Equation 1065.675-1.
    (12) Use the values recorded according to this paragraph (d) and 
paragraph (e) of this section to calculate quench as described in Sec. 
1065.675.
    (e) H2O quench verification procedure. Use the following 
method to determine H2O quench, or use good engineering 
judgment to develop a different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) If the CLD analyzer has an operating mode in which it detects 
NO-only, as opposed to total NOX, operate the CLD analyzer in 
the NO-only operating mode.

[[Page 643]]

    (3) Use an NO span gas that meets the specifications of Sec. 
1065.750 and a concentration that is near the maximum concentration 
expected during emission testing.
    (4) Zero and span the CLD analyzer. Span the CLD analyzer with the 
NO span gas from paragraph (e)(3) of this section, record the span gas 
concentration as xNOdry, and use it in the quench 
verification calculations in Sec. 1065.675.
    (5) Humidify the NO span gas by bubbling it through distilled water 
in a sealed vessel. If the humidified NO span gas sample does not pass 
through a sample dryer for this verification test, control the vessel 
temperature to generate an H2O level approximately equal to 
the maximum mole fraction of H2O expected during emission 
testing. If the humidified NO span gas sample does not pass through a 
sample dryer, the quench verification calculations in Sec. 1065.675 
scale the measured H2O quench to the highest mole fraction of 
H2O expected during emission testing. If the humidified NO 
span gas sample passes through a dryer for this verification test, 
control the vessel temperature to generate an H2O level at 
least as high as the level determined in Sec. 1065.145(e)(2). For this 
case, the quench verification calculations in Sec. 1065.675 do not 
scale the measured H2O quench.
    (6) Introduce the humidified NO test gas into the sample system. You 
may introduce it upstream or downstream of any sample dryer that is used 
during emission testing. Note that the sample dryer must meet the sample 
dryer verification check in Sec. 1065.342.
    (7) Measure the mole fraction of H2O in the humidified NO 
span gas downstream of the sample dryer, xH2Omeas. We 
recommend that you measure xH2Omeas as close as possible to 
the CLD analyzer inlet. You may calculate xH2Omeas from 
measurements of dew point, Tdew, and absolute pressure, 
ptotal.
    (8) Use good engineering judgment to prevent condensation in the 
transfer lines, fittings, or valves from the point where 
xH2Omeas is measured to the analyzer. We recommend that you 
design your system so the wall temperatures in the transfer lines, 
fittings, and valves from the point where xH2Omeas is 
measured to the analyzer are at least 5 [deg]C above the local sample 
gas dew point.
    (9) Measure the humidified NO span gas concentration with the CLD 
analyzer. Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the transfer line and to 
account for analyzer response. While the analyzer measures the sample's 
concentration, record the analyzer's output for 30 seconds. Calculate 
the arithmetic mean of these data, xNOwet. Record 
xNOwet and use it in the quench verification calculations in 
Sec. 1065.675.
    (f) Corrective action. If the sum of the H2O quench plus 
the CO2 quench is less than -2% or greater than +2%, take 
corrective action by repairing or replacing the analyzer. Before running 
emission tests, verify that the corrective action successfully restored 
the analyzer to proper functioning.
    (g) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculation procedures, the combined CO2 and H2O 
interference for your NOX CLD analyzer always affects your 
brake-specific NOX emission results within no more than 
1.0% of the applicable NOX standard. If 
you certify to a combined emission standard (such as a NOX + 
NMHC standard), scale your NOX results to the combined 
standard based on the measured results (after incorporating 
deterioration factors, if applicable). For example, if your final 
NOX + NMHC value is half of the emission standard, double the 
NOX result to estimate the level of NOX emissions 
corresponding to the applicable standard.
    (2) You may use a NOX CLD analyzer that you determine 
does not meet this verification, as long as you try to correct the 
problem and the measurement deficiency does not adversely affect your 
ability to show that engines comply with all applicable emission 
standards.

[73 FR 59328, Oct. 8, 2008, as amended at 73 FR 73789, Dec. 4, 2008; 75 
FR 23041, Apr. 30, 2010]

[[Page 644]]



Sec. 1065.372  NDUV analyzer HC and H[bdi2]O interference verification.

    (a) Scope and frequency. If you measure NOX using an NDUV 
analyzer, verify the amount of H2O and hydrocarbon 
interference after initial analyzer installation and after major 
maintenance.
    (b) Measurement principles. Hydrocarbons and H2O can 
positively interfere with an NDUV analyzer by causing a response similar 
to NOX. If the NDUV analyzer uses compensation algorithms 
that utilize measurements of other gases to meet this interference 
verification, simultaneously conduct such measurements to test the 
algorithms during the analyzer interference verification.
    (c) System requirements. A NOX NDUV analyzer must have 
combined H2O and HC interference within 2% of the flow-weighted mean concentration of 
NOX expected at the standard, though we strongly recommend 
keeping interference within 1%.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the NOX NDUV analyzer 
according to the instrument manufacturer's instructions.
    (2) We recommend that you extract engine exhaust to perform this 
verification. Use a CLD that meets the specifications of subpart C of 
this part to quantify NOX in the exhaust. Use the CLD 
response as the reference value. Also measure HC in the exhaust with a 
FID analyzer that meets the specifications of subpart C of this part. 
Use the FID response as the reference hydrocarbon value.
    (3) Upstream of any sample dryer, if one is used during testing, 
introduce the engine exhaust to the NDUV analyzer.
    (4) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (5) While all analyzers measure the sample's concentration, record 
30 seconds of sampled data, and calculate the arithmetic means for the 
three analyzers.
    (6) Subtract the CLD mean from the NDUV mean.
    (7) Multiply this difference by the ratio of the flow-weighted mean 
HC concentration expected at the standard to the HC concentration 
measured during the verification. The analyzer meets the interference 
verification of this section if this result is within 2% of the NOX concentration expected at the 
standard.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the combined HC and H2O interference 
for your NOX NDUV analyzer always affects your brake-specific 
NOX emission results by less than 0.5% of the applicable 
NOX standard.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37312, June 30, 2008]



Sec. 1065.375  Interference verification for N2O analyzers.

    (a) Scope and frequency. See Sec. 1065.275 to determine whether you 
need to verify the amount of interference after initial analyzer 
installation and after major maintenance.
    (b) Measurement principles. Interference gasses can positively 
interfere with certain analyzers by causing a response similar to 
N2O. If the analyzer uses compensation algorithms that 
utilize measurements of other gases to meet this interference 
verification, simultaneously conduct these other measurements to test 
the compensation algorithms during the analyzer interference 
verification.
    (c) System requirements. Analyzers must have combined interference 
that is within (0.0  1.0) [micro]mol/mol. We 
strongly recommend a lower interference that is within (0.0  0.5) [micro]mol/mol.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the N2O analyzer as 
you would before an emission test. If the sample is passed through a 
dryer during emission testing, you may run this verification test with 
the dryer if it meets the requirements of Sec. 1065.342. Operate the 
dryer at the same conditions as you will for an emission test. You may 
also run this

[[Page 645]]

verification test without the sample dryer.
    (2) Create a humidified test gas by bubbling a multi component span 
gas that incorporates the target interference species and meets the 
specifications in Sec. 1065.750 through distilled water in a sealed 
vessel. If the sample is not passed through a dryer during emission 
testing, control the vessel temperature to generate an H2O 
level at least as high as the maximum expected during emission testing. 
If the sample is passed through a dryer during emission testing, control 
the vessel temperature to generate an H2O level at least as 
high as the level determined in Sec. 1065.145(e)(2) for that dryer. Use 
interference span gas concentrations that are at least as high as the 
maximum expected during testing.
    (3) Introduce the humidified interference test gas into the sample 
system. You may introduce it downstream of any sample dryer, if one is 
used during testing.
    (4) If the sample is not passed through a dryer during this 
verification test, measure the water mole fraction, xH2O, of 
the humidified interference test gas as close as possible to the inlet 
of the analyzer. For example, measure dewpoint, Tdew, and 
absolute pressure, ptotal, to calculate xH2O. 
Verify that the water content meets the requirement in paragraph (d)(2) 
of this section. If the sample is passed through a dryer during this 
verification test, you must verify that the water content of the 
humidified test gas downstream of the vessel meets the requirement in 
paragraph (d)(2) of this section based on either direct measurement of 
the water content (e.g., dewpoint and pressure) or an estimate based on 
the vessel pressure and temperature. Use good engineering judgment to 
estimate the water content. For example, you may use previous direct 
measurements of water content to verify the vessel's level of 
saturation.
    (5) If a sample dryer is not used in this verification test, use 
good engineering judgment to prevent condensation in the transfer lines, 
fittings, or valves from the point where xH2O is measured to 
the analyzer. We recommend that you design your system so that the wall 
temperatures in the transfer lines, fittings, and valves from the point 
where  xH2O is measured to the analyzer are at least 5 [deg]C 
above the local sample gas dewpoint.
    (6) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (7) While the analyzer measures the sample's concentration, record 
its output for 30 seconds. Calculate the arithmetic mean of this data.
    (8) The analyzer meets the interference verification if the result 
of paragraph (d)(7) of this section meets the tolerance in paragraph (c) 
of this section.
    (9) You may also run interference procedures separately for 
individual interference gases. If the interference gas levels used are 
higher than the maximum levels expected during testing, you may scale 
down each observed interference value by multiplying the observed 
interference by the ratio of the maximum expected concentration value to 
the actual value used during this procedure. You may run separate 
interference concentrations of H2O (down to 0.025 mol/mol 
H2O content) that are lower than the maximum levels expected 
during testing, but you must scale up the observed H2O 
interference by multiplying the observed interference by the ratio of 
the maximum expected H2O concentration value to the actual 
value used during this procedure. The sum of the scaled interference 
values must meet the tolerance specified in paragraph (c) of this 
section.

[74 FR 56515, Oct. 30, 2009]



Sec. 1065.376  Chiller NO[bdi2] penetration.

    (a) Scope and frequency. If you use a chiller to dry a sample 
upstream of a NOX measurement instrument, but you don't use 
an NO2-to-NO converter upstream of the chiller, you must perform this 
verification for chiller NO2 penetration. Perform this verification 
after initial installation and after major maintenance.
    (b) Measurement principles. A chiller removes water, which can 
otherwise interfere with a NOX measurement. However, liquid 
water remaining in an

[[Page 646]]

improperly designed chiller can remove NO2 from the sample. If a chiller 
is used without an NO2-to-NO converter upstream, it could remove NO2 
from the sample prior NOX measurement.
    (c) System requirements. A chiller must allow for measuring at least 
95% of the total NO2 at the maximum expected concentration of NO2.
    (d) Procedure. Use the following procedure to verify chiller 
performance:
    (1) Instrument setup. Follow the analyzer and chiller manufacturers' 
start-up and operating instructions. Adjust the analyzer and chiller as 
needed to optimize performance.
    (2) Equipment setup and data collection. (i) Zero and span the total 
NOX gas analyzer(s) as you would before emission testing.
    (ii) Select an NO2 calibration gas, balance gas of dry air, that has 
an NO2 concentration within 5% of the maximum NO2 
concentration expected during testing.
    (iii) Overflow this calibration gas at the gas sampling system's 
probe or overflow fitting. Allow for stabilization of the total 
NOX response, accounting only for transport delays and 
instrument response.
    (iv) Calculate the mean of 30 seconds of recorded total 
NOX data and record this value as xNOXref.
    (v) Stop flowing the NO2 calibration gas.
    (vi) Next saturate the sampling system by overflowing a dewpoint 
generator's output, set at a dewpoint of 50 [deg]C, to the gas sampling 
system's probe or overflow fitting. Sample the dewpoint generator's 
output through the sampling system and chiller for at least 10 minutes 
until the chiller is expected to be removing a constant rate of water.
    (vii) Immediately switch back to overflowing the NO2 calibration gas 
used to establish xNOxref. Allow for stabilization of the 
total NOX response, accounting only for transport delays and 
instrument response. Calculate the mean of 30 seconds of recorded total 
NOX data and record this value as xNOxmeas.
    (viii) Correct xNOxmeas to xNOxdry based upon 
the residual water vapor that passed through the chiller at the 
chiller's outlet temperature and pressure.
    (3) Performance evaluation. If xNOxdry is less than 95% 
of xNOxref, repair or replace the chiller.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the chiller always affects your brake-specific 
NOX emission results by less than 0.5% of the applicable 
NOX standard.
    (2) You may use a chiller that you determine does not meet this 
verification, as long as you try to correct the problem and the 
measurement deficiency does not adversely affect your ability to show 
that engines comply with all applicable emission standards.

[73 FR 37312, June 30, 2008]



Sec. 1065.378  NO[bdi2]-to-NO converter conversion verification.

    (a) Scope and frequency. If you use an analyzer that measures only 
NO to determine NOX, you must use an NO2-to-NO 
converter upstream of the analyzer. Perform this verification after 
installing the converter, after major maintenance and within 35 days 
before an emission test. This verification must be repeated at this 
frequency to verify that the catalytic activity of the NO2-
to-NO converter has not deteriorated.
    (b) Measurement principles. An NO2-to-NO converter allows 
an analyzer that measures only NO to determine total NOX by 
converting the NO2 in exhaust to NO.
    (c) System requirements. An NO2-to-NO converter must 
allow for measuring at least 95% of the total NO2 at the 
maximum expected concentration of NO2.
    (d) Procedure. Use the following procedure to verify the performance 
of a NO2-to-NO converter:
    (1) Instrument setup. Follow the analyzer and NO2-to-NO converter 
manufacturers' start-up and operating instructions. Adjust the analyzer 
and converter as needed to optimize performance.
    (2) Equipment setup. Connect an ozonator's inlet to a zero-air or 
oxygen source and connect its outlet to one port of a three-way tee 
fitting. Connect an NO span gas to another port, and

[[Page 647]]

connect the NO2-to-NO converter inlet to the last port.
    (3) Adjustments and data collection. Perform this check as follows:
    (i) Set ozonator air off, turn ozonator power off, and set the 
analyzer to NO mode. Allow for stabilization, accounting only for 
transport delays and instrument response.
    (ii) Use an NO concentration that is representative of the peak 
total NOX concentration expected during testing. The NO2 
content of the gas mixture shall be less than 5% of the NO 
concentration. Record the concentration of NO by calculating the mean of 
30 seconds of sampled data from the analyzer and record this value as 
xNOref.
    (iii) Turn on the ozonator O2 supply and adjust the 
O2 flow rate so the NO indicated by the analyzer is about 10 
percent less than xNOref. Record the concentration of NO by 
calculating the mean of 30 seconds of sampled data from the analyzer and 
record this value as xNO+O2mix.
    (iv) Switch the ozonator on and adjust the ozone generation rate so 
the NO measured by the analyzer is 20 percent of xNOref, 
while maintaining at least 10 percent unreacted NO. Record the 
concentration of NO by calculating the mean of 30 seconds of sampled 
data from the analyzer and record this value as xNOmeas.
    (v) Switch the NOX analyzer to NOX mode and 
measure total NOX. Record the concentration of NOX 
by calculating the mean of 30 seconds of sampled data from the analyzer 
and record this value as xNOxmeas.
    (vi) Switch off the ozonator but maintain gas flow through the 
system. The NOX analyzer will indicate the NOX in 
the NO + O2 mixture. Record the concentration of 
NOX by calculating the mean of 30 seconds of sampled data 
from the analyzer and record this value as xNOx+O2mix.
    (vii) Turn off the ozonator O2 supply. The NOX 
analyzer will indicate the NOX in the original NO-in-
N2 mixture. Record the concentration of NOX by 
calculating the mean of 30 seconds of sampled data from the analyzer and 
record this value as xNOxref. This value should be no more 
than 5 percent above the xNOref value.
    (4) Performance evaluation. Calculate the efficiency of the 
NOX converter by substituting the concentrations obtained 
into the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.097

    (5) If the result is less than 95%, repair or replace the 
NO2-to-NO converter.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the converter always affects your brake-
specific NOX emission results by less than 0.5% of the 
applicable NOX standard.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37313, June 30, 2008; 
73 FR 59330, Oct. 8, 2008]

                             PM Measurements



Sec. 1065.390  PM balance verifications and weighing process verification.

    (a) Scope and frequency. This section describes three verifications.
    (1) Independent verification of PM balance performance within 370 
days before weighing any filter.
    (2) Zero and span the balance within 12 h before weighing any 
filter.
    (3) Verify that the mass determination of reference filters before 
and after a filter weighing session are less than a specified tolerance.

[[Page 648]]

    (b) Independent verification. Have the balance manufacturer (or a 
representative approved by the balance manufacturer) verify the balance 
performance within 370 days of testing.
    (c) Zeroing and spanning. You must verify balance performance by 
zeroing and spanning it with at least one calibration weight, and any 
weights you use must that meet the specifications in Sec. 1065.790 to 
perform this verification.
    (1) Use a manual procedure in which you zero the balance and span 
the balance with at least one calibration weight. If you normally use 
mean values by repeating the weighing process to improve the accuracy 
and precision of PM measurements, use the same process to verify balance 
performance.
    (2) You may use an automated procedure to verify balance 
performance. For example many balances have internal calibration weights 
that are used automatically to verify balance performance.
    (d) Reference sample weighing. Verify all mass readings during a 
weighing session by weighing reference PM sample media (e.g., filters) 
before and after a weighing session. A weighing session may be as short 
as desired, but no longer than 80 hours, and may include both pre-test 
and post-test mass readings. We recommend that weighing sessions be 
eight hours or less. Successive mass determinations of each reference PM 
sample media (e.g., filter) must return the same value within 10 [micro]g or 10% of the net PM 
mass expected at the standard (if known), whichever is higher. If 
successive reference PM sample media (e.g., filter) weighing events fail 
this criterion, invalidate all individual test media (e.g., filter) mass 
readings occurring between the successive reference media (e.g., filter) 
mass determinations. You may reweigh these media (e.g., filter) in 
another weighing session. If you invalidate a pre-test media (e.g., 
filter) mass determination, that test interval is void. Perform this 
verification as follows:
    (1) Keep at least two samples of unused PM sample media (e.g., 
filters) in the PM-stabilization environment. Use these as references. 
If you collect PM with filters, select unused filters of the same 
material and size for use as references. You may periodically replace 
references, using good engineering judgment.
    (2) Stabilize references in the PM stabilization environment. 
Consider references stabilized if they have been in the PM-stabilization 
environment for a minimum of 30 min, and the PM-stabilization 
environment has been within the specifications of Sec. 1065.190(d) for 
at least the preceding 60 min.
    (3) Exercise the balance several times with a reference sample. We 
recommend weighing ten samples without recording the values.
    (4) Zero and span the balance. Using good engineering judgment, 
place a test mass such as a calibration weight on the balance, then 
remove it. After spanning, confirm that the balance returns to a zero 
reading within the normal stabilization time.
    (5) Weigh each of the reference media (e.g., filters) and record 
their masses. We recommend using substitution weighing as described in 
Sec. 1065.590(j). If you normally use mean values by repeating the 
weighing process to improve the accuracy and precision of the reference 
media (e.g., filter) mass, you must use mean values of sample media 
(e.g., filter) masses.
    (6) Record the balance environment dewpoint, ambient temperature, 
and atmospheric pressure.
    (7) Use the recorded ambient conditions to correct results for 
buoyancy as described in Sec. 1065.690. Record the buoyancy-corrected 
mass of each of the references.
    (8) Subtract each reference media's (e.g., filter's) buoyancy-
corrected reference mass from its previously measured and recorded 
buoyancy-corrected mass.
    (9) If any of the reference filters' observed mass changes by more 
than that allowed under this paragraph, you must invalidate all PM mass 
determinations made since the last successful reference media (e.g. 
filter) mass validation. You may discard reference PM media (e.g. 
filters) if only one of the filter's mass changes by more than the 
allowable amount and you can positively identify a special cause for 
that filter's mass change that would

[[Page 649]]

not have affected other in-process filters. Thus, the validation can be 
considered a success. In this case, you do not have to include the 
contaminated reference media when determining compliance with paragraph 
(d)(10) of this section, but the affected reference filter must be 
immediately discarded and replaced prior to the next weighing session.
    (10) If any of the reference masses change by more than that allowed 
under this paragraph (d), invalidate all PM results that were determined 
between the two times that the reference masses were determined. If you 
discarded reference PM sample media according to paragraph (d)(9) of 
this section, you must still have at least one reference mass difference 
that meets the criteria in this paragraph (d). Otherwise, you must 
invalidate all PM results that were determined between the two times 
that the reference media (e.g., filters) masses were determined.

[73 FR 37313, June 30, 2008, as amended at 75 FR 23042, Apr. 30, 2010; 
75 FR 68463, Nov. 8, 2010]



Sec. 1065.395  Inertial PM balance verifications.

    This section describes how to verify the performance of an inertial 
PM balance.
    (a) Independent verification. Have the balance manufacturer (or a 
representative approved by the balance manufacturer) verify the inertial 
balance performance within 370 days before testing.
    (b) Other verifications. Perform other verifications using good 
engineering judgment and instrument manufacturer recommendations.



        Subpart E_Engine Selection, Preparation, and Maintenance



Sec. 1065.401  Test engine selection.

    While all engine configurations within a certified engine family 
must comply with the applicable standards in the standard-setting part, 
you need not test each configuration for certification.
    (a) Select an engine configuration within the engine family for 
testing, as follows:
    (1) Test the engine that we specify, whether we issue general 
guidance or give you specific instructions.
    (2) If we do not tell you which engine to test, follow any 
instructions in the standard-setting part.
    (3) If we do not tell you which engine to test and the standard-
setting part does not include specifications for selecting test engines, 
use good engineering judgment to select the engine configuration within 
the engine family that is most likely to exceed an emission standard.
    (b) In the absence of other information, the following 
characteristics are appropriate to consider when selecting the engine to 
test:
    (1) Maximum fueling rates.
    (2) Maximum loads.
    (3) Maximum in-use speeds.
    (4) Highest sales volume.
    (c) For our testing, we may select any engine configuration within 
the engine family.



Sec. 1065.405  Test engine preparation and maintenance.

    This part 1065 describes how to test engines for a variety of 
purposes, including certification testing, production-line testing, and 
in-use testing. Depending on which type of testing is being conducted, 
different preparation and maintenance requirements apply for the test 
engine.
    (a) If you are testing an emission-data engine for certification, 
make sure it is built to represent production engines. This includes 
governors that you normally install on production engines. Production 
engines should also be tested with their installed governors. If you do 
not install governors on production engines, simulate a governor that is 
representative of a governor that others will install on your production 
engines.
    (b) Testing generally occurs only after the test engine has 
undergone a stabilization step (or in-use operation). If the engine has 
not already been stabilized, run the test engine, with all emission 
control systems operating, long enough to stabilize emission levels. 
Note that you must generally use the same stabilization procedures for 
emission-data engines for which you apply the same deterioration factors 
so

[[Page 650]]

low-hour emission-data engines are consistent with the low-hour engine 
used to develop the deterioration factor.
    (1) Unless otherwise specified in the standard-setting part, you may 
consider emission levels stable without measurement after 50 h of 
operation. If the engine needs less operation to stabilize emission 
levels, record your reasons and the methods for doing this, and give us 
these records if we ask for them. If the engine will be tested for 
certification as a low-hour engine, see the standard-setting part for 
limits on testing engines to establish low-hour emission levels.
    (2) You may stabilize emissions from a catalytic exhaust 
aftertreatment device by operating it on a different engine, consistent 
with good engineering judgment. Note that good engineering judgment 
requires that you consider both the purpose of the test and how your 
stabilization method will affect the development and application of 
deterioration factors. For example, this method of stabilization is 
generally not appropriate for production engines. We may also allow you 
to stabilize emissions from a catalytic exhaust aftertreatment device by 
operating it on an engine-exhaust simulator.
    (c) Record any maintenance, modifications, parts changes, diagnostic 
or emissions testing and document the need for each event. You must 
provide this information if we request it.
    (d) For accumulating operating hours on your test engines, select 
engine operation that represents normal in-use operation for the engine 
family.
    (e) If your engine will be used in a vehicle equipped with a 
canister for storing evaporative hydrocarbons for eventual combustion in 
the engine and the test sequence involves a cold-start or hot-start duty 
cycle, attach a canister to the engine before running an emission test. 
You may omit using an evaporative canister for any hot-stabilized duty 
cycles. You may request to omit using an evaporative canister during 
testing if you can show that it would not affect your ability to show 
compliance with the applicable emission standards. You may operate the 
engine without an installed canister for service accumulation. Prior to 
an emission test, use the following steps to attach a canister to your 
engine:
    (1) Use a canister and plumbing arrangement that represents the in-
use configuration of the largest capacity canister in all expected 
applications.
    (2) Use a canister that is fully loaded with fuel vapors.
    (3) Connect the canister's purge port to the engine.
    (4) Plug the canister port that is normally connected to the fuel 
tank.

[73 FR 37314, June 30, 2008]



Sec. 1065.410  Maintenance limits for stabilized test engines.

    (a) After you stabilize the test engine's emission levels, you may 
do maintenance as allowed by the standard-setting part. However, you may 
not do any maintenance based on emission measurements from the test 
engine (i.e., unscheduled maintenance).
    (b) For any critical emission-related maintenance--other than what 
we specifically allow in the standard-setting part--you must completely 
test an engine for emissions before and after doing any maintenance that 
might affect emissions, unless we waive this requirement.
    (c) Keep a record of the inspection and update your application to 
document any changes as a result of the inspection. You may use 
equipment, instruments, or engineering grade tools to identify bad 
engine components. Any equipment, instruments, or tools used for 
scheduled maintenance on emission data engines must be representative of 
what is planned to be available to dealerships and other service 
outlets.
    (d) If we determine that a part failure, system malfunction, or 
associated repairs have made the engine's emission controls 
unrepresentative of production engines, you may no longer use it as an 
emission-data engine. Also, if your test engine has a major mechanical 
failure that requires you to take it apart, you may no longer use it as 
an emission-data engine.
    (e) If we determine that a part failure, system malfunction, or 
associated repairs have made the engine's emission controls 
unrepresentative of production engines, you may no longer use it as an 
emission-data. Also, if your

[[Page 651]]

test engine has a major mechanical failure that requires you to take it 
apart, you may no longer use it as an emission-data engine.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37314, June 30, 2008]



Sec. 1065.415  Durability demonstration.

    If the standard-setting part requires durability testing, you must 
accumulate service in a way that represents how you expect the engine to 
operate in use. You may accumulate service hours using an accelerated 
schedule, such as through continuous operation or by using duty cycles 
that are more aggressive than in-use operation, subject to any pre-
approval requirements established in the applicable standard-setting 
part.
    (a) Maintenance. The following limits apply to the maintenance that 
we allow you to do on an emission-data engine:
    (1) You may perform scheduled maintenance that you recommend to 
operators, but only if it is consistent with the standard-setting part's 
restrictions.
    (2) You may perform additional maintenance only as specified in 
Sec. 1065.410 or allowed by the standard-setting part.
    (b) Emission measurements. Perform emission tests following the 
provisions of the standard setting part and this part, as applicable. 
Perform emission tests to determine deterioration factors consistent 
with good engineering judgment. Evenly space any tests between the first 
and last test points throughout the durability period, unless we approve 
otherwise.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37315, June 30, 2008]



    Subpart F_Performing an Emission Test Over Specified Duty Cycles



Sec. 1065.501  Overview.

    (a) Use the procedures detailed in this subpart to measure engine 
emissions over a specified duty cycle. Refer to subpart J of this part 
for field test procedures that describe how to measure emissions during 
in-use engine operation. This section describes how to:
    (1) Map your engine, if applicable, by recording specified speed and 
torque data, as measured from the engine's primary output shaft.
    (2) Transform normalized duty cycles into reference duty cycles for 
your engine by using an engine map.
    (3) Prepare your engine, equipment, and measurement instruments for 
an emission test.
    (4) Perform pre-test procedures to verify proper operation of 
certain equipment and analyzers.
    (5) Record pre-test data.
    (6) Start or restart the engine and sampling systems.
    (7) Sample emissions throughout the duty cycle.
    (8) Record post-test data.
    (9) Perform post-test procedures to verify proper operation of 
certain equipment and analyzers.
    (10) Weigh PM samples.
    (b) An emission test generally consists of measuring emissions and 
other parameters while an engine follows one or more duty cycles that 
are specified in the standard-setting part. There are two general types 
of duty cycles:
    (1) Transient cycles. Transient duty cycles are typically specified 
in the standard-setting part as a second-by-second sequence of speed 
commands and normalized torque (or power) commands. Operate an engine 
over a transient cycle such that the speed and torque of the engine's 
primary output shaft follows the target values. Proportionally sample 
emissions and other parameters and use the calculations in subpart G of 
this part to calculate emissions. Start a transient test according to 
the standard-setting part, as follows:
    (i) A cold-start transient cycle where you start to measure 
emissions just before starting an engine that has not been warmed up.
    (ii) A hot-start transient cycle where you start to measure 
emissions just before starting a warmed-up engine.
    (iii) A hot running transient cycle where you start to measure 
emissions after an engine is started, warmed up, and running.
    (2) Steady-state cycles. Steady-state duty cycles are typically 
specified in the standard-setting part as a list of discrete operating 
points (modes or

[[Page 652]]

notches), where each operating point has one value of a normalized speed 
command and one value of a normalized torque (or power) command. Ramped-
modal cycles for steady-state testing also list test times for each mode 
and transition times between modes where speed and torque are linearly 
ramped between modes, even for cycles with % power. Start a steady-state 
cycle as a hot running test, where you start to measure emissions after 
an engine is started, warmed up and running. You may run a steady-state 
duty cycle as a discrete-mode cycle or a ramped-modal cycle, as follows:
    (i) Discrete-mode cycles. Before emission sampling, stabilize an 
engine at the first discrete mode. Sample emissions and other parameters 
for that mode in the same manner as a transient cycle, with the 
exception that reference speed and torque values are constant. Record 
mean values for that mode, and then stabilize the engine at the next 
mode. Continue to sample each mode discretely as separate test intervals 
and calculate weighted emission results according to the standard-
setting part.
    (ii) Ramped-modal cycles. Perform ramped-modal cycles similar to the 
way you would perform transient cycles, except that ramped-modal cycles 
involve mostly steady-state engine operation. Generate a ramped-modal 
duty cycle as a sequence of second-by-second (1 Hz) reference speed and 
torque points. Run the ramped-modal duty cycle in the same manner as a 
transient cycle and use the 1 Hz reference speed and torque values to 
validate the cycle, even for cycles with % power. Proportionally sample 
emissions and other parameters during the cycle and use the calculations 
in subpart G of this part to calculate emissions.
    (c) Other subparts in this part identify how to select and prepare 
an engine for testing (subpart E), how to perform the required engine 
service accumulation (subpart E), and how to calculate emission results 
(subpart G).
    (d) Subpart J of this part describes how to perform field testing.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37315, June 30, 2008; 
75 FR 23042, Apr. 30, 2010]



Sec. 1065.510  Engine mapping.

    (a) Applicability, scope, and frequency. An engine map is a data set 
that consists of a series of paired data points that represent the 
maximum brake torque versus engine speed, measured at the engine's 
primary output shaft. Map your engine if the standard-setting part 
requires engine mapping to generate a duty cycle for your engine 
configuration. Map your engine while it is connected to a dynamometer or 
other device that can absorb work output from the engine's primary 
output shaft according to Sec. 1065.110. Configure any auxiliary work 
inputs and outputs such as hybrid, turbo-compounding, or thermoelectric 
systems to represent their in-use configurations, and use the same 
configuration for emission testing. See Figure 1 of Sec. 1065.210. This 
may involve configuring initial states of charge and rates and times of 
auxiliary-work inputs and outputs. We recommend that you contact the 
Designated Compliance Officer before testing to determine how you should 
configure any auxiliary-work inputs and outputs. Use the most recent 
engine map to transform a normalized duty cycle from the standard-
setting part to a reference duty cycle specific to your engine. 
Normalized duty cycles are specified in the standard-setting part. You 
may update an engine map at any time by repeating the engine-mapping 
procedure. You must map or re-map an engine before a test if any of the 
following apply:
    (1) If you have not performed an initial engine map.
    (2) If the atmospheric pressure near the engine's air inlet is not 
within  5 kPa of the atmospheric pressure recorded 
at the time of the last engine map.
    (3) If the engine or emission-control system has undergone changes 
that might affect maximum torque performance. This includes changing the 
configuration of auxiliary work inputs and outputs.
    (4) If you capture an incomplete map on your first attempt or you do 
not complete a map within the specified time tolerance. You may repeat 
mapping as often as necessary to capture a complete map within the 
specified time.

[[Page 653]]

    (b) Mapping variable-speed engines. Map variable-speed engines as 
follows:
    (1) Record the atmospheric pressure.
    (2) Warm up the engine by operating it. We recommend operating the 
engine at any speed and at approximately 75% of its expected maximum 
power. Continue the warm-up until the engine coolant, block, or head 
absolute temperature is within  2% of its mean 
value for at least 2 min or until the engine thermostat controls engine 
temperature.
    (3) Operate the engine at its warm idle speed as follows:
    (i) For engines with a low-speed governor, set the operator demand 
to minimum, use the dynamometer or other loading device to target a 
torque of zero on the engine's primary output shaft, and allow the 
engine to govern the speed. Measure this warm idle speed; we recommend 
recording at least 30 values of speed and using the mean of those 
values.
    (ii) For engines without a low-speed governor, operate the engine at 
warm idle speed and zero torque on the engine's primary output shaft. 
You may use the dynamometer to target a torque of zero on the engine's 
primary output shaft, and manipulate the operator demand to control the 
speed to target the manufacturer-declared value for the lowest engine 
speed possible with minimum load (also known as manufacturer-declared 
warm idle speed). You may alternatively use the dynamometer to target 
the manufacturer-declared warm idle speed and manipulate the operator 
demand to control the torque on the engine's primary output shaft to 
zero.
    (iii) For variable-speed engines with or without a low-speed 
governor, if a nonzero idle torque is representative of in-use 
operation, you may use the dynamometer or operator demand to target the 
manufacturer-declared idle torque instead of targeting zero torque as 
specified in paragraphs (b)(3)(i) and (ii) of this section. Control 
speed as specified in paragraph (b)(3)(i) or (ii) of this section, as 
applicable. If you use this option for engines with a low-speed governor 
to measure the warm idle speed with the manufacturer-declared torque at 
this step, you may use this as the warm-idle speed for cycle generation 
as specified in paragraph (b)(6) of this section. However, if you 
identify multiple warm idle torques under paragraph (f)(4)(i) of this 
section, measure the warm idle speed at only one torque level for this 
paragraph (b)(3).
    (4) Set operator demand to maximum and control engine speed at (95 
 1) % of its warm idle speed determined above for 
at least 15 seconds. For engines with reference duty cycles whose lowest 
speed is greater than warm idle speed, you may start the map at (95 
 1) % of the lowest reference speed.
    (5) Perform one of the following:
    (i) For any engine subject only to steady-state duty cycles (i.e., 
discrete-mode or ramped-modal), you may perform an engine map by using 
discrete speeds. Select at least 20 evenly spaced setpoints from 95% of 
warm idle speed to the highest speed above maximum power at which 50% of 
maximum power occurs. We refer to this 50% speed as the check point 
speed as described in paragraph (b)(5)(iii) of this section. At each 
setpoint, stabilize speed and allow torque to stabilize. Record the mean 
speed and torque at each setpoint. We recommend that you stabilize an 
engine for at least 15 seconds at each setpoint and record the mean 
feedback speed and torque of the last (4 to 6) seconds. Use linear 
interpolation to determine intermediate speeds and torques. Use this 
series of speeds and torques to generate the power map as described in 
paragraph (e) of this section.
    (ii) For any variable-speed engine, you may perform an engine map by 
using a continuous sweep of speed by continuing to record the mean 
feedback speed and torque at 1 Hz or more frequently and increasing 
speed at a constant rate such that it takes (4 to 6) min to sweep from 
95% of warm idle speed to the check point speed as described in 
paragraph (b)(5)(iii) of this section. Use good engineering judgment to 
determine when to stop recording data to ensure that the sweep is 
complete. In most cases, this means that you can stop the sweep at any 
point after the power falls to 50% of the maximum value. From the series 
of

[[Page 654]]

mean speed and maximum torque values, use linear interpolation to 
determine intermediate values. Use this series of speeds and torques to 
generate the power map as described in paragraph (e) of this section.
    (iii) The check point speed of the map is the highest speed above 
maximum power at which 50% of maximum power occurs. If this speed is 
unsafe or unachievable (e.g., for ungoverned engines or engines that do 
not operate at that point), use good engineering judgment to map up to 
the maximum safe speed or maximum achievable speed. For discrete 
mapping, if the engine cannot be mapped to the check point speed, make 
sure the map includes at least 20 points from 95% of warm idle to the 
maximum mapped speed. For continuous mapping, if the engine cannot be 
mapped to the check point speed, verify that the sweep time from 95% of 
warm idle to the maximum mapped speed is (4 to 6) min.
    (iv) Note that under Sec. 1065.10(c)(1) we may allow you to 
disregard portions of the map when selecting maximum test speed if the 
specified procedure would result in a duty cycle that does not represent 
in-use operation.
    (6) For engines with a low-speed governor, if a nonzero idle torque 
is representative of in-use operation, operate the engine at warm idle 
with the manufacturer-declared idle torque. Set the operator demand to 
minimum, use the dynamometer to target the declared idle torque, and 
allow the engine to govern the speed. Measure this speed and use it as 
the warm idle speed for cycle generation in Sec. 1065.512. We recommend 
recording at least 30 values of speed and using the mean of those 
values. If you identify multiple warm idle torques under paragraph 
(f)(4)(i) of this section, measure the warm idle speed at each torque. 
You may map the idle governor at multiple load levels and use this map 
to determine the measured warm idle speed at the declared idle 
torque(s).
    (c) Negative torque mapping. If your engine is subject to a 
reference duty cycle that specifies negative torque values (i.e., engine 
motoring), generate a motoring map by any of the following procedures:
    (1) Multiply the positive torques from your map by -40%. Use linear 
interpolation to determine intermediate values.
    (2) Map the amount of negative torque required to motor the engine 
by repeating paragraph (b) of this section with minimum operator demand.
    (3) Determine the amount of negative torque required to motor the 
engine at the following two points near the ends of the engine's speed 
range. Operate the engine at these two points at minimum operator 
demand. Use linear interpolation to determine intermediate values.
    (i) Low-speed point. For engines without a low-speed governor, 
determine the amount of negative torque at warm idle speed. For engines 
with a low-speed governor, motor the engine above warm idle speed so the 
governor is inactive and determine the amount of negative torque at that 
speed.
    (ii) High-speed point. For engines without a high-speed governor, 
determine the amount of negative torque at the maximum safe speed or the 
maximum representative speed. For engines with a high-speed governor, 
determine the amount of negative torque at a speed at or above 
nhi per Sec. 1065.610(c)(2).
    (d) Mapping constant-speed engines. For constant-speed engines, 
generate a map as follows:
    (1) Record the atmospheric pressure.
    (2) Warm up the engine by operating it. We recommend operating the 
engine at approximately 75% of the engine's expected maximum power. 
Continue the warm-up until the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at 
least 2 min or until the engine thermostat controls engine temperature.
    (3) You may operate the engine with a production constant-speed 
governor or simulate a constant-speed governor by controlling engine 
speed with an operator demand control system described in Sec. 
1065.110. Use either isochronous or speed-droop governor operation, as 
appropriate.
    (4) With the governor or simulated governor controlling speed using 
operator demand, operate the engine at no-load governed speed (at high 
speed, not low idle) for at least 15 seconds.

[[Page 655]]

    (5) Record at 1 Hz the mean of feedback speed and torque. Use the 
dynamometer to increase torque at a constant rate. Unless the standard-
setting part specifies otherwise, complete the map such that it takes (2 
to 4) min to sweep from no-load governed speed to the speed below 
maximum mapped power at which the engine develops 90% of maximum mapped 
power. You may map your engine to lower speeds. Stop recording after you 
complete the sweep. Use this series of speeds and torques to generate 
the power map as described in paragraph (e) of this section.
    (e) Power mapping. For all engines, create a power-versus-speed map 
by transforming torque and speed values to corresponding power values. 
Use the mean values from the recorded map data. Do not use any 
interpolated values. Multiply each torque by its corresponding speed and 
apply the appropriate conversion factors to arrive at units of power 
(kW). Interpolate intermediate power values between these power values, 
which were calculated from the recorded map data.
    (f) Measured and declared test speeds and torques. You must select 
test speeds and torques for cycle generation as required in this 
paragraph (f). ``Measured'' values are either directly measured during 
the engine mapping process or they are determined from the engine map. 
``Declared'' values are specified by the manufacturer. When both 
measured and declared values are available, you may use declared test 
speeds and torques instead of measured speeds and torques if they meet 
the criteria in this paragraph (f). Otherwise, you must use measured 
speeds and torques derived from the engine map.
    (1) Measured speeds and torques. Determine the applicable speeds and 
torques for the duty cycles you will run:
    (i) Measured maximum test speed for variable-speed engines according 
to Sec. 1065.610.
    (ii) Measured maximum test torque for constant-speed engines 
according to Sec. 1065.610.
    (iii) Measured ``A'', ``B'', and ``C'' speeds for variable-speed 
engines according to Sec. 1065.610.
    (iv) Measured intermediate speed for variable-speed engines 
according to Sec. 1065.610.
    (v) For variable-speed engines with a low-speed governor, measure 
warm idle speed according to Sec. 1065.510(b) and use this speed for 
cycle generation in Sec. 1065.512. For engines with no low-speed 
governor, instead use the manufacturer-declared warm idle speed.
    (2) Required declared speeds. You must declare the lowest engine 
speed possible with minimum load (i.e., manufacturer-declared warm idle 
speed). This is applicable only to variable-speed engines with no low-
speed governor. For engines with no low-speed governor, the declared 
warm idle speed is used for cycle generation in Sec. 1065.512. Declare 
this speed in a way that is representative of in-use operation. For 
example, if your engine is typically connected to an automatic 
transmission or a hydrostatic transmission, declare this speed at the 
idle speed at which your engine operates when the transmission is 
engaged.
    (3) Optional declared speeds. You may use declared speeds instead of 
measured speeds as follows:
    (i) You may use a declared value for maximum test speed for 
variable-speed engines if it is within (97.5 to 102.5)% of the 
corresponding measured value. You may use a higher declared speed if the 
length of the ``vector'' at the declared speed is within 2.0% of the 
length of the ``vector'' at the measured value. The term vector refers 
to the square root of the sum of normalized engine speed squared and the 
normalized full-load power (at that speed) squared, consistent with the 
calculations in Sec. 1065.610.
    (ii) You may use a declared value for intermediate, ``A'', ``B'', or 
``C'' speeds for steady-state tests if the declared value is within 
(97.5 to 102.5)% of the corresponding measured value.
    (4) Required declared torques. If a nonzero idle or minimum torque 
is representative of in-use operation, you must declare the appropriate 
torque as follows:
    (i) For variable-speed engines, declare a warm idle torque that is 
representative of in-use operation. For example, if your engine is 
typically connected to an automatic transmission or

[[Page 656]]

a hydrostatic transmission, declare the torque that occurs at the idle 
speed at which your engine operates when the transmission is engaged. 
Use this value for cycle generation. You may use multiple warm idle 
torques and associated idle speeds in cycle generation for 
representative testing. For example, for cycles that start the engine 
and begin with idle, you may start a cycle in idle with the transmission 
in neutral with zero torque and later switch to a different idle with 
the transmission in drive with the Curb-Idle Transmission Torque (CITT). 
For variable-speed engines intended primarily for propulsion of a 
vehicle with an automatic transmission where that engine is subject to a 
transient duty cycle with idle operation, you must declare a CITT. You 
must specify a CITT based on typical applications at the mean of the 
range of idle speeds you specify at stabilized temperature conditions.
    (ii) For constant-speed engines, declare a warm minimum torque that 
is representative of in-use operation. For example, if your engine is 
typically connected to a machine that does not operate below a certain 
minimum torque, declare this torque and use it for cycle generation.
    (5) Optional declared torques. For constant-speed engines you may 
declare a maximum test torque. You may use the declared value for cycle 
generation if it is within (95 to 100)% of the measured value.
    (g) Other mapping procedures. You may use other mapping procedures 
if you believe the procedures specified in this section are unsafe or 
unrepresentative for your engine. Any alternate techniques you use must 
satisfy the intent of the specified mapping procedures, which is to 
determine the maximum available torque at all engine speeds that occur 
during a duty cycle. Identify any deviations from this section's mapping 
procedures when you submit data to us.

[73 FR 37315, June 30, 2008, as amended at 73 FR 59330, Oct. 8, 2008; 75 
FR 23042, Apr. 30, 2010]



Sec. 1065.512  Duty cycle generation.

    (a) Generate duty cycles according to this section if the standard-
setting part requires engine mapping to generate a duty cycle for your 
engine configuration. The standard-setting part generally defines 
applicable duty cycles in a normalized format. A normalized duty cycle 
consists of a sequence of paired values for speed and torque or for 
speed and power.
    (b) Transform normalized values of speed, torque, and power using 
the following conventions:
    (1) Engine speed for variable-speed engines. For variable-speed 
engines, normalized speed may be expressed as a percentage between warm 
idle speed, fnidle, and maximum test speed, 
fntest, or speed may be expressed by referring to a defined 
speed by name, such as ``warm idle,'' ``intermediate speed,'' or ``A,'' 
``B,'' or ``C'' speed. Section 1065.610 describes how to transform these 
normalized values into a sequence of reference speeds, fnref. 
Running duty cycles with negative or small normalized speed values near 
warm idle speed may cause low-speed idle governors to activate and the 
engine torque to exceed the reference torque even though the operator 
demand is at a minimum. In such cases, we recommend controlling the 
dynamometer so it gives priority to follow the reference torque instead 
of the reference speed and let the engine govern the speed. Note that 
the cycle-validation criteria in Sec. 1065.514 allow an engine to 
govern itself. This allowance permits you to test engines with enhanced-
idle devices and to simulate the effects of transmissions such as 
automatic transmissions. For example, an enhanced-idle device might be 
an idle speed value that is normally commanded only under cold-start 
conditions to quickly warm up the engine and aftertreatment devices. In 
this case, negative and very low normalized speeds will generate 
reference speeds below this higher enhanced idle speed and we recommend 
controlling the dynamometer so it gives priority to follow the reference 
torque, controlling the operator demand so it gives priority to follow 
reference speed and let the engine govern the speed when the operator 
demand is at minimum.
    (2) Engine torque for variable-speed engines. For variable-speed 
engines, normalized torque is expressed as a percentage of the mapped 
torque at the

[[Page 657]]

corresponding reference speed. Section 1065.610 describes how to 
transform normalized torques into a sequence of reference torques, 
Tref. Section 1065.610 also describes special requirements 
for modifying transient duty cycles for variable-speed engines intended 
primarily for propulsion of a vehicle with an automatic transmission. 
Section 1065.610 also describes under what conditions you may command 
Tref greater than the reference torque you calculated from a 
normalized duty cycle. This provision permits you to command 
Tref values that are limited by a declared minimum torque. 
For any negative torque commands, command minimum operator demand and 
use the dynamometer to control engine speed to the reference speed, but 
if reference speed is so low that the idle governor activates, we 
recommend using the dynamometer to control torque to zero, CITT, or a 
declared minimum torque as appropriate. Note that you may omit power and 
torque points during motoring from the cycle-validation criteria in 
Sec. 1065.514. Also, use the maximum mapped torque at the minimum 
mapped speed as the maximum torque for any reference speed at or below 
the minimum mapped speed.
    (3) Engine torque for constant-speed engines. For constant-speed 
engines, normalized torque is expressed as a percentage of maximum test 
torque, Ttest. Section 1065.610 describes how to transform 
normalized torques into a sequence of reference torques, 
Tref. Section 1065.610 also describes under what conditions 
you may command Tref greater than the reference torque you 
calculated from the normalized duty cycle. This provision permits you to 
command Tref values that are limited by a declared minimum 
torque.
    (4) Engine power. For all engines, normalized power is expressed as 
a percentage of mapped power at maximum test speed, fntest, 
unless otherwise specified by the standard-setting part. Section 
1065.610 describes how to transform these normalized values into a 
sequence of reference powers, Pref. Convert these reference 
powers to corresponding torques for operator demand and dynamometer 
control. Use the reference speed associated with each reference power 
point for this conversion. As with cycles specified with % torque, issue 
torque commands more frequently and linearly interpolate between these 
reference torque values generated from cycles with % power.
    (5) Ramped-modal cycles. For ramped modal cycles, generate reference 
speed and torque values at 1 Hz and use this sequence of points to run 
the cycle and validate it in the same manner as with a transient cycle. 
During the transition between modes, linearly ramp the denormalized 
reference speed and torque values between modes to generate reference 
points at 1 Hz. Do not linearly ramp the normalized reference torque 
values between modes and then denormalize them. Do not linearly ramp 
normalized or denormalized reference power points. These cases will 
produce nonlinear torque ramps in the denormalized reference torques. If 
the speed and torque ramp runs through a point above the engine's torque 
curve, continue to command the reference torques and allow the operator 
demand to go to maximum. Note that you may omit power and either torque 
or speed points from the cycle-validation criteria under these 
conditions as specified in Sec. 1065.514.
    (c) For variable-speed engines, command reference speeds and torques 
sequentially to perform a duty cycle. Issue speed and torque commands at 
a frequency of at least 5 Hz for transient cycles and at least 1 Hz for 
steady-state cycles (i.e., discrete-mode and ramped-modal). Linearly 
interpolate between the 1 Hz reference values specified in the standard-
setting part to determine more frequently issued reference speeds and 
torques. During an emission test, record the feedback speeds and torques 
at a frequency of at least 5 Hz for transient cycles and at least 1 Hz 
for steady-state cycles. For transient cycles, you may record the 
feedback speeds and torques at lower frequencies (as low as 1 Hz) if you 
record the average value over the time interval between recorded values. 
Calculate the average values based on feedback values updated at a 
frequency of at least 5 Hz. Use these recorded values to calculate 
cycle-validation statistics and total work.

[[Page 658]]

    (d) For constant-speed engines, operate the engine with the same 
production governor you used to map the engine in Sec. 1065.510 or 
simulate the in-use operation of a governor the same way you simulated 
it to map the engine in Sec. 1065.510. Command reference torque values 
sequentially to perform a duty cycle. Issue torque commands at a 
frequency of at least 5 Hz for transient cycles and at least 1 Hz for 
steady-state cycles (i.e., discrete-mode, ramped-modal). Linearly 
interpolate between the 1 Hz reference values specified in the standard-
setting part to determine more frequently issued reference torque 
values. During an emission test, record the feedback speeds and torques 
at a frequency of at least 5 Hz for transient cycles and at least 1 Hz 
for steady-state cycles. For transient cycles, you may record the 
feedback speeds and torques at lower frequencies (as low as 1 Hz) if you 
record the average value over the time interval between recorded values. 
Calculate the average values based on feedback values updated at a 
frequency of at least 5 Hz. Use these recorded values to calculate 
cycle-validation statistics and total work.
    (e) You may perform practice duty cycles with the test engine to 
optimize operator demand and dynamometer controls to meet the cycle-
validation criteria specified in Sec. 1065.514.

[73 FR 37317, June 30, 2008]



Sec. 1065.514  Cycle-validation criteria for operation over specified duty cycles.

    Validate the execution of your duty cycle according to this section 
unless the standard-setting part specifies otherwise. This section 
describes how to determine if the engine's operation during the test 
adequately matched the reference duty cycle. This section applies only 
to speed, torque, and power from the engine's primary output shaft. 
Other work inputs and outputs are not subject to cycle-validation 
criteria. You must compare the original reference duty cycle points 
generated as described in Sec. 1065.512 to the corresponding feedback 
values recorded during the test. You may compare reference duty cycle 
points recorded during the test to the corresponding feedback values 
recorded during the test as long as the recorded reference values match 
the original points generated in Sec. 1065.512. The number of points in 
the validation regression are based on the number of points in the 
original reference duty cycle generated in Sec. 1065.512. For example 
if the original cycle has 1199 reference points at 1 Hz, then the 
regression will have up to 1199 pairs of reference and feedback values 
at the corresponding moments in the test. The feedback speed and torque 
signals may be filtered--either in real-time while the test is run or 
afterward in the analysis program. Any filtering that is used on the 
feedback signals used for cycle validation must also be used for 
calculating work. Feedback signals for control loops may use different 
filtering.
    (a) Testing performed by EPA. Our tests must meet the specifications 
of paragraph (f) of this section, unless we determine that failing to 
meet the specifications is related to engine performance rather than to 
shortcomings of the dynamometer or other laboratory equipment.
    (b) Testing performed by manufacturers. Emission tests that meet the 
specifications of paragraph (f) of this section satisfy the standard-
setting part's requirements for duty cycles. You may ask to use a 
dynamometer or other laboratory equipment that cannot meet those 
specifications. We will approve your request as long as using the 
alternate equipment does not adversely affect your ability to show 
compliance with the applicable emission standards.
    (c) Time-alignment. Because time lag between feedback values and the 
reference values may bias cycle-validation results, you may advance or 
delay the entire sequence of feedback engine speed and torque pairs to 
synchronize them with the reference sequence. If you advance or delay 
feedback signals for cycle validation, you must make the same adjustment 
for calculating work. You may use linear interpolation between 
successive recorded feedback signals to time shift an amount that is a 
fraction of the recording period.

[[Page 659]]

    (d) Omitting additional points. Besides engine cranking, you may 
omit additional points from cycle-validation statistics as described in 
the following table:

   Table 1 of Sec.  1065.514--Permissible Criteria for Omitting Points From Duty-Cycle Regression Statistics
----------------------------------------------------------------------------------------------------------------
  When operator demand is at its . . .         you may omit . . .                       if . . .
----------------------------------------------------------------------------------------------------------------
             For reference duty cycles that are specified in terms of speed and torque (fnref, Tref)
----------------------------------------------------------------------------------------------------------------
minimum.................................  power and torque...........  Tref < 0% (motoring).
minimum.................................  power and speed............  fnref = 0% (idle speed) and Tref = 0%
                                                                        (idle torque) and Tref - (2% [middot]
                                                                        Tmax mapped) < T < Tref + (2% [middot]
                                                                        Tmax mapped).
minimum.................................  power and either torque or   fn >fnref or T > Tref but not if fn >
                                           speed.                       (fnref [middot] 102%) and T >Tref  (2% [middot] Tmax mapped).
maximum.................................  power and either torque or   fn < fnref or T < Tref but not if fn <
                                           speed.                       (fnref [middot] 98%) and T < Tref - (2%
                                                                        [middot] Tmax mapped).
----------------------------------------------------------------------------------------------------------------
             For reference duty cycles that are specified in terms of speed and power (fnref, Pref)
----------------------------------------------------------------------------------------------------------------
minimum.................................  power and torque...........  Pref < 0% (motoring).
minimum.................................  power and speed............  fnref = 0% (idle speed) and Pref = 0%
                                                                        (idle power) and Pref - (2% [middot]
                                                                        Pmax mapped) < P < Pref + (2% [middot]
                                                                        Pmax mapped).
minimum.................................  power and either torque or   fn >fnref or P > Pref but not if fn >
                                           speed.                       (fnref [middot] 102%) and P >Pref + (2%
                                                                        [middot] Pmax mapped).
maximum.................................  power and either torque or   fn < fnref or P < Pref but not if fn <
                                           speed.                       (fnref [middot] 98%) and P < Pref - (2%
                                                                        [middot] Pmax mapped).
----------------------------------------------------------------------------------------------------------------

    (e) Statistical parameters. Use the remaining points to calculate 
regression statistics described in Sec. 1065.602. Round calculated 
regression statistics to the same number of significant digits as the 
criteria to which they are compared. Refer to Table 2 of Sec. 1065.514 
for the default criteria and refer to the standard-setting part to 
determine if there are other criteria for your engine. Calculate the 
following regression statistics:
    (1) Slopes for feedback speed, a1fn, feedback torque, 
a1T, and feedback power a1P.
    (2) Intercepts for feedback speed, a0fn, feedback torque, 
a0T, and feedback power a0P.
    (3) Standard estimates of error for feedback speed, 
SEEfn, feedback torque, SEET, and feedback power 
SEEP.
    (4) Coefficients of determination for feedback speed, 
r\2\fn, feedback torque, r\2\T, and feedback power 
r\2\P.
    (f) Cycle-validation criteria. Unless the standard-setting part 
specifies otherwise, use the following criteria to validate a duty 
cycle:
    (1) For variable-speed engines, apply all the statistical criteria 
in Table 2 of this section.
    (2) For constant-speed engines, apply only the statistical criteria 
for torque in Table 2 of this section.
    (3) For discrete-mode steady-state testing, apply cycle-validation 
criteria by treating the sampling periods from the series of test modes 
as a continuous sampling period, analogous to ramped-modal testing and 
apply statistical criteria as described in paragraph (f)(1) or (2) of 
this section.

               Table 2 of Sec.  1065.514--Default Statistical Criteria for Validating Duty Cycles
----------------------------------------------------------------------------------------------------------------
              Parameter                         Speed                    Torque                   Power
----------------------------------------------------------------------------------------------------------------
Slope, a1............................  0.950 <= a1 <= 1.030...  0.830 <= a1 <= 1.030...  0.830 <= a1 <= 1.030.
Absolute value of intercept,           <= 10% of warm idle....  <= 2.0% of maximum       <= 2.0% of maximum
 [verbarlm]a0[verbarlm].                                         mapped torque.           mapped power.
Standard error of estimate, SEE......  <= 5.0% of maximum test  <= 10% of maximum        <= 10% of maximum
                                        speed.                   mapped torque.           mapped power.
Coefficient of determination, r \2\..  = 0.970.....  = 0.850.....  = 0.910.
----------------------------------------------------------------------------------------------------------------


[[Page 660]]


[73 FR 37318, June 30, 2008, as amended at 73 FR 59330, Oct. 8, 2008; 75 
FR 23042, Apr. 30, 2010]



Sec. 1065.520  Pre-test verification procedures and pre-test data collection.

    (a) If your engine must comply with a PM standard, follow the 
procedures for PM sample preconditioning and tare weighing according to 
Sec. 1065.590.
    (b) Unless the standard-setting part specifies different tolerances, 
verify at some point before the test that ambient conditions are within 
the tolerances specified in this paragraph (b). For purposes of this 
paragraph (b), ``before the test'' means any time from a point just 
prior to engine starting (excluding engine restarts) to the point at 
which emission sampling begins.
    (1) Ambient temperature of (20 to 30) [deg]C. See Sec. 1065.530(j) 
for circumstances under which ambient temperatures must remain within 
this range during the test.
    (2) Atmospheric pressure of (80.000 to 103.325) kPa and within 
5 kPa of the value recorded at the time of the 
last engine map. You are not required to verify atmospheric pressure 
prior to a hot start test interval for testing that also includes a cold 
start.
    (3) Dilution air conditions as specified in Sec. 1065.140, except 
in cases where you preheat your CVS before a cold start test. We 
recommend verifying dilution air conditions just prior to the start of 
each test interval.
    (c) You may test engines at any intake-air humidity, and we may test 
engines at any intake-air humidity.
    (d) Verify that auxiliary-work inputs and outputs are configured as 
they were during engine mapping, as described inSec. 1065.510(a).
    (e) You may perform a final calibration of the speed, torque, and 
proportional-flow control systems, which may include performing practice 
duty cycles.
    (f) You may perform the following recommended procedure to 
precondition sampling systems:
    (1) Start the engine and use good engineering judgment to bring it 
to one of the following:
    (i) 100% torque at any speed above its peak-torque speed.
    (ii) 100% operator demand.
    (2) Operate any dilution systems at their expected flow rates. 
Prevent aqueous condensation in the dilution systems.
    (3) Operate any PM sampling systems at their expected flow rates.
    (4) Sample PM for at least 10 min using any sample media. You may 
change sample media during preconditioning. You may discard 
preconditioning samples without weighing them.
    (5) You may purge any gaseous sampling systems during 
preconditioning.
    (6) You may conduct calibrations or verifications on any idle 
equipment or analyzers during preconditioning.
    (7) Proceed with the test sequence described in Sec. 
1065.530(a)(1).
    (g) Verify the amount of nonmethane contamination in the exhaust and 
background HC sampling systems within 8 hours before the start of the 
first test interval of each duty-cycle sequence for laboratory tests. 
You may verify the contamination of a background HC sampling system by 
reading the last bag fill and purge using zero gas. For any NMHC 
measurement system that involves separately measuring methane and 
subtracting it from a THC measurement, verify the amount of THC 
contamination using only the THC analyzer response. There is no need to 
operate any separate methane analyzer for this verification, however you 
may measure and correct for THC contamination in the CH4 
sample train for the cases where NMHC is determined by subtracting 
CH4 from THC, using an NMC as configured in Sec. 
1065.365(d), (e), and (f); and the calculations in Sec. 1065.660(b)(2). 
Perform this verification as follows:
    (1) Select the HC analyzer range for measuring the flow-weighted 
mean concentration expected at the HC standard.
    (2) Zero the HC analyzer at the analyzer zero or sample port. Note 
that FID zero and span balance gases may be any combination of purified 
air or purified nitrogen that meets the specifications of Sec. 
1065.750. We recommend FID analyzer zero and span gases that contain 
approximately the flow-weighted mean concentration of O2 expected during 
testing.

[[Page 661]]

    (3) Span the HC analyzer using span gas introduced at the analyzer 
span or sample port. Span on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [micro]mol/mol, span the FID to respond 
with a value of 600 [micro]mol/mol.
    (4) Overflow zero gas at the HC probe inlet or into a tee near the 
probe outlet.
    (5) Measure the THC concentration in the sampling and background 
systems as follows:
    (i) For continuous sampling, record the mean THC concentration as 
overflow zero air flows.
    (ii) For batch sampling, fill the sample medium (e.g., bag) and 
record its mean THC concentration.
    (iii) For the background system, record the mean THC concentration 
of the last fill and purge.
    (6) Record this value as the initial THC concentration, 
xTHC[THC-FID]init, and use it to correct measured values as 
described in Sec. 1065.660.
    (7) If any of the xTHC[THC-FID]init values exceed the 
greatest of the following values, determine the source of the 
contamination and take corrective action, such as purging the system 
during an additional preconditioning cycle or replacing contaminated 
portions:
    (i) 2% of the flow-weighted mean wet, net concentration expected at 
the HC (THC or NMHC) standard.
    (ii) 2% of the flow-weighted mean wet, net concentration of HC (THC 
or NMHC) measured during testing.
    (iii) 2 [micro]mol/mol.
    (8) If corrective action does not resolve the deficiency, you may 
request to use the contaminated system as an alternate procedure under 
Sec. 1065.10.

[73 FR 37320, June 30, 2008, as amended at 73 FR 59330, Oct. 8, 2008; 75 
FR 23043, Apr. 30, 2010]



Sec. 1065.525  Engine starting, restarting, and shutdown.

    (a) Start the engine using one of the following methods:
    (1) Start the engine as recommended in the owners manual using a 
production starter motor or air-start system and either an adequately 
charged battery, a suitable power supply, or a suitable compressed air 
source.
    (2) Use the dynamometer to start the engine. To do this, motor the 
engine within 25% of its typical in-use cranking 
speed. Stop cranking within 1 second of starting the engine.
    (b) If the engine does not start after 15 seconds of cranking, stop 
cranking and determine why the engine failed to start, unless the owners 
manual or the service-repair manual describes the longer cranking time 
as normal.
    (c) Respond to engine stalling with the following steps:
    (1) If the engine stalls during warm-up before emission sampling 
begins, restart the engine and continue warm-up.
    (2) If the engine stalls during preconditioning before emission 
sampling begins, restart the engine and restart the preconditioning 
sequence.
    (3) Void the entire test if the engine stalls at any time after 
emission sampling begins, except as described in Sec. 1065.526. If you 
do not void the entire test, you must void the individual test mode or 
test interval in which the engine stalls.
    (4) Except as described in paragraph (d) of this section, void the 
test if the engine stalls at any time after emission sampling begins.
    (d) Shut down the engine according to the manufacturer's 
specifications.

[73 FR 37320, June 30, 2008, as amended at 75 FR 68463, Nov. 8, 2010]



Sec. 1065.526  Repeating void modes or test intervals.

    (a) Test modes and test intervals can be voided because of 
instrument malfunctions, engine stalling, or emissions exceeding 
instrument ranges. This section specifies circumstances for which a test 
mode or test interval can be repeated without repeating the entire test.
    (b) This section is intended to result in replicate test modes and 
test intervals that are identical to what would have occurred if the 
cause of the voiding had not occurred. It does not allow you to repeat 
test modes or test intervals in any circumstances that would be 
inconsistent with good engineering judgment. For example, the procedures 
specified here for repeating a mode or interval may not apply for 
certain engines that include hybrid energy storage features or emission 
controls that

[[Page 662]]

involve physical or chemical storage of pollutants. This section applies 
for circumstances in which emission concentrations exceed the analyzer 
range only if it is due to operator error or analyzer malfunction. It 
does not apply for circumstances in which the emission concentrations 
exceed the range because they were higher than expected.
    (c) If one of the modes of a discrete-mode test is voided as 
provided in this section, you may void the results for that individual 
mode and continue the test as follows:
    (1) If the engine has stalled or been shut down, restart the engine.
    (2) Use good engineering judgment to restart the test sequence using 
the appropriate steps in Sec. 1065.530(b).
    (3) Precondition the engine by operating it at the previous mode for 
approximately the same amount of time it operated at that mode for the 
previous emission measurement.
    (4) Advance to the mode at which the test was interrupted and 
continue with the duty cycle as specified in the standard-setting part.
    (d) If a transient or ramped-modal cycle test interval is voided as 
provided in this section, you may repeat the test interval as follows:
    (1) Use good engineering judgment to restart (as applicable) and 
precondition the engine and emission sampling system to the same 
condition as would apply for normal testing. This may require you to 
complete the voided test interval. For example, you may generally repeat 
a hot-start test of a heavy-duty highway engine after completing the 
voided hot-start test and allowing the engine to soak for 20 minutes.
    (2) Complete the remainder of the test according to the provisions 
in this subpart.
    (e) Keep records from the voided test mode or test interval in the 
same manner as required for unvoided tests, and include a description of 
the reason for voiding the test mode or test interval.

[75 FR 68463, Nov. 8, 2010]



Sec. 1065.530  Emission test sequence.

    (a) Time the start of testing as follows:
    (1) Perform one of the following if you precondition sampling 
systems as described in Sec. 1065.520(f):
    (i) For cold-start duty cycles, shut down the engine. Unless the 
standard-setting part specifies that you may only perform a natural 
engine cooldown, you may perform a forced engine cooldown. Use good 
engineering judgment to set up systems to send cooling air across the 
engine, to send cool oil through the engine lubrication system, to 
remove heat from coolant through the engine cooling system, and to 
remove heat from any exhaust aftertreatment systems. In the case of a 
forced aftertreatment cooldown, good engineering judgment would indicate 
that you not start flowing cooling air until the aftertreatment system 
has cooled below its catalytic activation temperature. For platinum-
group metal catalysts, this temperature is about 200 [deg]C. Once the 
aftertreatment system has naturally cooled below its catalytic 
activation temperature, good engineering judgment would indicate that 
you use clean air with a temperature of at least 15 [deg]C, and direct 
the air through the aftertreatment system in the normal direction of 
exhaust flow. Do not use any cooling procedure that results in 
unrepresentative emissions (see Sec. 1065.10(c)(1)). You may start a 
cold-start duty cycle when the temperatures of an engine's lubricant, 
coolant, and aftertreatment systems are all between (20 and 30) [deg]C.
    (ii) For hot-start emission measurements, shut down the engine. 
Start the hot-start duty cycle as specified in the standard-setting 
part.
    (iii) For testing that involves hot-stabilized emission 
measurements, such as any steady-state testing, you may continue to 
operate the engine at maximum test speed and 100% torque if that is the 
first operating point. Otherwise, operate the engine at warm idle or the 
first operating point of the duty cycle. In any case, start the emission 
test within 10 min after you complete the preconditioning procedure.
    (2) If you do not precondition sampling systems, perform one of the 
following:
    (i) For cold-start duty cycles, prepare the engine according to 
paragraph (a)(1)(i) of this section.

[[Page 663]]

    (ii) For hot-start emission measurements, first operate the engine 
at any speed above peak-torque speed and at (65 to 85)% of maximum 
mapped power until either the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at 
least 2 min or until the engine thermostat controls engine temperature. 
Shut down the engine. Start the duty cycle within 20 min of engine 
shutdown.
    (iii) For testing that involves hot-stabilized emission 
measurements, bring the engine either to warm idle or the first 
operating point of the duty cycle. Start the test within 10 min of 
achieving temperature stability. Determine temperature stability either 
as the point at which the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at 
least 2 min, or as the point at which the engine thermostat controls 
engine temperature.
    (b) Take the following steps before emission sampling begins:
    (1) For batch sampling, connect clean storage media, such as 
evacuated bags or tare-weighed filters.
    (2) Start all measurement instruments according to the instrument 
manufacturer's instructions and using good engineering judgment.
    (3) Start dilution systems, sample pumps, cooling fans, and the 
data-collection system.
    (4) Pre-heat or pre-cool heat exchangers in the sampling system to 
within their operating temperature tolerances for a test.
    (5) Allow heated or cooled components such as sample lines, filters, 
chillers, and pumps to stabilize at their operating temperatures.
    (6) Verify that there are no significant vacuum-side leaks according 
to Sec. 1065.345.
    (7) Adjust the sample flow rates to desired levels, using bypass 
flow, if desired.
    (8) Zero or re-zero any electronic integrating devices, before the 
start of any test interval.
    (9) Select gas analyzer ranges. You may automatically or manually 
switch gas analyzer ranges during a test only if switching is performed 
by changing the span over which the digital resolution of the instrument 
is applied. During a test you may not switch the gains of an analyzer's 
analog operational amplifier(s).
    (10) Zero and span all continuous analyzers using NIST-traceable 
gases that meet the specifications of Sec. 1065.750. Span FID analyzers 
on a carbon number basis of one (1), C1. For example, if you 
use a C3H8 span gas of concentration 200 
[micro]mol/mol, span the FID to respond with a value of 600 [micro]mol/
mol. Span FID analyzers consistent with the determination of their 
respective response factors, RF, and penetration fractions, PF, 
according to Sec. 1065.365.
    (11) We recommend that you verify gas analyzer responses after 
zeroing and spanning by sampling a calibration gas that has a 
concentration near one-half of the span gas concentration. Based on the 
results and good engineering judgment, you may decide whether or not to 
re-zero, re-span, or re-calibrate a gas analyzer before starting a test.
    (12) If you correct for dilution air background concentrations of 
engine exhaust constituents, start measuring and recording background 
concentrations.
    (13) Drain any condensate from the intake air system and close any 
intake air condensate drains that are not normally open during in-use 
operation.
    (c) Start testing as follows:
    (1) If an engine is already running and warmed up, and starting is 
not part of the duty cycle, perform the following for the various duty 
cycles:
    (i) Transient and steady-state ramped-modal cycles. Simultaneously 
start running the duty cycle, sampling exhaust gases, recording data, 
and integrating measured values.
    (ii) Steady-state discrete-mode cycles. Control the engine operation 
to match the first mode in the test cycle. This will require controlling 
engine speed and load, engine load, or other operator demand settings, 
as specified in the standard-setting part. Follow the instructions in 
the standard-setting part to determine how long to stabilize engine 
operation at each mode, how long to sample emissions at each mode, and 
how to transition between modes.

[[Page 664]]

    (2) If engine starting is part of the duty cycle, initiate data 
logging, sampling of exhaust gases, and integrating measured values 
before attempting to start the engine. Initiate the duty cycle when the 
engine starts.
    (d) At the end of each test interval, continue to operate all 
sampling and dilution systems to allow the sampling system's response 
time to elapse. Then stop all sampling and recording, including the 
recording of background samples. Finally, stop any integrating devices 
and indicate the end of the duty cycle in the recorded data.
    (e) Shut down the engine if you have completed testing or if it is 
part of the duty cycle.
    (f) If testing involves another duty cycle after a soak period with 
the engine off, start a timer when the engine shuts down, and repeat the 
steps in paragraphs (b) through (e) of this section as needed.
    (g) Take the following steps after emission sampling is complete:
    (1) For any proportional batch sample, such as a bag sample or PM 
sample, verify that proportional sampling was maintained according to 
Sec. 1065.545. Void any samples that did not maintain proportional 
sampling according to Sec. 1065.545.
    (2) Place any used PM samples into covered or sealed containers and 
return them to the PM-stabilization environment. Follow the PM sample 
post-conditioning and total weighing procedures in Sec. 1065.595.
    (3) As soon as practical after the duty cycle is complete, or during 
the soak period if practical, perform the following:
    (i) Zero and span all batch gas analyzers no later than 30 minutes 
after the duty cycle is complete, or during the soak period if 
practical.
    (ii) Analyze any conventional gaseous batch samples no later than 30 
minutes after the duty cycle is complete, or during the soak period if 
practical.
    (iii) Analyze background samples no later than 60 minutes after the 
duty cycle is complete.
    (iv) Analyze non-conventional gaseous batch samples, such as ethanol 
(NMHCE) as soon as practical using good engineering judgment.
    (4) After quantifying exhaust gases, verify drift as follows:
    (i) For batch and continuous gas analyzers, record the mean analyzer 
value after stabilizing a zero gas to the analyzer. Stabilization may 
include time to purge the analyzer of any sample gas, plus any 
additional time to account for analyzer response.
    (ii) Record the mean analyzer value after stabilizing the span gas 
to the analyzer. Stabilization may include time to purge the analyzer of 
any sample gas, plus any additional time to account for analyzer 
response.
    (iii) Use these data to validate and correct for drift as described 
in Sec. 1065.550.
    (h) Unless the standard-setting part specifies otherwise, determine 
whether or not the test meets the cycle-validation criteria in Sec. 
1065.514.
    (1) If the criteria void the test, you may retest using the same 
denormalized duty cycle, or you may re-map the engine, denormalize the 
reference duty cycle based on the new map and retest the engine using 
the new denormalized duty cycle.
    (2) If the criteria void the test for a constant-speed engine only 
during commands of maximum test torque, you may do the following:
    (i) Determine the first and last feedback speeds at which maximum 
test torque was commanded.
    (ii) If the last speed is greater than or equal to 90% of the first 
speed, the test is void. You may retest using the same denormalized duty 
cycle, or you may re-map the engine, denormalize the reference duty 
cycle based on the new map and retest the engine using the new 
denormalized duty cycle.
    (iii) If the last speed is less than 90% of the first speed, reduce 
maximum test torque by 5%, and proceed as follows:
    (A) Denormalize the entire duty cycle based on the reduced maximum 
test torque according to Sec. 1065.512.
    (B) Retest the engine using the denormalized test cycle that is 
based on the reduced maximum test torque.
    (C) If your engine still fails the cycle criteria, reduce the 
maximum test torque by another 5% of the original maximum test torque.

[[Page 665]]

    (D) If your engine fails after repeating this procedure four times, 
such that your engine still fails after you have reduced the maximum 
test torque by 20% of the original maximum test torque, notify us and we 
will consider specifying a more appropriate duty cycle for your engine 
under the provisions of Sec. 1065.10(c).
    (i) [Reserved]
    (j) Measure and record ambient temperature, pressure, and humidity, 
as appropriate. For testing the following engines, you must record 
ambient temperature continuously to verify that it remains within the 
pre-test temperature range as specified in Sec. 1065.520(b):
    (1) Air-cooled engines.
    (2) Engines equipped with auxiliary emission control devices that 
sense and respond to ambient temperature.
    (3) Any other engine for which good engineering judgment indicates 
this is necessary to remain consistent with Sec. 1065.10(c)(1).

[73 FR 37321, June 30, 2008, as amended at 75 FR 23043, Apr. 30, 2010]



Sec. 1065.545  Validation of proportional flow control for batch sampling.

    For any proportional batch sample such as a bag or PM filter, 
demonstrate that proportional sampling was maintained using one of the 
following, noting that you may omit up to 5% of the total number of data 
points as outliers:
    (a) For any pair of flow meters, use recorded sample and total flow 
rates, where total flow rate means the raw exhaust flow rate for raw 
exhaust sampling and the dilute exhaust flow rate for CVS sampling, or 
their 1 Hz means with the statistical calculations in Sec. 1065.602. 
Determine the standard error of the estimate, SEE, of the sample flow 
rate versus the total flow rate. For each test interval, demonstrate 
that SEE was less than or equal to 3.5% of the mean sample flow rate.
    (b) For any pair of flow meters, use recorded sample and total flow 
rates, where total flow rate means the raw exhaust flow rate for raw 
exhaust sampling and the dilute exhaust flow rate for CVS sampling, or 
their 1 Hz means to demonstrate that each flow rate was constant within 
2.5% of its respective mean or target flow rate. 
You may use the following options instead of recording the respective 
flow rate of each type of meter:
    (1) Critical-flow venturi option. For critical-flow venturis, you 
may use recorded venturi-inlet conditions or their 1 Hz means. 
Demonstrate that the flow density at the venturi inlet was constant 
within 2.5% of the mean or target density over 
each test interval. For a CVS critical-flow venturi, you may demonstrate 
this by showing that the absolute temperature at the venturi inlet was 
constant within 4% of the mean or target absolute 
temperature over each test interval.
    (2) Positive-displacement pump option. You may use recorded pump-
inlet conditions or their 1 Hz means. Demonstrate that the flow density 
at the pump inlet was constant within 2.5% of the 
mean or target density over each test interval. For a CVS pump, you may 
demonstrate this by showing that the absolute temperature at the pump 
inlet was constant within 2% of the mean or target 
absolute temperature over each test interval.
    (c) Using good engineering judgment, demonstrate with an engineering 
analysis that the proportional-flow control system inherently ensures 
proportional sampling under all circumstances expected during testing. 
For example, you might use CFVs for both sample flow and total flow and 
demonstrate that they always have the same inlet pressures and 
temperatures and that they always operate under critical-flow 
conditions.

[73 FR 37322, June 30, 2008, as amended at 75 FR 23043, Apr. 30, 2010]



Sec. 1065.546  Validation of minimum dilution ratio for PM batch sampling.

    Use continuous flows and/or tracer gas concentrations for transient 
and ramped modal cycles to validate the minimum dilution ratios for PM 
batch sampling as specified in Sec. 1065.140(e)(2) over the test 
interval. You may use mode-average values instead of continuous 
measurements for discrete mode steady-state duty cycles. Determine the 
minimum primary and minimum overall dilution ratios using one of the 
following methods (you may use a different method for each stage of 
dilution):

[[Page 666]]

    (a) Determine minimum dilution ratio based on molar flow data. This 
involves determination of at least two of the following three 
quantities: Raw exhaust flow (or previously diluted flow), dilution air 
flow, and dilute exhaust flow. You may determine the raw exhaust flow 
rate based on the measured intake air molar flow rate and the chemical 
balance terms in Sec. 1065.655. You may alternatively estimate the 
molar raw exhaust flow rate based on intake air, fuel rate measurements, 
and fuel properties, consistent with good engineering judgment.
    (b) Determine minimum dilution ratio based on tracer gas (e.g., 
CO2) concentrations in the raw (or previously diluted) and 
dilute exhaust corrected for any removed water.
    (c) Use good engineering judgment to develop your own method of 
determining dilution ratios.

[75 FR 23043, Apr. 30, 2010]



Sec. 1065.550  Gas analyzer range validation, drift validation, and drift correction.

    (a) Range validation. If an analyzer operated above 100% of its 
range at any time during the test, perform the following steps:
    (1) For batch sampling, re-analyze the sample using the lowest 
analyzer range that results in a maximum instrument response below 100%. 
Report the result from the lowest range from which the analyzer operates 
below 100% of its range.
    (2) For continuous sampling, repeat the entire test using the next 
higher analyzer range. If the analyzer again operates above 100% of its 
range, repeat the test using the next higher range. Continue to repeat 
the test until the analyzer always operates at less than 100% of its 
range.
    (b) Drift validation and drift correction. Calculate two sets of 
brake-specific emission results for each test interval. Calculate one 
set using the data before drift correction and calculate the other set 
after correcting all the data for drift according to Sec. 1065.672. Use 
the two sets of brake-specific emission results to validate the duty 
cycle for drift as follows:
    (1) The duty cycle is validated for drift if you satisfy one of the 
following criteria:
    (i) For each test interval of the duty cycle and for each measured 
exhaust constituent, the difference between the uncorrected and the 
corrected brake-specific emission values over the test interval is 
within 4% of the uncorrected value or applicable 
emission standard, whichever is greater. This requirement also applies 
for CO2, whether or not an emission standard applies for 
CO2. Where no emission standard applies for CO2, 
the difference must be within 4% of the 
uncorrected value. See paragraph (b)(4) of this section for exhaust 
constituents other than CO2 for which no emission standard 
applies.
    (ii) For the entire duty cycle and for each measured exhaust 
constituent, the difference between the uncorrected and corrected 
composite brake-specific emission values over the entire duty cycle is 
within  4% of the uncorrected value or the 
applicable emission standard, whichever is greater. Note that for 
purposes of drift validation using composite brake-specific emission 
values over the entire duty cycle, leave unaltered any negative emission 
results over a given test interval (i.e., do not set them to zero). A 
third calculation of composite brake-specific emission values is 
required for final reporting. This calculation uses drift-corrected mass 
(or mass rate) values from each test interval and sets any negative mass 
(or mass rate) values to zero before calculating the composite brake-
specific emission values over the entire duty cycle. This requirement 
also applies for CO2, whether or not an emission standard 
applies for CO2. Where no emission standard applies for 
CO2, the difference must be within  4% 
of the uncorrected value. See paragraph (b)(4) of this section for 
exhaust constituents other than CO2 for which no emission 
standard applies.
    (2) For standards consisting of combined, individual measurements of 
exhaust constituents (such as NOX + NMHC or separate NO and 
NO2 measurements to comply with a NOX standard), 
the duty cycle shall be validated for drift if you satisfy one of the 
following:

[[Page 667]]

    (i) For each test interval of the duty cycle and for each 
individually measured exhaust constituent (e.g. NO, NO2, 
NOX, or NMHC), the difference between the uncorrected and the 
corrected brake-specific emission values over the test interval is 
within  4% of the uncorrected value; or
    (ii) For each test interval of the duty cycle or for the entire duty 
cycle the difference between the combined (e.g. NOX + NMHC) 
uncorrected and combined (e.g. NOX + NMHC) corrected 
composite brake-specific emissions values over each test interval of the 
duty cycle or the entire duty cycle is within  4% 
of the uncorrected value or the applicable emissions standard, whichever 
is greater.
    (3) If the test is not validated for drift, you may consider the 
test results for the duty cycle to be valid only if, using good 
engineering judgment, the observed drift does not affect your ability to 
demonstrate compliance with the applicable emission standards. For 
example, if the drift-corrected value is less than the standard by at 
least two times the absolute difference between the uncorrected and 
corrected values, you may consider the data to be valid for 
demonstrating compliance with the applicable standard.
    (4) The provisions of this paragraph (b)(4) apply for measurement of 
pollutants other than CO2 for which no emission standard 
applies (for purposes of this provision, standards consisting of 
combined, individual measurements are considered to be standards for 
each individual pollutant). You may use measurements that do not meet 
the drift validation criteria specified in paragraph (b)(1). For 
example, this allowance may be appropriate for measuring and reporting 
very low concentrations of CH4 and N2O as long as 
no emission standard applies for these compounds.

[73 FR 37322, June 30, 2008, as amended at 74 FR 56515, Oct. 30, 2009; 
75 FR 23044, Apr. 30, 2010; 75 FR 68463, Nov. 8, 2010]



Sec. 1065.590  PM sampling media (e.g., filters) preconditioning and tare weighing.

    Before an emission test, take the following steps to prepare PM 
sampling media (e.g., filters) and equipment for PM measurements:
    (a) Make sure the balance and PM-stabilization environments meet the 
periodic verifications in Sec. 1065.390.
    (b) Visually inspect unused sample media (e.g., filters) for defects 
and discard defective media.
    (c) To handle PM sampling media (e.g., filters), use electrically 
grounded tweezers or a grounding strap, as described in Sec. 1065.190.
    (d) Place unused sample media (e.g., filters) in one or more 
containers that are open to the PM-stabilization environment. If you are 
using filters, you may place them in the bottom half of a filter 
cassette.
    (e) Stabilize sample media (e.g., filters) in the PM-stabilization 
environment. Consider an unused sample medium stabilized as long as it 
has been in the PM-stabilization environment for a minimum of 30 min, 
during which the PM-stabilization environment has been within the 
specifications of Sec. 1065.190.
    (f) Weigh the sample media (e.g., filters) automatically or 
manually, as follows:
    (1) For automatic weighing, follow the automation system 
manufacturer's instructions to prepare samples for weighing. This may 
include placing the samples in a special container.
    (2) For manual weighing, use good engineering judgment to determine 
if substitution weighing is necessary to show that an engine meets the 
applicable standard. You may follow the substitution weighing procedure 
in paragraph (j) of this section, or you may develop your own procedure.
    (g) Correct the measured mass of each sample medium (e.g., filter) 
for buoyancy as described in Sec. 1065.690. These buoyancy-corrected 
values are subsequently subtracted from the post-test mass of the 
corresponding sample media (e.g., filters) and collected PM to determine 
the mass of PM emitted during the test.
    (h) You may repeat measurements to determine the mean mass of each 
sample medium (e.g., filter). Use good engineering judgment to exclude 
outliers from the calculation of mean mass values.

[[Page 668]]

    (i) If you use filters as sample media, load unused filters that 
have been tare-weighed into clean filter cassettes and place the loaded 
cassettes in a clean, covered or sealed container before removing them 
from the stabilization environment for transport to the test site for 
sampling. We recommend that you keep filter cassettes clean by 
periodically washing or wiping them with a compatible solvent applied 
using a lint-free cloth. Depending upon your cassette material, ethanol 
(C2H5OH) might be an acceptable solvent. Your cleaning frequency will 
depend on your engine's level of PM and HC emissions.
    (j) Substitution weighing involves measurement of a reference weight 
before and after each weighing of PM sampling media (e.g., filters). 
While substitution weighing requires more measurements, it corrects for 
a balance's zero-drift and it relies on balance linearity only over a 
small range. This is most advantageous when quantifying net PM masses 
that are less than 0.1% of the sample medium's mass. However, it may not 
be advantageous when net PM masses exceed 1% of the sample medium's 
mass. If you utilize substitution weighing, it must be used for both 
pre-test and post-test weighing. The same substitution weight must be 
used for both pre-test and post-test weighing. Correct the mass of the 
substitution weight for buoyancy if the density of the substitution 
weight is less than 2.0 g/cm\3\. The following steps are an example of 
substitution weighing:
    (1) Use electrically grounded tweezers or a grounding strap, as 
described in Sec. 1065.190.
    (2) Use a static neutralizer as described in Sec. 1065.190 to 
minimize static electric charge on any object before it is placed on the 
balance pan.
    (3) Select a substitution weight that meets the requirements for 
calibration weights found in Sec. 1065.790. The substitution weight 
must also have the same density as the weight you use to span the 
microbalance, and be similar in mass to an unused sample medium (e.g., 
filter). A 47 mm PTFE membrane filter will typically have a mass in the 
range of 80 to 100 mg.
    (4) Record the stable balance reading, then remove the calibration 
weight.
    (5) Weigh an unused sample medium (e.g., a new filter), record the 
stable balance reading and record the balance environment's dewpoint, 
ambient temperature, and atmospheric pressure.
    (6) Reweigh the calibration weight and record the stable balance 
reading.
    (7) Calculate the arithmetic mean of the two calibration-weight 
readings that you recorded immediately before and after weighing the 
unused sample. Subtract that mean value from the unused sample reading, 
then add the true mass of the calibration weight as stated on the 
calibration-weight certificate. Record this result. This is the unused 
sample's tare weight without correcting for buoyancy.
    (8) Repeat these substitution-weighing steps for the remainder of 
your unused sample media.
    (9) Once weighing is completed, follow the instructions given in 
paragraphs (g) through (i) of this section.

[73 FR 37323, June 30, 2008]



Sec. 1065.595  PM sample post-conditioning and total weighing.

    After testing is complete, return the sample media (e.g., filters) 
to the weighing and PM-stabilization environments.
    (a) Make sure the weighing and PM-stabilization environments meet 
the ambient condition specifications in Sec. 1065.190(e)(1). If those 
specifications are not met, leave the test sample media (e.g., filters) 
covered until proper conditions have been met.
    (b) In the PM-stabilization environment, remove PM samples from 
sealed containers. If you use filters, you may remove them from their 
cassettes before or after stabilization. We recommend always removing 
the top portion of the cassette before stabilization. When you remove a 
filter from a cassette, separate the top half of the cassette from the 
bottom half using a cassette separator designed for this purpose.
    (c) To handle PM samples, use electrically grounded tweezers or a 
grounding strap, as described in Sec. 1065.190.
    (d) Visually inspect the sampling media (e.g., filters) and 
collected particulate. If either the sample media (e.g., filters) or 
particulate sample appear to have been compromised, or the

[[Page 669]]

particulate matter contacts any surface other than the filter, the 
sample may not be used to determine particulate emissions. In the case 
of contact with another surface, clean the affected surface before 
continuing.
    (e) To stabilize PM samples, place them in one or more containers 
that are open to the PM-stabilization environment, as described in Sec. 
1065.190. If you expect that a sample medium's (e.g., filter's) total 
surface concentration of PM will be less than 400 [micro]g, assuming a 
38 mm diameter filter stain area, expose the filter to a PM-
stabilization environment meeting the specifications of Sec. 1065.190 
for at least 30 minutes before weighing. If you expect a higher PM 
concentration or do not know what PM concentration to expect, expose the 
filter to the stabilization environment for at least 60 minutes before 
weighing. Note that 400 [micro]g on sample media (e.g., filters) is an 
approximate net mass of 0.07 g/kW[middot]hr for a hot-start test with 
compression-ignition engines tested according to 40 CFR part 86, subpart 
N, or 50 mg/mile for light-duty vehicles tested according to 40 CFR part 
86, subpart B.
    (f) Repeat the procedures in Sec. 1065.590(f) through (i) to 
determine post-test mass of the sample media (e.g., filters).
    (g) Subtract each buoyancy-corrected tare mass of the sample medium 
(e.g., filter) from its respective buoyancy-corrected mass. The result 
is the net PM mass, mPM. Use mPM in emission 
calculations in Sec. 1065.650.

[73 FR 37323, June 30, 2008]



              Subpart G_Calculations and Data Requirements



Sec. 1065.601  Overview.

    (a) This subpart describes how to--
    (1) Use the signals recorded before, during, and after an emission 
test to calculate brake-specific emissions of each measured exhaust 
constituent.
    (2) Perform calculations for calibrations and performance checks.
    (3) Determine statistical values.
    (b) You may use data from multiple systems to calculate test results 
for a single emission test, consistent with good engineering judgment. 
You may also make multiple measurements from a single batch sample, such 
as multiple weighings of a PM filter or multiple readings from a bag 
sample. You may not use test results from multiple emission tests to 
report emissions. We allow weighted means where appropriate. You may 
discard statistical outliers, but you must report all results.
    (c) You may use any of the following calculations instead of the 
calculations specified in this subpart G:
    (1) Mass-based emission calculations prescribed by the International 
Organization for Standardization (ISO), according to ISO 8178, except 
the following:
    (i) ISO 8178-1 Section 14.4, NOX Correction for Humidity 
and Temperature. See Sec. 1065.670 for approved methods for humidity 
corrections.
    (ii) ISO 8178-1 Section 15.1, Particulate Correction Factor for 
Humidity.
    (2) Other calculations that you show are equivalent to within 0.1% of the brake-specific emission results determined 
using the calculations specified in this subpart G.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37324, June 30, 2008; 
74 FR 56516, Oct. 30, 2009; 75 FR 23044, Apr. 30, 2010]



Sec. 1065.602  Statistics.

    (a) Overview. This section contains equations and example 
calculations for statistics that are specified in this part. In this 
section we use the letter ``y'' to denote a generic measured quantity, 
the superscript over-bar ``-`` to denote an arithmetic mean, 
and the subscript ``ref'' to denote the reference quantity 
being measured.
    (b) Arithmetic mean. Calculate an arithmetic mean, y, as follows:

[[Page 670]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.003

Example:

N = 3
y1 = 10.60
y2 = 11.91
yN = y3 = 11.09
[GRAPHIC] [TIFF OMITTED] TR30AP10.004

y = 11.20

    (c) Standard deviation. Calculate the standard deviation for a non-
biased (e.g., N-1) sample, [sigma], as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.024

Example:

N = 3
y1 = 10.60
y2 = 11.91
yN = y3 = 11.09
y = 11.20
[GRAPHIC] [TIFF OMITTED] TR13JY05.025

[sigma]y = 0.6619

    (d) Root mean square. Calculate a root mean square, rmsy, 
as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.026

Example:

N = 3
y1 = 10.60
y2 = 11.91
yN = y3 = 11.09
[GRAPHIC] [TIFF OMITTED] TR13JY05.027

rmsy = 11.21

    (e) Accuracy. Determine accuracy as described in this paragraph (e). 
Make multiple measurements of a standard quantity to create a set of 
observed values, yi, and compare each observed value to the 
known value of the standard quantity. The standard quantity may have a 
single known value, such as a gas standard, or a set of known values of 
negligible range, such as a known applied pressure produced by a 
calibration device during repeated applications. The known value of the 
standard quantity is represented by yrefi . If you use a 
standard quantity with a single value, yrefi would be 
constant. Calculate an accuracy value as follows:

[[Page 671]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.005

Example:

yref = 1800.0
N = 3
y1 = 1806.4
y2 = 1803.1
y3 = 1798.9
[GRAPHIC] [TIFF OMITTED] TR30AP10.006

[GRAPHIC] [TIFF OMITTED] TR30AP10.007

accuracy = 2.8

    (f) t-test. Determine if your data passes a t-test by using the 
following equations and tables:
    (1) For an unpaired t-test, calculate the t statistic and its number 
of degrees of freedom, [nu], as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.030

[GRAPHIC] [TIFF OMITTED] TR13JY05.031

Example:

yref = 1205.3
y = 1123.8
[sigma]ref = 9.399
[sigma]y = 10.583
Nref = 11
N= 7
[GRAPHIC] [TIFF OMITTED] TR13JY05.032

t = 16.63
[sigma]ref = 9.399
[sigma]y = 10.583
Nref = 11
N = 7
[GRAPHIC] [TIFF OMITTED] TR13JY05.033

[nu] = 11.76

    (2) For a paired t-test, calculate the t statistic and its number of 
degrees of freedom, [nu], as follows, noting that the [epsi]i are the 
errors (e.g., differences) between each pair of yrefi and yi:
[GRAPHIC] [TIFF OMITTED] TR13JY05.034

Example:


[[Page 672]]


[epsi] = -0.12580
N = 16
[sigma][epsi] = 0.04837
[GRAPHIC] [TIFF OMITTED] TR13JY05.035

t = 10.403
[nu] = N - 1

Example:

N = 16
[nu] = 16 - 1
[nu] = 15

    (3) Use Table 1 of this section to compare t to the tcrit 
values tabulated versus the number of degrees of freedom. If t is less 
than tcrit, then t passes the t-test. The Microsoft Excel 
software package contains a TINV function that returns results 
equivalent to Sec. 1065.602 Table 1 and may be used in place of Table 
1.

 Table 1 of Sec.  1065.602--Critical t Values Versus Number of Degrees
                          of Freedom, [nu] \1\
------------------------------------------------------------------------
                                                         Confidence
                       [nu]                        ---------------------
                                                       90%        95%
------------------------------------------------------------------------
1.................................................      6.314     12.706
2.................................................      2.920      4.303
3.................................................      2.353      3.182
4.................................................      2.132      2.776
5.................................................      2.015      2.571
6.................................................      1.943      2.447
7.................................................      1.895      2.365
8.................................................      1.860      2.306
9.................................................      1.833      2.262
10................................................      1.812      2.228
11................................................      1.796      2.201
12................................................      1.782      2.179
13................................................      1.771      2.160
14................................................      1.761      2.145
15................................................      1.753      2.131
16................................................      1.746      2.120
18................................................      1.734      2.101
20................................................      1.725      2.086
22................................................      1.717      2.074
24................................................      1.711      2.064
26................................................      1.706      2.056
28................................................      1.701      2.048
30................................................      1.697      2.042
35................................................      1.690      2.030
40................................................      1.684      2.021
50................................................      1.676      2.009
70................................................      1.667      1.994
100...............................................      1.660      1.984
1000+.............................................      1.645      1.960
------------------------------------------------------------------------
\1\ Use linear interpolation to establish values not shown here.

    (g) F-test. Calculate the F statistic as follows:
    [GRAPHIC] [TIFF OMITTED] TR13JY05.036
    
Example:
[GRAPHIC] [TIFF OMITTED] TR13JY05.037

[GRAPHIC] [TIFF OMITTED] TR13JY05.038

[GRAPHIC] [TIFF OMITTED] TR13JY05.039


[[Page 673]]


F = 1.268

    (1) For a 90% confidence F-test, use Table 2 of this section to 
compare F to the Fcrit90 values tabulated versus (N-1) and 
(Nref-1). If F is less than Fcrit90, then F passes 
the F-test at 90% confidence.
    (2) For a 95% confidence F-test, use Table 3 of this section to 
compare F to the Fcrit95 values tabulated versus (N-1) and 
(Nref-1). If F is less than Fcrit95, then F passes 
the F-test at 95% confidence.
[GRAPHIC] [TIFF OMITTED] TR13JY05.017


[[Page 674]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.018

    (h) Slope. Calculate a least-squares regression slope, 
a1y, as follows:

[[Page 675]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.040

Example:

N = 6000
y1 = 2045.8
y = 1051.1
yref 1 = 2045.0
yref = 1055.3
[GRAPHIC] [TIFF OMITTED] TR13JY05.041

a1y = 1.0110

    (i) Intercept. Calculate a least-squares regression intercept, 
a0y, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.042

Example:

y = 1050.1
a1y = 1.0110
yref = 1055.3
a0y = 1050.1 - (1.0110 [middot] 1055.3)
a0y = -16.8083

    (j) Standard estimate of error. Calculate a standard estimate of 
error, SEE, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.043

Example:

N = 6000
y1 = 2045.8
a0y = -16.8083
a1y = 1.0110
yrefi= 2045.0
[GRAPHIC] [TIFF OMITTED] TR13JY05.044

SEEy = 5.348

    (k) Coefficient of determination. Calculate a coefficient of 
determination, r\2\, as follows:

[[Page 676]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.045

Example:

N = 6000
y1 = 2045.8
a0y = -16.8083
a1y = 1.0110
yrefi = 2045.0
y = 1480.5
[GRAPHIC] [TIFF OMITTED] TR13JY05.046

[GRAPHIC] [TIFF OMITTED] TR13JY05.174

    (l) Flow-weighted mean concentration. In some sections of this part, 
you may need to calculate a flow-weighted mean concentration to 
determine the applicability of certain provisions. A flow-weighted mean 
is the mean of a quantity after it is weighted proportional to a 
corresponding flow rate. For example, if a gas concentration is measured 
continuously from the raw exhaust of an engine, its flow-weighted mean 
concentration is the sum of the products of each recorded concentration 
times its respective exhaust molar flow rate, divided by the sum of the 
recorded flow rate values. As another example, the bag concentration 
from a CVS system is the same as the flow-weighted mean concentration 
because the CVS system itself flow-weights the bag concentration. You 
might already expect a certain flow-weighted mean concentration of an 
emission at its standard based on previous testing with similar engines 
or testing with similar equipment and instruments. If you need to 
estimate your expected flow-weighted mean concentration of an emission 
at its standard, we recommend using the following examples as a guide 
for how to estimate the flow-weighted mean concentration expected at the 
standard. Note that these examples are not exact and that they contain 
assumptions that are not always valid. Use good engineering judgment to 
determine if you can use similar assumptions.
    (1) To estimate the flow-weighted mean raw exhaust NOX 
concentration from a turbocharged heavy-duty compression-ignition engine 
at a NOX standard of 2.5 g/(kW[middot]hr), you may do the 
following:
    (i) Based on your engine design, approximate a map of maximum torque 
versus speed and use it with the applicable normalized duty cycle in the 
standard-setting part to generate a reference duty cycle as described in 
Sec. 1065.610. Calculate the total reference work, Wref, as 
described in Sec. 1065.650. Divide the reference work by the duty 
cycle's time interval, [Delta]tdutycycle, to determine mean 
reference power, Pref.
    (ii) Based on your engine design, estimate maximum power, 
Pmax, the design speed at maximum power, fnmax, 
the design maximum intake manifold boost pressure, pinmax, 
and temperature, Tinmax. Also, estimate a mean fraction of 
power that is lost due to friction and pumping, Pfrict. Use 
this information along with the engine displacement volume, 
Vdisp, an approximate volumetric efficiency, 
[eta]V, and the number of engine strokes per power stroke (2-
stroke or 4-stroke), Nstroke to estimate the maximum raw 
exhaust molar flow rate, nexhmax.
    (iii) Use your estimated values as described in the following 
example calculation:

[[Page 677]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.008

[GRAPHIC] [TIFF OMITTED] TR30AP10.009

Example:

eNOx = 2.5 g/(kW[middot]hr)
Wref = 11.883 kW[middot]hr
MNOx = 46.0055 g/mol = 46.0055[middot]10-6 g/
          [micro]mol
[Delta]tdutycycle = 20 min = 1200 s
Pref = 35.65 kW
Pfrict = 15%
Pmax = 125 kW
pmax = 300 kPa = 300000 Pa
Vdisp = 3.0 l = 0.0030 m\3\
fnmax = 2800 rev/min = 46.67 rev/s
Nstroke = 4 1/rev
[eta]V = 0.9
R = 8.314472 J/(mol[middot]K)
Tmax = 348.15 K
[GRAPHIC] [TIFF OMITTED] TR30AP10.010

nexhmax = 6.53 mol/s
[GRAPHIC] [TIFF OMITTED] TR30AP10.011

xexp = 189.4 [micro]mol/mol

    (2) To estimate the flow-weighted mean NMHC concentration in a CVS 
from a naturally aspirated nonroad spark-ignition engine at an NMHC 
standard of 0.5 g/(kW[middot]hr), you may do the following:
    (i) Based on your engine design, approximate a map of maximum torque 
versus speed and use it with the applicable normalized duty cycle in the 
standard-setting part to generate a reference duty cycle as described in 
Sec. 1065.610. Calculate the total reference work, Wref, as 
described in Sec. 1065.650.
    (ii) Multiply your CVS total molar flow rate by the time interval of 
the duty cycle, [Delta]tdutycycle. The result is the total 
diluted exhaust flow of the ndexh.
    (iii) Use your estimated values as described in the following 
example calculation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.051


[[Page 678]]


Example:

eNMHC = 1.5 g/(kW[middot]hr)
Wref = 5.389 kW[middot]hr
MNMHC = 13.875389 g/mol = 13.875389 [middot] 10-6 
g/[micro]mol
ndexh = 6.021 mol/s
[Delta]tdutycycle = 30 min = 1800 s
[GRAPHIC] [TIFF OMITTED] TR13JY05.052

xNMHC = 53.8 [micro]mol/mol

[70 FR 40516, July 13, 2005, as amended at 73 FR 37324, June 30, 2008; 
75 FR 23044, Apr. 30, 2010]



Sec. 1065.610  Duty cycle generation.

    This section describes how to generate duty cycles that are specific 
to your engine, based on the normalized duty cycles in the standard-
setting part. During an emission test, use a duty cycle that is specific 
to your engine to command engine speed, torque, and power, as 
applicable, using an engine dynamometer and an engine operator demand. 
Paragraph (a) of this section describes how to ``normalize'' your 
engine's map to determine the maximum test speed and torque for your 
engine. The rest of this section describes how to use these values to 
``denormalize'' the duty cycles in the standard-setting parts, which are 
all published on a normalized basis. Thus, the term ``normalized'' in 
paragraph (a) of this section refers to different values than it does in 
the rest of the section.
    (a) Maximum test speed, fntest. This section generally 
applies to duty cycles for variable-speed engines. For constant-speed 
engines subject to duty cycles that specify normalized speed commands, 
use the no-load governed speed as the measured fntest. This 
is the highest engine speed where an engine outputs zero torque. For 
variable-speed engines, determine the measured fntest from 
the power-versus-speed map, generated according to Sec. 1065.510, as 
follows:
    (1) Based on the map, determine maximum power, Pmax, and 
the speed at which maximum power occurred, fnPmax. If maximum 
power occurs at multiple speeds, take fnPmax as the lowest of 
these speeds. Divide every recorded power by Pmax and divide 
every recorded speed by fnPmax. The result is a normalized 
power-versus-speed map. Your measured fntest is the speed at 
which the sum of the squares of normalized speed and power is maximum. 
Note that if multiple maximum values are found, fntest should 
be taken as the lowest speed of all points with the same maximum sum of 
squares.
    Determine fntest as follows:
    [GRAPHIC] [TIFF OMITTED] TR08OC08.098
    
Where:

fntest = maximum test speed.
i = an indexing variable that represents one recorded value of an engine 
map.
fnnormi = an engine speed normalized by dividing it by 
fnPmax.
Pnormi = an engine power normalized by dividing it by 
Pmax.

Example:

(fnnorm1 = 1.002, Pnorm1 = 0.978, fn1 = 
2359.71)
(fnnorm2 = 1.004, Pnorm2 = 0.977, fn2 = 
2364.42)
(fnnorm3 = 1.006, Pnorm3 = 0.974, fn3 = 
2369.13)
(fnnorm12 + Pnorm1\2\) = (1.002\2\ + 
0.978\2\) = 1.960
(fnnorm2\2\ + Pnorm2\2\) = (1.004\2\ + 0.977\2\) = 
1.963
(fnnorm3\2\ + Pnorm3\2\) = (1.006\2\ + 0.974\2\) = 
1.961
maximum = 1.963 at i = 2
fntest = 2364.42 rev/min

    (2) For variable-speed engines, transform normalized speeds to 
reference speeds according to paragraph (c) of this section by using the 
measured maximum test speed determined according to paragraph (a)(1) of 
this section--or use your declared maximum test speed, as allowed in 
Sec. 1065.510.
    (3) For constant-speed engines, transform normalized speeds to 
reference speeds according to paragraph (c) of this section by using the 
measured no-load governed speed--or use your declared maximum test 
speed, as allowed in Sec. 1065.510.
    (b) Maximum test torque, Ttest. For constant-speed 
engines, determine the measured Ttest from the power-versus-
speed map, generated according to Sec. 1065.510, as follows:

[[Page 679]]

    (1) Based on the map, determine maximum power, Pmax, and 
the speed at which maximum power occurs, fnPmax. If maximun 
power occurs at multiple speeds, take fnPmax as the lowest of 
these speeds. Divide every recorded power by Pmax and divide 
every recorded speed by fnPmax. The result is a normalized 
power-versus-speed map. Your measured Ttest is the torque at 
which the sum of the squares of normalized speed and power is maximum. 
Note that that if multiple maximum values are found, Ttest 
should be taken as the highest torque of all points with the same 
maximum sum of squares. Determine Ttest as follows:
[GRAPHIC] [TIFF OMITTED] TR08OC08.099

Where:

Ttest = maximum test torque.


Example:

(fnnorm1 = 1.002, Pnorm1 = 0.978, T1 = 
722.62 N[middot]m)
(fnnorm2 = 1.004, Pnorm2 = 0.977, T2 = 
720.44 N[middot]m)
(fnnorm3 = 1.006, Pnorm3 = 0.974, T3 = 
716.80 N[middot]m)
(fnnorm1\2\ + Pnorm1\2\) = (1.002\2\ + 0.978\2\) = 
1.960
(fnnorm1\2\ + Pnorm1\2\) = (1.004\2\ + 0.977\2\) = 
1.963
(fnnorm1\2\ + Pnorm1\2\) = (1.006\2\ + 0.974\2\) = 
1.961
maximum = 1.963 at i = 2
Ttest = 720.44 N[middot]m

    (2) Transform normalized torques to reference torques according to 
paragraph (d) of this section by using the measured maximum test torque 
determined according to paragraph (b)(1) of this section--or use your 
declared maximum test torque, as allowed in Sec. 1065.510.
    (c) Generating reference speed values from normalized duty cycle 
speeds. Transform normalized speed values to reference values as 
follows:
    (1) % speed. If your normalized duty cycle specifies % speed values, 
use your warm idle speed and your maximum test speed to transform the 
duty cycle, as follows:

fnref = % speed [middot] (fntest - 
    fnidle) + fnidle

Eq. 1065.610-3

Example:

% speed = 85%
fntest = 2364 rev/min
fnidle = 650 rev/min
fnref = 85% [middot] (2364-650 ) + 650
fnref = 2107 rev/min

    (2) A, B, and C speeds. If your normalized duty cycle specifies 
speeds as A, B, or C values, use your power-versus-speed curve to 
determine the lowest speed below maximum power at which 50% of maximum 
power occurs. Denote this value as nlo. Take nlo 
to be warm idle speed if all power points at speeds below the maximum 
power speed are higher than 50% of maximum power. Also determine the 
highest speed above maximum power at which 70% of maximum power occurs. 
Denote this value as nhi. If all power points at speeds above 
the maximum power speed are higher than 70% of maximum power, take 
nhi to be the declared maximum safe engine speed or the 
declared maximum representative engine speed, whichever is lower. Use 
nhi and nlo to calculate reference values for A, 
B, or C speeds as follows:
fnrefA = 0.25 [middot] (nhi - nlo) + 
    nlo

Eq. 1065.610-4

fnrefB = 0.50 [middot] (nhi - nnlo) + 
    nlo

Eq. 1065.610-5
fnrefC = 0.75 [middot] (nhi - nlo) + 
    nlo
Eq. 1065.610-6

Example:

nlo = 1005 rev/min
nhi = 2385 rev/min
fnrefA = 0.25 [middot] (2385-1005) + 1005
fnrefB = 0.50 [middot] (2385-1005) + 1005
fnrefC = 0.75 [middot] (2385-1005) + 1005
fnrefA = 1350 rev/min
fnrefB = 1695 rev/min
fnrefC = 2040 rev/min

    (3) Intermediate speed. If your normalized duty cycle specifies a 
speed as ``intermediate speed,'' use your torque-versus-speed curve to 
determine the speed at which maximum torque occurs. This is peak torque 
speed. If maximum torque occurs in a flat region of the torque-versus-
speed curve, your peak torque speed is the midpoint between the lowest 
and highest speeds at which the trace reaches the flat region. For 
purposes of this paragraph (c)(3), a

[[Page 680]]

flat region is one in which measured torque values are within 2.0% of 
the maximum recorded value. Identify your reference intermediate speed 
as one of the following values:
    (i) Peak torque speed if it is between (60 and 75)% of maximum test 
speed.
    (ii) 60% of maximum test speed if peak torque speed is less than 60% 
of maximum test speed.
    (iii) 75% of maximum test speed if peak torque speed is greater than 
75% of maximum test speed.
    (d) Generating reference torques from normalized duty-cycle torques. 
Transform normalized torques to reference torques using your map of 
maximum torque versus speed.
    (1) Reference torque for variable-speed engines. For a given speed 
point, multiply the corresponding % torque by the maximum torque at that 
speed, according to your map. If your engine is subject to a reference 
duty cycle that specifies negative torque values (i.e., engine 
motoring), use negative torque for those motoring points (i.e., the 
motoring torque). If you map negative torque as allowed under Sec. 
1065.510 (c)(2) and the low-speed governor activates, resulting in 
positive torques, you may replace those positive motoring mapped torques 
with negative values between zero and the largest negative motoring 
torque. For both maximum and motoring torque maps, linearly interpolate 
mapped torque values to determine torque between mapped speeds. If the 
reference speed is below the minimum mapped speed (i.e., 95% of idle 
speed or 95% of lowest required speed, whichever is higher), use the 
mapped torque at the minimum mapped speed as the reference torque. The 
result is the reference torque for each speed point.
    (2) Reference torque for constant-speed engines. Multiply a % torque 
value by your maximum test torque. The result is the reference torque 
for each point.
    (3) Required deviations. We require the following deviations for 
variable-speed engines intended primarily for propulsion of a vehicle 
with an automatic transmission where that engine is subject to a 
transient duty cycle with idle operation. These deviations are intended 
to produce a more representative transient duty cycle for these 
applications. For steady-state duty cycles or transient duty cycles with 
no idle operation, these requirements do not apply. Idle points for 
steady state duty cycles of such engines are to be run at conditions 
simulating neutral or park on the transmission.
    (i) Zero-percent speed is the warm idle speed measured according to 
Sec. 1065.510(b)(6) with CITT applied, i.e., measured warm idle speed 
in drive.
    (ii) If the cycle begins with a set of contiguous idle points (zero-
percent speed, and zero-percent torque), leave the reference torques set 
to zero for this initial contiguous idle segment. This is to represent 
free idle operation with the transmission in neutral or park at the 
start of the transient duty cycle, after the engine is started. If the 
initial idle segment is longer than 24 s, change the reference torques 
for the remaining idle points in the initial contiguous idle segment to 
CITT (i.e., change idle points corresponding to 25 s to the end of the 
initial idle segment to CITT). This is to represent shifting the 
transmission to drive.
    (iii) For all other idle points, change the reference torque to 
CITT. This is to represent the transmission operating in drive.
    (iv) If the engine is intended primarily for automatic transmissions 
with a Neutral-When-Stationary feature that automatically shifts the 
transmission to neutral after the vehicle is stopped for a designated 
time and automatically shifts back to drive when the operator increases 
demand (i.e., pushes the accelerator pedal), change the reference torque 
back to zero for idle points in drive after the designated time.
    (v) For all points with normalized speed at or below zero percent 
and reference torque from zero to CITT, set the reference torque to 
CITT. This is to provide smoother torque references below idle speed.
    (vi) For motoring points, make no changes.
    (vii) For consecutive points with reference torques from zero to 
CITT that immediately follow idle points, change their reference torques 
to CITT. This is to provide smooth torque transition out of idle 
operation. This does not apply if the Neutral-When-Stationary

[[Page 681]]

feature is used and the transmission has shifted to neutral.
    (viii) For consecutive points with reference torque from zero to 
CITT that immediately precede idle points, change their reference 
torques to CITT. This is to provide smooth torque transition into idle 
operation.
    (4) Permissible deviations for any engine. If your engine does not 
operate below a certain minimum torque under normal in-use conditions, 
you may use a declared minimum torque as the reference value instead of 
any value denormalized to be less than the declared value. For example, 
if your engine is connected to a hydrostatic transmission and it has a 
minimum torque even when all the driven hydraulic actuators and motors 
are stationary and the engine is at idle, then you may use this declared 
minimum torque as a reference torque value instead of any reference 
torque value generated under paragraph (d)(1) or (2) of this section 
that is between zero and this declared minimum torque.
    (e) Generating reference power values from normalized duty cycle 
powers. Transform normalized power values to reference speed and power 
values using your map of maximum power versus speed.
    (1) First transform normalized speed values into reference speed 
values. For a given speed point, multiply the corresponding % power by 
the mapped power at maximum test speed, fntest, unless 
specified otherwise by the standard-setting part. The result is the 
reference power for each speed point, Pref. Convert these 
reference powers to corresponding torques for operator demand and 
dynamometer control and for duty cycle validation per 1065.514. Use the 
reference speed associated with each reference power point for this 
conversion. As with cycles specified with % torque, linearly interpolate 
between these reference torque values generated from cycles with % 
power.
    (2) Permissible deviations for any engine. If your engine does not 
operate below a certain power under normal in-use conditions, you may 
use a declared minimum power as the reference value instead of any value 
denormalized to be less than the declared value. For example, if your 
engine is directly connected to a propeller, it may have a minimum power 
called idle power. In this case, you may use this declared minimum power 
as a reference power value instead of any reference power value 
generated per paragraph (e)(1) of this section that is from zero to this 
declared minimum power.

[73 FR 37324, June 30, 2008, as amended at 73 FR 59330, Oct. 8, 2008; 75 
FR 23045, Apr. 30, 2010]



Sec. 1065.630  1980 international gravity formula.

    The acceleration of Earth's gravity, ag, varies depending 
on your location. Calculate ag at your latitude, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.059

Where:

[thetas] = Degrees north or south latitude.

Example:

[thetas] = 45[deg]
ag = 9.7803267715 [middot] (1+
5.2790414 [middot] 10-3 [middot] sin\2\ (45) +
2.32718 [middot] 10-5 [middot]sin \4\ (45) +
1.262 [middot] 10-7 [middot]sin \6\ (45) +
7 [middot] 10-10 [middot]sin \8\ (45)
ag = 9.8178291229 m/s\2\



Sec. 1065.640  Flow meter calibration calculations.

    This section describes the calculations for calibrating various flow 
meters. After you calibrate a flow meter using these calculations, use 
the calculations described in Sec. 1065.642 to calculate flow during an 
emission test. Paragraph (a) of this section first describes how to 
convert reference flow meter outputs for use in the calibration 
equations, which are presented on a molar basis. The remaining 
paragraphs describe the calibration calculations that are specific to 
certain types of flow meters.
    (a) Reference meter conversions. The calibration equations in this 
section use molar flow rate, nref, as a reference

[[Page 682]]

quantity. If your reference meter outputs a flow rate in a different 
quantity, such as standard volume rate, Vstdref, actual 
volume rate, Vactref, or mass rate, mref, convert 
your reference meter output to a molar flow rate using the following 
equations, noting that while values for volume rate, mass rate, 
pressure, temperature, and molar mass may change during an emission 
test, you should ensure that they are as constant as practical for each 
individual set point during a flow meter calibration:
[GRAPHIC] [TIFF OMITTED] TR08OC08.100


Eq. 1065.640-1

Where:
nref = reference molar flow rate.
Vstdref = reference volume flow rate, corrected to a standard 
pressure and a standard temperature.
Vactref = reference volume flow rate at the actual pressure 
and temperature of the flow rate.
mref = reference mass flow.
Pstd = standard pressure.
Pact = actual pressure of the flow rate.
Tstd = standard temperature.
Tact = actual temperature of the flow rate.
R = molar gas constant.
Mmix = molar mass of the flow rate.

Example 1:

Vstdref = 1000.00 ft\3\/min = 0.471948 m\3\/s
P = 29.9213 in Hg @ 32 [deg]F = 101325 Pa
T = 68.0 [deg]F = 293.15 K
R = 8.314472 J/(mol[middot]K)
[GRAPHIC] [TIFF OMITTED] TR08OC08.101

nref = 19.619 mol/s

Example 2:

mref = 17.2683 kg/min = 287.805 g/s
Mmix = 28.7805 g/mol
[GRAPHIC] [TIFF OMITTED] TR08OC08.102

nref = 10.0000 mol/s
    (b) PDP calibration calculations. For each restrictor position, 
calculate the following values from the mean values determined in Sec. 
1065.340, as follows:
    (1) PDP volume pumped per revolution, Vrev (m\3\/rev):
    [GRAPHIC] [TIFF OMITTED] TR30AP10.012
    
Example:

nref = 25.096 mol/s
R = 8.314472 J/(mol[middot]K)
Tin = 299.5 K
Pin = 98290 Pa
fnPDP = 1205.1 rev/min = 20.085 rev/s

[[Page 683]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.013

Vrev = 0.03166 m\3\/rev

    (2) PDP slip correction factor, Ks (s/rev):
    [GRAPHIC] [TIFF OMITTED] TR13JY05.065
    
Example:

fnPDP = 1205.1 rev/min = 20.085 rev/s
Pout = 100.103 kPa
Pin= 98.290 kPa
[GRAPHIC] [TIFF OMITTED] TR13JY05.066

Ks = 0.006700 s/rev

    (3) Perform a least-squares regression of PDP volume pumped per 
revolution, Vrev, versus PDP slip correction factor, 
Ks, by calculating slope, a1, and intercept, 
a0, as described in Sec. 1065.602.
    (4) Repeat the procedure in paragraphs (b)(1) through (3) of this 
section for every speed that you run your PDP.
    (5) The following example illustrates these calculations:

       Table 1 of Sec.  1065.640--Example of PDP Calibration Data
------------------------------------------------------------------------
 
------------------------------------------------------------------------
f8nPDP                                                   a1           a0
(rev/min)                                        (m\3\/min)   (m\3\/rev)
------------------------------------------------------------------------
755.0.........................................        50.43        0.056
987.6.........................................        49.86       -0.013
1254.5........................................        48.54        0.028
1401.3........................................        47.30       -0.061
------------------------------------------------------------------------

    (6) For each speed at which you operate the PDP, use the 
corresponding slope, a1, and intercept, a0, to 
calculate flow rate during emission testing as described in Sec. 
1065.642.
    (c) Venturi governing equations and permissible assumptions. This 
section describes the governing equations and permissible assumptions 
for calibrating a venturi and calculating flow using a venturi. Because 
a subsonic venturi (SSV) and a critical-flow venturi (CFV) both operate 
similarly, their governing equations are nearly the same, except for the 
equation describing their pressure ratio, r (i.e., rSSV 
versus rCFV). These governing equations assume one-
dimensional isentropic inviscid compressible flow of an ideal gas. In 
paragraph (c)(4) of this section, we describe other assumptions that you 
may make, depending upon how you conduct your emission tests. If we do 
not allow you to assume that the measured flow is an ideal gas, the 
governing equations include a first-order correction for the behavior of 
a real gas; namely, the compressibility factor, Z. If good engineering 
judgment dictates using a value other than Z=1, you may either use an 
appropriate equation of state to determine values of Z as a function of 
measured pressures and temperatures, or you may develop your own 
calibration equations based on good engineering judgment. Note that the 
equation for the flow coefficient, Cf, is based on the ideal 
gas assumption that the isentropic exponent, [gamma], is equal to the 
ratio of specific heats, Cp/Cv. If good 
engineering judgment dictates using a real gas isentropic exponent, you 
may either use an appropriate equation of state to determine values of 
[gamma] as a function of measured pressures and temperatures, or you may 
develop your own calibration equations based on good engineering 
judgment. Calculate molar flow rate, n, as follows:

[[Page 684]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.067

Where:

Cd = Discharge coefficient, as determined in paragraph (c)(1) 
of this section.
Cf = Flow coefficient, as determined in paragraph (c)(2) of 
this section.
At = Venturi throat cross-sectional area.
pin = Venturi inlet absolute static pressure.
Z = Compressibility factor.
Mmix = Molar mass of gas mixture.
R = Molar gas constant.
Tin = Venturi inlet absolute temperature.

    (1) Using the data collected in Sec. 1065.340, calculate Cd using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.068

Where:

nref = A reference molar flow rate.

    (2) Determine Cf using one of the following methods:
    (i) For CFV flow meters only, determine CfCFV from the 
following table based on your values for [bgr] and [gamma], using linear 
interpolation to find intermediate values:

 Table 2 of Sec.  1065.640--CfCFV versus [bgr] and [gamma] for CFV Flow
                                 Meters
------------------------------------------------------------------------
                                  CfCFV
-------------------------------------------------------------------------
                                                             [gamma]dexh
                                                 [gamma]exh       =
                     [bgr]                        =  1.385    [gamma]air
                                                               =  1.399
------------------------------------------------------------------------
0.000..........................................      0.6822      0.6846
0.400..........................................      0.6857      0.6881
0.500..........................................      0.6910      0.6934
0.550..........................................      0.6953      0.6977
0.600..........................................      0.7011      0.7036
0.625..........................................      0.7047      0.7072
0.650..........................................      0.7089      0.7114
0.675..........................................      0.7137      0.7163
0.700..........................................      0.7193      0.7219
0.720..........................................      0.7245      0.7271
0.740..........................................      0.7303      0.7329
0.760..........................................      0.7368      0.7395
0.770..........................................      0.7404      0.7431
0.780..........................................      0.7442      0.7470
0.790..........................................      0.7483      0.7511
0.800..........................................      0.7527      0.7555
0.810..........................................      0.7573      0.7602
0.820..........................................      0.7624      0.7652
0.830..........................................      0.7677      0.7707
0.840..........................................      0.7735      0.7765
0.850..........................................      0.7798      0.7828
------------------------------------------------------------------------

    (ii) For any CFV or SSV flow meter, you may use the following 
equation to calculate Cf:
[GRAPHIC] [TIFF OMITTED] TR13JY05.069


[[Page 685]]


Where:

[gamma] = isentropic exponent. For an ideal gas, this is the ratio of 
specific heats of the gas mixture, Cp/Cv.
r = Pressure ratio, as determined in paragraph (c)(3) of this section.
[bgr] = Ratio of venturi throat to inlet diameters.

    (3) Calculate r as follows:
    (i) For SSV systems only, calculate rSSV using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.014


Where:
[Delta]pSSV = Differential static pressure; venturi inlet 
          minus venturi throat.

    (ii) For CFV systems only, calculate rCFV iteratively 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.015

    (4) You may make any of the following simplifying assumptions of the 
governing equations, or you may use good engineering judgment to develop 
more appropriate values for your testing:
    (i) For emission testing over the full ranges of raw exhaust, 
diluted exhaust and dilution air, you may assume that the gas mixture 
behaves as an ideal gas: Z = 1.
    (ii) For the full range of raw exhaust you may assume a constant 
ratio of specific heats of [gamma] =1.385.
    (iii) For the full range of diluted exhaust and air (e.g., 
calibration air or dilution air), you may assume a constant ratio of 
specific heats of [gamma] = 1.399.
    (iv) For the full range of diluted exhaust and air, you may assume 
the molar mass of the mixture is a function only of the amount of water 
in the dilution air or calibration air, xH2O, determined as 
described in Sec. 1065.645, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.072

Example:

Mair = 28.96559 g/mol
xH2O = 0.0169 mol/mol
MH2O = 18.01528 g/mol
Mmix = 28.96559 [middot] (1 0.0169) + 18.01528 [middot] 
0.0169
Mmix = 28.7805 g/mol

    (v) For the full range of diluted exhaust and air, you may assume a 
constant molar mass of the mixture, Mmix, for all calibration 
and all testing as long as your assumed molar mass differs no more than 
1% from the estimated minimum and maximum molar 
mass during calibration and testing. You may assume this, using good 
engineering judgment, if you sufficiently control the amount of water in 
calibration air and in dilution air or if you remove sufficient water 
from both calibration air and dilution air. The following table gives 
examples of permissible ranges of dilution air dewpoint versus 
calibration air dewpoint:

[[Page 686]]



Table 3 of Sec.  1065.640--Examples of Dilution Air and Calibration Air
           Dewpoints at Which you May Assume a Constant Mmix.
------------------------------------------------------------------------
                                      assume the      for the following
                                       following       ranges of Tdew
If calibration Tdew ([deg]C) is...   constant Mmix     ([deg]C) during
                                      (g/mol)...     emission tests \a\
------------------------------------------------------------------------
dry...............................        28.96559  dry to 18.
0.................................        28.89263  dry to 21.
5.................................        28.86148  dry to 22.
10................................        28.81911  dry to 24.
15................................        28.76224  dry to 26.
20................................        28.68685  -8 to 28.
25................................        28.58806  12 to 31.
30................................        28.46005  23 to 34.
------------------------------------------------------------------------
\a\ Range valid for all calibration and emission testing over the
  atmospheric pressure range (80.000 to 103.325) kPa.

    (5) The following example illustrates the use of the governing 
equations to calculate the discharge coefficient, Cd, of an 
SSV flow meter at one reference flow meter value. Note that calculating 
Cd for a CFV flow meter would be similar, except that 
Cf would be determined from Table 2 of this section or 
calculated iteratively using values of [beta] and [gamma] as described 
in paragraph (c)(2) of this section.

Example:
nref= 57.625 mol/s
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K)
Tin = 298.15 K
    At = 0.01824 m\2\
    pin = 99132.0 Pa
    [gamma] = 1.399
    [beta] = 0.8
    [Delta]p = 2.312 kPa
    [GRAPHIC] [TIFF OMITTED] TR08NO10.028
    
    [GRAPHIC] [TIFF OMITTED] TR08NO10.029
    
Cf = 0.274
[GRAPHIC] [TIFF OMITTED] TR08NO10.030

Cd = 0.982

    (d) SSV calibration. Perform the following steps to calibrate an SSV 
flow meter:
    (1) Calculate the Reynolds number, Re, for each 
reference molar flow rate, using the throat diameter of the venturi, 
dt. Because the dynamic viscosity, [micro], is needed to 
compute Re, you may

[[Page 687]]

use your own fluid viscosity model to determine [micro] for your 
calibration gas (usually air), using good engineering judgment. 
Alternatively, you may use the Sutherland three-coefficient viscosity 
model to approximate [micro], as shown in the following sample 
calculation for Re:
[GRAPHIC] [TIFF OMITTED] TR30AP10.019

    Where, using the Sutherland three-coefficient viscosity model:
    [GRAPHIC] [TIFF OMITTED] TR30AP10.020
    

Where:

[micro] = Dynamic viscosity of calibration gas.
[micro]0 = Sutherland reference viscosity.
T0 = Sutherland reference temperature.
S = Sutherland constant.


               Table 4 of Sec.  1065.640--Sutherland Three-Coefficient Viscosity Model Parameters
----------------------------------------------------------------------------------------------------------------
                                            [micro]0          T0           S          Temp range       Pressure
                                        ------------------------------------------   within  ------------
                Gas \a\                        kg/                                     2% error
                                          (m[middot]s)        K            K      ------------------     kPa
                                                                                           K
----------------------------------------------------------------------------------------------------------------
Air....................................  1.716[middot]1          273          111     170 to 1,900      <= 1,800
                                                    0-5
CO2....................................  1.370[middot]1          273          222     190 to 1,700      <= 3,600
                                                    0-5
H2O....................................  1.12[middot]10-         350        1,064     360 to 1,500     <= 10,000
                                                      5
O2.....................................  1.919[middot]1          273          139     190 to 2,000      <= 2,500
                                                    0-5
N2.....................................  1.663[middot]1          273          107     100 to 1,500      <= 1,600
                                                    0-5
----------------------------------------------------------------------------------------------------------------
\a\ Use tabulated parameters only for the pure gases, as listed. Do not combine parameters in calculations to
  calculate viscosities of gas mixtures.


Example:

[micro]0 = 1.716 [middot] 10-5 kg/(m[middot]s)
T0 = 273.11 K
S = 110.56 K
[GRAPHIC] [TIFF OMITTED] TR30AP10.021

[micro] = 1.837[middot]10-5 kg/(m[middot]s)
Mmix = 28.7805 g/mol
nref = 57.625 mol/s
dt = 152.4 mm
Tin = 298.15 K
[GRAPHIC] [TIFF OMITTED] TR30AP10.022


[[Page 688]]


Re = 7.541[middot]10\5\


    (2) Create an equation for Cd versus Re#, using paired 
values of (Re#, Cd). For the equation, you may use any 
mathematical expression, including a polynomial or a power series. The 
following equation is an example of a commonly used mathematical 
expression for relating Cd and Re#:
[GRAPHIC] [TIFF OMITTED] TR13JY05.080

    (3) Perform a least-squares regression analysis to determine the 
best-fit coefficients to the equation and calculate the equation's 
regression statistics, SEE and r\2\, according to Sec. 1065.602.
    (4) If the equation meets the criteria of SEE <= 0.5% [middot] 
nrefmax and r\2\ = 0.995, you may use the equation 
to determine Cd for emission tests, as described in Sec. 
1065.642.
    (5) If the SEE and r\2\ criteria are not met, you may use good 
engineering judgment to omit calibration data points to meet the 
regression statistics. You must use at least seven calibration data 
points to meet the criteria.
    (6) If omitting points does not resolve outliers, take corrective 
action. For example, select another mathematical expression for the 
Cd versus Re# equation, check for leaks, or repeat the 
calibration process. If you must repeat the process, we recommend 
applying tighter tolerances to measurements and allowing more time for 
flows to stabilize.
    (7) Once you have an equation that meets the regression criteria, 
you may use the equation only to determine flow rates that are within 
the range of the reference flow rates used to meet the Cd 
versus Re# equation's regression criteria.
    (e) CFV calibration. Some CFV flow meters consist of a single 
venturi and some consist of multiple venturis, where different 
combinations of venturis are used to meter different flow rates. For CFV 
flow meters that consist of multiple venturis, either calibrate each 
venturi independently to determine a separate discharge coefficient, Cd, 
for each venturi, or calibrate each combination of venturis as one 
venturi. In the case where you calibrate a combination of venturis, use 
the sum of the active venturi throat areas as At, the square root of the 
sum of the squares of the active venturi throat diameters as dt, and the 
ratio of the venturi throat to inlet diameters as the ratio of the 
square root of the sum of the active venturi throat diameters (dt) to 
the diameter of the common entrance to all of the venturis (D). To 
determine the Cd for a single venturi or a single combination of 
venturis, perform the following steps:
    (1) Use the data collected at each calibration set point to 
calculate an individual Cd for each point using Eq. 1065.640-4.
    (2) Calculate the mean and standard deviation of all the Cd values 
according to Eqs. 1065.602-1 and 1065.602-2.
    (3) If the standard deviation of all the Cd values is 
less than or equal to 0.3% of the mean Cd, use the mean 
Cd in Eq 1065.642-6, and use the CFV only down to the lowest 
r measured during calibration using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.023


Where:
[Delta]pCFV = Differential static pressure; venturi inlet 
          minus venturi outlet.
    (4) If the standard deviation of all the Cd values exceeds 0.3% of 
the mean Cd, omit the Cd values corresponding to the data point 
collected at the lowest r measured during calibration.
    (5) If the number of remaining data points is less than seven, take 
corrective action by checking your calibration data or repeating the 
calibration process. If you repeat the calibration process, we recommend 
checking for leaks, applying tighter tolerances to

[[Page 689]]

measurements and allowing more time for flows to stabilize.
    (6) If the number of remaining Cd values is seven or greater, 
recalculate the mean and standard deviation of the remaining Cd values.
    (7) If the standard deviation of the remaining Cd values is less 
than or equal to 0.3% of the mean of the remaining Cd, use that mean Cd 
in Eq. 1065.642-6, and use the CFV values only down to the lowest r 
associated with the remaining Cd.
    (8) If the standard deviation of the remaining Cd still exceeds 0.3% 
of the mean of the remaining Cd values, repeat the steps in paragraph 
(e)(4) through (8) of this section.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37326, June 30, 2008; 
73 FR 59331, Oct. 8, 2008; 75 FR 23045, Apr. 30, 2010; 75 FR 68464, Nov. 
8, 2010]



Sec. 1065.642  SSV, CFV, and PDP molar flow rate calculations.

    This section describes the equations for calculating molar flow 
rates from various flow meters. After you calibrate a flow meter 
according to Sec. 1065.640, use the calculations described in this 
section to calculate flow during an emission test.
    (a) PDP molar flow rate. Based upon the speed at which you operate 
the PDP for a test interval, select the corresponding slope, 
a1, and intercept, a0, as calculated in Sec. 
1065.640, to calculate molar flow rate, n as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.024


Where:
[GRAPHIC] [TIFF OMITTED] TR30AP10.025

Example:

a1 = 50.43 (m\3\/min) = 0.8405 (m\3\/s)
fnPDP = 755.0 rev/min = 12.58 rev/s
pout = 99950 Pa
pin = 98575 Pa
a0 = 0.056 (m\3\/rev)
R = 8.314472 J/(mol[middot]K)
Tin = 323.5 K
Cp = 1000 (J/m\3\)/kPa
Ct = 60 s/min
[GRAPHIC] [TIFF OMITTED] TR30AP10.026

Vrev = 0.06383 m\3\/rev
[GRAPHIC] [TIFF OMITTED] TR30AP10.027


[[Page 690]]


n = 29.428 mol/s

    (b) SSV molar flow rate. Based on the Cd versus 
Re equation you determined according to Sec. 
1065.640, calculate SSV molar flow rate, n during an emission test as 
follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.028

Example:

At = 0.01824 m\2\
pin = 99132 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol\.\K)
Tin = 298.15 K
Re = 7.232\.\10\5\
[gamma] = 1.399
[beta] = 0.8
[Delta]p = 2.312 kPa
Using Eq. 1065.640-7,
rssv = 0.997
Using Eq. 1065.640-6,
Cf = 0.274
Using Eq. 1065.640-5,
Cd = 0.990
[GRAPHIC] [TIFF OMITTED] TR30AP10.029

n = 58.173 mol/s

    (c) CFV molar flow rate. Some CFV flow meters consist of a single 
venturi and some consist of multiple venturis, where different 
combinations of venturis are used to meter different flow rates. If you 
use multiple venturis and you calibrated each venturi independently to 
determine a separate discharge coefficient, Cd, for each 
venturi, calculate the individual molar flow rates through each venturi 
and sum all their flow rates to determine n. If you use multiple 
venturis and you calibrated each combination of venturis, calculate n as 
using the sum of the active venturi throat areas as At, the 
square root of the sum of the squares of the active venturi throat 
diameters as dt, and the ratio of the venturi throat to inlet 
diameters as the ratio of the square root of the sum of the active 
venturi throat diameters, dt, to the diameter of the common 
entrance to all of the venturis, D. To calculate the molar flow rate 
through one venturi or one combination of venturis, use its respective 
mean Cd and other constants you determined according to Sec. 
1065.640 and calculate its molar flow rate n during an emission test, as 
follows:
[GRAPHIC] [TIFF OMITTED] TR08NO10.031

Example:
Cd = 0.985
Cf = 0.7219
At = 0.00456 m\2\
pin = 98836 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol\.\K)
Tin = 378.15 K

[[Page 691]]

[GRAPHIC] [TIFF OMITTED] TR08NO10.032

n = 33.690 mol/s

[75 FR 23047, Apr. 30, 2010, as amended at 75 FR 68464, Nov. 8, 2010]



Sec. 1065.644  Vacuum-decay leak rate.

    This section describes how to calculate the leak rate of a vacuum-
decay leak verification, which is described in Sec. 1065.345(e). Use 
Eq. 1065.644-1 to calculate the leak rate, nleak, and compare it to the 
criterion specified in Sec. 1065.345(e).
[GRAPHIC] [TIFF OMITTED] TR06MY08.028

Where:

Vvac = geometric volume of the vacuum-side of the sampling 
system.
R = molar gas constant.
p2 = Vacuum-side absolute pressure at time t2.
T2 = Vacuum-side absolute temperature at time t2.
p1 = Vacuum-side absolute pressure at time t\1\.
T1 = Vacuum-side absolute temperature at time t1.
t2 = time at completion of vacuum-decay leak verification 
test.
t1 = time at start of vacuum-decay leak verification test.

Example:

Vvac = 2.0000 L = 0.00200 m\3\
R = 8.314472 J/(mol[middot]K)
p2 = 50.600 kPa = 50600 Pa
T2 = 293.15 K
p1 = 25.300 kPa = 25300 Pa
T1 = 293.15 K
t2 = 10:57:35 AM
t1 = 10:56:25 AM
[GRAPHIC] [TIFF OMITTED] TR06MY08.029


[73 FR 37327, June 30, 2008]



Sec. 1065.645  Amount of water in an ideal gas.

    This section describes how to determine the amount of water in an 
ideal gas, which you need for various performance verifications and 
emission calculations. Use the equation for the vapor pressure of water 
in paragraph (a) of this section or another appropriate equation and, 
depending on whether you measure dewpoint or relative humidity, perform 
one of the calculations in paragraph (b) or (c) of this section.
    (a) Vapor pressure of water. Calculate the vapor pressure of water 
for a given saturation temperature condition, Tsat, as 
follows, or use good engineering judgment to use a different 
relationship of the vapor pressure of water to a given saturation 
temperature condition:
    (1) For humidity measurements made at ambient temperatures from (0 
to 100) [deg]C, or for humidity measurements

[[Page 692]]

made over super-cooled water at ambient temperatures from (-50 to 0) 
[deg]C, use the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.000

Where:

pH20 = vapor pressure of water at saturation temperature 
condition, kPa.
Tsat = saturation temperature of water at measured 
conditions, K.

Example:

Tsat = 9.5 [deg]C
Tdsat = 9.5 + 273.15 = 282.65 K
[GRAPHIC] [TIFF OMITTED] TR08OC08.001

log10(pH20) = 0.074297
pH20 = 100.074297 = 1.186581 kPa

    (2) For humidity measurements over ice at ambient temperatures from 
(-100 to 0) [deg]C, use the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.032

Example:

Tice = -15.4 [deg]C
Tice = -15.4 + 273.15 = 257.75 K
[GRAPHIC] [TIFF OMITTED] TR30AP10.033

log10(pH20) = -0.798207
pH20 = 10 \0.79821\ = 0.159145 kPa

    (b) Dewpoint. If you measure humidity as a dewpoint, determine the 
amount of water in an ideal gas, xH20, as follows:

[[Page 693]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.034


Where:
xH20 = amount of water in an ideal gas.
pH20 = water vapor pressure at the measured dewpoint, 
          Tsat = Tdew.
pabs = wet static absolute pressure at the location of your 
          dewpoint measurement.
Example::
pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C
Using Eq. 1065.645-1,
pH20 = 1.186581 kPa
xH2O = 1.186581/99.980
xH2O = 0.011868 mol/mol

    (c) Relative humidity. If you measure humidity as a relative 
humidity, RH%, determine the amount of water in an ideal gas, 
xH2O, as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.035


Where:
xH20 = amount of water in an ideal gas.
RH% = relative humidity.
pH20 = water vapor pressure at 100% relative humidity at the 
          location of your relative humidity measurement, 
          Tsat = Tamb.
pabs = wet static absolute pressure at the location of your 
          relative humidity measurement.
Example:

RH% = 50.77%
pabs = 99.980 kPa
Tsat = Tamb = 20 [deg]C
Using Eq. 1065.645-1,
pH20 = 2.3371 kPa
xH2O = (50.77% [middot] 2.3371)/99.980
xH2O = 0.011868 mol/mol

[73 FR 37327, June 30, 2008, as amended at 73 FR 59331, Oct. 8, 2008; 75 
FR 23048, Apr. 30, 2010]



Sec. 1065.650  Emission calculations.

    (a) General. Calculate brake-specific emissions over each applicable 
duty cycle or test interval. For test intervals with zero work (or 
power), calculate the emission mass (or mass rate), but do not calculate 
brake-specific emissions. For duty cycles with multiple test intervals, 
refer to the standard-setting part for calculations you need to 
determine a composite result, such as a calculation that weights and 
sums the results of individual test intervals in a duty cycle. If the 
standard-setting part does not include those calculations, use the 
equations in paragraph (g) of this section. This section is written 
based on rectangular integration, where each indexed value (i.e., 
``i'') represents (or approximates) the mean value of the 
parameter for its respective time interval, delta-t. You may also 
integrate continuous signals using trapezoidal integration consistent 
with good engineering judgment.
    (b) Brake-specific emissions over a test interval. We specify three 
alternative ways to calculate brake-specific emissions over a test 
interval, as follows:
    (1) For any testing, you may calculate the total mass of emissions, 
as described in paragraph (c) of this section, and divide it by the 
total work generated over the test interval, as described in paragraph 
(d) of this section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.036


Example:

mNOx = 64.975 g

[[Page 694]]

W = 25.783 kW[middot]hr
eNOx = 64.975/25.783
eNOx = 2.520 g/(kW[middot]hr)

    (2) For discrete-mode steady-state testing, you may calculate the 
brake-specific emissions over a test interval using the ratio of 
emission mass rate to power, as described in paragraph (e) of this 
section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.037

    (3) For field testing, you may calculate the ratio of total mass to 
total work, where these individual values are determined as described in 
paragraph (f) of this section. You may also use this approach for 
laboratory testing, consistent with good engineering judgment. Good 
engineering judgment dictates that this method not be used if there are 
any work flow paths described in Sec. 1065.210 that cross the system 
boundary, other than the primary output shaft (crankshaft). This is a 
special case in which you use a signal linearly proportional to raw 
exhaust molar flow rate to determine a value proportional to total 
emissions. You then use the same linearly proportional signal to 
determine total work using a chemical balance of fuel, intake air, and 
exhaust as described in Sec. 1065.655, plus information about your 
engine's brake-specific fuel consumption. Under this method, flow meters 
need not meet accuracy specifications, but they must meet the applicable 
linearity and repeatability specifications in subpart D or subpart J of 
this part. The result is a brake-specific emission value calculated as 
follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.038


Example:

m = 805.5 g
W = 52.102 kW[middot]hr
eCO = 805.5/52.102
eCO = 2.520 g/(kW[middot]hr)

    (c) Total mass of emissions over a test interval. To calculate the 
total mass of an emission, multiply a concentration by its respective 
flow. For all systems, make preliminary calculations as described in 
paragraph (c)(1) of this section, then use the method in paragraphs 
(c)(2) through (4) of this section that is appropriate for your system. 
Calculate the total mass of emissions as follows:
    (1) Concentration corrections. Perform the following sequence of 
preliminary calculations on recorded concentrations:
    (i) Correct all THC and CH4 concentrations, including 
continuous readings, sample bags readings, and dilution air background 
readings, for initial contamination, as described in Sec. 1065.660(a).
    (ii) Correct all concentrations measured on a ``dry'' basis to a 
``wet'' basis, including dilution air background concentrations, as 
described in Sec. 1065.659.
    (iii) Calculate all THC and NMHC concentrations, including dilution 
air background concentrations, as described in Sec. 1065.660.
    (iv) For emission testing with an oxygenated fuel, calculate any HC 
concentrations, including dilution air background concentrations, as 
described in Sec. 1065.665. See subpart I of this part for testing with 
oxygenated fuels.
    (v) Correct all the NOX concentrations, including 
dilution air background concentrations, for intake-air humidity as 
described in Sec. 1065.670.

[[Page 695]]

    (vi) Compare the background corrected mass of NMHC to background 
corrected mass of THC. If the background corrected mass of NMHC is 
greater than 0.98 times the background corrected mass of THC, take the 
background corrected mass of NMHC to be 0.98 times the background 
corrected mass of THC. If you omit the NMHC calculations as described in 
Sec. 1065.660(b)(1), take the background corrected mass of NMHC to be 
0.98 times the background corrected mass of THC.
    (vii) Calculate brake-specific emissions before and after correcting 
for drift, including dilution air background concentrations, according 
to Sec. 1065.672.
    (2) Continuous sampling. For continuous sampling, you must 
frequently record a continuously updated concentration signal. You may 
measure this concentration from a changing flow rate or a constant flow 
rate (including discrete-mode steady-state testing), as follows:
    (i) Varying flow rate. If you continuously sample from a changing 
exhaust flow rate, time align and then multiply concentration 
measurements by the flow rate from which you extracted it. Use good 
engineering judgment to time align flow and concentration data to match 
transformation time, t50, to within 1 
s. We consider the following to be examples of changing flows that 
require a continuous multiplication of concentration times molar flow 
rate: Raw exhaust, exhaust diluted with a constant flow rate of dilution 
air, and CVS dilution with a CVS flowmeter that does not have an 
upstream heat exchanger or electronic flow control. This multiplication 
results in the flow rate of the emission itself. Integrate the emission 
flow rate over a test interval to determine the total emission. If the 
total emission is a molar quantity, convert this quantity to a mass by 
multiplying it by its molar mass, M. The result is the mass of the 
emission, m. Calculate m for continuous sampling with variable flow 
using the following equations:
[GRAPHIC] [TIFF OMITTED] TR08OC08.006

Where:

[GRAPHIC] [TIFF OMITTED] TR08OC08.007

Example:

MNMHC = 13.875389 g/mol
N = 1200
xNMHC1 = 84.5 [micro]mol/mol = 84.5 [middot] 10-6 
mol/mol
xNMHC2 = 86.0 [micro]mol/mol = 86.0 [middot] 10-6 
mol/mol
nexh1 = 2.876 mol/s
nexh2 = 2.224 mol/s
frecord = 1 Hz
Using Eq. 1065.650-5,
[Delta]t = 1/1 =1 s
mNMHC = 13.875389 [middot] (84.5 [middot] 10-6 
[middot] 2.876 + 86.0 [middot] 10-6 [middot] 2.224 + ... + 
xNMHC1200 [middot] nexh) [middot] 1
mNMHC = 25.53 g

    (ii) Constant flow rate. If you continuously sample from a constant 
exhaust flow rate, use the same emission calculations described in 
paragraph (c)(2)(i) of this section or calculate the mean or flow-
weighted concentration recorded over the test interval and treat the 
mean as a batch sample, as described in paragraph (c)(3)(ii) of this 
section. We consider the following to be examples of constant exhaust 
flows: CVS diluted exhaust with a CVS flowmeter that has either an 
upstream heat exchanger, electronic flow control, or both.
    (3) Batch sampling. For batch sampling, the concentration is a 
single value from a proportionally extracted

[[Page 696]]

batch sample (such as a bag, filter, impinger, or cartridge). In this 
case, multiply the mean concentration of the batch sample by the total 
flow from which the sample was extracted. You may calculate total flow 
by integrating a changing flow rate or by determining the mean of a 
constant flow rate, as follows:
    (i) Varying flow rate. If you collect a batch sample from a changing 
exhaust flow rate, extract a sample proportional to the changing exhaust 
flow rate. We consider the following to be examples of changing flows 
that require proportional sampling: Raw exhaust, exhaust diluted with a 
constant flow rate of dilution air, and CVS dilution with a CVS 
flowmeter that does not have an upstream heat exchanger or electronic 
flow control. Integrate the flow rate over a test interval to determine 
the total flow from which you extracted the proportional sample. 
Multiply the mean concentration of the batch sample by the total flow 
from which the sample was extracted. If the total emission is a molar 
quantity, convert this quantity to a mass by multiplying it by its molar 
mass, M. The result is the mass of the emission, m. In the case of PM 
emissions, where the mean PM concentration is already in units of mass 
per mole of sample, MPM, simply multiply it by the total 
flow. The result is the total mass of PM, mPM. Calculate m 
for batch sampling with variable flow using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.040

Example:

MNOx = 46.0055 g/mol
N = 9000
xNOx = 85.6 [micro]mol/mol = 85.6 [middot] 
10-6 mol/mol
ndexh1 = 25.534 mol/s
ndexh2 = 26.950 mol/s
frecord = 5 Hz
Using Eq. 1065.650-5,
[Delta]t = 1/5 = 0.2
mNOx = 46.0055 [middot] 85.6 [middot] 10-6 
[middot] (25.534 + 26.950 + ... + nexh9000) [middot] 0.2
mNOx = 4.201 g

    (ii) Constant flow rate. If you batch sample from a constant exhaust 
flow rate, extract a sample at a proportional or constant flow rate. We 
consider the following to be examples of constant exhaust flows: CVS 
diluted exhaust with a CVS flow meter that has either an upstream heat 
exchanger, electronic flow control, or both. Determine the mean molar 
flow rate from which you extracted the constant flow rate sample. 
Multiply the mean concentration of the batch sample by the mean molar 
flow rate of the exhaust from which the sample was extracted, and 
multiply the result by the time of the test interval. If the total 
emission is a molar quantity, convert this quantity to a mass by 
multiplying it by its molar mass, M. The result is the mass of the 
emission, m. In the case of PM emissions, where the mean PM 
concentration is already in units of mass per mole of sample, 
MPM, simply multiply it by the total flow, and the result is 
the total mass of PM, mPM. Calculate m for sampling with 
constant flow using the following equations:
[GRAPHIC] [TIFF OMITTED] TR06MY08.041


and for PM or any other analysis of a batch sample that yields a mass 
per mole of sample,
[GRAPHIC] [TIFF OMITTED] TR06MY08.042

Example:

MPM = 144.0 [micro]g/mol = 144.0 [middot] 10-6 g/
mol
ndexh = 57.692 mol/s
[Delta]t = 1200 s
mPM = 144.0 [middot] 10-6 [middot] 57.692 [middot] 
1200
mPM = 9.9692 g
    (4) Additional provisions for diluted exhaust sampling; continuous 
or batch. The following additional provisions apply for sampling 
emissions from diluted exhaust:
    (i) For sampling with a constant dilution ratio (DR) of diluted 
exhaust versus exhaust flow (e.g., secondary dilution for PM sampling), 
calculate m using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.043

Example:

mPMdil = 6.853 g
DR = 6:1
mPM = 6.853 [middot] (6)
mPM = 41.118 g

    (ii) For continuous or batch sampling, you may measure background 
emissions in the dilution air. You may

[[Page 697]]

then subtract the measured background emissions, as described in Sec. 
1065.667.
    (d) Total work over a test interval. To calculate the total work 
from the engine over a test interval, add the total work from all the 
work paths described in Sec. 1065.210 that cross the system boundary 
including electrical energy/work, mechanical shaft work, and fluid 
pumping work. For all work paths, except the engine's primary output 
shaft (crankshaft), the total work for the path over the test interval 
is the integration of the net work flow rate (power) out of the system 
boundary. When energy/work flows into the system boundary, this work 
flow rate signal becomes negative; in this case, include these negative 
work rate values in the integration to calculate total work from that 
work path. Some work paths may result in a negative total work. Include 
negative total work values from any work path in the calculated total 
work from the engine rather than setting the values to zero. The rest of 
this paragraph (d) describes how to calculate total work from the 
engine's primary output shaft over a test interval. Before integrating 
power on the engine's primary output shaft, adjust the speed and torque 
data for the time alignment used in Sec. 1065.514(c). Any advance or 
delay used on the feedback signals for cycle validation must also be 
used for calculating work. Account for work of accessories according to 
Sec. 1065.110. Exclude any work during cranking and starting. Exclude 
work during actual motoring operation (negative feedback torques), 
unless the engine was connected to one or more energy storage devices. 
Examples of such energy storage devices include hybrid powertrain 
batteries and hydraulic accumulators, like the ones illustrated in 
Figure 1 of Sec. 1065.210. Exclude any work during reference zero-load 
idle periods (0% speed or idle speed with 0 N[middot]m reference 
torque). Note, that there must be two consecutive reference zero load 
idle points to establish a period where this applies. Include work 
during idle points with simulated minimum torque such as Curb Idle 
Transmissions Torque (CITT) for automatic transmissions in ``drive''. 
The work calculation method described in paragraphs (b)(1) through (7) 
of this section meets these requirements using rectangular integration. 
You may use other logic that gives equivalent results. For example, you 
may use a trapezoidal integration method as described in paragraph 
(b)(8) of this section.
    (1) Time align the recorded feedback speed and torque values by the 
amount used in Sec. 1065.514(c).
    (2) Calculate shaft power at each point during the test interval by 
multiplying all the recorded feedback engine speeds by their respective 
feedback torques.
    (3) Adjust (reduce) the shaft power values for accessories according 
to Sec. 1065.110.
    (4) Set all power values during any cranking or starting period to 
zero. See Sec. 1065.525 for more information about engine cranking.
    (5) Set all negative power values to zero, unless the engine was 
connected to one or more energy storage devices. If the engine was 
tested with an energy storage device, leave negative power values 
unaltered.
    (6) Set all power values to zero during idle periods with a 
corresponding reference torque of 0 N[middot]m.
    (7) Integrate the resulting values for power over the test interval. 
Calculate total work as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.039


Where:

W = total work from the primary output shaft
Pi = instantaneous power from the primary output shaft over 
          an interval i.


[[Page 698]]


[GRAPHIC] [TIFF OMITTED] TR30AP10.040


Example:

N = 9000
fn1 = 1800.2 rev/min
fn2 = 1805.8 rev/min
T1 = 177.23 N\.\m
T2 = 175.00 N\.\m
Crev = 2[middot][pi] rad/rev
Ct1 = 60 s/min
Cp = 1000 (N[middot]m[middot]rad/s)/kW
frecord = 5 Hz
Ct2 = 3600 s/hr
[GRAPHIC] [TIFF OMITTED] TR30AP10.041

P1 = 33.41 kW
P2 = 33.09 kW
Using Eq. 1065.650-5,
[Delta]t = \1/5\ = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR30AP10.042

W = 16.875 kW[middot]hr

    (8) You may use a trapezoidal integration method instead of the 
rectangular integration described in this paragraph (d). To do this, you 
must integrate the fraction of work between points where the torque is 
positive. You may assume that speed and torque are linear between data 
points. You may not set negative values to zero before running the 
integration.
    (e) Steady-state mass rate divided by power. To determine steady-
state brake-specific emissions for a test interval as described in 
paragraph (b)(2) of this section, calculate the mean steady-state mass 
rate of the emission, m, and the mean steady-state power, P as follows:
    (1) To calculate m, multiply its mean concentration, x, by its 
corresponding mean molar flow rate, n. If the result is a molar flow 
rate, convert this quantity to a mass rate by multiplying it by its 
molar mass, M. The result is the mean mass rate of the emission, m. In 
the case of PM emissions, where the mean PM concentration is already in 
units of mass per mole of sample, MPM, simply multiply it by 
the mean molar flow rate, n. The result is the mass rate of PM, 
mPM. Calculate m using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.048

    (2) To calculate an engine's mean steady-state total power, P, add 
the mean steady-state power from all the work paths described in Sec. 
1065.210 that cross the system boundary including electrical power, 
mechanical shaft power, and fluid pumping power. For all work paths, 
except the engine's primary output shaft (crankshaft), the mean steady-
state power over the test interval is the integration of the net work 
flow rate (power) out of the system boundary divided by the period of 
the test interval. When power flows into the system boundary, the power/
work flow rate signal becomes negative; in this case, include these 
negative power/work rate values in the integration to calculate the mean 
power from that work path. Some work paths may result in a negative mean 
power. Include negative mean power values from any work path in the mean 
total power from the engine rather than setting these values to zero. 
The rest of this paragraph (e)(2) describes how to

[[Page 699]]

calculate the mean power from the engine's primary output shaft. 
Calculate P using Equation 1065.650-13, noting that P, fnCO = 28.0101 g/mol
xCO = 12.00 mmol/mol = 0.01200 mol/mol
n = 1.530 mol/s
fn = 3584.5 rev/min = 375.37 rad/s
T = 121.50 N [middot] m
m = 28.0101 [middot] 0.01200 [middot] 1.530
m = 0.514 g/s = 1850.4 g/hr
P = 121.5 [middot] 375.37
P = 45607 W
P = 45.607 kW
eCO = 1850.4/45.61
eCO = 40.57 g/(kW [middot] hr)

    (f) Ratio of total mass of emissions to total work. To determine 
brake-specific emissions for a test interval as described in paragraph 
(b)(3) of this section, calculate a value proportional to the total mass 
of each emission. Divide each proportional value by a value that is 
similarly proportional to total work.
    (1) Total mass. To determine a value proportional to the total mass 
of an emission, determine total mass as described in paragraph (c) of 
this section, except substitute for the molar flow rate, n, or the total 
flow, n, with a signal that is linearly proportional to molar flow rate, 
n, or linearly proportional to total flow, n as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.050

    (2) Total work. To calculate a value proportional to total work over 
a test interval, integrate a value that is proportional to power. Use 
information about the brake-specific fuel consumption of your engine, 
efuel, to convert a signal proportional to fuel flow rate to 
a signal proportional to power. To determine a signal proportional to 
fuel flow rate, divide a signal that is proportional to the mass rate of 
carbon products by the fraction of carbon in your fuel, wc.. 
You may use a measured wc or you may use the default values 
for a given fuel as described in Sec. 1065.655. Calculate the mass rate 
of carbon from the amount of carbon and water in the exhaust, which you 
determine with a chemical balance of fuel, intake air, and exhaust as 
described in Sec. 1065.655. In the chemical balance, you must use 
concentrations from the flow that generated the signal proportional to 
molar flow rate, n, in paragraph (e)(1) of this section. Calculate a 
value proportional to total work as follows:

[[Page 700]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.008

Where:
[GRAPHIC] [TIFF OMITTED] TR08OC08.009

    (3) Brake-specific emissions. Divide the value proportional to total 
mass by the value proportional to total work to determine brake-specific 
emissions, as described in paragraph (b)(3) of this section.
    (4) Example. The following example shows how to calculate mass of 
emissions using proportional values:

    N= 3000
frecord = 5 Hz
efuel = 285 g/(kW[middot]hr)
wfuel = 0.869 g/g
Mc = 12.0107 g/mol
n1= 3.922 mol/s = 14119.2 mol/hr
xCcombdry1 = 91.634 mmol/mol = 0.091634 mol/mol
xH2Oexh1 = 27.21 mmol/mol = 0.02721 mol/mol
Using Eq. 1065.650-5,
[Delta]t = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR30AP10.044

W= 5.09 (kW[middot]hr)

    (g) Brake-specific emissions over a duty cycle with multiple test 
intervals. The standard-setting part may specify a duty cycle with 
multiple test intervals, such as with discrete-mode steady-state 
testing. Unless we specify otherwise, calculate composite brake-specific 
emissions over the duty cycle as described in this paragraph (g). If a 
measured mass (or mass rate) is negative, set it to zero for calculating 
composite brake-specific emissions, but leave it unchanged for drift 
validation. In the case of calculating composite brake-specific 
emissions relative to a combined emission standard (such as a 
NOX + NMHC standard), change any negative mass (or mass rate) 
values to zero for a particular pollutant before combining the values 
for the different pollutants.
    (1) Use the following equation to calculate composite brake-specific 
emissions for duty cycles with multiple test intervals all with 
prescribed durations, such as cold-start and hot-start transient cycles:
[GRAPHIC] [TIFF OMITTED] TR30AP10.045


[[Page 701]]


Where:

i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the standard-
          setting part.
m = mass of emissions over the test interval as determined in paragraph 
          (c) of this section.
W = total work from the engine over the test interval as determined in 
          paragraph (d) of this section.
Example:

N = 2
WF1 = 0.1428
WF2 = 0.8572
m1 = 70.125 g
m2 = 64.975 g
W1 = 25.783 kW[middot]hr
W2 = 25.783 kW[middot]hr
[GRAPHIC] [TIFF OMITTED] TR30AP10.046

eNOxcomposite = 2.548 g/kW[middot]hr

    (2) Calculate composite brake-specific emissions for duty cycles 
with multiple test intervals that allow use of varying duration, such as 
discrete-mode steady-state duty cycles, as follows:
    (i) Use the following equation if you calculate brake-specific 
emissions over test intervals based on total mass and total work as 
described in paragraph (b)(1) of this section:
[GRAPHIC] [TIFF OMITTED] TR30AP10.047

Where:

i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the standard-
          setting part.
m = mass of emissions over the test interval as determined in paragraph 
          (c) of this section.
W = total work from the engine over the test interval as determined in 
          paragraph (d) of this section.
t = duration of the test interval.
Example:

N = 2
WF1 = 0.85
WF2 = 0.15
m1 = 1.3753 g
m2 = 0.4135 g
t1 = 120 s
t2 = 200 s
W1 = 2.8375 kW[middot]hr
W2 = 0.0 kW[middot]hr
[GRAPHIC] [TIFF OMITTED] TR30AP10.048

eNOxcomposite = 0.5001 g/kW[middot]hr

    (ii) Use the following equation if you calculate brake-specific 
emissions over

[[Page 702]]

test intervals based on the ratio of mass rate to power as described in 
paragraph (b)(2) of this section:
[GRAPHIC] [TIFF OMITTED] TR30AP10.049


Where:

i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the standard-
          setting part.
 m= mean steady-state mass rate of emissions over the test interval as 
          determined in paragraph (e) of this section.
 P is the mean steady-state power over the test interval as described in 
          paragraph (e) of this section.

Example:
N = 2
WF1 = 0.85
WF2 = 0.15
m1 = 2.25842 g/hr
m2 = 0.063443 g/hr
P1= 4.5383 kW
P2= 0.0 kW
[GRAPHIC] [TIFF OMITTED] TR30AP10.050

eNOxcomposite = 0.5001 g/kW[middot]hr
    (h) Rounding. Round the final brake-specific emission values to be 
compared to the applicable standard only after all calculations are 
complete (including any drift correction, applicable deterioration 
factors, adjustment factors, and allowances) and the result is in g/
(kW[middot]hr) or units equivalent to the units of the standard, such as 
g/(hp[middot]hr). See the definition of ``Round'' in Sec. 1065.1001.

[73 FR 37328, June 30, 2008, as amended at 73 FR 59332, Oct. 8, 2008; 75 
FR 23048, Apr. 30, 2010]



Sec. 1065.655  Chemical balances of fuel, intake air, and exhaust.

    (a) General. Chemical balances of fuel, intake air, and exhaust may 
be used to calculate flows, the amount of water in their flows, and the 
wet concentration of constituents in their flows. With one flow rate of 
either fuel, intake air, or exhaust, you may use chemical balances to 
determine the flows of the other two. For example, you may use chemical 
balances along with either intake air or fuel flow to determine raw 
exhaust flow.
    (b) Procedures that require chemical balances. We require chemical 
balances when you determine the following:
    (1) A value proportional to total work, W, when you choose to 
determine brake-specific emissions as described in Sec. 1065.650(e).
    (2) The amount of water in a raw or diluted exhaust flow, 
xH2Oexh, when you do not measure the amount of water to 
correct for the amount of water removed by a sampling system. Correct 
for removed water according to Sec. 1065.659(c)(2).
    (3) The flow-weighted mean fraction of dilution air in diluted 
exhaust, xdil/exh, when you do not measure dilution air flow 
to correct for background emissions as described in Sec. 1065.667(c). 
Note that if you use chemical balances for this purpose, you are 
assuming that your exhaust is stoichiometric, even if it is not.

[[Page 703]]

    (c) Chemical balance procedure. The calculations for a chemical 
balance involve a system of equations that require iteration. We 
recommend using a computer to solve this system of equations. You must 
guess the initial values of up to three quantities: The amount of water 
in the measured flow, xH2Oexh, fraction of dilution air in 
diluted exhaust, xdil/exh, and the amount of products on a 
C1 basis per dry mole of dry measured flow, 
xCcombdry. You may use time-weighted mean values of 
combustion air humidity and dilution air humidity in the chemical 
balance; as long as your combustion air and dilution air humidities 
remain within tolerances of 0.0025 mol/mol of 
their respective mean values over the test interval. For each emission 
concentration, x, and amount of water, xH2Oexh, you must 
determine their completely dry concentrations, xdry and 
xH2Oexhdry. You must also use your fuel's atomic hydrogen-to-
carbon ratio, [alpha], oxygen-to-carbon ratio, [beta], sulfur-to-carbon 
ratio, [gamma], and nitrogen-to-carbon ratio, [delta]. You may measure 
[alpha], [beta], [gamma], and [delta] or you may use default values for 
a given fuel as described in Sec. 1065.655(d). Use the following steps 
to complete a chemical balance:
    (1) Convert your measured concentrations such as, 
xCO2meas, xNOmeas, and xH2Oint, to dry 
concentrations by dividing them by one minus the amount of water present 
during their respective measurements; for example: 
xH2OxCO2meas x, H2OxNOmeas, and 
xH2Oint. If the amount of water present during a ``wet'' 
measurement is the same as the unknown amount of water in the exhaust 
flow, xH2Oexh, iteratively solve for that value in the system 
of equations. If you measure only total NOX and not NO and 
NO2 separately, use good engineering judgment to estimate a 
split in your total NOX concentration between NO and 
NO2 for the chemical balances. For example, if you measure 
emissions from a stoichiometric spark-ignition engine, you may assume 
all NOX is NO. For a compression-ignition engine, you may 
assume that your molar concentration of NOX, xNOx, 
is 75% NO and 25% NO2. For NO2 storage 
aftertreatment systems, you may assume xNOx is 25% NO and 75% 
NO2. Note that for calculating the mass of NOX 
emissions, you must use the molar mass of NO2 for the 
effective molar mass of all NOX species, regardless of the 
actual NO2 fraction of NOX.
    (2) Enter the equations in paragraph (c)(4) of this section into a 
computer program to iteratively solve for xH2Oexh, 
xCcombdry, and xdil/exh. Use good engineering 
judgment to guess initial values for xH2Oexh, 
xCcombdry, and xdil/exh. We recommend guessing an 
initial amount of water that is about twice the amount of water in your 
intake or dilution air. We recommend guessing an initial value of 
xCcombdry as the sum of your measured CO2, CO, and 
THC values. We also recommend guessing an initial xdil/exh 
between 0.75 and 0.95, such as 0.8. Iterate values in the system of 
equations until the most recently updated guesses are all within  1% of their respective most recently calculated values.
    (3) Use the following symbols and subscripts in the equations for 
this paragraph (c):
xdil/exh = amount of dilution gas or excess air per mole of 
exhaust.
xH2Oexh = amount of water in exhaust per mole of exhaust.
xCcombdry = amount of carbon from fuel in the exhaust per 
mole of dry exhaust.
xH2dry = amount of H2 in exhaust per amount of dry 
exhaust.
KH2Ogas = water-gas reaction equilibrium coefficient. You may 
use 3.5 or calculate your own value using good engineering judgment.
xH2Oexhdry = amount of water in exhaust per dry mole of dry 
exhaust.
xprod/intdry = amount of dry stoichiometric products per dry 
mole of intake air.
xdil/exhdry = amount of dilution gas and/or excess air per 
mole of dry exhaust.
xint/exhdry = amount of intake air required to produce actual 
combustion products per mole of dry (raw or diluted) exhaust.
xraw/exhdry = amount of undiluted exhaust, without excess 
air, per mole of dry (raw or diluted) exhaust.
xO2int = amount of intake air O2 per mole of 
intake air.
xCO2intdry = amount of intake air CO2 per mole of 
dry intake air. You may use xCO2intdry = 375 [micro]mol/mol, 
but we

[[Page 704]]

recommend measuring the actual concentration in the intake air.
xH2Ointdry = amount of intake air H2O per mole of 
dry intake air.
xCO2int = amount of intake air CO2 per mole of 
intake air.
xCO2dil = amount of dilution gas CO2 per mole of 
dilution gas.
xCO2dildry = amount of dilution gas CO2 per mole 
of dry dilution gas. If you use air as diluent, you may use 
xCO2dildry = 375 [micro]mol/mol, but we recommend measuring 
the actual concentration in the intake air.
xH2Odildry = amount of dilution gas H2O per mole 
of dry dilution gas.
xH2Odil = amount of dilution gas H2O per mole of 
dilution gas.
x[emission]meas = amount of measured emission in the sample 
at the respective gas analyzer.
x[emission]dry = amount of emission per dry mole of dry 
sample.
xH2O[emission]meas = amount of water in sample at emission-
detection location. Measure or estimate these values according to Sec. 
1065.145(e)(2).
xH2Oint = amount of water in the intake air, based on a 
humidity measurement of intake air.
[alpha] = atomic hydrogen-to-carbon ratio of the mixture of fuel(s) 
being combusted, weighted by molar consumption.
[beta] = atomic oxygen-to-carbon ratio of the mixture of fuel(s) being 
combusted, weighted by molar consumption.
[gamma] = atomic sulfur-to-carbon ratio of the mixture of fuel(s) being 
combusted, weighted by molar consumption.
[delta] = atomic nitrogen-to-carbon ratio of the mixture of fuel(s) 
being combusted, weighted by molar consumption.

    (4) Use the following equations to iteratively solve for 
xdil/exh, xH2Oexh, and xCcombdry:
[GRAPHIC] [TIFF OMITTED] TR30AP10.051

[GRAPHIC] [TIFF OMITTED] TR30AP10.052

[GRAPHIC] [TIFF OMITTED] TR30AP10.053

[GRAPHIC] [TIFF OMITTED] TR30AP10.054

[GRAPHIC] [TIFF OMITTED] TR30AP10.055

[GRAPHIC] [TIFF OMITTED] TR30AP10.056

[GRAPHIC] [TIFF OMITTED] TR30AP10.057

[GRAPHIC] [TIFF OMITTED] TR30AP10.058

[GRAPHIC] [TIFF OMITTED] TR30AP10.059


[[Page 705]]


[GRAPHIC] [TIFF OMITTED] TR30AP10.060

[GRAPHIC] [TIFF OMITTED] TR30AP10.061

[GRAPHIC] [TIFF OMITTED] TR30AP10.062

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[GRAPHIC] [TIFF OMITTED] TR30AP10.065

[GRAPHIC] [TIFF OMITTED] TR30AP10.066

[GRAPHIC] [TIFF OMITTED] TR30AP10.067

[GRAPHIC] [TIFF OMITTED] TR30AP10.068

    (5) The following example is a solution for xdil/exh, 
XH2Oexh, and xCcombdry using the 
equations in paragraph (c)(4) of this section:
[GRAPHIC] [TIFF OMITTED] TR30AP10.069

[GRAPHIC] [TIFF OMITTED] TR30AP10.070

[GRAPHIC] [TIFF OMITTED] TR30AP10.071


[[Page 706]]


[GRAPHIC] [TIFF OMITTED] TR30AP10.072

[GRAPHIC] [TIFF OMITTED] TR30AP10.073

[GRAPHIC] [TIFF OMITTED] TR30AP10.074

[GRAPHIC] [TIFF OMITTED] TR30AP10.075

[GRAPHIC] [TIFF OMITTED] TR30AP10.076

[GRAPHIC] [TIFF OMITTED] TR30AP10.077

[GRAPHIC] [TIFF OMITTED] TR30AP10.078

[GRAPHIC] [TIFF OMITTED] TR30AP10.079

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[GRAPHIC] [TIFF OMITTED] TR30AP10.082


[[Page 707]]


[GRAPHIC] [TIFF OMITTED] TR30AP10.083

[GRAPHIC] [TIFF OMITTED] TR30AP10.084

[GRAPHIC] [TIFF OMITTED] TR30AP10.085

[GRAPHIC] [TIFF OMITTED] TR30AP10.086

[alpha] = 1.8
[beta] = 0.05
[gamma] = 0.0003
[delta] = 0.0001

    (d) Carbon mass fraction. Determine carbon mass fraction of fuel, 
wc, using one of the following methods:
    (1) You may calculate wc as described in this paragraph 
(d)(1) based on measured fuel properties. To do so, you must determine 
values for [alpha] and [beta] in all cases, but you may set [gamma] and 
[delta] to zero if the default value listed in Table 1 of this section 
is zero. Calculate wc using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.087


Where:
wC, = carbon mass fraction of fuel.
MC = molar mass of carbon.
[alpha] = atomic hydrogen-to-carbon ratio of the mixture of fuel(s) 
          being combusted, weighted by molar consumption.
MH = molar mass of hydrogen.
[beta] = atomic oxygen-to-carbon ratio of the mixture of fuel(s) being 
          combusted, weighted by molar consumption.
MO = molar mass of oxygen.
[gamma] = atomic sulfur-to-carbon ratio of the mixture of fuel(s) being 
          combusted, weighted by molar consumption.
MS = molar mass of sulfur.
[delta] = atomic nitrogen-to-carbon ratio of the mixture of fuel(s) 
          being combusted, weighted by molar consumption.
MN = molar mass of nitrogen.
Example:

[alpha] = 1.8
[beta] = 0.05
[gamma] = 0.0003
[delta] = 0.0001
MC = 12.0107
MH = 1.01
MO = 15.9994
MS = 32.065
MN = 14.0067
[GRAPHIC] [TIFF OMITTED] TR30AP10.088


[[Page 708]]


wC, = 0.8205

    (2) You may use the default values in the following table to 
determine wc for a given fuel:

 Table 1 of Sec.  1065.655--Default Values of [alpha], [beta], [gamma],
                   [delta], and wc, for Various Fuels
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Fuel                               Atomic hydrogen,          Carbon mass
                                    oxygen, sulfur, and.    fraction, wc
                                   nitrogen-to-carbon               g/g.
                                    ratios.
                                   CH[alpha]O[beta]S[gam
                                    ma]N[delta].
------------------------------------------------------------------------
Gasoline.........................  CH1.85O0S0N0.........           0.866
2 Diesel................  CH1.80O0S0N0.........           0.869
1 Diesel................  CH1.93O0S0N0.........           0.861
Liquefied Petroleum Gas..........  CH2.64O0S0N0.........           0.819
Natural gas......................  CH3.78O0.016S0N0.....           0.747
Ethanol..........................  CH3O0.5S0N0..........           0.521
Methanol.........................  CH4O1S0N0............           0.375
------------------------------------------------------------------------
Residual fuel blends.............   Must be determined by measured fuel
                                    properties as described in paragraph
                                           (d)(1) of this section.
------------------------------------------------------------------------

    (e) Calculated raw exhaust molar flow rate from measured intake air 
molar flow rate or fuel mass flow rate. You may calculate the raw 
exhaust molar flow rate from which you sampled emissions, 
nexh, based on the measured intake air molar flow rate, 
nint, or the measured fuel mass flow rate, mfuel, 
and the values calculated using the chemical balance in paragraph (c) of 
this section. Note that the chemical balance must be based on raw 
exhaust gas concentrations. Solve for the chemical balance in paragraph 
(c) of this section at the same frequency that you update and record 
nint or mfuel.
    (1) Crankcase flow rate. If engines are not subject to crankcase 
controls under the standard-setting part, you may calculate raw exhaust 
flow based on nint or mfuel using one of the 
following:
    (i) You may measure flow rate through the crankcase vent and 
subtract it from the calculated exhaust flow.
    (ii) You may estimate flow rate through the crankcase vent by 
engineering analysis as long as the uncertainty in your calculation does 
not adversely affect your ability to show that your engines comply with 
applicable emission standards.
    (iii) You may assume your crankcase vent flow rate is zero.
    (2) Intake air molar flow rate calculation. Based on 
nint, calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR08OC08.047

Where:

nexh = raw exhaust molar flow rate from which you measured 
emissions.
nint = intake air molar flow rate including humidity in 
intake air.

Example:

nint = 3.780 mol/s
xint/exhdry = 0.69021 mol/mol
xraw/exhdry = 1.10764 mol/mol
xH20exhdry = 107.64 mmol/mol = 0.10764 mol/mol

[[Page 709]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.048

nexh = 6.066 mol/s

    (3) Fuel mass flow rate calculation. Based on mfuel, 
calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.089


Where:
nexh = raw exhaust molar flow rate from which you measured 
          emissions.
mfuel = fuel flow rate including humidity in intake air.
Example:

mfuel = 7.559 g/s
wC = 0.869 g/g
MC = 12.0107 g/mol
xCcombdry = 99.87 mmol/mol = 0.09987 mol/mol
xH20exhdry = 107.64 mmol/mol = 0.10764 mol/mol
[GRAPHIC] [TIFF OMITTED] TR30AP10.090

nexh= 6.066 mol/s

[73 FR 37331, June 30, 2008, as amended at 73 FR 59334, Oct. 8, 2008; 75 
FR 23051, Apr. 30, 2010]



Sec. 1065.659  Removed water correction.

    (a) If you remove water upstream of a concentration measurement, x, 
or upstream of a flow measurement, n, correct for the removed water. 
Perform this correction based on the amount of water at the 
concentration measurement, xH2O[emission]meas, and at the 
flow meter, xH2Oexh, whose flow is used to determine the 
concentration's total mass over a test interval.
    (b) When using continuous analyzers downstream of a sample dryer for 
transient and ramped-modal testing, you must correct for removed water 
using signals from other continuous analyzers. When using batch 
analyzers downstream of a sample dryer, you must correct for removed 
water by using signals either from other batch analyzers or from the 
flow-weighted average concentrations from continuous analyzers. 
Downstream of where you removed water, you may determine the amount of 
water remaining by any of the following:
    (1) Measure the dewpoint and absolute pressure downstream of the 
water removal location and calculate the amount of water remaining as 
described in Sec. 1065.645.
    (2) When saturated water vapor conditions exist at a given location, 
you may use the measured temperature at that location as the dewpoint 
for the downstream flow. If we ask, you must demonstrate how you know 
that saturated water vapor conditions exist. Use good engineering 
judgment to measure the temperature at the appropriate location to 
accurately reflect the dewpoint of the flow. Note that if you use this 
option and the water correction in paragraph (d) of this section results 
in a corrected value that is greater than the measured value, your 
saturation assumption is invalid and you must determine the water 
content according to paragraph (b)(1) of this section.

[[Page 710]]

    (3) You may also use a nominal value of absolute pressure based on 
an alarm set point, a pressure regulator set point, or good engineering 
judgment.
    (4) Set xH2O[emission]meas equal to that of the measured 
upstream humidity condition if it is lower than the dryer saturation 
conditions.
    (c) For a corresponding concentration or flow measurement where you 
did not remove water, you may determine the amount of initial water by 
any of the following:
    (1) Use any of the techniques described in paragraph (b) of this 
section.
    (2) If the measurement comes from raw exhaust, you may determine the 
amount of water based on intake-air humidity, plus a chemical balance of 
fuel, intake air and exhaust as described in Sec. 1065.655.
    (3) If the measurement comes from diluted exhaust, you may determine 
the amount of water based on intake-air humidity, dilution air humidity, 
and a chemical balance of fuel, intake air, and exhaust as described in 
Sec. 1065.655.
    (d) Perform a removed water correction to the concentration 
measurement using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.092

Example:

xCOmeas = 29.0 [micro]mol/mol
xH2OCOmeas = 8.601 mmol/mol = 0.008601 mol/mol
xH2Oexh = 34.04 mmol/mol = 0.03404 mol/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.093

xCO = 28.3 [micro]mol/mol

[73 FR 37335, June 30, 2008]



Sec. 1065.660  THC, NMHC, and CH4 determination.

    (a) THC determination and THC/CH4 initial contamination corrections. 
(1) If we require you to determine THC emissions, calculate 
xTHC[THC-FID]cor using the initial THC contamination 
concentration xTHC[THC-FID]init from Sec. 1065.520 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR30OC09.179


Example:

xTHCuncor = 150.3 [micro]mol/mol
xTHCinit = 1.1 [micro]mol/mol
xTHCcor = 150.3-1.1
xTHCcor = 149.2 [micro]mol/mol

    (2) For the NMHC determination described in paragraph (b) of this 
section, correct xTHC[THC-FID] for initial HC contamination 
using Eq. 1065.660-1. You may correct xTHC[NMC-FID] for 
initial contamination of the CH4 sample train using Eq. 
1065.660-1, substituting in CH4 concentrations for THC.
    (3) For the CH4 determination described in paragraph (c) 
of this section, you may correct xTHC[NMC-FID] for initial 
contamination of the CH4 sample train using Eq. 1065.660-1, 
substituting in CH4 concentrations for THC.
    (b) NMHC determination. Use one of the following to determine NMHC 
concentration, xNMHC:
    (1) If you do not measure CH4, you may determine NMHC 
concentrations as described in Sec. 1065.650(c)(1)(vi).
    (2) For nonmethane cutters, calculate xNMHC using the 
nonmethane cutter's penetration fractions (PF) of CH4 and 
C2H6 from Sec. 1065.365, and using the HC 
contamination and dry-to-wet corrected THC concentration 
xTHC[THC-FID]cor as determined in paragraph (a) of this 
section.

[[Page 711]]

    (i) Use the following equation for penetration fractions determined 
using an NMC configuration as outlined in Sec. 1065.365(d):
[GRAPHIC] [TIFF OMITTED] TR08NO10.033

Where:
xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
          dry-to-wet corrected, as measured by the THC FID during 
          sampling while bypassing the NMC.
xTHC[NMC-FID]cor = concentration of THC, HC contamination 
          (optional) and dry-to-wet corrected, as measured by the NMC 
          FID during sampling through the NMC.
RFCH4[THC-FID] = response factor of THC FID to 
          CH4, according to Sec. 1065.360(d).
RFPFC2H6[NMC-FID] = nonmethane cutter combined ethane 
          response factor and penetration fraction, according to Sec. 
          1065.365(d).

Example:
xTHC[THC-FID]cor = 150.3 [micro]mol/mol
xTHC[NMC-FID]cor = 20.5 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR08NO10.034

xNMHC = 131.4 [micro]mol/mol

    (ii) For penetration fractions determined using an NMC configuration 
as outlined in section Sec. 1065.365(e), use the following equation:
[GRAPHIC] [TIFF OMITTED] TR08NO10.035

Where:
xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
          dry-to-wet corrected, as measured by the THC FID during 
          sampling while bypassing the NMC.
PFCH4[NMC-FID] = nonmethane cutter CH4 penetration 
          fraction, according to Sec. 1065.365(e).
xTHC[NMC-FID]cor = concentration of THC, HC contamination 
          (optional) and dry-to-wet corrected, as measured by the THC 
          FID during sampling through the NMC.
PFC2H6[NMC-FID] = nonmethane cutter ethane penetration 
          fraction, according to Sec. 1065.365(e).

Example:
xTHC[THC-FID]cor = 150.3 [micro]mol/mol
PFCH4[NMC-FID] = 0.990
xTHC[NMC-FID]cor = 20.5 [micro]mol/mol
PFC2H6[NMC-FID] = 0.020
[GRAPHIC] [TIFF OMITTED] TR08NO10.036

xNMHC = 132.3 [micro]mol/mol
    (iii) For penetration fractions determined using an NMC 
configuration as outlined in section Sec. 1065.365(f), use the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR08NO10.037

Where:
xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
          dry-to-wet corrected, as measured by the THC FID during 
          sampling while bypassing the NMC.
PFCH4[NMC-FID] = nonmethane cutter CH4 penetration 
          fraction, according to Sec. 1065.365(f).

[[Page 712]]

xTHC[NMC-FID]cor = concentration of THC, HC contamination 
          (optional) and dry-to-wet corrected, as measured by the THC 
          FID during sampling through the NMC.
RFPFC2H6[NMC-FID] = nonmethane cutter CH4 combined 
          ethane response factor and penetration fraction, according to 
          Sec. 1065.365(f).
RFCH4[THC-FID] = response factor of THC FID to 
          CH4, according to Sec. 1065.360(d).

Example:
xTHC[THC-FID]cor = 150.3 [micro]mol/mol
PFCH4[NMC-FID] = 0.990
xTHC[NMC-FID]cor = 20.5 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 0.980
[GRAPHIC] [TIFF OMITTED] TR08NO10.038

xNMHC = 132.5 [micro]mol/mol

    (3) For a gas chromatograph, calculate xNMHC using the 
THC analyzer's response factor (RF) for CH4, from Sec. 
1065.360, and the HC contamination and dry-to-wet corrected initial THC 
concentration xTHC[THC-FID]cor as determined in paragraph (a) 
of this section as follows:
[GRAPHIC] [TIFF OMITTED] TR08OC08.053

Where:
xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
    dry-to-wet corrected, as measured by the THC FID.
xCH4 = concentration of CH4, HC contamination 
    (optional) and dry-to-wet corrected, as measured by the gas 
    chromatograph FID.
RFCH4[THC-FID] = response factor of THC-FID to 
    CH4.

Example:

xTHC[THC-FID][cor = 145.6 [micro]mol/mol
RFCH4[THC-FID] = 0.970
xCH4 = 18.9 [micro]mol/mol
xNMHC = 145.6-0.970 [middot] 18.9
xNMHC = 127.3 [micro]mol/mol
    (c) CH4 determination. Use one of the following methods 
to determine CH4 concentration, xCH4:
    (1) For nonmethane cutters, calculate xCH4 using the 
nonmethane cutter's penetration fractions (PF) of CH4 and 
C2H6 from Sec. 1065.365, using the dry-to-wet 
corrected CH4 concentration xTHC[NMC-FID]cor as 
determined in paragraph (a) of this section and optionally using the 
CH4 contamination correction under paragraph (a) of this 
section.
    (i) Use the following equation for penetration fractions determined 
using an NMC configuration as outlined in Sec. 1065.365(d):
[GRAPHIC] [TIFF OMITTED] TR30OC09.186


Where:

xCH4 = concentration of CH4.
xTHC[NMC-FID]cor = concentration of THC, HC contamination 
    (optional) and dry-to-wet corrected, as measured by the NMC FID 
    during sampling through the NMC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
    dry-to-wet corrected, as measured by the THC

[[Page 713]]

    FID during sampling while bypassing the NMC.
RFPFC2H6[NMC-FID] = the combined ethane response factor and 
    penetration fraction of the nonmethane cutter, according to Sec. 
    1065.365(d).
RFCH4[THC-FID] = response factor of THC FID to 
    CH4, according to Sec. 1065.360(d).
Example:
xTHC[NMC-FID]cor = 10.4 [micro]mol/mol
xTHC[THC-FID]cor = 150.3 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR30OC09.187

xCH4 = 7.69 [micro]mol/mol

    (ii) For penetration fractions determined using an NMC configuration 
as outlined in Sec. 1065.365(e), use the following equation:
[GRAPHIC] [TIFF OMITTED] TR30OC09.188



Where:
xCH4 = concentration of CH4.
xTHC[NMC-FID]cor = concentration of THC, HC contamination 
    (optional) and dry-to-wet corrected, as measured by the NMC FID 
    during sampling through the NMC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
    dry-to-wet corrected, as measured by the THC FID during sampling 
    while bypassing the NMC.
PFC2H6[NMC-FID] = nonmethane cutter ethane penetration 
    fraction, according to Sec. 1065.365(e).
RFCH4[THC-FID] = response factor of THC FID to 
    CH4, according to Sec. 1065.360(d).
PFCH4[NMC-FID] = nonmethane cutter CH4 penetration 
    fraction, according to Sec. 1065.365(e).
Example:
xTHC[NMC-FID]cor = 10.4 [micro]mol/mol
xTHC[THC-FID]cor = 150.3 [micro]mol/mol
PFC2H6[NMC-FID] = 0.020
RFCH4[THC-FID] = 1.05
PFCH4[NMC-FID] = 0.990
[GRAPHIC] [TIFF OMITTED] TR30OC09.189

xCH4 = 7.25 [micro]mol/mol

    (iii) For penetration fractions determined using an NMC 
configuration as outlined in Sec. 1065.365(f), use the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR30OC09.190


Where:
xCH4 = concentration of CH4.
xTHC[NMC-FID]cor = concentration of THC, HC contamination 
    (optional) and dry-to-wet corrected, as measured by the NMC FID 
    during sampling through the NMC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
    dry-to-wet corrected, as measured by the THC FID during sampling 
    while bypassing the NMC.
RFPFC2H6[NMC-FID] = the combined ethane response factor and 
    penetration fraction of the nonmethane cutter, according to Sec. 
    1065.365(f).
PFCH4[NMC-FID] = nonmethane cutter CH4 penetration 
    fraction, according to Sec. 1065.365(f).
RFCH4[THC-FID] = response factor of THC FID to 
    CH4, according to Sec. 1065.360(d).
Example:

xTHC[NMC-FID]cor = 10.4 [micro]mol/mol
xTHC[THC-FID]cor = 150.3 [micro]mol/mol

[[Page 714]]

RFPFC2H6[NMC-FID] = 0.019
PFCH4[NMC-FID] = 0.990
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR30OC09.191

xCH4 = 7.78 [micro]mol/mol

    (2) For a gas chromatograph, xCH4 is the actual dry-to-
wet corrected CH4 concentration as measured by the analyzer.

[73 FR 37336, June 30, 2008, as amended at 73 FR 59339, Oct. 8, 2008; 74 
FR 56516, Oct. 30, 2009; 75 FR 68464, Nov. 8, 2010]



Sec. 1065.665  THCE and NMHCE determination.

    (a) If you measured an oxygenated hydrocarbon's mass concentration, 
first calculate its molar concentration in the exhaust sample stream 
from which the sample was taken (raw or diluted exhaust), and convert 
this into a C1-equivalent molar concentration. Add these 
C1-equivalent molar concentrations to the molar concentration 
of NOTHC. The result is the molar concentration of THCE. Calculate THCE 
concentration using the following equations, noting that equation 
1065.665-3 is only required if you need to convert your OHC 
concentration from mass to moles:
[GRAPHIC] [TIFF OMITTED] TR06MY08.102

[GRAPHIC] [TIFF OMITTED] TR06MY08.103

[GRAPHIC] [TIFF OMITTED] TR06MY08.104

Where:

xTHCE = The C1-equivalent sum of the concentration 
of carbon mass contributions of non-oxygenated hydrocarbons, alcohols, 
and aldehydes.
xNOTHC = The C1-equivalent sum of the 
concentration of nonoxygenated THC.
xOHCi = The C1-equivalent concentration of 
oxygenated species i in diluted exhaust, not corrected for initial 
contamination.
xOHCi-init = The C1-equivalent 
concentration of the initial system contamination (optional) of 
oxygenated species i, dry-to-wet corrected.
xTHC[THC-FID]cor = The C1-equivalent response to 
NOTHC and all OHC in diluted exhaust, HC contamination and dry-to-wet 
corrected, as measured by the THC-FID.
RFOHCi[THC-FID] = The response factor of the FID 
to species i relative to propane on a C1-equivalent basis.
C = The mean number of carbon atoms in the 
particular compound.
Mdexh = The molar mass of diluted exhaust as determined in 
Sec. 1065.340.
mdexhOHCi = The mass of oxygenated species i in dilute 
exhaust.
MOHCi = The C1-equivalent molecular weight of 
oxygenated species i.
mdexh = The mass of diluted exhaust.
ndexhOHCi = The number of moles of oxygenated species i in 
total diluted exhaust flow.
ndexh = The total diluted exhaust flow.

    (b) If we require you to determine NMHCE, use the following 
equation:

[[Page 715]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.105

Where:

xNMHCE = The C1-equivalent sum of the 
concentration of carbon mass contributions of non-oxygenated NMHC, 
alcohols, and aldehydes.
RFCH4[THC-FID] = response factor of THC-FID to 
CH4.
xCH4 = concentration of CH4, HC contamination 
(optional) and dry-to-wet corrected, as measured by the gas 
chromatograph FID.

    (c) The following example shows how to determine NMHCE emissions 
based on ethanol (C2H5OH), methanol 
(CH3OH), acetaldehyde (C2H4O), and 
formaldehyde (HCHO) as C1-equivalent molar concentrations:

xTHC[THC-FID]cor = 145.6 [micro]mol/mol
xCH4 = 18.9 [micro]mol/mol
xC2H5OH = 100.8 [micro]mol/mol
xCH3OH = 1.1 [micro]mol/mol
xC2H4O = 19.1 [micro]mol/mol
xHCHO = 1.3 [micro]mol/mol
RFCH4[THC-FID] = 1.07
RFC2H5OH[THC-FID] = 0.76
RFCH3OH[THC-FID] = 0.74
RFH2H4O[THC-FID] = 0.50
RFHCHO[THC-FID] = 0.0
xNMHCE = xTHC[THC-FID]cor-(xC2H5OH 
    [middot] RFC2H5OH[THC-FID] + xCH3OH [middot] 
    RFCH3OH[THC-FID] + xC2H4O [middot] 
    RFC2H4O[THC-FID] + xHCHO [middot] 
    RFHCHO[THC-FID] + xC2H5OH + xCH3OH 
    + xC2H4O + xHCHO-(RFCH4[THC-FID] 
    [middot] xCH4)
xNMHCE = 145.6-(100.8 [middot] 0.76 + 1.1 [middot] 0.74 + 
    19.1 [middot] 0.50 + 1.3 [middot] 0) + 100.8 + 1.1 + 19.1 + 1.3-
    (1.07 [middot] 18.9)
xNMHCE = 160.71 [micro]mol/mol

[73 FR 37337, June 30, 2008]



Sec. 1065.667  Dilution air background emission correction.

    (a) To determine the mass of background emissions to subtract from a 
diluted exhaust sample, first determine the total flow of dilution air, 
ndil, over the test interval. This may be a measured quantity 
or a quantity calculated from the diluted exhaust flow and the flow-
weighted mean fraction of dilution air in diluted exhaust, 
xdil/exh. Multiply the total flow of dilution air by the mean 
concentration of a background emission. This may be a time-weighted mean 
or a flow-weighted mean (e.g., a proportionally sampled background). The 
product of ndil and the mean concentration of a background 
emission is the total amount of a background emission. If this is a 
molar quantity, convert it to a mass by multiplying it by its molar 
mass, M. The result is the mass of the background emission, m. In the 
case of PM, where the mean PM concentration is already in units of mass 
per mole of sample, MPM, multiply it by the total amount of 
dilution air, and the result is the total background mass of PM, 
mPM. Subtract total background masses from total mass to 
correct for background emissions.
    (b) You may determine the total flow of dilution air by a direct 
flow measurement. In this case, calculate the total mass of background 
as described in Sec. 1065.650(c), using the dilution air flow, 
ndil. Subtract the background mass from the total mass. Use 
the result in brake-specific emission calculations.
    (c) You may determine the total flow of dilution air from the total 
flow of diluted exhaust and a chemical balance of the fuel, intake air, 
and exhaust as described in Sec. 1065.655. In this case, calculate the 
total mass of background as described in Sec. 1065.650(c), using the 
total flow of diluted exhaust, ndexh, then multiply this 
result by the flow-weighted mean fraction of dilution air in diluted 
exhaust, xdil/exh. Calculate xdil/exh using flow-
weighted mean concentrations of emissions in the chemical balance, as 
described in Sec. 1065.655. You may assume that your engine operates 
stoichiometrically, even if it is a lean-burn engine, such as a 
compression-ignition engine. Note that for lean-burn engines this 
assumption could result in an error in emission calculations. This error 
could occur because the chemical balances in Sec. 1065.655 correct 
excess air passing through a lean-burn engine as if it was dilution air. 
If an emission concentration expected at the standard

[[Page 716]]

is about 100 times its dilution air background concentration, this error 
is negligible. However, if an emission concentration expected at the 
standard is similar to its background concentration, this error could be 
significant. If this error might affect your ability to show that your 
engines comply with applicable standards, we recommend that you remove 
background emissions from dilution air by HEPA filtration, chemical 
adsorption, or catalytic scrubbing. You might also consider using a 
partial-flow dilution technique such as a bag mini-diluter, which uses 
purified air as the dilution air.
    (d) The following is an example of using the flow-weighted mean 
fraction of dilution air in diluted exhaust, xdil/exh, and 
the total mass of background emissions calculated using the total flow 
of diluted exhaust, ndexh, as described in Sec. 1065.650(c):
[GRAPHIC] [TIFF OMITTED] TR30AP10.091

[GRAPHIC] [TIFF OMITTED] TR30AP10.092


Example:
MNOx = 46.0055 g/mol
xbkgnd = 0.05 [micro]mol/mol = 0.05[middot]10-6 
          mol/mol
ndexh = 23280.5 mol

xdil/exh = 0.843 mol/mol
mbkgndNOxdexh = 
          46.0055[middot]0.05[middot]10-6[middot]23280.5
mbkgndNOxdexh = 0.0536 g
mbkgndNOx = 0.843 [middot] 0.0536
mbkgndNOx = 0.0452 g

    (e) The following is an example of using the fraction of dilution 
air in diluted exhaust, xdil/exh, and the mass rate of 
background emissions calculated using the flow rate of diluted exhaust, 
ndexh, as described in Sec. 1065.650(c):
[GRAPHIC] [TIFF OMITTED] TR30AP10.093

[GRAPHIC] [TIFF OMITTED] TR30AP10.094


Example:
MNOx = 46.0055 g/mol
xbkgnd = 0.05 [micro]mol/mol = 0.05[middot]10-6 
          mol/mol
ndexh = 23280.5 mol/s
xdil/exh = 0.843 mol/mol
mbkgndNOxdexh = 36.0055[middot]0.05[middot]10-6 
          [middot] 23280.5
mbkgndNOXdexh = 0.0536 g/hr
mbkgndNOx = 0.843 [middot] 0.0536
mbkgndNOx = 0.0452 g/hr

[73 FR 59339, Oct. 8, 2008, as amended at 75 FR 23055, Apr. 30, 2010]



Sec. 1065.670  NOX intake-air humidity and temperature corrections.

    See the standard-setting part to determine if you may correct 
NOX emissions for the effects of intake-air humidity or 
temperature. Use the NOX intake-air humidity and temperature 
corrections specified in the standard-setting part instead of the 
NOX intake-air humidity correction specified in this part 
1065. If the standard-setting part does not prohibit correcting 
NOX emissions for intake-air humidity according to this part 
1065, first apply any NOX corrections for background 
emissions and water removal from the exhaust sample, then correct 
NOX concentrations for intake-air humidity. You may use a 
time-weighted mean combustion air humidity to calculate this correction 
if your combustion air humidity remains within a tolerance of 0.0025 mol/mol of the mean value over the test interval. 
For intake-air humidity correction, use one of the following approaches:
    (a) For compression-ignition engines, correct for intake-air 
humidity using the following equation:

[[Page 717]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.095


Example:

xNOxuncor = 700.5 [micro]mol/mol
xH2O = 0.022 mol/mol
xNOxcor = 700.5 [middot] (9.953 [middot] 0.022 + 0.832)
xNOxcor = 736.2 [micro]mol/mol

    (b) For spark-ignition engines, correct for intake-air humidity 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.096


Example:

xNOxuncor = 154.7 [micro]mol/mol
xH2O = 0.022 mol/mol
xNOxcor = 154.7 [middot] (18.840 [middot] 0.022 + 0.68094)
xNOxcor = 169.5 [micro]mol/mol

    (c) Develop your own correction, based on good engineering judgment.

[75 FR 23056, Apr. 30, 2010]



Sec. 1065.672  Drift correction.

    (a) Scope and frequency. Perform the calculations in this section to 
determine if gas analyzer drift invalidates the results of a test 
interval. If drift does not invalidate the results of a test interval, 
correct that test interval's gas analyzer responses for drift according 
to this section. Use the drift-corrected gas analyzer responses in all 
subsequent emission calculations. Note that the acceptable threshold for 
gas analyzer drift over a test interval is specified in Sec. 1065.550 
for both laboratory testing and field testing.
    (b) Correction principles. The calculations in this section utilize 
a gas analyzer's responses to reference zero and span concentrations of 
analytical gases, as determined sometime before and after a test 
interval. The calculations correct the gas analyzer's responses that 
were recorded during a test interval. The correction is based on an 
analyzer's mean responses to reference zero and span gases, and it is 
based on the reference concentrations of the zero and span gases 
themselves. Validate and correct for drift as follows:
    (c) Drift validation. After applying all the other corrections--
except drift correction--to all the gas analyzer signals, calculate 
brake-specific emissions according to Sec. 1065.650. Then correct all 
gas analyzer signals for drift according to this section. Recalculate 
brake-specific emissions using all of the drift-corrected gas analyzer 
signals. Validate and report the brake-specific emission results before 
and after drift correction according to Sec. 1065.550.
    (d) Drift correction. Correct all gas analyzer signals as follows:
    (1) Correct each recorded concentration, xi, for 
continuous sampling or for batch sampling, x.
    (2) Correct for drift using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR24FE09.005
    
Where:

xidriftcorrected = concentration corrected for drift.
xrefzero = reference concentration of the zero gas, which is 
usually zero unless known to be otherwise.

[[Page 718]]

xrefspan = reference concentration of the span gas.
xprespan = pre-test interval gas analyzer response to the 
span gas concentration.
xpostspan = post-test interval gas analyzer response to the 
span gas concentration.
xi or x = concentration recorded during test, before drift 
correction.
xprezero = pre-test interval gas analyzer response to the 
zero gas concentration.
xpostzero = post-test interval gas analyzer response to the 
zero gas concentration.

Example:

xrefzero = 0 [micro]mol/mol
xrefspan = 1800.0 [micro]mol/mol
xprespan = 1800.5 [micro]mol/mol
xpostspan = 1695.8 [micro]mol/mol
xi or x = 435.5 [micro]mol/mol
xprezero = 0.6 [micro]mol/mol
xpostzero = -5.2 [micro]mol/mol
[GRAPHIC] [TIFF OMITTED] TR24FE09.006

xidriftcorrected = 450.2 [micro]mol/mol

    (3) For any pre-test interval concentrations, use concentrations 
determined most recently before the test interval. For some test 
intervals, the most recent pre-zero or pre-span might have occurred 
before one or more previous test intervals.
    (4) For any post-test interval concentrations, use concentrations 
determined most recently after the test interval. For some test 
intervals, the most recent post-zero or post-span might have occurred 
after one or more subsequent test intervals.
    (5) If you do not record any pre-test interval analyzer response to 
the span gas concentration, xprespan, set xprespan 
equal to the reference concentration of the span gas:

xprespan = xrefspan.

    (6) If you do not record any pre-test interval analyzer response to 
the zero gas concentration, xprezero, set xprezero 
equal to the reference concentration of the zero gas:

xprezero = xrefzero.

    (7) Usually the reference concentration of the zero gas, 
xrefzero, is zero: xrefzero = 0 [micro]mol/mol. 
However, in some cases you might know that xrefzero has a 
non-zero concentration. For example, if you zero a CO2 
analyzer using ambient air, you may use the default ambient air 
concentration of CO2, which is 375 [micro]mol/mol. In this 
case, xrefzero = 375 [micro]mol/mol. Note that when you zero 
an analyzer using a non-zero xrefzero, you must set the 
analyzer to output the actual xrefzero concentration. For 
example, if xrefzero = 375 [micro]mol/mol, set the analyzer 
to output a value of 375 [micro]mol/mol when the zero gas is flowing to 
the analyzer.

[70 FR 40516, July 13, 2005, as amended at 74 8427, Feb. 24, 2009; 75 FR 
23056, Apr. 30, 2010]



Sec. 1065.675  CLD quench verification calculations.

    Perform CLD quench-check calculations as follows:
    (a) Perform a CLD analyzer quench verification test as described in 
Sec. 1065.370.
    (b) Estimate the maximum expected mole fraction of water during 
emission testing, xH2Oexp. Make this estimate where the 
humidified NO span gas was introduced in Sec. 1065.370(e)(6). When 
estimating the maximum expected mole fraction of water, consider the 
maximum expected water content in combustion air, fuel combustion 
products, and dilution air (if applicable). If you introduced the 
humidified NO span gas into the sample system upstream of a sample dryer 
during the verification test, you need not estimate the maximum expected 
mole fraction of water and you must set xH2Oexp equal to 
xH2Omeas.
    (c) Estimate the maximum expected CO2 concentration 
during emission testing, xCO2exp. Make this estimate at the 
sample system location where the blended NO and CO2 span 
gases are introduced according to Sec. 1065.370(d)(10). When estimating 
the maximum expected CO2 concentration, consider the maximum 
expected CO2 content in fuel combustion products and dilution 
air.
    (d) Calculate quench as follows:

[[Page 719]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.058

Where:

quench = amount of CLD quench.
xNOdry = concentration of NO upstream of a bubbler, according 
to Sec. 1065.370(e)(4).
xNOwet = measured concentration of NO downstream of a 
bubbler, according to Sec. 1065.370(e)(9).
xH2Oexp = maximum expected mole fraction of water during 
emission testing, according to paragraph (b) of this section.
xH2Omeas = measured mole fraction of water during the quench 
verification, according to Sec. 1065.370(e)(7).
xNOmeas = measured concentration of NO when NO span gas is 
blended with CO2 span gas, according to Sec. 
1065.370(d)(10).
xNOact = actual concentration of NO when NO span gas is 
blended with CO2 span gas, according to Sec. 1065.370(d)(11) 
and calculated according to Equation 1065.675-2.
xCO2exp = maximum expected concentration of CO2 
during emission testing, according to paragraph (c) of this section.
xCO2act = actual concentration of CO2 when NO span 
gas is blended with CO2 span gas, according to Sec. 
1065.370(d)(9).
[GRAPHIC] [TIFF OMITTED] TR08OC08.059

Where:

xNOspan = the NO span gas concentration input to the gas 
divider, according to Sec. 1065.370(d)(5).
xCO2span = the CO2 span gas concentration input to 
the gas divider, according to Sec. 1065.370(d)(4).

Example:

xNOdry = 1800.0 [micro]mol/mol
xNOwet = 1729.6 [micro]mol/mol
xH2Oexp = 0.030 mol/mol
xH2Omeas = 0.030 mol/mol
xNOmeas = 1495.2 [micro]mol/mol
xNOspan = 3001.6 [micro]mol/mol
xCO2exp = 3.2%
xCO2span = 6.00%
xCO2act = 2.98%
[GRAPHIC] [TIFF OMITTED] TR08OC08.060

quench = (-0.00939-0.01109) [middot] 100% = -2.0048% = -2%

[73 FR 59340, Oct. 8, 2008]



Sec. 1065.690  Buoyancy correction for PM sample media.

    (a) General. Correct PM sample media for their buoyancy in air if 
you weigh them on a balance. The buoyancy correction depends on the 
sample media

[[Page 720]]

density, the density of air, and the density of the calibration weight 
used to calibrate the balance. The buoyancy correction does not account 
for the buoyancy of the PM itself, because the mass of PM typically 
accounts for only (0.01 to 0.10)% of the total weight. A correction to 
this small fraction of mass would be at the most 0.010%.
    (b) PM sample media density. Different PM sample media have 
different densities. Use the known density of your sample media, or use 
one of the densities for some common sampling media, as follows:
    (1) For PTFE-coated borosilicate glass, use a sample media density 
of 2300 kg/m\3\.
    (2) For PTFE membrane (film) media with an integral support ring of 
polymethylpentene that accounts for 95% of the media mass, use a sample 
media density of 920 kg/m\3\.
    (3) For PTFE membrane (film) media with an integral support ring of 
PTFE, use a sample media density of 2144 kg/m\3\.
    (c) Air density. Because a PM balance environment must be tightly 
controlled to an ambient temperature of (22 1) 
[deg]C and humidity has an insignificant effect on buoyancy correction, 
air density is primarily a function of atmospheric pressure. Therefore 
you may use nominal constant values for temperature and humidity in the 
buoyancy correction equation in Eq. 1065.690-2.
    (d) Calibration weight density. Use the stated density of the 
material of your metal calibration weight. The example calculation in 
this section uses a density of 8000 kg/m\3\, but you should know the 
density of your weight from the calibration weight supplier or the 
balance manufacturer if it is an internal weight.
    (e) Correction calculation. Correct the PM sample media for buoyancy 
using the following equations:
[GRAPHIC] [TIFF OMITTED] TR30AP10.097

Where:

mcor = PM mass corrected for buoyancy.
muncor = PM mass uncorrected for buoyancy.
[rho]air = density of air in balance environment.
[rho]weight = density of calibration weight used to span 
          balance.
[rho]media = density of PM sample media, such as a filter.
[GRAPHIC] [TIFF OMITTED] TR30AP10.098

Where:
pabs = absolute pressure in balance environment.
Mmix = molar mass of air in balance environment.
R = molar gas constant.
Tamb = absolute ambient temperature of balance environment.

Example:

pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C
Using Eq. 1065.645-1,
pH20 = 1.1866 kPa
Using Eq. 1065.645-3,
xH2O = 0.011868 mol/mol
Using Eq. 1065.640-9,
Mmix = 28.83563 g/mol
R = 8.314472 J/(mol\.\K)
Tamb = 20 [deg]C

[[Page 721]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.099

[rho]air = 1.18282 kg/m\3\
muncorr = 100.0000 mg
[rho]weight = 8000 kg/m\3\
[rho]media = 920 kg/m\3\
[GRAPHIC] [TIFF OMITTED] TR30AP10.100

mcor = 100.1139 mg

[70 FR 40516, July 13, 2005, as amended at 73 FR 37339, June 30, 2008; 
75 FR 23056, Apr. 30, 2010]



Sec. 1065.695  Data requirements.

    (a) To determine the information we require from engine tests, refer 
to the standard-setting part and request from your Designated Compliance 
Officer the format used to apply for certification or demonstrate 
compliance. We may require different information for different purposes, 
such as for certification applications, approval requests for alternate 
procedures, selective enforcement audits, laboratory audits, production-
line test reports, and field-test reports.
    (b) See the standard-setting part and Sec. 1065.25 regarding 
recordkeeping.
    (c) We may ask you the following about your testing, and we may ask 
you for other information as allowed under the Act:
    (1) What approved alternate procedures did you use? For example:
    (i) Partial-flow dilution for proportional PM.
    (ii) CARB test procedures.
    (iii) ISO test procedures.
    (2) What laboratory equipment did you use? For example, the make, 
model, and description of the following:
    (i) Engine dynamometer and operator demand.
    (ii) Probes, dilution, transfer lines, and sample preconditioning 
components.
    (iii) Batch storage media (such as the bag material or PM filter 
material).
    (3) What measurement instruments did you use? For example, the make, 
model, and description of the following:
    (i) Speed and torque instruments.
    (ii) Flow meters.
    (iii) Gas analyzers.
    (iv) PM balance.
    (4) When did you conduct calibrations and performance checks and 
what were the results? For example, the dates and results of the 
following:
    (i) Linearity checks.
    (ii) Interference checks.
    (iii) Response checks.
    (iv) Leak checks.
    (v) Flow meter checks.
    (5) What engine did you test? For example, the following:
    (i) Manufacturer.
    (ii) Family name on engine label.
    (iii) Model.
    (iv) Model year.
    (v) Identification number.
    (6) How did you prepare and configure your engine for testing? 
Consider the following examples:
    (i) Dates, hours, duty cycle and fuel used for service accumulation.
    (ii) Dates and description of scheduled and unscheduled maintenance.
    (iii) Allowable pressure range of intake restriction.
    (iv) Allowable pressure range of exhaust restriction.
    (v) Charge air cooler volume.
    (vi) Charge air cooler outlet temperature, specified engine 
conditions and location of temperature measurement.

[[Page 722]]

    (vii) Fuel temperature and location of measurement.
    (viii) Any aftertreatment system configuration and description.
    (ix) Any crankcase ventilation configuration and description (e.g., 
open, closed, PCV, crankcase scavenged).
    (7) How did you test your engine? For example:
    (i) Constant speed or variable speed.
    (ii) Mapping procedure (step or sweep).
    (iii) Continuous or batch sampling for each emission.
    (iv) Raw or dilute sampling; any dilution-air background sampling.
    (v) Duty cycle and test intervals.
    (vi) Cold-start, hot-start, warmed-up running.
    (vii) Absolute pressure, temperature, and dewpoint of intake and 
dilution air.
    (viii) Simulated engine loads, curb idle transmission torque value.
    (ix) Warm-idle speed value.
    (x) Simulated vehicle signals applied during testing.
    (xi) Bypassed governor controls during testing.
    (xii) Date, time, and location of test (e.g., dynamometer laboratory 
identification).
    (xiii) Cooling medium for engine and charge air.
    (xiv) Operating temperatures of coolant, head, and block.
    (xv) Natural or forced cool-down and cool-down time.
    (xvi) Canister loading.
    (8) How did you validate your testing? For example, results from the 
following:
    (i) Duty cycle regression statistics for each test interval.
    (ii) Proportional sampling.
    (iii) Drift.
    (iv) Reference PM sample media in PM-stabilization environment.
    (9) How did you calculate results? For example, results from the 
following:
    (i) Drift correction.
    (ii) Noise correction.
    (iii) ``Dry-to-wet'' correction.
    (iv) NMHC, CH4, and contamination correction.
    (v) NOX humidity correction.
    (vi) Brake-specific emission formulation--total mass divided by 
total work, mass rate divided by power, or ratio of mass to work.
    (vii) Rounding emission results.
    (10) What were the results of your testing? For example:
    (i) Maximum mapped power and speed at maximum power.
    (ii) Maximum mapped torque and speed at maximum torque.
    (iii) For constant-speed engines: no-load governed speed.
    (iv) For constant-speed engines: test torque.
    (v) For variable-speed engines: maximum test speed.
    (vi) Speed versus torque map.
    (vii) Speed versus power map.
    (viii) Brake-specific emissions over the duty cycle and each test 
interval.
    (ix) Brake-specific fuel consumption.
    (11) What fuel did you use? For example:
    (i) Fuel that met specifications of subpart H of this part.
    (ii) Alternate fuel.
    (iii) Oxygenated fuel.
    (12) How did you field test your engine? For example:
    (i) Data from paragraphs (c)(1), (3), (4), (5), and (9) of this 
section.
    (ii) Probes, dilution, transfer lines, and sample preconditioning 
components.
    (iii) Batch storage media (such as the bag material or PM filter 
material).
    (iv) Continuous or batch sampling for each emission.
    (v) Raw or dilute sampling; any dilution air background sampling.
    (vi) Cold-start, hot-start, warmed-up running.
    (vii) Intake and dilution air absolute pressure, temperature, 
dewpoint.
    (viii) Curb idle transmission torque value.
    (ix) Warm idle speed value, any enhanced idle speed value.
    (x) Date, time, and location of test (e.g., identify the testing 
laboratory).
    (xi) Proportional sampling validation.
    (xii) Drift validation.
    (xiii) Operating temperatures of coolant, head, and block.
    (xiv) Vehicle make, model, model year, identification number.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37339, June 30, 2008]

[[Page 723]]



    Subpart H_Engine Fluids, Test Fuels, Analytical Gases and Other 
                          Calibration Standards



Sec. 1065.701  General requirements for test fuels.

    (a) General. For all emission measurements, use test fuels that meet 
the specifications in this subpart, unless the standard-setting part 
directs otherwise. Section 1065.10(c)(1) does not apply with respect to 
test fuels. Note that the standard-setting parts generally require that 
you design your emission controls to function properly when using 
commercially available fuels, even if they differ from the test fuel.
    (b) Fuels meeting alternate specifications. We may allow you to use 
a different test fuel (such as California Phase 2 gasoline) if it does 
not affect your ability to show that your engines would comply with all 
applicable emission standards using the fuel specified in this subpart.
    (c) Fuels not specified in this subpart. If you produce engines that 
run on a type of fuel (or mixture of fuels) that we do not specify in 
this subpart, you must get our written approval to establish the 
appropriate test fuel. See the standard-setting part for provisions 
related to fuels and fuel mixtures not specified in this subpart.
    (1) For engines designed to operate on a single fuel, we will 
generally allow you to use the fuel if you show us all the following 
things are true:
    (i) Show that your engines will use only the designated fuel in 
service.
    (ii) Show that this type of fuel is commercially available.
    (iii) Show that operating the engines on the fuel we specify would 
be inappropriate, as in the following examples:
    (A) The engine will not run on the specified fuel.
    (B) The engine or emission controls will not be durable or work 
properly when operating with the specified fuel.
    (C) The measured emission results would otherwise be substantially 
unrepresentative of in-use emissions.
    (2) For engines that are designed to operate on different fuel 
types, the provisions of paragraphs (c)(1)(ii) and (iii) of this section 
apply with respect to each fuel type.
    (3) For engines that are designed to operate on different fuel types 
as well as continuous mixtures of those fuels, we may require you to 
test with either the worst-case fuel mixture or the most representative 
fuel mixture, unless the standard-setting part specifies otherwise.
    (d) Fuel specifications. The fuel parameters specified in this 
subpart depend on measurement procedures that are incorporated by 
reference. For any of these procedures, you may instead rely upon the 
procedures identified in 40 CFR part 80 for measuring the same 
parameter. For example, we may identify different reference procedures 
for measuring gasoline parameters in 40 CFR 80.46.
    (e) Two-stroke fuel/oil mixing. For two-stroke engines, use a fuel/
oil mixture meeting the manufacturer's specifications.
    (f) Service accumulation and field testing fuels. If we do not 
specify a service-accumulation or field-testing fuel in the standard-
setting part, use an appropriate commercially available fuel such as 
those meeting minimum specifications from the following table:

 Table 1 of Sec.  1065.701--Examples of Service-accumulation and Field-
                              testing Fuels
------------------------------------------------------------------------
                                                     Reference procedure
        Fuel category              Subcategory               \1\
------------------------------------------------------------------------
                              Light distillate and  ASTM D975-07b.
                               light blends with
                               residual.
------------------------------------------------------------------------
Diesel......................  Middle distillate...  ASTM D6985-04a.
                             -------------------------------------------
                              Biodiesel (B100)....  ASTM D6751-07b.
------------------------------------------------------------------------
Intermediate and residual     All.................  See Sec.  1065.705.
 fuel.
------------------------------------------------------------------------
Gasoline....................  Motor vehicle         ASTM D4814-07a.
                               gasoline.
                             -------------------------------------------

[[Page 724]]

 
                              Minor oxygenated      ASTM D4814-07a.
                               gasoline blends.
------------------------------------------------------------------------
Alcohol.....................  Ethanol (Ed75-85)...  ASTM D5798-07.
                             -------------------------------------------
                              Methanol (M70-M85)..  ASTM D5797-07.
------------------------------------------------------------------------
Aviation fuel...............  Aviation gasoline...  ASTM D910-07.
                             -------------------------------------------
                              Gas turbine.........  ASTM D1655-07e01.
                             -------------------------------------------
                              Jet B wide cut......  ASTM D6615-06.
------------------------------------------------------------------------
Gas turbine fuel............  General.............  ASTM D2880-03l.
------------------------------------------------------------------------
 \1\ASTM specifications are incorporated by reference in Sec.
  1065.1010.


[70 FR 40516, July 13, 2005, as amended at 73 FR 37339, June 30, 2008; 
73 FR 59341, Oct. 8, 2008; 75 FR 23057, Apr. 30, 2010]



Sec. 1065.703  Distillate diesel fuel.

    (a) Distillate diesel fuels for testing must be clean and bright, 
with pour and cloud points adequate for proper engine operation.
    (b) There are three grades of 2 diesel fuel specified for 
use as a test fuel. See the standard-setting part to determine which 
grade to use. If the standard-setting part does not specify which grade 
to use, use good engineering judgment to select the grade that 
represents the fuel on which the engines will operate in use. The three 
grades are specified in Table 1 of this section.
    (c) You may use the following nonmetallic additives with distillate 
diesel fuels:
    (1) Cetane improver.
    (2) Metal deactivator.
    (3) Antioxidant, dehazer.
    (4) Rust inhibitor.
    (5) Pour depressant.
    (6) Dye.
    (7) Dispersant.
    (8) Biocide.

[[Page 725]]



                 Table 1 of Sec.  1065.703--Test Fuel Specifications for Distillate Diesel Fuel
----------------------------------------------------------------------------------------------------------------
                                                    Ultra low                               Reference procedure
             Item                     Units           sulfur     Low sulfur  High sulfur            \1\
----------------------------------------------------------------------------------------------------------------
Cetane Number.................  .................        40-50        40-50        40-50  ASTM D613-05.
----------------------------------------------------------------------------------------------------------------
Distillation range:
Initial boiling point.........   [deg]C..........      171-204      171-204      171-204  ASTM D86-07a.
----------------------------------------------------------------------------------------------------------------
10 pct. point.................  .................      204-238      204-238      204-238
----------------------------------------------------------------------------------------------------------------
50 pct. point.................  .................      243-282      243-282      243-282
----------------------------------------------------------------------------------------------------------------
90 pct. point.................  .................      293-332      293-332      293-332
----------------------------------------------------------------------------------------------------------------
Endpoint......................  .................      321-366      321-366      321-366
----------------------------------------------------------------------------------------------------------------
Gravity.......................  [deg]API.........        32-37        32-37        32-37  ASTM D4052-96e01.
----------------------------------------------------------------------------------------------------------------
Total sulfur, ultra low sulfur  mg/kg............         7-15  ...........  ...........  See 40 CFR 80.580.
----------------------------------------------------------------------------------------------------------------
Total sulfur, low and high      mg/kg............  ...........      300-500     800-2500  ASTM D2622-07 or
 sulfur.                                                                                   alternates as allowed
                                                                                           under 40 CFR 80.580.
----------------------------------------------------------------------------------------------------------------
Aromatics, min. (Remainder      g/kg.............          100          100          100  ASTM D5186-03.
 shall be paraffins,
 naphthalenes, and olefins)
Flashpoint, min...............   [deg]C..........           54           54           54  ASTM D93-07.
Kinematic Viscosity...........  cSt..............      2.0-3.2      2.0-3.2      2.0-3.2  ASTM D445-06.
----------------------------------------------------------------------------------------------------------------
 \1\ASTM procedures are incorporated by reference in Sec.  1065.1010. See Sec.  1065.701(d) for other allowed
  procedures.


[[Page 726]]


[70 FR 40516, July 13, 2005, as amended at 73 FR 37340, June 30, 2008; 
73 FR 59341, Oct. 8, 2008; 75 FR 23057, Apr. 30, 2010]



Sec. 1065.705  Residual and intermediate residual fuel.

    This section describes the specifications for fuels meeting the 
definition of residual fuel in 40 CFR 80.2, including fuels marketed as 
intermediate fuel. Residual fuels for service accumulation and any 
testing must meet the following specifications:
    (a) The fuel must be a commercially available fuel that is 
representative of the fuel that will be used by the engine in actual 
use.
    (b) The fuel must meet the specifications for one of the categories 
in the following table:

[[Page 727]]



                             Table 1 of Sec.  1065.705--Service Accumulation and Test Fuel Specifications for Residual Fuel
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Category ISO-F-
        Characteristic              Unit      ------------------------------------------------------------------------------------------   Test method
                                                RMA 30   RMB 30   RMD 80  RME 180  RMF 180  RMG 380  RMH 380  RMK 380  RMH 700  RMK 700   reference \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Density at 15 [deg]C, max....  kg/m \3\......    960.0    975.0    980.0        991.0
                                        991.0            1010.0    991.0   1010.0      ISO
                                                                                   3675 or
                                                                                       ISO
                                                                                    12185:
                                                                                     1996/
                                                                                       Cor
                                                                                    1:2001
                                                                                      (see
                                                                                      also
                                                                                       ISO
                                                                                   8217:20
                                                                                     05(E)
                                                                                     7.1).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Kinematic viscosity at 50      cSt...........        30.0           80.0        180.0
 [deg]C, max.
                                        380.0
                                             700.0                   ISO
                                                                 3104:19
                                                                  94/Cor
                                                                 1:1997.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Flash point, min.............  [deg]C........         60              60         60
                                          60
                                              60                     ISO
                                                                    2719
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.2).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pour point (upper):
--------------------------------------------------------------------------------------------------------------------------------------------------------
    Winter quality, max......  [deg]C........        0       24       30         30
                                          30
                                              30                     ISO
                                                                   3016.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    Summer quality, max......  6.............       24       30         30
                                          30
                                              30                     ISO
                                                                   3016.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Carbon residue, max..........  (kg/kg)%......         10              14       15       20       18       22              22             ISO 10370:1993/
                                                                                                                                          Cor 1:1996.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ash, max.....................  (kg/kg)%......        0.10           0.10     0.10     0.15        0.15
                                             0.15                    ISO
                                                                   6245.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Water, max...................  (m\3\/m\3\)%..         0.5            0.5         0.5
                                         0.5
                                              0.5                    ISO
                                                                   3733.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sulfur, max..................  (kg/kg)%......        3.50           4.00        4.50
                                         4.50
                                             4.50                    ISO
                                                                 8754 or
                                                                     ISO
                                                                  14596:
                                                                   1998/
                                                                     Cor
                                                                  1:1999
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.3).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Vanadium, max................  mg/kg.........         150            350      200      500      300      600             600             ISO 14597 or IP
                                                                                                                                          501 or IP 470
                                                                                                                                          (see also ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.8).
--------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 728]]

 
Total sediment potential, max  (kg/kg)%......        0.10           0.10        0.10
                                         0.10
                                             0.10                    ISO
                                                                 10307-2
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.6).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Aluminium plus silicon, max..  mg/kg.........         80              80         80
                                          80
                                              80                     ISO
                                                                   10478
                                                                   or IP
                                                                  501 or
                                                                  IP 470
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.9).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Used lubricating oil (ULO),    ..............    Fuel shall be free of ULO. We consider a fuel to be free of ULO if one or more of the   IP 501 or IP
 max.                                          elements zinc, phosphorus, or calcium is at or below the specified limits. We consider a   470 (see ISO
                                                        fuel to contain ULO if all three elements exceed the specified limits.            8217:2005(E)
                                                                                                                                          7.7).
                                                                                                                                         IP 501 or IP
                                                                                                                                          500 (see ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.7).
                                                                                                                                         IP 501 or IP
                                                                                                                                          470 (see ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.7).
                               mg/kg.........                                             15
Zinc.........................  ..............                                             15
Phosphorus...................  ..............                                             15
Calcium......................  ..............                                             30
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ ISO procedures are incorporated by reference in Sec.  1065.1010. See Sec.  1065.701(d) for other allowed procedures.


[[Page 729]]


[73 FR 37340, June 30, 2008]



Sec. 1065.710  Gasoline.

    (a) Gasoline for testing must have octane values that represent 
commercially available fuels for the appropriate application.
    (b) There are two grades of gasoline specified for use as a test 
fuel. If the standard-setting part requires testing with fuel 
appropriate for low temperatures, use the test fuel specified for low-
temperature testing. Otherwise, use the test fuel specified for general 
testing. The two grades are specified in Table 1 of this section.

                        Table 1 of Sec.  1065.710--Test Fuel Specifications for Gasoline
----------------------------------------------------------------------------------------------------------------
                                                                       Low-temperature     Reference  procedure
              Item                     Units        General testing        testing                 \1\
----------------------------------------------------------------------------------------------------------------
Distillation Range:
    Initial boiling point......  [deg]C..........  24-35 \2\........  24-36............
    10% point..................  [deg]C..........  49-57............  37-48............  ASTM D86-07a.
    50% point..................  [deg]C..........  93-110...........  82-101...........
    90% point..................  [deg]C..........  149-163..........  158-174..........
    End point..................  [deg]C..........  Maximum, 213.....  Maximum, 212.....
Hydrocarbon composition:
    Olefins....................  m\3\/m\3\.......  Maximum, 0.10....  Maximum, 0.175...  ASTM D1319-03.
    Aromatics..................  ................  Maximum, 0.35....  Maximum, 0.304...
    Saturates..................  ................  Remainder........  Remainder........
Lead (organic).................  g/liter.........  Maximum, 0.013...  Maximum, 0.013...  ASTM
                                                                                         D3237-06e01.
Phosphorous....................  g/liter.........  Maximum, 0.0013..  Maximum, 0.005...  ASTM D3231-07.
Total sulfur...................  mg/kg...........  Maximum, 80......  Maximum, 80......  ASTM D2622-07.
Volatility (Reid Vapor           kPa.............  60.0-63.4 2, 3...  77.2-81.4........  ASTM D5191-07.
 Pressure).
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.  1065.1010. See Sec.  1065.701(d) for other allowed
  procedures.
\2\ For testing at altitudes above 1,219 m, the specified volatility range is (52.0 to 55.2) kPa and the
  specified initial boiling point range is (23.9 to 40.6) [deg]C.
\3\ For testing unrelated to evaporative emissions, the specified range is (55.2 to 63.4) kPa.


[70 FR 40516, July 13, 2005, as amended at 73 FR 37341, June 30, 2008]



Sec. 1065.715  Natural gas.

    (a) Except as specified in paragraph (b) of this section, natural 
gas for testing must meet the specifications in the following table:

  Table 1 of Sec.  1065.715--Test Fuel Specifications for Natural Gas
------------------------------------------------------------------------
                  Item                              Value \1\
------------------------------------------------------------------------
Methane, CH4...........................  Minimum, 0.87 mol/mol.
Ethane, C2H6...........................  Maximum, 0.055 mol/mol.
Propane, C3H8..........................  Maximum, 0.012 mol/mol.
Butane, C4H10..........................  Maximum, 0.0035 mol/mol.
Pentane, C5H12.........................  Maximum, 0.0013 mol/mol.
C6 and higher..........................  Maximum, 0.001 mol/mol.
Oxygen.................................  Maximum, 0.001 mol/mol.
Inert gases (sum of CO2 and N2)........  Maximum, 0.051 mol/mol.
------------------------------------------------------------------------
\1\ All parameters are based on the reference procedures in ASTM D1945-
  03 (incorporated by reference in Sec.  1065.1010). See Sec.
  1065.701(d) for other allowed procedures.

    (b) In certain cases you may use test fuel not meeting the 
specifications in paragraph (a) of this section, as follows:
    (1) You may use fuel that your in-use engines normally use, such as 
pipeline natural gas.
    (2) You may use fuel meeting alternate specifications if the 
standard-setting part allows it.
    (3) You may ask for approval to use fuel that does not meet the 
specifications in paragraph (a) of this section,

[[Page 730]]

but only if using the fuel would not adversely affect your ability to 
demonstrate compliance with the applicable standards.
    (c) When we conduct testing using natural gas, we will use fuel that 
meets the specifications in paragraph (a) of this section.
    (d) At ambient conditions, natural gas must have a distinctive odor 
detectable down to a concentration in air not more than one-fifth the 
lower flammable limit.

[73 FR 37342, June 30, 2008]



Sec. 1065.720  Liquefied petroleum gas.

    (a) Except as specified in paragraph (b) of this section, liquefied 
petroleum gas for testing must meet the specifications in the following 
table:

   Table 1 of Sec.  1065.720--Test Fuel Specifications for Liquefied
                              Petroleum Gas
------------------------------------------------------------------------
                                                           Reference
              Item                       Value           procedure \1\
------------------------------------------------------------------------
Propane, C3H8...................  Minimum, 0.85 m\3\/ ASTM D2163-05.
                                   m\3\.
Vapor pressure at 38 [deg]C.....  Maximum, 1400 kPa.  ASTM D1267-02 or
                                                       2598-02\2\.
Volatility residue (evaporated    Maximum, -38        ASTM D1837-02a.
 temperature, 35 [deg]C).          [deg]C.
Butanes.........................  Maximum, 0.05 m\3\/ ASTM D2163-05.
                                   m\3\.
Butenes.........................  Maximum, 0.02 m\3\/ ASTM D2163-05.
                                   m\3\.
Pentenes and heavier............  Maximum, 0.005      ASTM D2163-05.
                                   m\3\/m\3\.
Propene.........................  Maximum, 0.1 m\3\/  ASTM D2163-05.
                                   m\3\.
Residual matter (residue on       Maximum, 0.05 ml    ASTM D2158-05.
 evap. of 100 ml oil stain         pass\3\.
 observ.).
Corrosion, copper strip.........  Maximum, No. 1....  ASTM D1838-07.
Sulfur..........................  Maximum, 80 mg/kg.  ASTM D2784-06.
Moisture content................  pass..............  ASTM D2713-91.
------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.  1065.1010.
  See Sec.  1065.701(d) for other allowed procedures.
\2\ If these two test methods yield different results, use the results
  from ASTM D1267-02.
\3\ The test fuel must not yield a persistent oil ring when you add 0.3
  ml of solvent residue mixture to a filter paper in 0.1 ml increments
  and examine it in daylight after two minutes.

    (b) In certain cases you may use test fuel not meeting the 
specifications in paragraph (a) of this section, as follows:
    (1) You may use fuel that your in-use engines normally use, such as 
commercial-quality liquefied petroleum gas.
    (2) You may use fuel meeting alternate specifications if the 
standard-setting part allows it.
    (3) You may ask for approval to use fuel that does not meet the 
specifications in paragraph (a) of this section, but only if using the 
fuel would not adversely affect your ability to demonstrate compliance 
with the applicable standards.
    (c) When we conduct testing using liquefied petroleum gas, we will 
use fuel that meets the specifications in paragraph (a) of this section.
    (d) At ambient conditions, liquefied petroleum gas must have a 
distinctive odor detectable down to a concentration in air not more than 
one-fifth the lower flammable limit.

[73 FR 37342, June 30, 2008]



Sec. 1065.740  Lubricants.

    (a) Use commercially available lubricating oil that represents the 
oil that will be used in your engine in use.
    (b) You may use lubrication additives, up to the levels that the 
additive manufacturer recommends.



Sec. 1065.745  Coolants.

    (a) You may use commercially available antifreeze mixtures or other 
coolants that will be used in your engine in use.
    (b) For laboratory testing of liquid-cooled engines, you may use 
water with or without rust inhibitors.
    (c) For coolants allowed in paragraphs (a) and (b) of this section, 
you may use rust inhibitors and additives required for lubricity, up to 
the levels that the additive manufacturer recommends.



Sec. 1065.750  Analytical gases.

    Analytical gases must meet the accuracy and purity specifications of 
this section, unless you can show that other specifications would not 
affect your

[[Page 731]]

ability to show that your engines comply with all applicable emission 
standards.
    (a) Subparts C, D, F, and J of this part refer to the following gas 
specifications:
    (1) Use purified gases to zero measurement instruments and to blend 
with calibration gases. Use gases with contamination no higher than the 
highest of the following values in the gas cylinder or at the outlet of 
a zero-gas generator:
    (i) 2% contamination, measured relative to the flow-weighted mean 
concentration expected at the standard. For example, if you would expect 
a flow-weighted CO concentration of 100.0 [micro]mol/mol, then you would 
be allowed to use a zero gas with CO contamination less than or equal to 
2.000 [micro]mol/mol.
    (ii) Contamination as specified in the following table:

 Table 1 of Sec.  1065.750--General specifications for purified gases.
------------------------------------------------------------------------
                                  Purified synthetic
           Constituent                  air \1\         Purified N2\1\
------------------------------------------------------------------------
THC (C1 equivalent).............  <= 0.05 [micro]mol/ <= 0.05 [micro]mol/
                                   mol.                mol.
CO..............................  <= 1 [micro]mol/    <= 1 [micro]mol/
                                   mol.                mol.
CO2.............................  <= 10 [micro]mol/   <= 10 [micro]mol/
                                   mol.                mol.
O2..............................  0.205 to 0.215 mol/ <= 2 [micro]mol/
                                   mol.                mol.
NOX.............................  <= 0.02 [micro]mol/ <= 0.02 [micro]mol/
                                   mol.                mol.
N2O\2\..........................  <= 0.05 [micro]mol/ <= 0.05 [micro]mol/
                                   mol.                mol.
------------------------------------------------------------------------
\1\ We do not require these levels of purity to be NIST-traceable.
\2\ The N2O limit applies only if the standard-setting part requires you
  to report N2O.

    (2) Use the following gases with a FID analyzer:
    (i) FID fuel. Use FID fuel with a stated H2 concentration 
of (0.39 to 0.41) mol/mol, balance He, and a stated total hydrocarbon 
concentration of 0.05 [micro]mol/mol or less.
    (ii) FID burner air. Use FID burner air that meets the 
specifications of purified air in paragraph (a)(1) of this section. For 
field testing, you may use ambient air.
    (iii) FID zero gas. Zero flame-ionization detectors with purified 
gas that meets the specifications in paragraph (a)(1) of this section, 
except that the purified gas O2 concentration may be any 
value. Note that FID zero balance gases may be any combination of 
purified air and purified nitrogen. We recommend FID analyzer zero gases 
that contain approximately the expected flow-weighted mean concentration 
of O2 in the exhaust sample during testing.
    (iv) FID propane span gas. Span and calibrate THC FID with span 
concentrations of propane, C3H8. Calibrate on a 
carbon number basis of one (C1). For example, if you use a 
C3H8 span gas of concentration 200 [micro]mol/mol, 
span a FID to respond with a value of 600 [micro]mol/mol. Note that FID 
span balance gases may be any combination of purified air and purified 
nitrogen. We recommend FID analyzer span gases that contain 
approximately the flow-weighted mean concentration of O2 
expected during testing. If the expected O2 concentration in 
the exhaust sample is zero, we recommend using a balance gas of purified 
nitrogen.
    (v) FID methane span gas. If you always span and calibrate a 
CH4 FID with a nonmethane cutter, then span and calibrate the 
FID with span concentrations of methane, CH4. Calibrate on a 
carbon number basis of one (C1). For example, if you use a 
CH4 span gas of concentration 200 [micro]mol/mol, span a FID 
to respond with a value of 200 [micro]mol/mol. Note that FID span 
balance gases may be any combination of purified air and purified 
nitrogen. We recommend FID analyzer span gases that contain 
approximately the expected flow-weighted mean concentration of 
O2 in the exhaust sample during testing. If the expected 
O2 concentration in the exhaust sample is zero, we recommend 
using a balance gas of purified nitrogen.
    (3) Use the following gas mixtures, with gases traceable within 
 1.0% of the NIST-accepted value or other gas 
standards we approve:
    (i) CH4, balance purified synthetic air and/or 
N2 (as applicable).
    (ii) C2H6, balance purified synthetic air and/
or N2 (as applicable).

[[Page 732]]

    (iii) C3H8, balance purified synthetic air 
and/or N2 (as applicable).
    (iv) CO, balance purified N2.
    (v) CO2, balance purified N2.
    (vi) NO, balance purified N2.
    (vii) NO2, balance purified synthetic air.
    (viii) O2, balance purified N2.
    (ix) C3H8, CO, CO2, NO, balance 
purified N2.
    (x) C3H8, CH4, CO, CO2, 
NO, balance purified N2.
    (xi) N2O, balance purified synthetic air and/or 
N2 (as applicable).
    (4) You may use gases for species other than those listed in 
paragraph (a)(3) of this section (such as methanol in air, which you may 
use to determine response factors), as long as they are traceable to 
within  3.0% of the NIST-accepted value or other 
similar standards we approve, and meet the stability requirements of 
paragraph (b) of this section.
    (5) You may generate your own calibration gases using a precision 
blending device, such as a gas divider, to dilute gases with purified 
N2 or purified synthetic air. If your gas dividers meet the 
specifications in Sec. 1065.248, and the gases being blended meet the 
requirements of paragraphs (a)(1) and (3) of this section, the resulting 
blends are considered to meet the requirements of this paragraph (a).
    (b) Record the concentration of any calibration gas standard and its 
expiration date specified by the gas supplier.
    (1) Do not use any calibration gas standard after its expiration 
date, except as allowed by paragraph (b)(2) of this section.
    (2) Calibration gases may be relabeled and used after their 
expiration date as follows:
    (i) Alcohol/carbonyl calibration gases used to determine response 
factors according to subpart I of this part may be relabeled as 
specified in subpart I of this part.
    (ii) Other gases may be relabeled and used after the expiration date 
only if we approve it in advance.
    (c) Transfer gases from their source to analyzers using components 
that are dedicated to controlling and transferring only those gases. For 
example, do not use a regulator, valve, or transfer line for zero gas if 
those components were previously used to transfer a different gas 
mixture. We recommend that you label regulators, valves, and transfer 
lines to prevent contamination. Note that even small traces of a gas 
mixture in the dead volume of a regulator, valve, or transfer line can 
diffuse upstream into a high-pressure volume of gas, which would 
contaminate the entire high-pressure gas source, such as a compressed-
gas cylinder.
    (d) To maintain stability and purity of gas standards, use good 
engineering judgment and follow the gas standard supplier's 
recommendations for storing and handling zero, span, and calibration 
gases. For example, it may be necessary to store bottles of condensable 
gases in a heated environment.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37343, June 30, 2008; 
74 FR 56518, Oct. 30, 2009; 75 FR 68465, Nov. 8, 2010]



Sec. 1065.790  Mass standards.

    (a) PM balance calibration weights. Use PM balance calibration 
weights that are certified as NIST-traceable within 0.1 % uncertainty. 
Calibration weights may be certified by any calibration lab that 
maintains NIST-traceability. Make sure your lowest calibration weight 
has no greater than ten times the mass of an unused PM-sample medium.
    (b) Dynamometer calibration weights. [Reserved]



                 Subpart I_Testing With Oxygenated Fuels



Sec. 1065.801  Applicability.

    (a) This subpart applies for testing with oxygenated fuels. Unless 
the standard-setting part specifies otherwise, the requirements of this 
subpart do not apply for fuels that contain less than 25% oxygenated 
compounds by volume. For example, you generally do not need to follow 
the requirements of this subpart for tests performed using a fuel 
containing 10% ethanol and 90% gasoline, but you must follow these 
requirements for tests performed using a fuel containing 85% ethanol and 
15% gasoline.

[[Page 733]]

    (b) Section 1065.805 applies for all other testing that requires 
measurement of any alcohols or carbonyls.
    (c) This subpart specifies sampling procedures and calculations that 
are different than those used for non-oxygenated fuels. All other test 
procedures of this part 1065 apply for testing with oxygenated fuels.



Sec. 1065.805  Sampling system.

    (a) Dilute engine exhaust, and use batch sampling to collect 
proportional flow-weighted dilute samples of the applicable alcohols and 
carbonyls. You may not use raw sampling for alcohols and carbonyls.
    (b) You may collect background samples for correcting dilution air 
for background concentrations of alcohols and carbonyls.
    (c) Maintain sample temperatures within the dilution tunnel, probes, 
and sample lines high enough to prevent aqueous condensation up to the 
point where a sample is collected to prevent loss of the alcohols and 
carbonyls by dissolution in condensed water. Use good engineering 
judgment to ensure that surface reactions of alcohols and carbonyls do 
not occur, as surface decomposition of methanol has been shown to occur 
at temperatures greater than 120 [deg]C in exhaust from methanol-fueled 
engines.
    (d) You may bubble a sample of the exhaust through water to collect 
alcohols for later analysis. You may also use a photo-acoustic analyzer 
to quantify ethanol and methanol in an exhaust sample.
    (e) Sample the exhaust through cartridges impregnated with 2,4-
dinitrophenylhydrazine to collect carbonyls for later analysis. If the 
standard-setting part specifies a duty cycle that has multiple test 
intervals (such as multiple engine starts or an engine-off soak phase), 
you may proportionally collect a single carbonyl sample for the entire 
duty cycle. For example, if the standard-setting part specifies a six-
to-one weighting of hot-start to cold-start emissions, you may collect a 
single carbonyl sample for the entire duty cycle by using a hot-start 
sample flow rate that is six times the cold-start sample flow rate.
    (f) You may sample alcohols or carbonyls using ``California Non-
Methane Organic Gas Test Procedures'' (incorporated by reference in 
Sec. 1065.1010). If you use this method, follow its calculations to 
determine the mass of the alcohol/carbonyl in the exhaust sample, but 
follow subpart G of this part for all other calculations.
    (g) Use good engineering judgment to sample other oxygenated 
hydrocarbon compounds in the exhaust.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37343, June 30, 2008]



Sec. 1065.845  Response factor determination.

    Since FID analyzers generally have an incomplete response to 
alcohols and carbonyls, determine each FID analyzer's alcohol/carbonyl 
response factor (such as RFMeOH) after FID optimization to 
subtract those responses from the FID reading. You are not required to 
determine the response factor for a compound unless you will subtract 
its response to compensate for a response. Formaldehyde response is 
assumed to be zero and does not need to be determined. Use the most 
recent alcohol/carbonyl response factors to compensate for alcohol/
carbonyl response.
    (a) Determine the alcohol/carbonyl response factors as follows:
    (1) Select a C3H8 span gas that meets the 
specifications of Sec. 1065.750. Note that FID zero and span balance 
gases may be any combination of purified air or purified nitrogen that 
meets the specifications of Sec. 1065.750. We recommend FID analyzer 
zero and span gases that contain approximately the flow-weighted mean 
concentration of O2 expected during testing. Record the 
C3H8 concentration of the gas.
    (2) Select or prepare an alcohol/carbonyl calibration gas that meets 
the specifications of Sec. 1065.750 and has a concentration typical of 
the peak concentration expected at the hydrocarbon standard. Record the 
calibration concentration of the gas.
    (3) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (4) Confirm that the FID analyzer has been calibrated using 
C3H8. Calibrate on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas

[[Page 734]]

of concentration 200 [micro]mol/mol, span the FID to respond with a 
value of 600 [micro]mol/mol.
    (5) Zero the FID. Note that FID zero and span balance gases may be 
any combination of purified air or purified nitrogen that meets the 
specifications of Sec. 1065.750. We recommend FID analyzer zero and 
span gases that contain approximately the flow-weighted mean 
concentration of O2 expected during testing.
    (6) Span the FID with the C3H8 span gas that 
you selected under paragraph (a)(1) of this section.
    (7) Introduce at the inlet of the FID analyzer the alcohol/carbonyl 
calibration gas that you selected under paragraph (a)(2) of this 
section.
    (8) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the analyzer and to account for its 
response.
    (9) While the analyzer measures the alcohol/carbonyl concentration, 
record 30 seconds of sampled data. Calculate the arithmetic mean of 
these values.
    (10) Divide the mean measured concentration by the recorded span 
concentration of the alcohol/carbonyl calibration gas. The result is the 
FID analyzer's response factor for alcohol/carbonyl, RFMeOH.
    (b) Alcohol/carbonyl calibration gases must remain within 2% of the labeled concentration. You must demonstrate 
the stability based on a quarterly measurement procedure with a 
precision of 2% percent or another method that we 
approve. Your measurement procedure may incorporate multiple 
measurements. If the true concentration of the gas changes deviates by 
more than 2%, but less than 10%, the gas may be relabeled with the new 
concentration.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37343, June 30, 2008; 
75 FR 23058, Apr. 30, 2010]



Sec. 1065.850  Calculations.

    Use the calculations specified in Sec. 1065.665 to determine THCE 
or NMHCE.



    Subpart J_Field Testing and Portable Emission Measurement Systems



Sec. 1065.901  Applicability.

    (a) Field testing. This subpart specifies procedures for field-
testing engines to determine brake-specific emissions using portable 
emission measurement systems (PEMS). These procedures are designed 
primarily for in-field measurements of engines that remain installed in 
vehicles or equipment in the field. Field-test procedures apply to your 
engines only as specified in the standard-setting part.
    (b) Laboratory testing. You may use PEMS for any testing in a 
laboratory or similar environment without restriction or prior approval 
if the PEMS meets all applicable specifications for laboratory testing. 
You may also use PEMS for any testing in a laboratory or similar 
environment if we approve it in advance, subject to the following 
provisions:
    (1) Follow the laboratory test procedures specified in this part 
1065, according to Sec. 1065.905(e).
    (2) Do not apply any PEMS-related field-testing adjustments or 
measurement allowances to laboratory emission results or standards.
    (3) Do not use PEMS for laboratory measurements if it prevents you 
from demonstrating compliance with the applicable standards. Some of the 
PEMS requirements in this part 1065 are less stringent than the 
corresponding laboratory requirements. Depending on actual PEMS 
performance, you might therefore need to account for some additional 
measurement uncertainty when using PEMS for laboratory testing. If we 
ask, you must show us by engineering analysis that any additional 
measurement uncertainty due to your use of PEMS for laboratory testing 
is offset by the extent to which your engine's emissions are below the 
applicable standards. For example, you might show that PEMS versus 
laboratory uncertainty represents 5% of the standard, but your engine's 
deteriorated emissions are at least 20% below the standard for each 
pollutant.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37344, June 30, 2008]

[[Page 735]]



Sec. 1065.905  General provisions.

    (a) General. Unless the standard-setting part specifies deviations 
from the provisions of this subpart, field testing and laboratory 
testing with PEMS must conform to the provisions of this subpart.
    (b) Field-testing scope. Field testing conducted under this subpart 
may include any normal in-use operation of an engine.
    (c) Field testing and the standard-setting part. This subpart J 
specifies procedures for field-testing various categories of engines. 
See the standard-setting part for specific provisions for a particular 
type of engine. Before using this subpart's procedures for field 
testing, read the standard-setting part to answer at least the following 
questions:
    (1) How many engines must I test in the field?
    (2) How many times must I repeat a field test on an individual 
engine?
    (3) How do I select vehicles for field testing?
    (4) What maintenance steps may I take before or between tests?
    (5) What data are needed for a single field test on an individual 
engine?
    (6) What are the limits on ambient conditions for field testing? 
Note that the ambient condition limits in Sec. 1065.520 do not apply 
for field testing. Field testing may occur at any ambient temperature, 
pressure, and humidity unless otherwise specified in the standard-
setting part.
    (7) Which exhaust constituents do I need to measure?
    (8) How do I account for crankcase emissions?
    (9) Which engine and ambient parameters do I need to measure?
    (10) How do I process the data recorded during field testing to 
determine if my engine meets field-testing standards? How do I determine 
individual test intervals? Note that ``test interval'' is defined in 
subpart K of this part 1065.
    (11) Should I warm up the test engine before measuring emissions, or 
do I need to measure cold-start emissions during a warm-up segment of 
in-use operation?
    (12) Do any unique specifications apply for test fuels?
    (13) Do any special conditions invalidate parts of a field test or 
all of a field test?
    (14) Does any special measurement allowance apply to field-test 
emission results or standards, based on using PEMS for field-testing 
versus using laboratory equipment and instruments for laboratory 
testing?
    (15) Do results of initial field testing trigger any requirement for 
additional field testing or laboratory testing?
    (16) How do I report field-testing results?
    (d) Field testing and this part 1065. Use the following 
specifications for field testing:
    (1) Use the applicability and general provisions of subpart A of 
this part.
    (2) Use equipment specifications in Sec. 1065.101 and in the 
sections from Sec. 1065.140 to the end of subpart B of this part, with 
the exception of Sec. Sec. 1065.140(e)(1) and (4), 1065.170(c)(1)(vi), 
and 1065.195(c). Section 1065.910 identifies additional equipment that 
is specific to field testing.
    (i) For PM samples, configure dilution systems as follows:
    (A) Use good engineering judgment to control diluent (i.e., dilution 
air) temperature. If you choose to directly and actively control diluent 
temperature, set the temperature to 25 [deg]C.
    (B) Control sample temperature to a (32 to 62) [deg]C tolerance, as 
measured anywhere within 20 cm upstream or downstream of the PM storage 
media (such as a filter or oscillating crystal), where the tolerance 
applies only during sampling.
    (C) Maintain filter face velocity to a (5 to 100) cm/s tolerance for 
flow-through media. Compliance with this provision can be verified by 
engineering analysis. This provision does not apply for non-flow-through 
media.
    (ii) For inertial PM balances, there is no requirement to control 
the stabilization environment temperature or dewpoint.
    (3) Use measurement instruments in subpart C of this part, except as 
specified in Sec. 1065.915.
    (4) Use calibrations and verifications in subpart D of this part, 
except as specified in Sec. 1065.920. Section 1065.920 also specifies 
additional calibrations and verifications for field testing.

[[Page 736]]

    (5) Use the provisions of the standard-setting part for selecting 
and maintaining engines in the field instead of the specifications in 
subpart E of this part.
    (6) Use the procedures in Sec. Sec. 1065.930 and 1065.935 to start 
and run a field test. If you use a gravimetric balance for PM, weigh PM 
samples according to Sec. Sec. 1065.590 and 1065.595.
    (7) Use the calculations in subpart G of this part to calculate 
emissions over each test interval. Note that ``test interval'' is 
defined in subpart K of this part 1065, and that the standard setting 
part indicates how to determine test intervals for your engine.
    Section 1065.940 specifies additional calculations for field 
testing. Use any calculations specified in the standard-setting part to 
determine if your engines meet the field-testing standards. The 
standard-setting part may also contain additional calculations that 
determine when further field testing is required.
    (8) Use a typical in-use fuel meeting the specifications of Sec. 
1065.701(d).
    (9) Use the lubricant and coolant specifications in Sec. Sec. 
1065.740 and 1065.745.
    (10) Use the analytical gases and other calibration standards in 
Sec. Sec. 1065.750 and 1065.790.
    (11) If you are testing with oxygenated fuels, use the procedures 
specified for testing with oxygenated fuels in subpart I of this part.
    (12) Apply the definitions and reference materials in subpart K of 
this part.
    (e) Laboratory testing using PEMS. You may use PEMS for testing in a 
laboratory as described in Sec. 1065.901(b). Use the following 
procedures and specifications when using PEMS for laboratory testing:
    (1) Use the applicability and general provisions of subpart A of 
this part.
    (2) Use equipment specifications in subpart B of this part. Section 
1065.910 specifies additional equipment specific to testing with PEMS.
    (3) Use measurement instruments in subpart C of this part, except as 
specified in Sec. 1065.915.
    (4) Use calibrations and verifications in subpart D of this part, 
except as specified in Sec. 1065.920. Section 1065.920 also specifies 
additional calibration and verifications for PEMS.
    (5) Use the provisions of Sec. 1065.401 for selecting engines for 
testing. Use the provisions of subpart E of this part for maintaining 
engines, except as specified in the standard-setting part.
    (6) Use the procedures in subpart F of this part and in the 
standard-setting part to start and run a laboratory test.
    (7) Use the calculations in subpart G of this part to calculate 
emissions over the applicable duty cycle. Section 1065.940 specifies 
additional calculations for testing with PEMS.
    (8) Use a fuel meeting the specifications of subpart H of this part, 
as specified in the standard-setting part.
    (9) Use the lubricant and coolant specifications in Sec. Sec. 
1065.740 and 1065.745.
    (10) Use the analytical gases and other calibration standards in 
Sec. Sec. 1065.750 and 1065.790.
    (11) If you are testing with oxygenated fuels, use the procedures 
specified for testing with oxygenated fuels in subpart I of this part.
    (12) Apply the definitions and reference materials in subpart K of 
this part.
    (f) Summary. The following table summarizes the requirements of 
paragraphs (d) and (e) of this section:

         Table 1 of Sec.  1065.905--Summary of Testing Requirements Specified Outside of This Subpart J
----------------------------------------------------------------------------------------------------------------
                                                                     Applicability for
                                                                   laboratory or similar     Applicability for
              Subpart                  Applicability for field       testing with PEMS     laboratory or similar
                                             testing \1\            without restriction   testing with PEMS with
                                                                            \1\               restrictions \1\
----------------------------------------------------------------------------------------------------------------
A: Applicability and general         Use all....................  Use all...............  Use all.
 provisions.
B: Equipment for testing...........  Use Sec.  1065.101 and      Use all...............  Use all. Sec.
                                      Sec.  1065.140 through                              1065.910 specifies
                                      the end of subpart B,                                equipment specific to
                                      except Sec.                                         laboratory testing
                                      1065.140(e)(1) and (4),                              with PEMS.
                                      Sec.  1065.170(c)(1)(vi),
                                      and Sec.  1065.195(c).
                                      Sec.  1065.910 specifies
                                      equipment specific to
                                      field testing.

[[Page 737]]

 
C: Measurement instruments.........  Use all. Sec.  1065.915     Use all except Sec.    Use all except Sec.
                                      allows deviations.           1065.295(c).            1065.295(c). Sec.
                                                                                           1065.915 allows
                                                                                           deviations.
D: Calibrations and verifications..  Use all except Sec.         Use all...............  Use all. Sec.
                                      1065.308 and Sec.                                   1065.920 allows
                                      1065.309. Sec.  1065.920                            deviations, but also
                                      allows deviations, but                               has additional
                                      also has additional                                  specifications.
                                      specifications.
E: Test engine selection,            Do not use. Use standard-    Use all...............  Use all.
 maintenance, and durability.         setting part.
F: Running an emission test in the   Use Sec. Sec.  1065.590    Use all...............  Use all.
 laboratory.                          and 1065.595 for PM Sec.
                                      1065.930 and Sec.
                                      1065.935 to start and run
                                      a field test.
G: Calculations and data             Use all. Sec.  1065.940     Use all...............  Use all. Sec.
 requirements.                        has additional calculation                           1065.940 has
                                      instructions.                                        additional
                                                                                           calculation
                                                                                           instructions.
H: Fuels, engine fluids, analytical  Use all....................  Use all...............  Use all.
 gases, and other calibration
 materials.
I: Testing with oxygenated fuels...  Use all....................  Use all...............  Use all.
K: Definitions and reference         Use all....................  Use all...............  Use all.
 materials.
----------------------------------------------------------------------------------------------------------------
\1\ Refer to paragraphs (d) and (e) of this section for complete specifications.


[70 FR 40516, July 13, 2005, as amended at 73 FR 37344, June 30, 2008; 
75 FR 68465, Nov. 8, 2010]



Sec. 1065.910  PEMS auxiliary equipment for field testing.

    For field testing you may use various types of auxiliary equipment 
to attach PEMS to a vehicle or engine and to power PEMS.
    (a) When you use PEMS, you may route engine intake air or exhaust 
through a flow meter. Route the engine intake air or exhaust as follows:
    (1) Flexible connections. Use short flexible connectors where 
necessary.
    (i) You may use flexible connectors to enlarge or reduce the pipe 
diameters to match that of your test equipment.
    (ii) We recommend that you use flexible connectors that do not 
exceed a length of three times their largest inside diameter.
    (iii) We recommend that you use four-ply silicone-fiberglass fabric 
with a temperature rating of at least 315 [deg]C for flexible 
connectors. You may use connectors with a spring-steel wire helix for 
support and you may use Nomex\TM\ coverings or linings for durability. 
You may also use any other nonreactive material with equivalent 
permeation-resistance and durability, as long as it seals tightly.
    (iv) Use stainless-steel hose clamps to seal flexible connectors, or 
use clamps that seal equivalently.
    (v) You may use additional flexible connectors to connect to flow 
meters.
    (2) Tubing. Use rigid 300 series stainless steel tubing to connect 
between flexible connectors. Tubing may be straight or bent to 
accommodate vehicle geometry. You may use ``T'' or ``Y'' fittings made 
of 300 series stainless steel tubing to join multiple connections, or 
you may cap or plug redundant flow paths if the engine manufacturer 
recommends it.
    (3) Flow restriction. Use flow meters, connectors, and tubing that 
do not increase flow restriction so much that it exceeds the 
manufacturer's maximum specified value. You may verify this at the 
maximum exhaust flow rate by measuring pressure at the manufacturer-
specified location with your system connected. You may also perform

[[Page 738]]

an engineering analysis to verify an acceptable configuration, taking 
into account the maximum exhaust flow rate expected, the field test 
system's flexible connectors, and the tubing's characteristics for 
pressure drops versus flow.
    (b) For vehicles or other motive equipment, we recommend installing 
PEMS in the same location where a passenger might sit. Follow PEMS 
manufacturer instructions for installing PEMS in cargo spaces, engine 
spaces, or externally such that PEMS is directly exposed to the outside 
environment. We recommend locating PEMS where it will be subject to 
minimal sources of the following parameters:
    (1) Ambient temperature changes.
    (2) Ambient pressure changes.
    (3) Electromagnetic radiation.
    (4) Mechanical shock and vibration.
    (5) Ambient hydrocarbons--if using a FID analyzer that uses ambient 
air as FID burner air.
    (c) Use mounting hardware as required for securing flexible 
connectors, ambient sensors, and other equipment. Use structurally sound 
mounting points such as vehicle frames, trailer hitch receivers, walk 
spaces, and payload tie-down fittings. We recommend mounting hardware 
such as clamps, suction cups, and magnets that are specifically designed 
for your application. We also recommend considering mounting hardware 
such as commercially available bicycle racks, trailer hitches, and 
luggage racks where applicable.
    (d) Field testing may require portable electrical power to run your 
test equipment. Power your equipment, as follows:
    (1) You may use electrical power from the vehicle, equipment, or 
vessel, up to the highest power level, such that all the following are 
true:
    (i) The power system is capable of safely supplying power, such that 
the power demand for testing does not overload the power system.
    (ii) The engine emissions do not change significantly as a result of 
the power demand for testing.
    (iii) The power demand for testing does not increase output from the 
engine by more than 1% of its maximum power.
    (2) You may install your own portable power supply. For example, you 
may use batteries, fuel cells, a portable generator, or any other power 
supply to supplement or replace your use of vehicle power. You may 
connect an external power source directly to the vehicle's, vessel's, or 
equipment's power system; however, during a test interval (such as an 
NTE event) you must not supply power to the vehicle's power system in 
excess of 1% of the engine's maximum power.

[73 FR 37344, June 30, 2008, as amended at 75 FR 23058, Apr. 30, 2010]



Sec. 1065.915  PEMS instruments.

    (a) Instrument specifications. We recommend that you use PEMS that 
meet the specifications of subpart C of this part. For unrestricted use 
of PEMS in a laboratory or similar environment, use a PEMS that meets 
the same specifications as each lab instrument it replaces. For field 
testing or for testing with PEMS in a laboratory or similar environment, 
under the provisions of Sec. 1065.905(b), the specifications in the 
following table apply instead of the specifications in Table 1 of Sec. 
1065.205:

                                 Table 1 of Sec.  1065.915--Recommended Minimum PEMS Measurement Instrument Performance
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                          Rise time,
           Measurement             Measured quantity  t10	90, and  Fall   Recording update      Accuracy \1\      Repeatability \1\        Noise \1\
                                         symbol          time, t90	10        frequency
--------------------------------------------------------------------------------------------------------------------------------------------------------
Engine speed transducer..........  fn...............  1 s..............  1 Hz means.......  5.0% of pt. or 1.0%  2.0% of pt. or 1.0%  0.5% of max.
                                                                                             of max.              of max.
Engine torque estimator, BSFC      T or BSFC........  1 s..............  1 Hz means.......  8.0% of pt. or 5%    2.0% of pt. or 1.0%  1.0% of max.
 (This is a signal from an                                                                   of max.              of max.
 engine's ECM).

[[Page 739]]

 
General pressure transducer (not   p................  5 s..............  1 Hz.............  5.0% of pt. or 5.0%  2.0% of pt. or 0.5%  1.0% of max.
 a part of another instrument).                                                              of max.              of max.
Atmospheric pressure meter.......  patmos...........  50 s.............  0.1 Hz...........  250 Pa.............  200 Pa.............  100 Pa.
General temperature sensor (not a  T................  5 s..............  1 Hz.............  1.0% of pt. K or 5   0.5% of pt. K or 2   0.5% of max 0.5 K.
 part of another instrument).                                                                K.                   K.
General dewpoint sensor..........  Tdew.............  50 s.............  0.1 Hz...........  3 K................  1 K................  1 K.
Exhaust flow meter...............  n................  1 s..............  1 Hz means.......  5.0% of pt. or 3.0%  2.0% of pt.........  2.0% of max.
                                                                                             of max.
Dilution air, inlet air, exhaust,  n................  1 s..............  1 Hz means.......  2.5% of pt. or 1.5%  1.25% of pt. or      1.0% of max.
 and sample flow meters.                                                                     of max.              0.75% of max.
Continuous gas analyzer..........  x................  5 s..............  1 Hz.............  4.0% of pt. or 4.0%  2.0% of pt. or 2.0%  1.0% of max.
                                                                                             of meas.             of meas.
Gravimetric PM balance...........  mPM..............  N/A..............  N/A..............  See Sec.  1065.790  0.5 [micro]g.......  N/A.
Inertial PM balance..............  mPM..............  N/A..............  N/A..............  4.0% of pt. or 4.0%  2.0% of pt. or 2.0%  1.0% of max.
                                                                                             of meas.             of meas.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Accuracy, repeatability, and noise are all determined with the same collected data, as described in Sec.  1065.305, and based on absolute values.
  ``pt.'' refers to the overall flow-weighted mean value expected at the standard; ``max.'' refers to the peak value expected at the standard over any
  test interval, not the maximum of the instrument's range; ``meas'' refers to the actual flow-weighted mean measured over any test interval.

    (b) Redundant measurements. For all PEMS described in this subpart, 
you may use data from multiple instruments to calculate test results for 
a single test. If you use redundant systems, use good engineering 
judgment to use multiple measured values in calculations or to disregard 
individual measurements. Note that you must keep your results from all 
measurements, as described in Sec. 1065.25. This requirement applies 
whether or not you actually use the measurements in your calculations.
    (c) Field-testing ambient effects on PEMS. We recommend that you use 
PEMS that are only minimally affected by ambient conditions such as 
temperature, pressure, humidity, physical orientation, mechanical shock 
and vibration, electromagnetic radiation, and ambient hydrocarbons. 
Follow the PEMS manufacturer's instructions for proper installation to 
isolate PEMS from ambient conditions that affect their performance. If a 
PEMS is inherently affected by ambient conditions that you cannot 
control, you may monitor those conditions and adjust the PEMS signals to 
compensate for the ambient effect. The standard-setting part may also 
specify the use of one or more field-testing adjustments or measurement 
allowances that you apply to results or standards to account for ambient 
effects on PEMS.
    (d) ECM signals. You may use signals from the engine's electronic 
control module (ECM) in place of values measured by individual 
instruments within a PEMS, subject to the following provisions:
    (1) Recording ECM signals. If your ECM updates a broadcast signal 
more or less frequently than 1 Hz, process data as follows:
    (i) If your ECM updates a broadcast signal more frequently than 1 
Hz, use PEMS to sample and record the signal's value more frequently. 
Calculate and record the 1 Hz mean of the more frequently updated data.
    (ii) If your ECM updates a broadcast signal less frequently than 1 
Hz, use PEMS to sample and record the signal's value at the most 
frequent rate. Linearly interpolate between recorded

[[Page 740]]

values and record the interpolated values at 1 Hz.
    (iii) Optionally, you may use PEMS to electronically filter the ECM 
signals to meet the rise time and fall time specifications in Table 1 of 
this section. Record the filtered signal at 1 Hz.
    (2) Omitting ECM signals. Replace any discontinuous or irrational 
ECM data with linearly interpolated values from adjacent data.
    (3) Aligning ECM signals with other data. You must perform time-
alignment and dispersion of ECM signals, according to PEMS manufacturer 
instructions and using good engineering judgment.
    (4) ECM signals for determining test intervals. You may use any 
combination of ECM signals, with or without other measurements, to 
determine the start-time and end-time of a test interval.
    (5) ECM signals for determining brake-specific emissions. You may 
use any combination of ECM signals, with or without other measurements, 
to estimate engine speed, torque, brake-specific fuel consumption (BSFC, 
in units of mass of fuel per kW-hr), and fuel rate for use in brake-
specific emission calculations. We recommend that the overall 
performance of any speed, torque, or BSFC estimator should meet the 
performance specifications in Table 1 of this section. We recommend 
using one of the following methods:
    (i) Speed. Use the engine speed signal directly from the ECM. This 
signal is generally accurate and precise. You may develop your own speed 
algorithm based on other ECM signals.
    (ii) Torque. Use one of the following:
    (A) ECM torque. Use the engine-torque signal directly from the ECM, 
if broadcast. Determine if this signal is proportional to indicated 
torque or brake torque. If it is proportional to indicated torque, 
subtract friction torque from indicated torque and record the result as 
brake torque. Friction torque may be a separate signal broadcast from 
the ECM or you may have to determine it from laboratory data as a 
function of engine speed.
    (B) ECM %-load. Use the %-load signal directly from the ECM, if 
broadcast. Determine if this signal is proportional to indicated torque 
or brake torque. If it is proportional to indicated torque, subtract the 
minimum %-load value from the %-load signal. Multiply this result by the 
maximum brake torque at the corresponding engine speed. Maximum brake 
torque versus speed information is commonly published by the engine 
manufacturer.
    (C) Your algorithms. You may develop and use your own combination of 
ECM signals to determine torque.
    (iii) BSFC. Use one of the following:
    (A) Use ECM engine speed and ECM fuel flow signals to interpolate 
brake-specific fuel consumption data, which might be available from an 
engine laboratory as a function of ECM engine speed and ECM fuel 
signals.
    (B) Use a single BSFC value that approximates the BSFC value over a 
test interval (as defined in subpart K of this part). This value may be 
a nominal BSFC value for all engine operation determined over one or 
more laboratory duty cycles, or it may be any other BSFC that you 
determine. If you use a nominal BSFC, we recommend that you select a 
value based on the BSFC measured over laboratory duty cycles that best 
represent the range of engine operation that defines a test interval for 
field-testing. You may use the methods of this paragraph (d)(5)(iii)(B) 
only if it does not adversely affect your ability to demonstrate 
compliance with applicable standards.
    (C) You may develop and use your own combination of ECM signals to 
determine BSFC.
    (iv) ECM fuel rate. Use the fuel rate signal directly from the ECM 
and chemical balance to determine the molar flow rate of exhaust. Use 
Sec. 1065.655(d) to determine the carbon mass fraction of fuel. You may 
alternatively develop and use your own combination of ECM signals to 
determine fuel mass flow rate.
    (v) Other ECM signals. You may ask to use other ECM signals for 
determining brake-specific emissions, such as ECM air flow. We must 
approve the use of such signals in advance.
    (6) Permissible deviations. ECM signals may deviate from the 
specifications of this part 1065, but the expected deviation must not 
prevent you from demonstrating that you meet the applicable standards. 
For example, your emission results may be sufficiently below

[[Page 741]]

an applicable standard, such that the deviation would not significantly 
change the result. As another example, a very low engine-coolant 
temperature may define a logical statement that determines when a test 
interval may start. In this case, even if the ECM's sensor for detecting 
coolant temperature was not very accurate or repeatable, its output 
would never deviate so far as to significantly affect when a test 
interval may start.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37344, June 30, 2008; 
73 FR 59342, Oct. 8, 2008; 75 FR 68466, Nov. 8, 2010]



Sec. 1065.920  PEMS calibrations and verifications.

    (a) Subsystem calibrations and verifications. Use all the applicable 
calibrations and verifications in subpart D of this part, including the 
linearity verifications in Sec. 1065.307, to calibrate and verify PEMS. 
Note that a PEMS does not have to meet the system-response and updating-
recording verifications of Sec. Sec. 1065.308 and 1065.309 if it meets 
the overall verification described in paragraph (b) of this section. 
This section does not apply to ECM signals.
    (b) Overall verification. We require only that you maintain a record 
showing that the particular make, model, and configuration of your PEMS 
meets this verification. We recommend that you generate your own record 
to show that your specific PEMS meets this verification, but you may 
also rely on data and other information from the PEMS manufacturer. If 
you upgrade or change the configuration of your PEMS, your record must 
show that your new configuration meets this verification. The 
verification consists of operating an engine over a duty cycle in the 
laboratory and statistically comparing data generated and recorded by 
the PEMS with data simultaneously generated and recorded by laboratory 
equipment as follows:
    (1) Mount an engine on a dynamometer for laboratory testing. Prepare 
the laboratory and PEMS for emission testing, as described in this part, 
to get simultaneous measurements. We recommend selecting an engine with 
emission levels close to the applicable duty-cycle standards, if 
possible.
    (2) Select or create a duty cycle that has all the following 
characteristics:
    (i) Engine operation that represents normal in-use speeds, loads, 
and degree of transient activity. Consider using data from previous 
field tests to generate a cycle.
    (ii) A duration of (20 to 40) min.
    (iii) At least 50% of engine operating time must include at least 10 
valid test intervals for calculating emission levels for field testing. 
For example, for highway compression-ignition engines, select a duty 
cycle in which at least 50% of the engine operating time can be used to 
calculate valid NTE events.
    (3) Starting with a warmed-up engine, run a valid emission test with 
the duty cycle from paragraph (b)(2) of this section. The laboratory and 
PEMS must both meet applicable validation requirements, such as drift 
validation, hydrocarbon contamination validation, and proportional 
validation.
    (4) Determine the brake-specific emissions for each test interval 
for both laboratory and the PEMS measurements, as follows:
    (i) For both laboratory and PEMS measurements, use identical values 
to determine the beginning and end of each test interval.
    (ii) For both laboratory and PEMS measurements, use identical values 
to determine total work over each test interval.
    (iii) If the standard-setting part specifies the use of a 
measurement allowance for field testing, also apply the measurement 
allowance during calibration using good engineering judgment. If the 
measurement allowance is normally added to the standard, this means you 
must subtract the measurement allowance from the measured PEMS brake-
specific emission result.
    (iv) Round results to the same number of significant digits as the 
standard.
    (5) Repeat the engine duty cycle and calculations until you have at 
least 100 valid test intervals.
    (6) For each test interval and emission, subtract the lab result 
from the PEMS result.
    (7) The PEMS passes this verification if any one of the following 
are true for each constituent:

[[Page 742]]

    (i) 91% or more of the differences are zero or less than zero.
    (ii) The entire set of test-interval results passes the 95% 
confidence alternate-procedure statistics for field testing (t-test and 
F-test) specified in subpart A of this part.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37345, June 30, 2008; 
75 FR 68467, Nov. 8, 2010]



Sec. 1065.925  PEMS preparation for field testing.

    Take the following steps to prepare PEMS for field testing:
    (a) Verify that ambient conditions at the start of the test are 
within the limits specified in the standard-setting part. Continue to 
monitor these values to determine if ambient conditions exceed the 
limits during the test.
    (b) Install a PEMS and any accessories needed to conduct a field 
test.
    (c) Power the PEMS and allow pressures, temperatures, and flows to 
stabilize to their operating set points.
    (d) Bypass or purge any gaseous sampling PEMS instruments with 
ambient air until sampling begins to prevent system contamination from 
excessive cold-start emissions.
    (e) Conduct calibrations and verifications.
    (f) Operate any PEMS dilution systems at their expected flow rates 
using a bypass.
    (g) If you use a gravimetric balance to determine whether an engine 
meets an applicable PM standard, follow the procedures for PM sample 
preconditioning and tare weighing as described in Sec. 1065.590. 
Operate the PM-sampling system at its expected flow rates using a 
bypass.
    (h) Verify the amount of contamination in the PEMS HC sampling 
system before the start of the field test as follows:
    (1) Select the HC analyzers' ranges for measuring the maximum 
concentration expected at the HC standard.
    (2) Zero the HC analyzers using a zero gas or ambient air introduced 
at the analyzer port. When zeroing the FIDs, use the FIDs' burner air 
that would be used for in-use measurements (generally either ambient air 
or a portable source of burner air).
    (3) Span the HC analyzers using span gas introduced at the analyzer 
port. When spanning the FIDs, use the FIDs' burner air that would be 
used in-use (for example, use ambient air or a portable source of burner 
air).
    (4) Overflow zero or ambient air at the HC probe inlet or into a tee 
near the probe outlet.
    (5) Measure the HC concentration in the sampling system:
    (i) For continuous sampling, record the mean HC concentration as 
overflow zero air flows.
    (ii) For batch sampling, fill the sample medium and record its mean 
concentration.
    (6) Record this value as the initial HC concentration, 
xTHCinit, and use it to correct measured values as described 
in Sec. 1065.660.
    (7) If the initial HC concentration exceeds the greater of the 
following values, determine the source of the contamination and take 
corrective action, such as purging the system or replacing contaminated 
portions:
    (i) 2% of the flow-weighted mean concentration expected at the 
standard or measured during testing.
    (ii) 2 [micro]mol/mol.
    (8) If corrective action does not resolve the deficiency, you may 
use a contaminated HC system if it does not prevent you from 
demonstrating compliance with the applicable emission standards.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37345, June 30, 2008; 
73 FR 59342, Oct. 8, 2008; 75 FR 68467, Nov. 8, 2010]



Sec. 1065.930  Engine starting, restarting, and shutdown.

    Unless the standard-setting part specifies otherwise, start, 
restart, and shut down the test engine for field testing as follows:
    (a) Start or restart the engine as described in the owners manual.
    (b) If the engine does not start after 15 seconds of cranking, stop 
cranking and determine the reason it failed to start. However, you may 
crank the engine longer than 15 seconds, as long as the owners manual or 
the service-repair manual describes the longer cranking time as normal.
    (c) Respond to engine stalling with the following steps:

[[Page 743]]

    (1) If the engine stalls during a required warm-up before emission 
sampling begins, restart the engine and continue warm-up.
    (2) If the engine stalls at any other time after emission sampling 
begins, restart the engine and continue testing.
    (d) Shut down and restart the engine according to the manufacturer's 
specifications, as needed during normal operation in-use, but continue 
emission sampling until the field test is complete.



Sec. 1065.935  Emission test sequence for field testing.

    (a) Time the start of field testing as follows:
    (1) If the standard-setting part requires only hot-stabilized 
emission measurements, operate the engine in-use until the engine 
coolant, block, or head absolute temperature is within 10% of its mean value for the previous 2 min or until an 
engine thermostat controls engine temperature with coolant or air flow.
    (2) If the standard-setting part requires hot-start emission 
measurements, shut down the engine after at least 2 min at the 
temperature tolerance specified in paragraph (a)(1) of this section. 
Start the field test within 20 min of engine shutdown.
    (3) If the standard-setting part requires cold-start emission 
measurements, proceed to the steps specified in paragraph (b) of this 
section.
    (b) Take the following steps before emission sampling begins:
    (1) For batch sampling, connect clean storage media, such as 
evacuated bags or tare-weighed PM sample media.
    (2) Operate the PEMS according to the instrument manufacturer's 
instructions and using good engineering judgment.
    (3) Operate PEMS heaters, dilution systems, sample pumps, cooling 
fans, and the data-collection system.
    (4) Pre-heat or pre-cool PEMS heat exchangers in the sampling system 
to within their tolerances for operating temperatures.
    (5) Allow all other PEMS components such as sample lines, filters, 
and pumps to stabilize at operating temperature.
    (6) Verify that no significant vacuum-side leak exists in the PEMS, 
as described in Sec. 1065.345.
    (7) Adjust PEMS flow rates to desired levels, using bypass flow if 
applicable.
    (8) Zero and span all PEMS gas analyzers using NIST-traceable gases 
that meet the specifications of Sec. 1065.750.
    (c) Start testing as follows:
    (1) Before the start of the first test interval, zero or re-zero any 
PEMS electronic integrating devices, as needed.
    (2) If the engine is already running and warmed up and starting is 
not part of field testing, start the field test by simultaneously 
starting to sample exhaust, record engine and ambient data, and 
integrate measured values using a PEMS.
    (3) If engine starting is part of field testing, start field testing 
by simultaneously starting to sample from the exhaust system, record 
engine and ambient data, and integrate measured values using a PEMS. 
Then start the engine.
    (d) Continue the test as follows:
    (1) Continue to sample exhaust, record data and integrate measured 
values throughout normal in-use operation of the engine.
    (2) Between each test interval, zero or re-zero any electronic 
integrating devices, and reset batch storage media, as needed.
    (3) The engine may be stopped and started, but continue to sample 
emissions throughout the entire field test.
    (4) Conduct periodic verifications such as zero and span 
verifications on PEMS gas analyzers, as recommended by the PEMS 
manufacturer or as indicated by good engineering judgment. Results from 
these verifications will be used to calculate and correct for drift 
according to paragraph (g) of this section. Do not include data recorded 
during verifications in emission calculations.
    (5) You may periodically condition and analyze batch samples in-
situ, including PM samples; for example you may condition an inertial PM 
balance substrate if you use an inertial balance to measure PM.
    (6) You may have personnel monitoring and adjusting the PEMS during

[[Page 744]]

a test, or you may operate the PEMS unattended.
    (e) Stop testing as follows:
    (1) Continue sampling as needed to get an appropriate amount of 
emission measurement, according to the standard setting part. If the 
standard-setting part does not describe when to stop sampling, develop a 
written protocol before you start testing to establish how you will stop 
sampling. You may not determine when to stop testing based on emission 
results.
    (2) At the end of the field test, allow the sampling systems' 
response times to elapse and then stop sampling. Stop any integrators 
and indicate the end of the test cycle on the data-collection medium.
    (3) You may shut down the engine before or after you stop sampling.
    (f) For any proportional batch sample, such as a bag sample or PM 
sample, verify for each test interval whether or not proportional 
sampling was maintained according to Sec. 1065.545. Void the sample for 
any test interval that did not maintain proportional sampling according 
to Sec. 1065.545.
    (g) Take the following steps after emission sampling is complete:
    (1) As soon as practical after the emission sampling, analyze any 
gaseous batch samples.
    (2) If you used dilution air, either analyze background samples or 
assume that background emissions were zero. Refer to Sec. 1065.140 for 
dilution-air specifications.
    (3) After quantifying all exhaust gases, record mean analyzer values 
after stabilizing a zero gas to each analyzer, then record mean analyzer 
values after stabilizing the span gas to the analyzer. Stabilization may 
include time to purge an analyzer of any sample gas, plus any additional 
time to account for analyzer response. Use these recorded values to 
correct for drift as described in Sec. 1065.550.
    (4) Invalidate any test intervals that do not meet the range 
criteria in Sec. 1065.550. Note that it is acceptable that analyzers 
exceed 100% of their ranges when measuring emissions between test 
intervals, but not during test intervals. You do not have to retest an 
engine in the field if the range criteria are not met.
    (5) Invalidate any test intervals that do not meet the drift 
criterion in Sec. 1065.550. For NMHC, invalidate any test intervals if 
the difference between the uncorrected and the corrected brake-specific 
NMHC emission values are within 10% of the 
uncorrected results or the applicable standard, whichever is greater. 
For test intervals that do meet the drift criterion, correct those test 
intervals for drift according to Sec. 1065.672 and use the drift 
corrected results in emissions calculations.
    (6) Unless you weighed PM in-situ, such as by using an inertial PM 
balance, place any used PM samples into covered or sealed containers and 
return them to the PM-stabilization environment and weigh them as 
described in Sec. 1065.595.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37345, June 30, 2008]



Sec. 1065.940  Emission calculations.

    (a) Perform emission calculations as described in Sec. 1065.650 to 
calculate brake-specific emissions for each test interval using any 
applicable information and instructions in the standard-setting part.
    (b) You may use a fixed molar mass for the diluted exhaust mixture 
for field testing. Determine this fixed value by engineering analysis.

[75 FR 68467, Nov. 8, 2010]



          Subpart K_Definitions and Other Reference Information



Sec. 1065.1001  Definitions.

    The definitions in this section apply to this part. The definitions 
apply to all subparts unless we note otherwise. All undefined terms have 
the meaning the Act gives them. The definitions follow:
    300 series stainless steel means any stainless steel alloy with a 
Unified Numbering System for Metals and Alloys number designated from 
S30100 to S39000. For all instances in this part where we specify 300 
series stainless steel, such parts must also have a smooth inner-wall 
construction. We recommend an average roughness, Ra, no 
greater than 4 [micro]m.
    Accuracy means the absolute difference between a reference quantity

[[Page 745]]

and the arithmetic mean of ten mean measurements of that quantity. 
Determine instrument accuracy, repeatability, and noise from the same 
data set. We specify a procedure for determining accuracy in Sec. 
1065.305.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. In 
some cases, this may exclude a parameter that is difficult to access if 
it cannot be adjusted to affect emissions without significantly 
degrading engine performance, or if it will not be adjusted in a way 
that affects emissions during in-use operation.
    Aerodynamic diameter means the diameter of a spherical water droplet 
that settles at the same constant velocity as the particle being 
sampled.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Allowed procedures means procedures that we either specify in this 
part 1065 or in the standard-setting part or approve under Sec. 
1065.10.
    Alternate procedures means procedures allowed under Sec. 
1065.10(c)(7).
    Applicable standard means an emission standard to which an engine is 
subject; or a family emission limit to which an engine is certified 
under an emission credit program in the standard-setting part.
    Aqueous condensation means the precipitation of water-containing 
constituents from a gas phase to a liquid phase. Aqueous condensation is 
a function of humidity, pressure, temperature, and concentrations of 
other constituents such as sulfuric acid. These parameters vary as a 
function of engine intake-air humidity, dilution-air humidity, engine 
air-to-fuel ratio, and fuel composition--including the amount of 
hydrogen and sulfur in the fuel.
    Atmospheric pressure means the wet, absolute, atmospheric static 
pressure. Note that if you measure atmospheric pressure in a duct, you 
must ensure that there are negligible pressure losses between the 
atmosphere and your measurement location, and you must account for 
changes in the duct's static pressure resulting from the flow.
    Auto-ranging means a gas analyzer function that automatically 
changes the analyzer digital resolution to a larger range of 
concentrations as the concentration approaches 100% of the analyzer's 
current range. Auto-ranging does not mean changing an analog amplifier 
gain within an analyzer.
    Auxiliary emission-control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Brake power has the meaning given in the standard-setting part. If 
it is not defined in the standard-setting part, brake power means the 
usable power output of the engine, not including power required to fuel, 
lubricate, or heat the engine, circulate coolant to the engine, or to 
operate aftertreatment devices. If the engine does not power these 
accessories during a test, subtract the work required to perform these 
functions from the total work used in brake-specific emission 
calculations. Subtract engine fan work from total work only for air-
cooled engines.
    C1 equivalent (or basis) means a convention of expressing 
HC concentrations based on the total number of carbon atoms present, 
such that the C1 equivalent of a molar HC concentration 
equals the molar concentration multiplied by the mean number of carbon 
atoms in each HC molecule. For example, the C1 equivalent of 
10 [micro]mol/mol of propane (C3H8) is 30 
[micro]mol/mol. C1 equivalent molar values may be denoted as 
``ppmC'' in the standard-setting part.

[[Page 746]]

    Calibration means the process of setting a measurement system's 
response so that its output agrees with a range of reference signals. 
Contrast with ``verification''.
    Calibration gas means a purified gas mixture used to calibrate gas 
analyzers. Calibration gases must meet the specifications of Sec. 
1065.750. Note that calibration gases and span gases are qualitatively 
the same, but differ in terms of their primary function. Various 
performance verification checks for gas analyzers and sample handling 
components might refer to either calibration gases or span gases.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in the standard-setting part.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Confidence interval means the range associated with a probability 
that a quantity will be considered statistically equivalent to a 
reference quantity.
    Constant-speed engine means an engine whose certification is limited 
to constant-speed operation. Engines whose constant-speed governor 
function is removed or disabled are no longer constant-speed engines.
    Constant-speed operation means engine operation with a governor that 
automatically controls the operator demand to maintain engine speed, 
even under changing load. Governors do not always maintain speed exactly 
constant. Typically speed can decrease (0.1 to 10) % below the speed at 
zero load, such that the minimum speed occurs near the engine's point of 
maximum power. (Note: An engine with an adjustable governor setting may 
be considered to operate at constant speed, subject to our approval. For 
such engines, the governor setting is considered an adjustable 
parameter.)
    Coriolis meter means a flow-measurement instrument that determines 
the mass flow of a fluid by sensing the vibration and twist of specially 
designed flow tubes as the flow passes through them. The twisting 
characteristic is called the Coriolis effect. According to Newton's 
Second Law of Motion, the amount of sensor tube twist is directly 
proportional to the mass flow rate of the fluid flowing through the 
tube. See Sec. 1065.220.
    Designated Compliance Officer means the Director, Compliance and 
Innovative Strategies Division (6405-J), U.S. Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Dewpoint means a measure of humidity stated as the equilibrium 
temperature at which water condenses under a given pressure from moist 
air with a given absolute humidity. Dewpoint is specified as a 
temperature in [deg]C or K, and is valid only for the pressure at which 
it is measured. See Sec. 1065.645 to determine water vapor mole 
fractions from dewpoints using the pressure at which the dewpoint is 
measured.
    Dilution ratio (DR) means the amount of diluted exhaust per amount 
of undiluted exhaust.
    Discrete-mode means relating to a discrete-mode type of steady-state 
test, as described in the standard-setting part.
    Dispersion means either:
    (1) The broadening and lowering of a signal due to any fluid 
capacitance, fluid mixing, or electronic filtering in a sampling system. 
(Note: To adjust a signal so its dispersion matches that of another 
signal, you may adjust the system's fluid capacitance, fluid mixing, or 
electronic filtering.)
    (2) The mixing of a fluid, especially as a result of fluid 
mechanical forces or chemical diffusion.
    Drift means the difference between a zero or calibration signal and 
the respective value reported by a measurement instrument immediately 
after it was used in an emission test, as long as you zeroed and spanned 
the instrument just before the test.
    Duty cycle means one of the following:
    (1) A series of speed and torque values (or power values) that an 
engine must follow during a laboratory test. Duty cycles are specified 
in the standard-setting part. A single duty cycle may consist of one or 
more test intervals. A series of speed and torque values meeting the 
definition of this paragraph (1) may also be considered a test

[[Page 747]]

cycle. For example, a duty cycle may be a ramped-modal cycle, which has 
one test interval; a cold-start plus hot-start transient cycle, which 
has two test intervals; or a discrete-mode cycle, which has one test 
interval for each mode.
    (2) A set of weighting factors and the corresponding speed and 
torque values, where the weighting factors are used to combine the 
results of multiple test intervals into a composite result.
    Electronic control module means an engine's electronic device that 
uses data from engine sensors to control engine parameters.
    Emission-control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine means an engine to which this part applies.
    Engine family means a group of engines with similar emission 
characteristics throughout the useful life, as specified in the 
standard-setting part.
    Engine governed speed means the engine operating speed when it is 
controlled by the installed governor.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Fall time, t90-10, means the time interval of a 
measurement instrument's response after any step decrease to the input 
between the following points:
    (1) The point at which the response has fallen 10% of the total 
amount it will fall in response to the step change.
    (2) The point at which the response has fallen 90% of the total 
amount it will fall in response to the step change.
    Flow-weighted mean means the mean of a quantity after it is weighted 
proportional to a corresponding flow rate. For example, if a gas 
concentration is measured continuously from the raw exhaust of an 
engine, its flow-weighted mean concentration is the sum of the products 
of each recorded concentration times its respective exhaust flow rate, 
divided by the sum of the recorded flow rates. As another example, the 
bag concentration from a CVS system is the same as the flow-weighted 
mean concentration, because the CVS system itself flow-weights the bag 
concentration.
    Fuel type means a general category of fuels such as gasoline or LPG. 
There can be multiple grades within a single type of fuel, such as all-
season and winter-grade gasoline.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    HEPA filter means high-efficiency particulate air filters that are 
rated to achieve a minimum initial particle-removal efficiency of 99.97% 
using ASTM F 1471-93 (incorporated by reference in Sec. 1065.1010).
    Hydraulic diameter means the diameter of a circle whose area is 
equal to the area of a noncircular cross section of tubing, including 
its wall thickness. The wall thickness is included only for the purpose 
of facilitating a simplified and nonintrusive measurement.
    Hydrocarbon (HC) means THC, THCE, NMHC, or NMHCE, as applicable. 
Hydrocarbon generally means the hydrocarbon group on which the emission 
standards are based for each type of fuel and engine.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Idle speed means the lowest engine speed with minimum load (greater 
than

[[Page 748]]

or equal to zero load), where an engine governor function controls 
engine speed. For engines without a governor function that controls idle 
speed, idle speed means the manufacturer-declared value for lowest 
engine speed possible with minimum load. Note that warm idle speed is 
the idle speed of a warmed-up engine.
    Intermediate test speed has the meaning given in Sec. 1065.610.
    Linearity means the degree to which measured values agree with 
respective reference values. Linearity is quantified using a linear 
regression of pairs of measured values and reference values over a range 
of values expected or observed during testing. Perfect linearity would 
result in an intercept, a0, equal to zero, a slope, a1, of one, a 
coefficient of determination, r\2\, of one, and a standard error of the 
estimate, SEE, of zero. The term ``linearity'' is not used in this part 
to refer to the shape of a measurement instrument's unprocessed response 
curve, such as a curve relating emission concentration to voltage 
output. A properly performing instrument with a nonlinear response curve 
will meet linearity specifications.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine or 
vehicle for sale in the United States or otherwise introduces a new 
nonroad engine into commerce in the United States. This includes 
importers who import engines or vehicles for resale.
    Maximum test speed has the meaning given in Sec. 1065.610.
    Maximum test torque has the meaning given in Sec. 1065.610.
    Measurement allowance means a specified adjustment in the applicable 
emission standard or a measured emission value to reflect the relative 
quality of the measurement. See the standard-setting part to determine 
whether any measurement allowances apply for your testing. Measurement 
allowances generally apply only for field testing and are intended to 
account for reduced accuracy or precision that result from using field-
grade measurement systems.
    Mode means one of the following:
    (1) A distinct combination of engine speed and load for steady-state 
testing.
    (2) A continuous combination of speeds and loads specifying a 
transition during a ramped-modal test.
    (3) A distinct operator demand setting, such as would occur when 
testing locomotives or constant-speed engines.
    NIST-accepted means relating to a value that has been assigned or 
named by NIST.
    NIST-traceable means relating to a standard value that can be 
related to NIST-stated references through an unbroken chain of 
comparisons, all having stated uncertainties, as specified in NIST 
Technical Note 1297 (incorporated by reference in Sec. 1065.1010). 
Allowable uncertainty limits specified for NIST-traceability refer to 
the propagated uncertainty specified by NIST. You may ask to use other 
internationally recognized standards that are equivalent to NIST 
standards.
    Noise means the precision of 30 seconds of updated recorded values 
from a measurement instrument as it quantifies a zero or reference 
value. Determine instrument noise, repeatability, and accuracy from the 
same data set. We specify a procedure for determining noise in Sec. 
1065.305.
    Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon 
species except methane. Refer to Sec. 1065.660 for NMHC determination.
    Nonmethane hydrocarbon equivalent (NMHCE) means the sum of the 
carbon mass contributions of non-oxygenated nonmethane hydrocarbons, 
alcohols and aldehydes, or other organic compounds that are measured 
separately as contained in a gas sample, expressed as exhaust nonmethane 
hydrocarbon from petroleum-fueled engines. The hydrogen-to-carbon ratio 
of the equivalent hydrocarbon is 1.85:1.
    Nonroad means relating to nonroad engines.
    Nonroad engine has the meaning we give in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft.
    Open crankcase emissions means any flow from an engine's crankcase 
that is emitted directly into the environment.

[[Page 749]]

Crankcase emissions are not ``open crankcase emissions'' if the engine 
is designed to always route all crankcase emissions back into the engine 
(for example, through the intake system or an aftertreatment system) 
such that all the crankcase emissions, or their products, are emitted 
into the environment only through the engine exhaust system.
    Operator demand means an engine operator's input to control engine 
output. The ``operator'' may be a person (i.e., manual), or a governor 
(i.e., automatic) that mechanically or electronically signals an input 
that demands engine output. Input may be from an accelerator pedal or 
signal, a throttle-control lever or signal, a fuel lever or signal, a 
speed lever or signal, or a governor setpoint or signal. Output means 
engine power, P, which is the product of engine speed, fn, and engine 
torque, T.
    Oxides of nitrogen means NO and NO2 as measured by the 
procedures specified in Sec. 1065.270. Oxides of nitrogen are expressed 
quantitatively as if the NO is in the form of NO2, such that 
you use an effective molar mass for all oxides of nitrogen equivalent to 
that of NO2.
    Oxygenated fuels means fuels composed of oxygen-containing 
compounds, such as ethanol or methanol. Testing engines that use 
oxygenated fuels generally requires the use of the sampling methods in 
subpart I of this part. However, you should read the standard-setting 
part and subpart I of this part to determine appropriate sampling 
methods.
    Partial pressure means the pressure, p, attributable to a single gas 
in a gas mixture. For an ideal gas, the partial pressure divided by the 
total pressure is equal to the constituent's molar concentration, x.
    Percent (%) means a representation of exactly 0.01 (with infinite 
precision). Significant digits for the product of % and another value, 
or the expression of any other value as a percentage, are defined as 
follows:
    (1) Where we specify some percentage of a total value, the 
calculated value has the same number of significant digits as the total 
value. The specified percentage by which the total value is multiplied 
has infinite precision. Note that not all displayed or recorded digits 
are significant. For example, 2% of a span value where the span value is 
101.3302 is 2.026604. However, where the span value has limited 
precision such that only one digit to the right of the decimal is 
significant (i.e., the actual value is 101.3), 2% of the span value is 
2.026.
    (2) In other cases, determine the number of significant digits using 
the same method as you would use for determining the number of 
significant digits of any calculated value. For example, a calculated 
value of 0.321, where all three digits are significant, is equivalent to 
32.1%.
    Portable emission measurement system (PEMS) means a measurement 
system consisting of portable equipment that can be used to generate 
brake-specific emission measurements during field testing or laboratory 
testing.
    Precision means two times the standard deviation of a set of 
measured values of a single zero or reference quantity.
    Procedures means all aspects of engine testing, including the 
equipment specifications, calibrations, calculations and other protocols 
and specifications needed to measure emissions, unless we specify 
otherwise.
    Proving ring is a device used to measure static force based on the 
linear relationship between stress and strain in an elastic material. It 
is typically a steel alloy ring, and you measure the deflection (strain) 
of its diameter when a static force (stress) is applied across its 
diameter.
    PTFE means polytetrafluoroethylene, commonly known as Teflon\TM\.
    Ramped-modal means relating to a ramped-modal type of steady-state 
test, as described in the standard-setting part.
    Recommend has the meaning given in Sec. 1065.201.
    Regression statistics means any of the regression statistics 
specified in Sec. 1065.602.
    Repeatability means the precision of ten mean measurements of a 
reference quantity. Determine instrument repeatability, accuracy, and 
noise from

[[Page 750]]

the same data set. We specify a procedure for determining repeatability 
in Sec. 1065.305.
    Revoke has the meaning given in 40 CFR 1068.30.
    Rise time, t10-90, means the time interval of a 
measurement instrument's response after any step increase to the input 
between the following points:
    (1) The point at which the response has risen 10% of the total 
amount it will rise in response to the step change.
    (2) The point at which the response has risen 90% of the total 
amount it will rise in response to the step change.
    Roughness (or average roughness, Ra) means the size of finely 
distributed vertical surface deviations from a smooth surface, as 
determined when traversing a surface. It is an integral of the absolute 
value of the roughness profile measured over an evaluation length.
    Round means to round numbers according to NIST SP 811 (incorporated 
by reference in Sec. 1065.1010), unless otherwise specified.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Shared atmospheric pressure meter means an atmospheric pressure 
meter whose output is used as the atmospheric pressure for an entire 
test facility that has more than one dynamometer test cell.
    Shared humidity measurement means a humidity measurement that is 
used as the humidity for an entire test facility that has more than one 
dynamometer test cell.
    Span means to adjust an instrument so that it gives a proper 
response to a calibration standard that represents between 75% and 100% 
of the maximum value in the instrument range or expected range of use.
    Span gas means a purified gas mixture used to span gas analyzers. 
Span gases must meet the specifications of Sec. 1065.750. Note that 
calibration gases and span gases are qualitatively the same, but differ 
in terms of their primary function. Various performance verification 
checks for gas analyzers and sample handling components might refer to 
either calibration gases or span gases.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Special procedures means procedures allowed under Sec. 
1065.10(c)(2).
    Specified procedures means procedures we specify in this part 1065 
or the standard-setting part. Other procedures allowed or required by 
Sec. 1065.10(c) are not specified procedures.
    Standard deviation has the meaning given in Sec. 1065.602. Note 
this is the standard deviation for a non-biased sample.
    Standard-setting part means the part in the Code of Federal 
Regulations that defines emission standards for a particular engine. See 
Sec. 1065.1(a).
    Steady-state means relating to emission tests in which engine speed 
and load are held at a finite set of nominally constant values. Steady-
state tests are either discrete-mode tests or ramped-modal tests.
    Stoichiometric means relating to the particular ratio of air and 
fuel such that if the fuel were fully oxidized, there would be no 
remaining fuel or oxygen. For example, stoichiometric combustion in a 
gasoline-fueled engine typically occurs at an air-to-fuel mass ratio of 
about 14.7:1.
    Storage medium means a particulate filter, sample bag, or any other 
storage device used for batch sampling.
    t0-50 means the time interval of a measurement system's 
response after any step increase to the input between the following 
points:
    (1) The point at which the step change is initiated at the sample 
probe.
    (2) The point at which the response has risen 50% of the total 
amount it will rise in response to the step change.

[[Page 751]]

    t100-50 means the time interval of a measurement system's 
response after any step decrease to the input between the following 
points:
    (1) The point at which the step change is initiated at the sample 
probe.
    (2) The point at which the response has fallen 50% of the total 
amount it will fall in response to the step change.
    Test engine means an engine in a test sample.
    Test interval means a duration of time over which you determine 
brake-specific emissions. For example, the standard-setting part may 
specify a complete laboratory duty cycle as a cold-start test interval, 
plus a hot-start test interval. As another example, a standard-setting 
part may specify a field-test interval, such as a ``not-to-exceed'' 
(NTE) event, as a duration of time over which an engine operates within 
a certain range of speed and torque. In cases where multiple test 
intervals occur over a duty cycle, the standard-setting part may specify 
additional calculations that weight and combine results to arrive at 
composite values for comparison against the applicable standards.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.
    Tolerance means the interval in which at least 95% of a set of 
recorded values of a certain quantity must lie. Use the specified 
recording frequencies and time intervals to determine if a quantity is 
within the applicable tolerance. The concept of tolerance is intended to 
address random variability. You may not take advantage of the tolerance 
specification to incorporate a bias into a measurement.
    Total hydrocarbon (THC) means the combined mass of organic compounds 
measured by the specified procedure for measuring total hydrocarbon, 
expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 
1.85:1.
    Total hydrocarbon equivalent (THCE) 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 exhaust hydrocarbon from petroleum-fueled 
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is 
1.85:1.
    Transformation time, t50, means the overall system 
response time to any step change in input, generally the average of the 
time to reach 50% response to a step increase, t0-50, or to a 
step decrease, t100-50.
    Uncertainty means uncertainty with respect to NIST-traceability. See 
the definition of NIST-traceable in this section.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
    Useful life means the period during which a new engine is required 
to comply with all applicable emission standards. The standard-setting 
part defines the specific useful-life periods for individual engines.
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Vehicle means any vehicle, vessel, or type of equipment using 
engines to which this part applies. For purposes of this part, the term 
``vehicle'' may include nonmotive machines or equipment such as a pump 
or generator.
    Verification means to evaluate whether or not a measurement system's 
outputs agree with a range of applied reference signals to within one or 
more predetermined thresholds for acceptance. Contrast with 
``calibration''.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Work has the meaning given in Sec. 1065.110.
    Zero means to adjust an instrument so it gives a zero response to a 
zero calibration standard, such as purified nitrogen or purified air for 
measuring concentrations of emission constituents.
    Zero gas means a gas that yields a zero response in an analyzer. 
This may either be purified nitrogen, purified air, a combination of 
purified air and purified nitrogen. For field testing, zero gas may 
include ambient air.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37346, June 30, 2008; 
73 FR 59342, Oct. 8, 2008; 74 FR 8428, Feb. 24, 2009; 74 FR 56518, Oct. 
30, 2009; 75 FR 23058, Apr. 30, 2010]

[[Page 752]]



Sec. 1065.1005  Symbols, abbreviations, acronyms, and units of measure.

    The procedures in this part generally follow the International 
System of Units (SI), as detailed in NIST Special Publication 811, 1995 
Edition, ``Guide for the Use of the International System, of Units 
(SI),'' which we incorporate by reference in Sec. 1065.1010. See Sec. 
1065.25 for specific provisions related to these conventions. This 
section summarizes the way we use symbols, units of measure, and other 
abbreviations.
    (a) Symbols for quantities. This part uses the following symbols and 
units of measure for various quantities:

----------------------------------------------------------------------------------------------------------------
      Symbol              Quantity                  Unit                 Unit symbol           Base SI units
----------------------------------------------------------------------------------------------------------------
%................  percent...............  0.01..................  %.....................  10-2
[alpha]..........  atomic hydrogen to      mole per mole.........  mol/mol...............  1
                    carbon ratio.
A................  area..................  square meter..........  m\2\..................  m\2\
A0...............  intercept of least
                    squares regression.
A1...............  slope of least squares
                    regression.
[beta]...........  ratio of diameters....  meter per meter.......  m/m...................  1
[beta]...........  atomic oxygen to        mole per mole.........  mol/mol...............  1
                    carbon ratio.
C#...............  number of carbon atoms
                    in a molecule.
d................  Diameter..............  meter.................  m.....................  m
DR...............  dilution ratio........  mole per mol..........  mol/mol...............  1
[egr]............  error between a
                    quantity and its
                    reference.
e................  brake-specific basis..  gram per kilowatt hour  g/(kW.h)..............  g.3.6-1.106.m-
                                                                                            2.kgs\2\
F................  F-test statistic......
f................  frequency.............  hertz.................  Hz....................  s-1
fn...............  rotational frequency    revolutions per minute  rev/min...............  2.pi.60-1.s-1
                    (shaft).
[gamma]..........  ratio of specific       (joule per kilogram     (J/(kg.K))/(J/(kg.K)).  1
                    heats.                  kelvin) per (joule
                                            per kilogram kelvin).
K................  correction factor.....  ......................  ......................  1
l................  length................  meter.................  m.....................  m
[micro]..........  viscosity, dynamic....  pascal second.........  Pa's..................  m-1.kg.s-1
M................  molar mass\1\.........  gram per mole.........  g/mol.................  10-3.kg.mol-1
m................  mass..................  kilogram..............  kg....................  kg
m................  mass rate.............  kilogram per second...  kg/s..................  kg.s-1
v................  viscosity, kinematic..  meter squared per       m\2\/s................  m\2\.s-1
                                            second.
N................  total number in series
n................  amount of substance...  mole..................  mol...................  mol
n................  amount of substance     mole per second.......  mol/s.................  mol.s-1
                    rate.
P................  power.................  kilowatt..............  kW....................  103.m2.kg.s-3
PF...............  penetration fraction..
p................  pressure..............  pascal................  Pa....................  m-1.kg.s-2
[rho]............  mass density..........  kilogram per cubic      kg/m\3\...............  kg.m-3
                                            meter.
r................  ratio of pressures....  pascal per pascal.....  Pa/Pa.................  1
R \2\............  coefficient of
                    determination.
Ra...............  average surface         micrometer............  [micro]m..............  m-6
                    roughness.
Re#..............  Reynolds number.......
RF...............  response factor.......
RH %.............  relative humidity.....  0.01..................  %.....................  10-2
[sigma]..........  non-biased standard
                    deviation.
S................  Sutherland constant...  kelvin................  K.....................  K
SEE..............  standard estimate of
                    error.
T................  absolute temperature..  kelvin................  K.....................  K
T................  Celsius temperature...  degree Celsius........  [deg]C................  K-273.15
T................  torque (moment of       newton meter..........  N.m...................  m\2\.kg.s-2
                    force).
t................  time..................  second................  s.....................  s
[Delta] t........  time interval, period,  second................  s.....................  s
                    1/frequency.
V................  volume................  cubic meter...........  m\3\..................  m\3\
V................  volume rate...........  cubic meter per second  m\3\/s................  m\3\.s-1
W................  work..................  kilowatt hour.........  kW.h..................  3.6.10-6.m\2\.kg.s-2
wc...............  carbon mass fraction..  gram per gram.........  g/g...................  1
x................  amount of substance     mole per mole.........  mol/mol...............  1
                    mole fraction 2.
X................  flow-weighted mean      mole per mole.........  mol/mol...............  1
                    concentration.
y................  generic variable .....
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (f)(2) of this section for the values to use for molar masses. Note that in the cases of NOX
  and HC, the regulations specify effective molar masses based on assumed speciation rather than actual
  speciation.

[[Page 753]]

 
\2\ Note that mole fractions for THC, THCE, NMHC, NMHCE, and NOTHC are expressed on a C1 equivalent basis.

    (b) Symbols for chemical species. This part uses the following 
symbols for chemical species and exhaust constituents:

------------------------------------------------------------------------
                 Symbol                              Species
------------------------------------------------------------------------
Ar.....................................  argon.
C......................................  carbon.
CH4....................................  methane.
C2H6...................................  ethane.
C3H8...................................  propane.
C4H10..................................  butane.
C5H12..................................  pentane.
CO.....................................  carbon monoxide.
CO2....................................  carbon dioxide.
H......................................  atomic hydrogen.
H2.....................................  molecular hydrogen.
H2O....................................  water.
He.....................................  helium.
\85\Kr.................................  krypton 85.
N2.....................................  molecular nitrogen.
NMHC...................................  nonmethane hydrocarbon.
NMHCE..................................  nonmethane hydrocarbon
                                          equivalent.
NO.....................................  nitric oxide.
NO2....................................  nitrogen dioxide.
NOX....................................  oxides of nitrogen.
N2O....................................  nitrous oxide.
NOTHC..................................  nonoxygenated hydrocarbon.
O2.....................................  molecular oxygen.
OHC....................................  oxygenated hydrocarbon.
\210\Po................................  polonium 210.
PM.....................................  particulate mass.
S......................................  sulfur.
SO2....................................  sulfur dioxide.
THC....................................  total hydrocarbon.
ZrO2...................................  zirconium dioxide.
------------------------------------------------------------------------

    (c) Prefixes. This part uses the following prefixes to define a 
quantity:

------------------------------------------------------------------------
           Symbol                        Quantity                Value
------------------------------------------------------------------------
[micro]....................  micro...........................     10-\6\
m..........................  milli...........................     10-\3\
c..........................  centi...........................     10-\2\
k..........................  kilo............................      10\3\
M..........................  mega............................      10\6\
------------------------------------------------------------------------

    (d) Superscripts. This part uses the following superscripts to 
define a quantity:

------------------------------------------------------------------------
              Superscript                           Quantity
------------------------------------------------------------------------
overbar (such as y8)..................  arithmetic mean.
overdot (such as yb)..................  quantity per unit time.
------------------------------------------------------------------------

    (e) Subscripts. This part uses the following subscripts to define a 
quantity:

------------------------------------------------------------------------
            Subscript                             Quantity
------------------------------------------------------------------------
abs..............................  absolute quantity.
act..............................  actual condition.
air..............................  air, dry
atmos............................  atmospheric.
cal..............................  calibration quantity.
CFV..............................  critical flow venturi.
cor..............................  corrected quantity.
dil..............................  dilution air.
dexh.............................  diluted exhaust.
exh..............................  raw exhaust.
exp..............................  expected quantity.
i................................  an individual of a series.
idle.............................  condition at idle.
in...............................  quantity in.
init.............................  initial quantity, typically before an
                                    emission test.
j................................  an individual of a series.
max..............................  the maximum (i.e., peak) value
                                    expected at the standard over a test
                                    interval; not the maximum of an
                                    instrument range.
meas.............................  measured quantity.
out..............................  quantity out.
part.............................  partial quantity.
PDP..............................  positive-displacement pump.
ref..............................  reference quantity.
rev..............................  revolution.
sat..............................  saturated condition.
slip.............................  PDP slip.
span.............................  span quantity.
SSV..............................  subsonic venturi.
std..............................  standard condition.
test.............................  test quantity.
uncor............................  uncorrected quantity.
zero.............................  zero quantity.
------------------------------------------------------------------------

    (f) Constants. (1) This part uses the following constants for the 
composition of dry air:

------------------------------------------------------------------------
          Symbol                        Quantity               mol/mol
------------------------------------------------------------------------
xArair....................  amount of argon in dry air.....      0.00934
xCO2air...................  amount of carbon dioxide in dry     0.000375
                             air.
xN2air....................  amount of nitrogen in dry air..      0.78084
xO2air....................  amount of oxygen in dry air....     0.209445
------------------------------------------------------------------------

    (2) This part uses the following molar masses or effective molar 
masses of chemical species:

------------------------------------------------------------------------
                                                             g/mol  (10-
              Symbol                       Quantity          3.kg\.\mol-
                                                                  1)
------------------------------------------------------------------------
Mair.............................  molar mass of dry air...     28.96559
MAr..............................  molar mass of argon.....       39.948
MC...............................  molar mass of carbon....      12.0107
MCO..............................  molar mass of carbon          28.0101
                                    monoxide.
MCO2.............................  molar mass of carbon          44.0095
                                    dioxide.
MH...............................  molar mass of atomic          1.00794
                                    hydrogen.
MH2..............................  molar mass of molecular       2.01588
                                    hydrogen.
MH2O.............................  molar mass of water.....     18.01528
MHe..............................  molar mass of helium....     4.002602

[[Page 754]]

 
MN...............................  molar mass of atomic          14.0067
                                    nitrogen.
MN2..............................  molar mass of molecular       28.0134
                                    nitrogen.
MNMHC............................  effective molar mass of     13.875389
                                    nonmethane hydrocarbon
                                    \2\.
MNMHCE...........................  effective molar mass of     13.875389
                                    nonmethane equivalent
                                    hydrocarbon \2\.
MNOx.............................  effective molar mass of       46.0055
                                    oxides of nitrogen \3\.
MN2O.............................  effective molar mass of       44.0128
                                    nitrous oxide.
MO...............................  molar mass of atomic          15.9994
                                    oxygen.
MO2..............................  molar mass of molecular       31.9988
                                    oxygen.
MC3H8............................  molar mass of propane...     44.09562
MS...............................  molar mass of sulfur....       32.065
MTHC.............................  effective molar mass of     13.875389
                                    total hydrocarbon \2\.
MTHCE............................  effective molar mass of     13.875389
                                    total hydrocarbon
                                    equivalent \2\.
------------------------------------------------------------------------
\1\ See paragraph (f)(1) of this section for the composition of dry air
\2\ The effective molar masses of THC, THCE, NMHC, and NMHCE are defined
  by an atomic hydrogen-to-carbon ratio, [alpha], of 1.85
\3\ The effective molar mass of NOx is defined by the molar mass of
  nitrogen dioxide, NO2

    (3) This part uses the following molar gas constant for ideal gases:

------------------------------------------------------------------------
                                                  J/(mol) [middot] K)
       Symbol                Quantity          (m\2\[middot]kg[middot]s-
                                                  2 mol-1[middot] K-1)
------------------------------------------------------------------------
R..................  molar gas constant......            8.314472
------------------------------------------------------------------------

    (4) This part uses the following ratios of specific heats for 
dilution air and diluted exhaust:

------------------------------------------------------------------------
                                                               [J/
                                                         (kg[middot]K)]/
         Symbol                      Quantity                   [J/
                                                          (kg[middot]K)]
------------------------------------------------------------------------
[gamma]air..............  ratio of specific heats for            1.399
                           intake air or dilution air.
[gamma]dil..............  ratio of specific heats for            1.399
                           diluted exhaust.
[gamma]exh..............  ratio of specific heats for            1.385
                           raw exhaust.
------------------------------------------------------------------------

    (g) Other acronyms and abbreviations. This part uses the following 
additional abbreviations and acronyms:

ASTM American Society for Testing and Materials.
BMD bag mini-diluter.
BSFC brake-specific fuel consumption.
CARB California Air Resources Board.
CFR Code of Federal Regulations.
CFV critical-flow venturi.
CI compression-ignition.
CITT Curb Idle Transmission Torque.
CLD chemiluminescent detector.
CVS constant-volume sampler.
DF deterioration factor.
ECM electronic control module.
EFC electronic flow control.
EGR exhaust gas recirculation.
EPA Environmental Protection Agency.
FEL Family Emission Limit
FID flame-ionization detector.
GC gas chromatograph.
GC-ECD gas chromatograph with an electron-capture detector.
IBP initial boiling point.
ISO International Organization for Standardization.
LPG liquefied petroleum gas.
NDIR nondispersive infrared.
NDUV nondispersive ultraviolet.
NIST National Institute for Standards and Technology.
PDP positive-displacement pump.
PEMS portable emission measurement system.
PFD partial-flow dilution.
PMP Polymethylpentene.
pt. a single point at the mean value expected at the standard.
PTFE polytetrafluoroethylene (commonly known as TeflonTM).
RE rounding error.
RMC ramped-modal cycle.
RMS root-mean square.
RTD resistive temperature detector.
SSV subsonic venturi.
SI spark-ignition.
UCL upper confidence limit.
UFM ultrasonic flow meter.
U.S.C. United States Code.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37346, June 30, 2008; 
73 FR 59342, Oct. 8, 2008; 74 FR 56518, Oct. 30, 2009]



Sec. 1065.1010  Reference materials.

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information

[[Page 755]]

Center, 1301 Constitution Ave., NW., Room B102, EPA West Building, 
Washington, DC 20460 or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (a) ASTM material. Table 1 of this section lists material from the 
American Society for Testing and Materials that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the American Society 
for Testing and Materials, 100 Barr Harbor Dr., P.O. Box C700, West 
Conshohocken, PA 19428 or www.astm.com. Table 1 follows:

               Table 1 of Sec.  1065.1010.-ASTM Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
ASTM D86-07a, Standard Test Method for Distillation of         1065.703,
 Petroleum Products at Atmospheric Pressure................     1065.710
ASTM D93-07, Standard Test Methods for Flash Point by           1065.703
 Pensky-Martens Closed Cup Tester..........................
ASTM D445-06, Standard Test Method for Kinematic Viscosity      1065.703
 of Transparent and Opaque Liquids (and the Calculation of
 Dynamic Viscosity)........................................
ASTM D613-05, Standard Test Method for Cetane Number of         1065.703
 Diesel Fuel Oil...........................................
ASTM D910-07, Standard Specification for Aviation Gasolines     1065.701
ASTM D975-07b, Standard Specification for Diesel Fuel Oils.     1065.701
ASTM D1267-02 (Reapproved 2007), Standard Test Method for       1065.720
 Gage Vapor Pressure of Liquefied Petroleum (LP) Gases (LP-
 Gas Method)...............................................
ASTM D1319-03, Standard Test Method for Hydrocarbon Types       1065.710
 in Liquid Petroleum Products by Fluorescent Indicator
 Adsorption................................................
ASTM D1655-07e01, Standard Specification for Aviation           1065.701
 Turbine Fuels.............................................
ASTM D1837-02a (Reapproved 2007), Standard Test Method for      1065.720
 Volatility of Liquefied Petroleum (LP) Gases..............
ASTM D1838-07, Standard Test Method for Copper Strip            1065.720
 Corrosion by Liquefied Petroleum (LP) Gases...............
ASTM D1945-03, Standard Test Method for Analysis of Natural     1065.715
 Gas by Gas Chromatography.................................
ASTM D2158-05, Standard Test Method for Residues in             1065.720
 Liquefied Petroleum (LP) Gases............................
ASTM D2163-05, Standard Test Method for Analysis of             1065.720
 Liquefied Petroleum (LP) Gases and Propene Concentrates by
 Gas Chromatography........................................
ASTM D2598-02 (Reapproved 2007), Standard Practice for          1065.720
 Calculation of Certain Physical Properties of Liquefied
 Petroleum (LP) Gases from Compositional Analysis..........
ASTM D2622-07, Standard Test Method for Sulfur in Petroleum    1065.703,
 Products by Wavelength Dispersive X-ray Fluorescence           1065.710
 Spectrometry..............................................
ASTM D2713-91 (Reapproved 2001), Standard Test Method for       1065.720
 Dryness of Propane (Valve Freeze Method)..................
ASTM D2784-06, Standard Test Method for Sulfur in Liquefied     1065.720
 Petroleum Gases (Oxy-Hydrogen Burner or Lamp).............
ASTM D2880-03, Standard Specification for Gas Turbine Fuel      1065.701
 Oils......................................................
ASTM D2986-95a (Reapproved 1999), Standard Practice for         1065.170
 Evaluation of Air Assay Media by the Monodisperse DOP
 (Dioctyl Phthalate) Smoke Test............................
ASTM D3231-07, Standard Test Method for Phosphorus in           1065.710
 Gasoline..................................................
ASTM D3237-06e01, Standard Test Method for Lead in Gasoline     1065.710
 By Atomic Absorption Spectroscopy.........................
ASTM D4052-96e01 (Reapproved 2002), Standard Test Method        1065.703
 for Density and Relative Density of Liquids by Digital
 Density Meter.............................................
ASTM D4814-07a, Standard Specification for Automotive Spark-    1065.701
 Ignition Engine Fuel......................................
ASTM D5186-03, Standard Test Method for Determination of        1065.703
 the Aromatic Content and Polynuclear Aromatic Content of
 Diesel Fuels and Aviation Turbine Fuels By Supercritical
 Fluid Chromatography......................................
ASTM D5191-07, Standard Test Method for Vapor Pressure of       1065.710
 Petroleum Products (Mini Method)..........................
ASTM D5797-07, Standard Specification for Fuel Methanol         1065.701
 (M70-M85) for Automotive Spark-Ignition Engines...........
ASTM D5798-07, Standard Specification for Fuel Ethanol          1065.701
 (Ed75-Ed85) for Automotive Spark-Ignition Engines.........
ASTM D6615-06, Standard Specification for Jet B Wide-Cut        1065.701
 Aviation Turbine Fuel.....................................
ASTM D6751-07b, Standard Specification for Biodiesel Fuel       1065.701
 Blend Stock (B100) for Middle Distillate Fuels............
ASTM D6985-04a, Standard Specification for Middle               1065.701
 Distillate Fuel Oil--Military Marine Applications.........
ASTM F1471-93 (Reapproved 2001), Standard Test Method for      1065.1001
 Air Cleaning Performance of a High-Efficiency Particulate
 Air Filter System.........................................
------------------------------------------------------------------------

    (b) ISO material. Table 2 of this section lists material from the 
International Organization for Standardization that we have incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section of this part where we 
reference it. Anyone may purchase copies of these materials from the 
International Organization for Standardization, Case Postale 56,

[[Page 756]]

CH-1211 Geneva 20, Switzerland or www.iso.org. Table 2 follows:

               Table 2 of Sec.  1065.1010--ISO Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
ISO 2719:2002, Determination of flash point--Pensky-Martens     1065.705
 closed cup method.........................................
ISO 3016:1994, Petroleum products--Determination of pour        1065.705
 point.....................................................
ISO 3104:1994/Cor 1:1997, Petroleum products--Transparent       1065.705
 and opaque liquids--Determination of kinematic viscosity
 and calculation of dynamic viscosity......................
ISO 3675:1998, Crude petroleum and liquid petroleum             1065.705
 products--Laboratory determination of density--Hydrometer
 method....................................................
ISO 3733:1999, Petroleum products and bituminous materials--    1065.705
 Determination of water--Distillation method...............
ISO 6245:2001, Petroleum products--Determination of ash....     1065.705
ISO 8217:2005, Petroleum products--Fuels (class F)--            1065.705
 Specifications of marine fuels............................
ISO 8754:2003, Petroleum products--Determination of sulfur      1065.705
 content--Energy-dispersive X-ray fluorescence spectrometry
ISO 10307-2:1993, Petroleum products--Total sediment in         1065.705
 residual fuel oils--Part 2: Determination using standard
 procedures for ageing.....................................
ISO 10370:1993/Cor 1:1996, Petroleum products--                 1065.705
 Determination of carbon residue--Micro method.............
ISO 10478:1994, Petroleum products--Determination of            1065.705
 aluminium and silicon in fuel oils--Inductively coupled
 plasma emission and atomic absorption spectroscopy methods
ISO 12185:1996/Cor 1:2001, Crude petroleum and petroleum        1065.705
 products--Determination of density--Oscillating U-tube
 method....................................................
ISO 14596:2007, Petroleum products--Determination of sulfur     1065.705
 content--Wavelength-dispersive X-ray fluorescence
 spectrometry..............................................
ISO 14597:1997, Petroleum products--Determination of            1065.705
 vanadium and nickel content--Wavelength-dispersive X-ray
 fluorescence spectrometry.................................
ISO 14644-1:1999, Cleanrooms and associated controlled          1065.190
 environments..............................................
------------------------------------------------------------------------

    (c) NIST material. Table 3 of this section lists material from the 
National Institute of Standards and Technology 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 
Government Printing Office, Washington, DC 20402 or download them free 
from the Internet at www.nist.gov. Table 3 follows:

               Table 3 of Sec.  1065.1010--NIST Materials
------------------------------------------------------------------------
            Document No. and name                 Part 1065  reference
------------------------------------------------------------------------
ISONIST Special Publication 811, 1995          1065.20, 1065.1001,
 Edition, Guide for the Use of the              1065.1005
 International System of Units (SI), Barry N.
 Taylor, Physics Laboratory.
NIST Technical Note 1297, 1994 Edition,        1065.1001
 Guidelines for Evaluating and Expressing the
 Uncertainty of NIST Measurement Results,
 Barry N. Taylor and Chris E. Kuyatt.
------------------------------------------------------------------------

    (d) SAE material. Table 4 of this section lists material from the 
Society of Automotive Engineering that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the Society of 
Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or 
http://www.sae.org. Table 4 follows:

                Table 4 of Sec.  1065.1010--SAE Material
------------------------------------------------------------------------
                                                             Part 1065
                Document number and name                     reference
------------------------------------------------------------------------
``Optimization of Flame Ionization Detector for                 1065.360
 Determination of Hydrocarbon in Diluted Automotive
 Exhausts,'' Reschke Glen D., SAE 770141................
------------------------------------------------------------------------


[[Page 757]]

    (e) California Air Resources Board material. Table 5 of this section 
lists material from the California Air Resources Board that we have 
incorporated by reference. The first column lists the number and name of 
the material. The second column lists the sections of this part where we 
reference it. Anyone may get copies of these materials from the 
California Air Resources Board, 9528 Telstar Ave., El Monte, California 
91731. Table 5 follows:

  Table 5 of Sec.  1065.1010--California Air Resources Board Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
``California Non-Methane Organic Gas Test Procedures,''         1065.805
 Amended July 30, 2002, Mobile Source Division, California
 Air Resources Board.......................................
------------------------------------------------------------------------

    (f) Institute of Petroleum material. Table 6 of this section lists 
the Institute of Petroleum standard test methods material from the 
Energy Institute 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 Energy Institute, 61 New 
Cavendish Street , London, W1G 7AR, UK , +44 (0)20 7467 7100 or 
www.energyinst.org.uk. Table 6 follows:

      Table 6 of Sec.  1065.1010--Institute of Petroleum Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
IP-470, Determination of aluminum, silicon, vanadium,           1065.705
 nickel, iron, calcium, zinc, and sodium in residual fuels
 by atomic absorption spectrometry.........................
IP-500, Determination of the phosphorus content of residual     1065.705
 fuels by ultra-violet spectrometry........................
IP-501, Determination of aluminum, silicon, vanadium,           1065.705
 nickel, iron, sodium, calcium, zinc and phosphorus in
 residual fuel oil by ashing, fusion and inductively
 coupled plasma emission spectrometry......................
------------------------------------------------------------------------


[73 FR 37347, June 30, 2008, as amended at 73 FR 59343, Oct. 8, 2008]



PART 1068_GENERAL COMPLIANCE PROVISIONS FOR ENGINE PROGRAMS--Table of Contents



          Subpart A_Applicability and Miscellaneous Provisions

Sec.
1068.1 Does this part apply to me?
1068.2 How does this part apply for engines and how does it apply for 
          equipment?
1068.5 How must manufacturers apply good engineering judgment?
1068.10 What provisions apply to confidential information?
1068.15 What general provisions apply for EPA decision-making?
1068.20 May EPA enter my facilities for inspections?
1068.25 What information must I give to EPA?
1068.27 May EPA conduct testing with my production engines/equipment?
1068.30 What definitions apply to this part?
1068.31 What provisions apply to nonroad or stationary engines that 
          change their status?
1068.35 What symbols, acronyms, and abbreviations does this part use?
1068.40 What special provisions apply for implementing changes in the 
          regulations?
1068.45 General labeling provisions.
1068.95 What materials does this part reference?

          Subpart B_Prohibited Actions and Related Requirements

1068.101 What general actions does this regulation prohibit?
1068.103 What are the provisions related to the duration and 
          applicability of certificates of conformity?
1068.105 What other provisions apply to me specifically if I manufacture 
          equipment needing certified engines?
1068.110 What other provisions apply to engines/equipment in service?
1068.115 When must manufacturers honor emission-related warranty claims?
1068.120 What requirements must I follow to rebuild engines?

[[Page 758]]

1068.125 What happens if I violate the regulations?

                   Subpart C_Exemptions and Exclusions

1068.201 Does EPA exempt or exclude any engines/equipment from the 
          prohibited acts?
1068.210 What are the provisions for exempting test engines/equipment?
1068.215 What are the provisions for exempting manufacturer-owned 
          engines/equipment?
1068.220 What are the provisions for exempting display engines/
          equipment?
1068.225 What are the provisions for exempting engines/equipment for 
          national security?
1068.230 What are the provisions for exempting engines/equipment for 
          export?
1068.235 What are the provisions for exempting engines/equipment used 
          solely for competition?
1068.240 What are the provisions for exempting new replacement engines?
1068.245 What temporary provisions address hardship due to unusual 
          circumstances?
1068.250 What are the provisions for extending compliance deadlines for 
          small businesses under hardship?
1068.255 What are the provisions for exempting engines and fuel-system 
          components for hardship for equipment manufacturers and 
          secondary engine manufacturers?
1068.260 What general provisions apply for selling or shipping engines 
          that are not yet in their certified configuration?
1068.261 What provisions apply for selling or shipping certified engines 
          that are not yet in the certified configuration?
1068.262 What are the provisions for temporarily exempting engines for 
          shipment to secondary engine manufacturers?
1068.265 What provisions apply to engines/equipment that are 
          conditionally exempted from certification?

        Subpart D_Imports 1068.301 What general provisions apply?

1068.305 How do I get an exemption or exclusion for imported engines/
          equipment?
1068.310 What are the exclusions for imported engines/equipment?
1068.315 What are the permanent exemptions for imported engines/
          equipment?
1068.325 What are the temporary exemptions for imported engines/
          equipment?
1068.335 What are the penalties for violations?
1068.360 What restrictions apply to assigning a model year to imported 
          engines and equipment?

                Subpart E_Selective Enforcement Auditing

1068.401 What is a selective enforcement audit?
1068.405 What is in a test order?
1068.410 How must I select and prepare my engines/equipment?
1068.415 How do I test my engines/equipment?
1068.420 How do I know when my engine family fails an SEA?
1068.425 What happens if one of my production-line engines/equipment 
          exceeds the emission standards?
1068.430 What happens if a family fails an SEA?
1068.435 May I sell engines/equipment from a family with a suspended 
          certificate of conformity?
1068.440 How do I ask EPA to reinstate my suspended certificate?
1068.445 When may EPA revoke my certificate under this subpart and how 
          may I sell these engines/equipment again?
1068.450 What records must I send to EPA?
1068.455 What records must I keep?

Appendix A to Subpart E of Part 1068--Plans for Selective Enforcement 
          Auditing

       Subpart F_Reporting Defects and Recalling Engines/Equipment

1068.501 How do I report emission-related defects?
1068.505 How does the recall program work?
1068.510 How do I prepare and apply my remedial plan?
1068.515 How do I mark or label repaired engines/equipment?
1068.520 How do I notify affected owners?
1068.525 What records must I send to EPA?
1068.530 What records must I keep?
1068.535 How can I do a voluntary recall for emission-related problems?

                           Subpart G_Hearings

1068.601 What are the procedures for hearings?

Appendix I to Part 1068--Emission-Related Components
Appendix II to Part 1068--Emission-Related Parameters and Specifications
Appendix III to Part 1068--High-Altitude Counties

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 59344, Oct. 8, 2008, unless otherwise noted.



          Subpart A_Applicability and Miscellaneous Provisions



Sec. 1068.1  Does this part apply to me?

    (a) The provisions of this part apply to everyone with respect to 
the following engines and to equipment using

[[Page 759]]

the following engines (including owners, operators, parts manufacturers, 
and persons performing maintenance).
    (1) Locomotives we regulate under 40 CFR part 1033.
    (2) Land-based nonroad compression-ignition engines we regulate 
under 40 CFR part 1039.
    (3) Stationary compression-ignition engines certified using the 
provisions of 40 CFR part 1039, as indicated in 40 CFR part 60, subpart 
IIII.
    (4) Marine compression-ignition engines we regulate under 40 CFR 
part 1042.
    (5) Marine spark-ignition engines we regulate under 40 CFR part 
1045.
    (6) Large nonroad spark-ignition engines we regulate under 40 CFR 
part 1048.
    (7) Stationary spark-ignition engines certified using the provisions 
of 40 CFR parts 1048 or 1054, as indicated in 40 CFR part 60, subpart 
JJJJ.
    (8) Recreational engines and vehicles we regulate under 40 CFR part 
1051 (such as snowmobiles and off-highway motorcycles).
    (9) Small nonroad spark-ignition engines we regulate under 40 CFR 
part 1054.
    (b) This part does not apply to any of the following engine or 
vehicle categories:
    (1) Light-duty motor vehicles (see 40 CFR part 86).
    (2) Heavy-duty motor vehicles and motor vehicle engines (see 40 CFR 
part 86).
    (3) Aircraft engines (see 40 CFR part 87).
    (4) Land-based nonroad compression-ignition engines we regulate 
under 40 CFR part 89.
    (5) Small nonroad spark-ignition engines we regulate under 40 CFR 
part 90.
    (6) Marine spark-ignition engines we regulate under 40 CFR part 91.
    (7) Locomotive engines we regulate under 40 CFR part 92.
    (8) Marine compression-ignition engines we regulate under 40 CFR 
parts 89 or 94.
    (c) Paragraph (a) of this section identifies the parts of the CFR 
that define emission standards and other requirements for particular 
types of engines and equipment. This part 1068 refers to each of these 
other parts generically as the ``standard-setting part.'' For example, 
40 CFR part 1051 is always the standard-setting part for snowmobiles. 
Follow the provisions of the standard-setting part if they are different 
than any of the provisions in this part.
    (d)(1) The provisions of Sec. Sec. 1068.30 and 1068.310 apply for 
stationary spark-ignition engines built on or after January 1, 2004, and 
for stationary compression-ignition engines built on or after January 1, 
2006.
    (2) The provisions of Sec. Sec. 1068.30 and 1068.235 apply for the 
types of engines/equipment listed in paragraph (a) of this section 
beginning January 1, 2004, if they are used solely for competition.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23058, Apr. 30, 2010]

    Effective Date Note: At 76 FR 37977, June 28, 2011, Sec. 1068.1 was 
amended by revising paragraph (a)(3), effective August 29, 2011. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 1068.1  Does this part apply to me?

    (a) * * *
    (3) Stationary compression-ignition engines certified using the 
provisions of 40 CFR parts 1039 or 1042, as indicated in 40 CFR part 60, 
subpart IIII.

                                * * * * *



Sec. 1068.2  How does this part apply for engines and how does it apply for equipment?

    (a) See the standard-setting part to determine if engine-based and/
or equipment-based standards apply. (Note: Some equipment is subject to 
engine-based standards for exhaust emission and equipment-based 
standards for evaporative emissions.)
    (b) The provisions of this part apply differently depending on 
whether the engine or equipment is required to be certified.
    (1) Subpart A and subpart B of this part apply to engines and 
equipment, without regard to which is subject to certification 
requirements in the standard-setting part.
    (2) Subparts C, D, and E of this part apply to the engines or to the 
equipment, whichever is subject to certification requirements in the 
standard-setting part.

[[Page 760]]

    (3) Subpart F of this part generally applies to the engines or to 
the equipment, whichever is subject to standards under the standard-
setting part. However, since subpart F of this part addresses in-use 
engines and equipment (in which the engine is installed in the 
equipment), the requirements do not always distinguish between engines 
and equipment.
    (c) For issues related to testing, read the term ``engines/
equipment'' to mean engines for engines subject to engine-based testing 
and equipment for equipment subject to equipment-based testing; 
otherwise, read the term ``engines/equipment'' to mean engines for 
sources subject to engine-based standards and equipment for sources 
subject to equipment-based standards.
    (d) When we use the term engines (rather than engines/equipment), 
read it to mean engines without regard to whether the source is subject 
to engine-based standards or testing. When we use the term equipment 
(rather than engines/equipment), read it to mean equipment without 
regard to whether the source is subject to equipment-based standards or 
testing. (Note: The definition of ``equipment'' in Sec. 1068.30 
includes the engine.)
    (e) The terminology convention described in this section is not 
intended to limit our authority or your obligations under the Clean Air 
Act.



Sec. 1068.5  How must manufacturers apply good engineering judgment?

    (a) You must use good engineering judgment for decisions related to 
any requirements under this chapter. This includes your applications for 
certification, any testing you do to show that your certification, 
production-line, and in-use engines/equipment comply with requirements 
that apply to them, and how you select, categorize, determine, and apply 
these requirements.
    (b) If we send you a written request, you must give us a written 
description of the engineering judgment in question. Respond within 15 
working days of receiving our request unless we allow more time.
    (c) We may reject your decision if it is not based on good 
engineering judgment or is otherwise inconsistent with the requirements 
that apply, based on the following provisions:
    (1) We may suspend, revoke, or void a certificate of conformity if 
we determine you deliberately used incorrect information or overlooked 
important information, that you did not decide in good faith, or that 
your decision was not rational.
    (2) If we believe a different decision would better reflect good 
engineering judgment, but none of the provisions of paragraph (c)(1) of 
this section apply, we will tell you of our concern (and its basis). You 
will have 30 days to respond to our concerns, or more time if we agree 
that you need it to generate more information. After considering your 
information, we will give you a final ruling. If we conclude that you 
did not use good engineering judgment, we may reject your decision and 
apply the new ruling to similar situations as soon as possible.
    (d) We will tell you in writing of the conclusions we reach under 
paragraph (c) of this section and explain our reasons for them.
    (e) If you disagree with our conclusions, you may file a request for 
a hearing with the Designated Compliance Officer as described in subpart 
G of this part. In your request, specify your objections, include data 
or supporting analysis, and get your authorized representative's 
signature. If we agree that your request raises a substantial factual 
issue, we will hold the hearing according to subpart F of this part.



Sec. 1068.10  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.

[[Page 761]]

    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec. 1068.15  What general provisions apply for EPA decision-making?

    (a) The Administrator of the Environmental Protection Agency or any 
official to whom the Administrator has delegated specific authority may 
represent the Agency. For more information, ask for a copy of the 
relevant sections of the EPA Delegations Manual from the Designated 
Compliance Officer.
    (b) The regulations in this part and in the standard-setting part 
have specific requirements describing how to get EPA approval before you 
take specific actions. These regulations also allow us to waive some 
specific requirements. For provisions or flexibilities that we address 
frequently, we may choose to provide detailed guidance in supplemental 
compliance instructions for manufacturers. Such instructions will 
generally state how they relate to the need for pre-approval. Unless we 
explicitly state so, you should not consider full compliance with the 
instructions to be equivalent to EPA approval.



Sec. 1068.20  May EPA enter my facilities for inspections?

    (a) We may inspect your testing, manufacturing processes, storage 
facilities (including port facilities for imported engines and equipment 
or other relevant facilities), or records, as authorized by the Clean 
Air Act, to enforce the provisions of this chapter. Inspectors will have 
authorizing credentials and will limit inspections to reasonable times--
usually, normal operating hours.
    (b) If we come to inspect, we may or may not have a warrant or court 
order.
    (1) If we do not have a warrant or court order, you may deny us 
entry.
    (2) If we have a warrant or court order, you must allow us to enter 
the facility and carry out the activities it describes.
    (c) We may seek a warrant or court order authorizing an inspection 
described in this section whether or not we first tried to get your 
permission to inspect.
    (d) We may select any facility to do any of the following:
    (1) Inspect and monitor any aspect of engine or equipment 
manufacturing, assembly, storage, or other procedures, and any 
facilities where you do them.
    (2) Inspect and monitor any aspect of engine or equipment test 
procedures or test-related activities, including test engine/equipment 
selection, preparation, service accumulation, emission duty cycles, and 
maintenance and verification of your test equipment's calibration.
    (3) Inspect and copy records or documents related to assembling, 
storing, selecting, and testing an engine or piece of equipment.
    (4) Inspect and photograph any part or aspect of engines or 
equipment and components you use for assembly.
    (e) You must give us reasonable help without charge during an 
inspection authorized by the Clean Air Act. For example, you may need to 
help us arrange an inspection with the facility's managers, including 
clerical support, copying, and translation. You may also need to show us 
how the facility operates and answer other questions. If we ask in 
writing to see a particular employee at the inspection, you must ensure 
that he or she is present (legal counsel may accompany the employee).
    (f) If you have facilities in other countries, we expect you to 
locate them in places where local law does not keep us from inspecting 
as described in this section. We will not try to inspect if we learn 
that local law prohibits it, but we may suspend your certificate if we 
are not allowed to inspect.



Sec. 1068.25  What information must I give to EPA?

    If you are subject to the requirements of this part, we may require 
you to give us information to evaluate your compliance with any 
regulations that apply, as authorized by the Clean Air Act. This 
includes the following things:
    (a) You must provide the information we require in this chapter. We 
may require an authorized representative of your company to approve and 
sign any submission of information to us, and to

[[Page 762]]

certify that the information is accurate and complete.
    (b) You must establish and maintain records, perform tests, make 
reports and provide additional information that we may reasonably 
require under section 208 of the Clean Air Act (42 U.S.C. 7542). This 
also applies to engines/equipment we exempt from emission standards or 
prohibited acts. Unless we specify otherwise, you must keep required 
records for eight years.
    (c) You are responsible for statements and information in your 
applications for certification or any other requests or reports. If you 
provide statements or information to someone for submission to EPA, you 
are responsible for these statements and information as if you had 
submitted them to EPA yourself. For example, knowingly submitting false 
information to someone else for inclusion in an application for 
certification would be deemed to be a submission of false information to 
the U.S. government in violation of 18 U.S.C. 1001.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23058, Apr. 30, 2010]



Sec. 1068.27  May EPA conduct testing with my production engines/equipment?

    If we request it, you must make a reasonable number of production-
line engines or pieces of production-line equipment available for a 
reasonable time so we can test or inspect them for compliance with the 
requirements of this chapter.



Sec. 1068.30  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
reduce emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) is not aftertreatment.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Certificate holder means a manufacturer (including importers) with a 
currently valid certificate of conformity for at least one family in a 
given model year.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Date of manufacture means one of the following:
    (1) For engines, the date on which the crankshaft is installed in an 
engine block, with the following exceptions:
    (i) For engines produced by secondary engine manufacturers under 
Sec. 1068.262, date of manufacture means the date the engine is 
received from the original engine manufacturer. You may assign an 
earlier date up to 30 days before you received the engine, but not 
before the crankshaft was installed. You may not assign an earlier date 
if you cannot demonstrate the date the crankshaft was installed.
    (ii) Manufacturers may assign a date of manufacture at a point in 
the assembly process later than the date otherwise specified under this 
definition. For example, a manufacturer may use the build date printed 
on the label or stamped on the engine as the date of manufacture.
    (2) For equipment, the date on which the engine is installed, unless 
otherwise specified in the standard-setting part. Manufacturers may 
alternatively assign a date of manufacture later in the assembly 
process.
    Days means calendar days, including weekends and holidays.
    Defeat device has the meaning given in the standard-setting part.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW.,Washington, DC 20460.
    Engine means an engine block with an installed crankshaft, or a gas 
turbine engine. The term engine does not include engine blocks without 
an installed crankshaft, nor does it include

[[Page 763]]

any assembly of reciprocating engine components that does not include 
the engine block. (Note: For purposes of this definition, any component 
that is the primary means of converting an engine's energy into usable 
work is considered a crankshaft, whether or not it is known commercially 
as a crankshaft.) This includes complete and partially complete engines 
as follows:
    (1) A complete engine is a fully assembled engine in its final 
configuration. In the case of equipment-based standards, an engine is 
not considered complete until it is installed in the equipment, even if 
the engine itself is fully assembled.
    (2) A partially complete engine is an engine that is not fully 
assembled or is not in its final configuration. Except where we specify 
otherwise in this part or the standard-setting part, partially complete 
engines are subject to the same standards and requirements as complete 
engines. The following would be considered examples of partially 
complete engines:
    (i) An engine that is missing certain emission-related components.
    (ii) A new engine that was originally assembled as a motor-vehicle 
engine that will be recalibrated for use as a nonroad engine.
    (iii) A new engine that was originally assembled as a land-based 
engine that will be modified for use as a marine propulsion engine.
    (iv) A short block consisting of a crankshaft and other engine 
components connected to the engine block, but missing the head assembly.
    (v) A long block consisting of all engine components except the fuel 
system and an intake manifold.
    (vi) In the case of equipment-based standards, a fully functioning 
engine that is not yet installed in the equipment. For example, a fully 
functioning engine that will be installed in an off-highway motorcycle 
or a locomotive is considered partially complete until it is installed 
in the equipment.
    Engine-based standard means an emission standard expressed in units 
of grams of pollutant per kilowatt-hour that applies to the engine. 
Emission standards are either engine-based or equipment-based. Note that 
engines may be subject to additional standards such as smoke standards.
    Engine-based test means an emission test intended to measure 
emissions in units of grams of pollutant per kilowatt-hour, without 
regard to whether the standard applies to the engine or equipment. Note 
that some products that are subject to engine-based testing are subject 
to additional test requirements such as for smoke.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability 
or factors unrelated to emissions.
    Engine/equipment and engines/equipment mean engine(s) and/or 
equipment depending on the context. Specifically these terms mean the 
following:
    (1) Engine(s) when only engine-based standards apply.
    (2) Engine(s) for testing issues when engine-based testing applies.
    (3) Engine(s) and equipment when both engine-based and equipment-
based standards apply.
    (4) Equipment when only equipment-based standards apply.
    (5) Equipment for testing issues when equipment-based testing 
applies.
    Equipment means one of the following things:
    (1) Any vehicle, vessel, or other type of equipment that is subject 
to the requirements of this part or that uses an engine that is subject 
to the requirements of this part. An installed engine is part of the 
equipment.
    (2) Fuel-system components that are subject to an equipment-based 
standard under this chapter. Installed fuel-system components are part 
of the engine.
    Equipment-based standard means an emission standard that applies to 
the equipment in which an engine is used or to fuel-system components 
associated with an engine, without regard to how the emissions are 
measured. If equipment-based standards apply, we require that the 
equipment or fuel-system components be certified rather than just the 
engine. Emission standards are either engine-based or equipment-based. 
For example, recreational vehicles we regulate under 40 CFR part

[[Page 764]]

1051 are subject to equipment-based standards even if emission 
measurements are based on engine operation alone.
    Exempted means relating to engines/equipment that are not required 
to meet otherwise applicable standards. Exempted engines/equipment must 
conform to regulatory conditions specified for an exemption in this part 
1068 or in the standard-setting part. Exempted engines/equipment are 
deemed to be ``subject to'' the standards of the standard-setting part 
even though they are not required to comply with the otherwise 
applicable requirements. Engines/equipment exempted with respect to a 
certain tier of standards may be required to comply with an earlier tier 
of standards as a condition of the exemption; for example, engines 
exempted with respect to Tier 3 standards may be required to comply with 
Tier 1 or Tier 2 standards.
    Family means engine family or emission family, as applicable under 
the standard-setting part.
    Final deteriorated test result has the meaning given in the 
standard-setting part. If it is not defined in the standard-setting 
part, it means the emission level that results from applying all 
appropriate adjustments (such as deterioration factors) to the measured 
emission result of the emission-data engine.
    Gas turbine engine means anything commercially known as a gas 
turbine engine or any collection of assembled engine components that is 
substantially similar to engines commercially known as gas turbine 
engines. For example, a jet engine is a gas turbine engine. Gas turbine 
engines may be complete or partially complete. Turbines that rely on 
external combustion such as steam engines are not gas turbine engines.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act (42 U.S.C. 7550(1)). In general, this term includes any person 
who manufactures an engine or piece of equipment for sale in the United 
States or otherwise introduces a new engine or piece of equipment into 
U.S. commerce. This includes importers that import new engines or new 
equipment into the United States for resale. It also includes secondary 
engine manufacturers.
    Model year has the meaning given in the standard-setting part. 
Unless the standard-setting part specifies otherwise, model year for 
individual engines/equipment is based on the date of manufacture or a 
later stage in the assembly process determined by the manufacturer, 
subject to the limitations described in Sec. Sec. 1068.103 and 
1068.360. The model year of a new engine that is neither certified nor 
exempt is deemed to be the calendar year in which it is sold, offered 
for sale, imported, or delivered or otherwise introduced into U.S. 
commerce.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New has the meaning we give it in the standard-setting part.
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, a 
nonroad engine is an internal combustion engine that meets any of the 
following criteria:
    (i) It is (or will be) used in or on a piece of equipment that is 
self-propelled or serves a dual purpose by both propelling itself and 
performing another function (such as garden tractors, off-highway mobile 
cranes and bulldozers).
    (ii) It is (or will be) used in or on a piece of equipment that is 
intended to be propelled while performing its function (such as 
lawnmowers and string trimmers).
    (iii) By itself or in or on a piece of equipment, it is portable or 
transportable, meaning designed to be and capable of being carried or 
moved from one location to another. Indicia of transportability include, 
but are not limited to, wheels, skids, carrying handles, dolly, trailer, 
or platform.
    (2) An internal combustion engine is not a nonroad engine if it 
meets any of the following criteria:
    (i) The engine is used to propel a motor vehicle, an aircraft, or 
equipment used solely for competition.
    (ii) The engine is regulated under 40 CFR part 60, (or otherwise 
regulated by a federal New Source Performance Standard promulgated under 
section

[[Page 765]]

111 of the Clean Air Act (42 U.S.C. 7411)).
    (iii) The engine otherwise included in paragraph (1)(iii) of this 
definition remains or will remain at a location for more than 12 
consecutive months or a shorter period of time for an engine located at 
a seasonal source. A location is any single site at a building, 
structure, facility, or installation. Any engine (or engines) that 
replaces an engine at a location and that is intended to perform the 
same or similar function as the engine replaced will be included in 
calculating the consecutive time period. An engine located at a seasonal 
source is an engine that remains at a seasonal source during the full 
annual operating period of the seasonal source. A seasonal source is a 
stationary source that remains in a single location on a permanent basis 
(i.e., at least two years) and that operates at that single location 
approximately three months (or more) each year. See Sec. 1068.31 for 
provisions that apply if the engine is removed from the location.
    Operating hours means:
    (1) For engine and equipment storage areas or facilities, times 
during which people other than custodians and security personnel are at 
work near, and can access, a storage area or facility.
    (2) For other areas or facilities, times during which an assembly 
line operates or any of the following activities occurs:
    (i) Testing, maintenance, or service accumulation.
    (ii) Production or compilation of records.
    (iii) Certification testing.
    (iv) Translation of designs from the test stage to the production 
stage.
    (v) Engine or equipment manufacture or assembly.
    Piece of equipment means any vehicle, vessel, locomotive, aircraft, 
or other type of equipment using engines to which this part applies.
    Placed into service means used for its intended purpose.
    Reasonable technical basis means information that would lead a 
person familiar with engine design and function to reasonably believe a 
conclusion related to compliance with the requirements of this part. For 
example, it would be reasonable to believe that parts performing the 
same function as the original parts (and to the same degree) would 
control emissions to the same degree as the original parts.
    Relating to as used in this section means relating to something in a 
specific, direct manner. This expression is used in this section only to 
define terms as adjectives and not to broaden the meaning of the terms.
    Replacement engine means an engine exempted as a replacement engine 
under Sec. 1068.240.
    Revoke means to terminate the certificate or an exemption for a 
family. If we revoke a certificate or exemption, you must apply for a 
new certificate or exemption before continuing to introduce the affected 
engines/equipment into U.S. commerce. This does not apply to engines/
equipment you no longer possess.
    Secondary engine manufacturer means anyone who produces a new engine 
by modifying a complete or partially complete engine that was made by a 
different company. For the purpose of this definition, ``modifying'' 
does not include making changes that do not remove an engine from its 
original certified configuration. Secondary engine manufacturing 
includes, for example, converting automotive engines for use in 
industrial applications, or land-based engines for use in marine 
applications. This applies whether it involves a complete or partially 
complete engine and whether the engine was previously certified to 
emission standards or not. Manufacturers controlled by the manufacturer 
of the base engine (or by an entity that also controls the manufacturer 
of the base engine) are not secondary engine manufacturers; rather, both 
entities are considered to be one manufacturer for purposes of this 
part. This definition applies equally to equipment manufacturers that 
modify engines. Also, equipment manufacturers that certify to equipment-
based standards using engines produced by another company are deemed to 
be secondary engine manufacturers. Companies importing complete engines 
into the United States

[[Page 766]]

are not secondary engine manufacturers regardless of the procedures and 
relationships between companies for assembling the engines.
    Small business means either of the following:
    (1) A company that qualifies under the standard-setting part for 
special provisions for small businesses or small-volume manufacturers.
    (2) A company that qualifies as a small business under the 
regulations adopted by the Small Business Administration at 13 CFR 
121.201 if the standard-setting part does not establish such qualifying 
criteria.
    Standard-setting part means a part in the Code of Federal 
Regulations that defines emission standards for a particular engine and/
or piece of equipment (see Sec. 1068.1(a)). For example, the standard-
setting part for marine spark-ignition engines is 40 CFR part 1045. For 
provisions related to evaporative emissions, the standard-setting part 
may be 40 CFR part 1060, as specified in 40 CFR 1060.1.
    Suspend means to temporarily discontinue the certificate or an 
exemption for a family. If we suspend a certificate, you may not 
introduce into U.S. commerce engines/equipment from that family unless 
we reinstate the certificate or approve a new one. If we suspend an 
exemption, you may not introduce into U.S. commerce engines/equipment 
that were previously covered by the exemption unless we reinstate the 
exemption.
    Ultimate purchaser means the first person who in good faith 
purchases a new engine or new piece of equipment for purposes other than 
resale.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
    U.S.-directed production volume means the number of engine/equipment 
units, subject to the requirements of this part, produced by a 
manufacturer for which the manufacturer has a reasonable assurance that 
sale was or will be made to ultimate purchasers in the United States.
    Void means to invalidate a certificate or an exemption ab initio. If 
we void a certificate, all the engines/equipment introduced into U.S. 
commerce under that family for that model year are considered 
noncompliant, and you are liable for all engines/equipment introduced 
into U.S. commerce under the certificate and may face civil or criminal 
penalties or both. This applies equally to all engines/equipment in the 
family, including engines/equipment introduced into U.S. commerce before 
we voided the certificate. If we void an exemption, all the engines/
equipment introduced into U.S. commerce under that exemption are 
considered uncertified (or nonconforming), and you are liable for 
engines/equipment introduced into U.S. commerce under the exemption and 
may face civil or criminal penalties or both. You may not introduce into 
U.S. commerce any additional engines/equipment using the voided 
exemption.
    Voluntary emission recall means a repair, adjustment, or 
modification program voluntarily initiated and conducted by a 
manufacturer to remedy any emission-related defect for which engine 
owners have been notified.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23059, Apr. 30, 2010]



Sec. 1068.31  What provisions apply to nonroad or stationary engines that change their status?

    This section specifies the provisions that apply when an engine 
previously used in a nonroad application is subsequently used in an 
application other than a nonroad application, or when an engine 
previously used in a stationary application (i.e., an engine that was 
not used as a nonroad engine and that was not used to propel a motor 
vehicle, an aircraft, or equipment used solely for competition) is 
moved.
    (a) Changing the status of a stationary engine to be a new nonroad 
engine as described in paragraph (b) of this section is a violation of 
Sec. 1068.101(a)(1) or (b)(3) unless the engine has been certified to 
be compliant with all requirements of this chapter that apply to new 
nonroad engines of the same type (for example, a compression-ignition 
engine rated at 40 kW)

[[Page 767]]

and model year, and is in its certified configuration. Note that the 
definitions of ``model year'' in the standard-setting parts generally 
identify the engine's original date of manufacture as the basis for 
determining which standards apply if it becomes a nonroad engine after 
it is no longer new. For example, see 40 CFR 1039.801 and 1048.801.
    (b) A stationary engine becomes a new nonroad engine if--
    (1) It is used in an application that meets the criteria specified 
in paragraphs (1)(i) or (ii) in the definition of ``nonroad engine'' in 
Sec. 1068.30.
    (2) It meets the criteria specified in paragraph (1)(iii) of the 
definition of ``nonroad engine'' in Sec. 1068.30 and is moved so that 
it fails to meet (or no longer meets) the criteria specified in 
paragraph (2)(iii) in the definition of ``nonroad engine'' in Sec. 
1068.30.
    (c) A stationary engine does not become a new nonroad engine if it 
is moved but continues to meet the criteria specified in paragraph 
(2)(iii) in the definition of ``nonroad engine'' in Sec. 1068.30 in its 
new location. For example, a transportable engine that is used in a 
single specific location for 18 months and is later moved to a second 
specific location where it will remain for at least 12 months is 
considered to be a stationary engine in both locations. Note that for 
engines that are neither portable nor transportable in actual use, the 
residence-time restrictions in the definition of ``nonroad engine'' 
generally do not apply.
    (d) Changing the status of a nonroad engine to be a new stationary 
engine as described in paragraph (e) of this section is a violation of 
Sec. 1068.101(a)(1) unless the engine complies with all the 
requirements of this chapter for new stationary engines of the same type 
(for example, a compression-ignition engine rated at 40 kW) and model 
year. For a new stationary engine that is required to be certified under 
40 CFR part 60, the engine must have been certified to be compliant with 
all the requirements that apply to new stationary engines of the same 
type and model year, and must be in its certified configuration. Note 
that the definitions of ``model year'' in the standard-setting parts 
generally identify the engine's original date of manufacture as the 
basis for determining which standards apply if it becomes a stationary 
engine after it is no longer new. For example, see 40 CFR 60.4219 and 
60.4248.
    (e) A nonroad engine ceases to be a nonroad engine and becomes a new 
stationary engine if--
    (1) At any time, it meets the criteria specified in paragraph 
(2)(iii) in the definition of ``nonroad engine'' in Sec. 1068.30. For 
example, a portable generator engine ceases to be a nonroad engine if it 
is used or will be used in a single specific location for 12 months or 
longer. If we determine that an engine will be or has been used in a 
single specific location for 12 months or longer, it ceased to be a 
nonroad engine when it was placed in that location.
    (2) It is otherwise regulated by a federal New Source Performance 
Standard promulgated under section 111 of the Clean Air Act (42 U.S.C. 
7411).
    (f) A nonroad engine ceases to be a nonroad engine if it is used to 
propel a motor vehicle, an aircraft, or equipment used solely for 
competition. See 40 CFR part 86 for requirements applicable to motor 
vehicles and motor vehicle engines. See 40 CFR part 87 for requirements 
applicable to aircraft and aircraft engines. See Sec. 1068.235 for 
requirements applicable to equipment used solely for competition.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23059, Apr. 30, 2010]



Sec. 1068.35  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

$ U.S. dollars.
CFR Code of Federal Regulations.
disp engine displacement.
EPA Environmental Protection Agency.
kW kilowatt.
L/cyl liters per cylinder.
NARA National Archives and Records Administration.
NOX Oxides of nitrogen.
SAE Society of Automotive Engineers.
SEA selective enforcement audit.
U.S. United States.
U.S.C. United States Code.

[[Page 768]]



Sec. 1068.40  What special provisions apply for implementing changes in the regulations?

    (a) During the 12 months following the effective date of any change 
in the provisions of this part, you may ask to apply the previously 
applicable provisions. We will generally approve your request if you can 
demonstrate that it would be impractical to comply with the new 
requirements. We may consider the potential for adverse environmental 
impacts in our decision. Similarly, in unusual circumstances, you may 
ask for relief under this paragraph (a) from new requirements that apply 
under the standard-setting part.
    (b) During the 60 days following the effective date of any change in 
the provisions of this part, you may use the previously applicable 
provisions without request if they meet either of the following 
criteria:
    (1) The new provisions require you to redesign your engines/
equipment, modify your engine/equipment labels, or change your 
production procedures.
    (2) The new provisions change what you must include in an 
application for certification that you submit before the end of this 60-
day period. You are not required to amend such applications to comply 
with the new provisions for that model year; however, this allowance 
does not apply for later model years, even if you certify an engine 
family using carryover emission data. This allowance does not affect 
your obligation to provide information that we request separate from an 
application for certification.
    (c) Prior to the dates listed you may comply with earlier versions 
of applicable regulations as follows:
    (1) Prior to June 1, 2010, you may comply with the provisions of 
Sec. 1068.240 that were in effect on April 30, 2010.
    (2) [Reserved]

[75 FR 23059, Apr. 30, 2010]



Sec. 1068.45  General labeling provisions.

    The provisions of this part and the standard-setting part include a 
variety of labeling requirements. The following general provisions 
apply:
    (a) Permanent labels. Where we specify that you apply a permanent 
label, you must meet the following requirements unless the standard-
setting part includes other specific label requirements:
    (1) Attach the label so no one can remove it without destroying or 
defacing it.
    (2) Make sure it is durable and readable for the engine/equipment's 
entire life.
    (3) Secure it to a part of the engine/equipment needed for normal 
operation and not normally requiring replacement.
    (4) Write it in English.
    (5) Make the labels readily visible to the average person after all 
installation and assembly are complete.
    (b) Removable labels. Where we specify that you apply a removable 
label, it must meet the following conditions:
    (1) You must attach the label in a way that does not allow it to be 
separated from the engine/equipment without a deliberate effort. Note 
that for exemptions requiring removable labels, the exemption no longer 
applies once the label is separated from the engine/equipment.
    (2) The label must be durable and readable throughout the period of 
its intended purpose. This period generally includes all distribution in 
U.S. commerce during which the exemption applies.
    (3) Except as specified in paragraph (c) of this section, the label 
must be attached directly to the engine/equipment in a visible location. 
We consider a tag that meets the specified requirements to be an 
attached label.
    (c) Labels on packaging. Unless we specify otherwise, where we 
require engine/equipment labels that may be removable, you may instead 
label the packaging if the engines/equipment are packaged together as 
described in this paragraph (c). For example, this may involve packaging 
engines together by attaching them to a rack, binding them together on a 
pallet, or enclosing them in a box. The provisions of this paragraph (c) 
also apply for engines/equipment boxed individually where you do not 
apply labels directly to the engines/equipment. The following provisions 
apply if you label the packaging instead of labeling engines/equipment 
individually:

[[Page 769]]

    (1) You may use the provisions of this paragraph (c) only if all the 
engines/equipment packaged together need the same label.
    (2) You must place the label on the package in a readily visible 
location. This may require labeling the package in multiple locations.
    (3) You must package the engines/equipment such that the labels will 
not be separated from the engines/equipment or otherwise become 
unreadable throughout the period that the label applies. For example, 
labels required for shipping engines to a secondary engine manufacturer 
under Sec. 1068.262 must remain attached and readable until they reach 
the secondary engine manufacturer. Similarly, removable labels specified 
in Sec. 1068.240 for replacement engines must remain attached and 
readable until they reach the point of final installation.
    (4) You are in violation of Sec. 1068.101(a)(1) if such engines/
equipment are removed from the package or are otherwise separated from 
the label before reaching the point at which the label is no longer 
needed.
    (d) Temporary consumer labels. Where we specify that you apply 
temporary consumer labels (including tags), each label must meet the 
following conditions:
    (1) You must attach the label in a way that does not allow it to be 
separated from the engine/equipment without a deliberate effort.
    (2) The label must be sufficiently durable to be readable until it 
reaches the ultimate purchaser.
    (3) The label must be attached directly to the engine/equipment in a 
visible location.
    (e) Prohibitions against removing labels. Removing permanent labels 
may be a violation of Sec. 1068.101(b)(7). Removing temporary or 
removable labels prematurely may also be a violation of Sec. 
1068.101(b)(7).
    (f) Identifying emission control systems. If the standard-setting 
part specifies that you use standardized terms and abbreviations to 
identify emission control systems, use terms and abbreviations 
consistent with SAE J1930 (incorporated by reference in Sec. 1068.95).

[73 59344, Oct. 8, 2008, as amended at 75 FR 23059, Apr. 30, 2010]



Sec. 1068.95  What materials does this part reference?

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) SAE material. Table 1 to this section lists material from the 
Society of Automotive Engineers that we have incorporated by reference. 
The first column lists the number and name of the material. The second 
column lists the sections of this part where we reference it. Anyone may 
purchase copies of these materials from the Society of Automotive 
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://
www.sae.org. Table 1 follows:

                Table 1 to Sec.  1068.95--SAE Materials
------------------------------------------------------------------------
                                                             Part 1068
                Document number and name                     reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic              1068.95
 Terms, Definitions, Abbreviations, and Acronyms,
 revised April 2002.....................................
------------------------------------------------------------------------


[[Page 770]]

    (b) [Reserved]



          Subpart B_Prohibited Actions and Related Requirements



Sec. 1068.101  What general actions does this regulation prohibit?

    This section specifies actions that are prohibited and the maximum 
civil penalties that we can assess for each violation in accordance with 
42 U.S.C. 7522 and 7524. The maximum penalty values listed in paragraphs 
(a) and (b) of this section apply as of January 12, 2009. As described 
in paragraph (h) of this section, these maximum penalty limits are 
different for earlier violations and they may be adjusted as set forth 
in 40 CFR part 19.
    (a) The following prohibitions and requirements apply to 
manufacturers of new engines, manufacturers of equipment containing 
these engines, and manufacturers of new equipment, except as described 
in subparts C and D of this part:
    (1) Introduction into commerce. You may not sell, offer for sale, or 
introduce or deliver into commerce in the United States or import into 
the United States any new engine/equipment after emission standards take 
effect for the engine/equipment, unless it is covered by a valid 
certificate of conformity for its model year and has the required label 
or tag. You also may not take any of the actions listed in the previous 
sentence with respect to any equipment containing an engine subject to 
this part's provisions unless the engine is covered by a valid 
certificate of conformity for its model year and has the required engine 
label or tag. We may assess a civil penalty up to $37,500 for each 
engine or piece of equipment in violation.
    (i) For purposes of this paragraph (a)(1), a valid certificate of 
conformity is one that applies for the same model year as the model year 
of the equipment (except as allowed by Sec. 1068.105(a)), covers the 
appropriate category of engines/equipment (such as locomotive or Marine 
SI), and conforms to all requirements specified for equipment in the 
standard-setting part. Engines/equipment are considered not covered by a 
certificate unless they are in a configuration described in the 
application for certification.
    (ii) The requirements of this paragraph (a)(1) also cover new 
engines you produce to replace an older engine in a piece of equipment, 
unless the engine qualifies for the replacement-engine exemption in 
Sec. 1068.240.
    (iii) For engines used in equipment subject to equipment-based 
standards, you may not sell, offer for sale, or introduce or deliver 
into commerce in the United States or import into the United States any 
new engine unless it is covered by a valid certificate of conformity for 
its model year and has the required label or tag. See the standard-
setting part for more information about how this prohibition applies.
    (2) Reporting and recordkeeping. This chapter requires you to record 
certain types of information to show that you meet our standards. You 
must comply with these requirements to make and maintain required 
records (including those described in Sec. 1068.501). You may not deny 
us access to your records or the ability to copy your records if we have 
the authority to see or copy them. Also, you must give us complete and 
accurate reports and information without delay as required under this 
chapter. Failure to comply with the requirements of this paragraph is 
prohibited. We may assess a civil penalty up to $37,500 for each day you 
are in violation. In addition, knowingly submitting false information is 
a violation of 18 U.S.C. 1001, which may involve criminal penalties and 
up to five years imprisonment.
    (3) Testing and access to facilities. You may not keep us from 
entering your facility to test engines/equipment or inspect if we are 
authorized to do so. Also, you must perform the tests we require (or 
have the tests done for you). Failure to perform this testing is 
prohibited. We may assess a civil penalty up to $37,500 for each day you 
are in violation.
    (b) The following prohibitions apply to everyone with respect to the 
engines and equipment to which this part applies:
    (1) Tampering. You may not remove or render inoperative any device 
or element of design installed on or in engines/equipment in compliance 
with

[[Page 771]]

the regulations prior to its sale and delivery to the ultimate 
purchaser. You also may not knowingly remove or render inoperative any 
such device or element of design after such sale and delivery to the 
ultimate purchaser. This includes, for example, operating an engine 
without a supply of appropriate quality urea if the emissions control 
system relies on urea to reduce NOx emissions or the use of incorrect 
fuel or engine oil that renders the emissions control system 
inoperative. Section 1068.120 describes how this applies to rebuilding 
engines. See the standard-setting part, which may include additional 
provisions regarding actions prohibited by this requirement. For a 
manufacturer or dealer, we may assess a civil penalty up to $37,500 for 
each engine or piece of equipment in violation. For anyone else, we may 
assess a civil penalty up to $3,750 for each day an engine or piece of 
equipment is operated in violation. This prohibition does not apply in 
any of the following situations:
    (i) You need to repair the engine/equipment and you restore it to 
proper functioning when the repair is complete.
    (ii) You need to modify the engine/equipment to respond to a 
temporary emergency and you restore it to proper functioning as soon as 
possible.
    (iii) You modify new engines/equipment that another manufacturer has 
already certified to meet emission standards and recertify them under 
your own family. In this case you must tell the original manufacturer 
not to include the modified engines/equipment in the original family.
    (2) Defeat devices. You may not knowingly manufacture, sell, offer 
to sell, or install, any part that bypasses, impairs, defeats, or 
disables the control of emissions of any regulated pollutant, except as 
explicitly allowed by the standard-setting part. We may assess a civil 
penalty up to $3,750 for each part in violation.
    (3) Stationary engines. For an engine that is excluded from any 
requirements of this chapter because it is a stationary engine, you may 
not move it or install it in any mobile equipment except as allowed by 
the provisions of this chapter. You may not circumvent or attempt to 
circumvent the residence-time requirements of paragraph (2)(iii) of the 
nonroad engine definition in Sec. 1068.30. Anyone violating this 
paragraph (b)(3) is deemed to be a manufacturer in violation of 
paragraph (a)(1) of this section. We may assess a civil penalty up to 
$37,500 for each engine or piece of equipment in violation.
    (4) Competition engines/equipment. For uncertified engines/equipment 
that are excluded or exempted from any requirements of this chapter 
because they are to be used solely for competition, you may not use any 
of them in a manner that is inconsistent with use solely for 
competition. Anyone violating this paragraph (b)(4) is deemed to be a 
manufacturer in violation of paragraph (a)(1) of this section. We may 
assess a civil penalty up to $37,500 for each engine or piece of 
equipment in violation.
    (5) Importation. You may not import an uncertified engine or piece 
of equipment if it is defined to be new in the standard-setting part 
with a model year for which emission standards applied. Anyone violating 
this paragraph (b)(5) is deemed to be a manufacturer in violation of 
paragraph (a)(1) of this section. We may assess a civil penalty up to 
$37,500 for each engine or piece of equipment in violation. Note the 
following:
    (i) The definition of new is broad for imported engines/equipment; 
uncertified engines and equipment (including used engines and equipment) 
are generally considered to be new when imported.
    (ii) Used engines/equipment that were originally manufactured before 
applicable EPA standards were in effect are generally not subject to 
emission standards.
    (6) Warranty, recall, and maintenance instructions. You must meet 
your obligation to honor your emission-related warranty under Sec. 
1068.115, including any commitments you identify in your application for 
certification. You must also fulfill all applicable requirements under 
subpart F of this part related to emission-related defects and recalls. 
You must also provide emission-related

[[Page 772]]

installation and maintenance instructions as described in the standard-
setting part. Failure to meet these obligations is prohibited. Also, 
except as specifically provided by regulation, you are prohibited from 
directly or indirectly communicating to the ultimate purchaser or a 
later purchaser that the emission-related warranty is valid only if the 
owner has service performed at authorized facilities or only if the 
owner uses authorized parts, components, or systems. We may assess a 
civil penalty up to $37,500 for each engine or piece of equipment in 
violation.
    (7) Labeling. (i) You may not remove or alter an emission control 
information label or other required permanent label except as specified 
in this paragraph (b)(7) or otherwise allowed by this chapter. Removing 
or altering an emission control information label is a violation of 
paragraph (b)(1) of this section. However, it is not a violation to 
remove a label in the following circumstances:
    (A) The engine is destroyed, is permanently disassembled, or 
otherwise loses its identity such that the original title to the engine 
is no longer valid.
    (B) The regulations specifically direct you to remove the label. For 
example, see Sec. 1068.235.
    (C) The part on which the label is mounted needs to be replaced. In 
this case, you must have a replacement part with a duplicate of the 
original label installed by the certifying manufacturer or an authorized 
agent, except that the replacement label may omit the date of 
manufacture if applicable. We generally require labels to be permanently 
attached to parts that will not normally be replaced, but this provision 
allows for replacements in unusual circumstances, such as damage in a 
collision or other accident.
    (D) The original label is incorrect, provided that it is replaced 
with the correct label from the certifying manufacturer or an authorized 
agent. This allowance to replace incorrect labels does not affect 
whether the application of an incorrect original label is a violation.
    (ii) Removing or altering a temporary or removable label contrary to 
the provisions of this paragraph (b)(7)(ii) is a violation of paragraph 
(b)(1) of this section.
    (A) For labels identifying temporary exemptions, you may not remove 
or alter the label while the engine/equipment is in an exempt status. 
The exemption is automatically revoked for each engine/equipment for 
which the label has been removed.
    (B) For temporary or removable consumer information labels, only the 
ultimate purchaser may remove the label.
    (iii) You may not apply a false emission control information label. 
You also may not manufacture, sell, or offer to sell false labels. The 
application, manufacture, sale, or offer for sale of false labels is a 
violation of this section (such as paragraph (a)(1) or (b)(2) of this 
section). Note that applying an otherwise valid emission control 
information label to the wrong engine is considered to be applying a 
false label.
    (c) If you cause someone to commit a prohibited act in paragraph (a) 
or (b) of this section, you are in violation of that prohibition.
    (d) Exemptions from these prohibitions are described in subparts C 
and D of this part and in the standard-setting part.
    (e) The standard-setting parts describe more requirements and 
prohibitions that apply to manufacturers (including importers) and 
others under this chapter.
    (f) The specification of prohibitions and penalties in this part 
does not limit the prohibitions and penalties described in the Clean Air 
Act. Additionally, a single act may trigger multiple violations under 
this section and the Act. We may pursue all available administrative, 
civil, or criminal remedies for those violations even if the regulation 
references only a single prohibited act in this section.
    (g) [Reserved]
    (h) The maximum penalty values listed in paragraphs (a) and (b) of 
this section apply as of January 12, 2009. Maximum penalty values for 
earlier violations are published in 40 CFR part 19. Maximum penalty 
limits may be adjusted after January 12, 2009 based on the Consumer 
Price Index. The specific regulatory provisions for changing the

[[Page 773]]

maximum penalties, published in 40 CFR part 19, reference the applicable 
U.S. Code citation on which the prohibited action is based. The 
following table is shown here for informational purposes:

Table 1 of Sec.  1068.101--Legal Citation for Specific Prohibitions for
                   Determining Maximum Penalty Amounts
------------------------------------------------------------------------
    Part 1068 regulatory                             U.S. Code citation
   citation of prohibited      General description    for Clean Air Act
           action                of prohibition           authority
------------------------------------------------------------------------
Sec.  1068.101(a)(1).......  Introduction into     42 U.S.C. 7522(a)(1)
                               U.S. commerce of an   and (a)(4).
                               uncertified source.
Sec.  1068.101(a)(2).......  Failure to provide    42 U.S.C.
                               information.          7522(a)(2).
Sec.  1068.101(a)(3).......  Denying access to     42 U.S.C.
                               facilities.           7522(a)(2).
Sec.  1068.101(b)(1).......  Tampering with        42 U.S.C.
                               emission controls     7522(a)(3).
                               by a manufacturer
                               or dealer.
                              Tampering with
                               emission controls
                               by someone other
                               than a manufacturer
                               or dealer.
Sec.  1068.101(b)(2).......  Sale or use of a      42 U.S.C.
                               defeat device.        7522(a)(3).
Sec.  1068.101(b)(3).......  Mobile use of a       42 U.S.C. 7522(a)(1)
                               stationary engine.    and (a)(4).
Sec.  1068.101(b)(4).......  Noncompetitive use    42 U.S.C. 7522(a)(1)
                               of uncertified        and (a)(4).
                               engines/equipment
                               that is exempted
                               for competition.
Sec.  1068.101(b)(5).......  Importation of an     42 U.S.C. 7522(a)(1)
                               uncertified source.   and (a)(4).
Sec.  1068.101(b)(6).......  Recall and warranty.  42 U.S.C.
                                                     7522(a)(4).
Sec.  1068.101(b)(7).......  Removing labels.....  42 U.S.C.
                                                     7522(a)(3).
------------------------------------------------------------------------


75 FR 23059, Apr. 30, 2010]



Sec. 1068.103  What are the provisions related to the duration and 

applicability of certificates of conformity?

    (a) Engines/equipment covered by a certificate of conformity are 
limited to those that are produced during the period specified in the 
certificate and conform to the specifications described in the 
certificate and the associated application for certification. For the 
purposes of this paragraph (a), ``specifications'' includes any 
conditions or limitations identified by the manufacturer or EPA. For 
example, if the application for certification specifies certain engine 
configurations, the certificate does not cover any configurations that 
are not specified. We may ignore any information provided in the 
application that we determine is not relevant to a demonstration of 
compliance with applicable regulations, such as your projected 
production volumes in many cases.
    (b) Unless the standard-setting part specifies otherwise, determine 
the production period corresponding to each certificate of conformity as 
specified in this paragraph (b). In general, the production period is 
the manufacturer's annual production period identified as a model year.
    (1) For engines/equipment subject to emission standards based on 
model years, the first day of the annual production period can be no 
earlier than January 2 of the calendar year preceding the year for which 
the model year is named, or the earliest date of manufacture for any 
engine/equipment in the engine family, whichever is later. The last day 
of the annual production period can be no later than December 31 of the 
calendar year for which the model year is named or the latest date of 
manufacture for any engine/equipment in the engine family, whichever is 
sooner.
    (2) For fuel-system components certified to evaporative emission 
standards based on production periods rather than model years, the 
production period is either the calendar year or a longer period we 
specify consistent with the manufacturer's normal production practices.
    (c) A certificate of conformity will not cover engines/equipment you 
produce with a date of manufacture earlier than the date you submit the 
application for certification for the family. You may start to produce 
engines/equipment after you submit an application for certification and 
before the effective date of a certificate of conformity, subject to the 
following conditions:
    (1) The engines/equipment must conform in all material respects to 
the engines/equipment described in your application. Note that if we 
require you

[[Page 774]]

to modify your application, you must ensure that all engines/equipment 
conform to the specifications of the modified application.
    (2) The engines/equipment may not be sold, offered for sale, 
introduced into commerce, or delivered for introduction into U.S. 
commerce before the effective date of the certificate of conformity.
    (3) You must notify us in your application for certification that 
you plan to use the provisions of this paragraph (c) and when you intend 
to start production. If the standard-setting part specifies mandatory 
testing for production-line engines, you must start testing as directed 
in the standard-setting part based on your actual start of production, 
even if that occurs before we approve your certification. You must also 
agree to give us full opportunity to inspect and/or test the engines/
equipment during and after production. For example, we must have the 
opportunity to specify selective enforcement audits as allowed by the 
standard-setting part and the Clean Air Act as if the engines/equipment 
were produced after the effective date of the certificate.
    (4) See Sec. 1068.262 for special provisions that apply for 
secondary engine manufacturers receiving shipment of partially complete 
engines before the effective date of a certificate.
    (d) Engines/equipment with a date of manufacture after December 31 
of the calendar year for which a model year is named are not covered by 
the certificate of conformity for that model year. You must submit an 
application for a new certificate of conformity demonstrating compliance 
with applicable standards even if the engines/equipment are identical to 
those built before December 31.
    (e) The flexible approach to naming the annual production period 
described in paragraph (b)(1) of this section is intended to allow you 
to introduce new products at any point during the year. This is based on 
the expectation that production periods generally run on consistent 
schedules from year to year. You may not use this flexibility to arrange 
your production periods such that you can avoid annual certification.
    (f) An engine is generally assigned a model year based on its date 
of manufacture, which is typically based on the date the crankshaft is 
installed in the engine (see Sec. 1068.30). You may not circumvent the 
provisions of Sec. 1068.101(a)(1) by stockpiling engines with a date of 
manufacture before new or changed emission standards take effect by 
deviating from your normal production and inventory practices. (For 
purposes of this paragraph (f), normal production and inventory 
practices means those practices you typically use for similar families 
in years in which emission standards do not change. We may require you 
to provide us routine production and inventory records that document 
your normal practices for the preceding eight years.) For most engines 
you should plan to complete the assembly of an engine of a given model 
year within the first week after the end of the model year if new 
emission standards start to apply in that model year. For special 
circumstances it may be appropriate for your normal business practice to 
involve more time. For engines with per-cylinder displacement below 2.5 
liters, we would consider it to be a violation to complete the assembly 
of an engine of a given model year more than 30 days after the end of 
the model year for that engine family if new emission standards start to 
apply in that year. For example, in the case where new standards apply 
in the 2010 model year, and your normal production period is based on 
the calendar year, you must complete the assembly of all your 2009 model 
year engines before January 31, 2010, or an earlier date consistent with 
your normal production and inventory practices. For engines with per-
cylinder displacement at or above 2.5 liters, this time may not exceed 
60 days. Note that for the purposes of this paragraph (f), an engine 
shipped under Sec. 1068.261 is deemed to be a complete engine. Note 
also that Sec. 1068.245 allows flexibility for additional time in 
unusual circumstances. Note finally that disassembly of complete engines 
and reassembly (such as for shipment) does not affect the determination 
of model year; the provisions of this paragraph

[[Page 775]]

(f) apply based on the date on which initial assembly is complete.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23061, Apr. 30, 2010]



Sec. 1068.105  What other provisions apply to me specifically if I 

manufacture equipment needing certified engines?

    This section describes general provisions that apply to equipment 
manufacturers for sources subject to engine-based standards. See the 
standard-setting part for any requirements that apply for certain 
applications. See Sec. 1068.101 for penalties associated with 
violations under this section and for other prohibitions related to your 
equipment.
    (a) Transitioning to new engine-based standards. If new engine-based 
emission standards apply in a given model year, your equipment in that 
calendar year must have engines that are certified to the new standards, 
except that you may continue to use up normal inventories of earlier 
engines that were built before the date of the new or changed standards. 
For purposes of this paragraph (a), normal inventory applies for engines 
you possess and engines from your engine supplier's inventory. (Note: 
this paragraph (a) does not apply in the case of new remanufacturing 
standards.) For example, if your normal inventory practice is to keep on 
hand a one-month supply of engines based on your upcoming production 
schedules, and a new tier of standards starts to apply for the 2015 
model year, you may order engines consistent with your normal inventory 
requirements late in the engine manufacturer's 2014 model year and 
install those engines in your equipment, regardless of the date of 
installation. Also, if your model year starts before the end of the 
calendar year preceding new standards, you may use engines from the 
previous model year for those units you produce before January 1 of the 
year that new standards apply. If emission standards for the engine do 
not change in a given model year, you may continue to install engines 
from the previous model year without restriction (or any earlier model 
year for which the same standards apply). You may not circumvent the 
provisions of Sec. 1068.101(a)(1) by stockpiling engines that were 
built before new or changed standards take effect. Similarly, you may 
not circumvent the provisions of Sec. 1068.101(a)(1) by knowingly 
installing engines that were stockpiled by engine suppliers in violation 
of Sec. 1068.103(f). Note that this allowance does not apply for 
equipment subject to equipment-based standards. See 40 CFR 1060.601 for 
similar provisions that apply for equipment subject to evaporative 
emission standards.
    (b) Installing engines or certified components. The provisions in 
Sec. 1068.101(a)(1) generally prohibit you from introducing into U.S. 
commerce any new equipment that includes engines not covered by a 
certificate of conformity. In addition, you must follow the engine 
manufacturer's emission-related installation instructions. For example, 
you may need to constrain where you place an exhaust aftertreatment 
device or integrate into your equipment models a device for sending 
visual or audible signals to the operator. Similarly, you must follow 
the emission-related installation instructions from the manufacturer of 
a component that has been certified for controlling evaporative 
emissions under 40 CFR part 1060. Not meeting the manufacturer's 
emission-related installation instructions is a violation of one or more 
of the prohibitions of Sec. 1068.101. See Sec. 1068.261 for special 
provisions that apply when the engine manufacturer delegates final 
assembly of emission controls to you.
    (c) Attaching a duplicate label. If you obscure the engine's label, 
you must do four things to avoid violating Sec. 1068.101(a)(1):
    (1) Send a request for duplicate labels in writing on your company's 
letterhead to the engine manufacturer. Include the following information 
in your request:
    (i) Identify the type of equipment and the specific engine and 
equipment models needing duplicate labels.
    (ii) Identify the family (from the original engine label).
    (iii) State the reason that you need a duplicate label for each 
equipment model.
    (iv) Identify the number of duplicate labels you will need.

[[Page 776]]

    (2) Permanently attach the duplicate label to your equipment by 
securing it to a part needed for normal operation and not normally 
requiring replacement. Make sure an average person can easily read it.
    (3) Destroy any unused duplicate labels if you find that you will 
not need them.
    (4) Keep the following records for at least eight years after the 
end of the model year identified on the engine label:
    (i) Keep a copy of your written request.
    (ii) Keep drawings or descriptions that show how you apply the 
duplicate labels to your equipment.
    (iii) Maintain a count of those duplicate labels you use and those 
you destroy.

]73 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010]



Sec. 1068.110  What other provisions apply to engines/equipment in service?

    (a) Aftermarket parts and service. As the certifying manufacturer, 
you may not require anyone to use your parts or service to maintain or 
repair an engine or piece of equipment, unless we approve this in your 
application for certification. It is a violation of the Clean Air Act 
for anyone to manufacture any part if one of its main effects is to 
reduce the effectiveness of the emission controls. See Sec. 
1068.101(b)(2).
    (b) Certifying aftermarket parts. As the manufacturer or rebuilder 
of an aftermarket engine or equipment part, you may--but are not 
required to--certify according to 40 CFR part 85, subpart V, that using 
the part will not cause engines/equipment to fail to meet emission 
standards. Whether you certify or not, you must keep any information 
showing how your parts or service affect emissions.
    (c) Compliance with standards. We may test engines and equipment to 
investigate compliance with emission standards and other requirements. 
We may also require the manufacturer to do this testing.
    (d) Defeat devices. We may test engines and equipment to investigate 
potential defeat devices. We may also require the manufacturer to do 
this testing. If we choose to investigate one of your designs, we may 
require you to show us that it does not have a defeat device. To do 
this, you may have to share with us information regarding test programs, 
engineering evaluations, design specifications, calibrations, on-board 
computer algorithms, and design strategies. It is a violation of the 
Clean Air Act for anyone to make, install or use defeat devices. See 
Sec. 1068.101(b)(2) and the standard-setting part.
    (e) Warranty and maintenance. Owners are responsible for properly 
maintaining their engines/equipment; however, owners may make warranty 
claims against the manufacturer for all expenses related to diagnosing 
and repairing or replacing emission-related parts, as described in Sec. 
1068.115. Manufacturers may ask to limit diagnosis and repair to 
authorized service facilities, provided this does not limit their 
ability to meet their warranty obligations under Sec. 1068.115. The 
warranty period begins when the equipment is first placed into service. 
See the standard-setting part for specific requirements. It is a 
violation of the Clean Air Act for anyone to disable emission controls; 
see Sec. 1068.101(b)(1) and the standard-setting part.



Sec. 1068.115  When must manufacturers honor emission-related warranty claims?

    Section 207(a) of the Clean Air Act (42 U.S.C. 7541(a)) requires 
certifying manufacturers to warrant to purchasers that their engines/
equipment are designed, built, and equipped to conform at the time of 
sale to the applicable regulations for their full useful life, including 
a warranty that the engines/equipment are free from defects in materials 
and workmanship that would cause any engine/equipment to fail to conform 
to the applicable regulations during the specified warranty period. This 
section codifies the warranty requirements of section 207(a) without 
intending to limit these requirements.
    (a) As a certifying manufacturer, you may deny warranty claims only 
for failures that have been caused by the owner's or operator's improper 
maintenance or use, by accidents for which you have no responsibility, 
or by acts of God. For example, you would not

[[Page 777]]

need to honor warranty claims for failures that have been directly 
caused by the operator's abuse of the engine/equipment or the operator's 
use of the engine/equipment in a manner for which it was not designed 
and are not attributable to you in any way.
    (b) As a certifying manufacturer, you may not deny emission-related 
warranty claims based on any of the following:
    (1) Maintenance or other service you or your authorized facilities 
performed.
    (2) Engine/equipment repair work that an operator performed to 
correct an unsafe, emergency condition attributable to you as long as 
the operator tries to restore the engine/equipment to its proper 
configuration as soon as possible.
    (3) Any action or inaction by the operator unrelated to the warranty 
claim.
    (4) Maintenance that was performed more frequently than you specify.
    (5) Anything that is your fault or responsibility.
    (6) The use of any fuel that is commonly available where the 
equipment operates unless your written maintenance instructions state 
that this fuel would harm the equipment's emission control system and 
operators can readily find the proper fuel.



Sec. 1068.120  What requirements must I follow to rebuild engines?

    (a) This section describes the steps to take when rebuilding engines 
to avoid violating the tampering prohibition in Sec. 1068.101(b)(1). 
These requirements apply to anyone rebuilding an engine subject to this 
part, but the recordkeeping requirements in paragraphs (j) and (k) of 
this section apply only to businesses. For maintenance or service that 
is not rebuilding, including any maintenance related to evaporative 
emission controls, you may not make changes that might increase 
emissions of any regulated pollutant, but you do not need to keep any 
records.
    (b) The term ``rebuilding'' refers to a rebuild of an engine or 
engine system, including a major overhaul in which you replace the 
engine's pistons or power assemblies or make other changes that 
significantly increase the service life of the engine. It also includes 
replacing or rebuilding an engine's turbocharger or aftercooler or the 
engine's systems for fuel metering or electronic control so that it 
significantly increases the service life of the engine. For these 
provisions, rebuilding may or may not involve removing the engine from 
the equipment. Rebuilding does not normally include the following:
    (1) Scheduled emission-related maintenance that the standard-setting 
part allows during the useful life period (such as replacing fuel 
injectors).
    (2) Unscheduled maintenance that occurs commonly within the useful 
life period. For example, replacing a water pump is not rebuilding an 
engine.
    (c) [Reserved]
    (d) If you rebuild an engine or engine system, you must have a 
reasonable technical basis for knowing that the rebuilt engine's 
emission control system performs as well as, or better than, it performs 
in its certified configuration. Identify the model year of the resulting 
engine configuration. You have a reasonable basis if you meet two main 
conditions:
    (1) Install parts--new, used, or rebuilt--so a person familiar with 
engine design and function would reasonably believe that the engine with 
those parts will control emissions of all pollutants at least to the 
same degree as with the original parts. For example, it would be 
reasonable to believe that parts performing the same function as the 
original parts (and to the same degree) would control emissions to the 
same degree as the original parts.
    (2) Adjust parameters or change design elements only according to 
the original engine manufacturer's instructions. Or, if you differ from 
these instructions, you must have data or some other technical basis to 
show you should not expect in-use emissions to increase.
    (e) If the rebuilt engine remains installed or is reinstalled in the 
same piece of equipment, you must rebuild it to the original 
configuration, except as allowed by this paragraph (e). You may rebuild 
it to a different certified configuration of the same or later model 
year. You may also rebuild it to a certified configuration from an 
earlier

[[Page 778]]

model year as long as the earlier configuration is as clean or cleaner 
than the original configuration. For purposes of this paragraph (e), 
``as clean or cleaner'' means one of the following:
    (1) For engines not certified with a Family Emission Limit for 
calculating credits for a particular pollutant, this means that the same 
emission standard applied for both model years. This includes 
supplemental standards such as Not-to-Exceed standards.
    (2) For engines certified with a Family Emission Limit for a 
particular pollutant, this means that the configuration to which the 
engine is being rebuilt has a Family Emission Limit for that pollutant 
that is at or below the standard that applied to the engine originally, 
and is at or below the original Family Emission Limit.
    (f) A rebuilt engine may replace another certified engine in a piece 
of equipment only if the engine was rebuilt to a certified configuration 
meeting equivalent or more stringent emission standards. Note that a 
certified configuration would generally include more than one model 
year. A rebuilt engine being installed that is from the same model year 
or a newer model year than the engine being replaced meets this 
requirement. The following examples illustrate the provisions of this 
paragraph (f):
    (1) In most cases, you may use a rebuilt Tier 2 engine to replace a 
Tier 1 engine or another Tier 2 engine.
    (2) You may use a rebuilt Tier 1 engine to replace a Tier 2 engine 
if the two engines differ only with respect to model year or other 
characteristics unrelated to emissions since such engines would be 
considered to be in the same configuration. This may occur if the Tier 1 
engine had emission levels below the Tier 2 standards or if the Tier 2 
engine was certified with a Family Emission Limit for calculating 
emission credits.
    (3) You may use a rebuilt engine that originally met the Tier 1 
standards without certification, as provided under 40 CFR 1068.265, to 
replace a certified Tier 1 engine. This may occur for engines produced 
under a Transition Program for Equipment Manufacturers such as that 
described in 40 CFR 1039.625.
    (4) You may never replace a certified engine with an engine rebuilt 
to a configuration that does not meet EPA emission standards. Note that 
a configuration is considered to meet EPA emission standards if it was 
previously certified or was otherwise shown to meet emission standards 
(see Sec. 1068.265).
    (g) Do not erase or reset emission-related codes or signals from 
onboard monitoring systems without diagnosing and responding 
appropriately to any diagnostic codes. This requirement applies 
regardless of the manufacturer's reason for installing the monitoring 
system and regardless of its form or interface. Clear any codes from 
diagnostic systems when you return the rebuilt engine to service. Do not 
disable a diagnostic signal without addressing its cause.
    (h) When you rebuild an engine, check, clean, adjust, repair, or 
replace all emission-related components (listed in Appendix I of this 
part) as needed according to the original manufacturer's recommended 
practice. In particular, replace oxygen sensors, replace the catalyst if 
there is evidence of malfunction, clean gaseous fuel-system components, 
and replace fuel injectors (if applicable), unless you have a reasonable 
technical basis for believing any of these components do not need 
replacement.
    (i) If you are installing an engine that someone else has rebuilt, 
check all emission-related components listed in Appendix I of this part 
as needed according to the original manufacturer's recommended practice.
    (j) Keep at least the following records for all engines except 
spark-ignition engines with total displacement below 225 cc:
    (1) Identify the hours of operation (or mileage, as appropriate) at 
the time of rebuild. These may be noted as approximate values if the 
engine has no hour meter (or odometer).
    (2) Identify the work done on the engine or any emission-related 
control components, including a listing of parts and components you 
used.
    (3) Describe any engine parameter adjustments.
    (4) Identify any emission-related codes or signals you responded to 
and reset.

[[Page 779]]

    (k) You must show us or send us your records if we ask for them. 
Keep records for at least two years after rebuilding an engine. Keep 
them in any format that allows us to readily review them.
    (1) You do not need to keep information that is not reasonably 
available through normal business practices. We do not expect you to 
have information that you cannot reasonably access.
    (2) You do not need to keep records of what other companies do.
    (3) You may keep records based on families rather than individual 
engines if that is the way you normally do business.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010]



Sec. 1068.125  What happens if I violate the regulations?

    (a) Civil penalties and injunctions. We may bring a civil action to 
assess and recover civil penalties and/or enjoin and restrain violations 
in the United States District Court for the district where you allegedly 
violated a requirement, or the district where you live or have your main 
place of business. Actions to assess civil penalties or restrain 
violations of Sec. 1068.101 must be brought by and in the name of the 
United States. The selected court has jurisdiction to restrain 
violations and assess civil penalties.
    (1) To determine the amount of a civil penalty and reach a just 
conclusion, the court considers these factors:
    (i) The seriousness of your violation.
    (ii) How much you benefited or saved because of the violation.
    (iii) The size of your business.
    (iv) Your history of compliance with Title II of the Clean Air Act 
(42 U.S.C. 7401-7590).
    (v) What you did to remedy the violation.
    (vi) How the penalty will affect your ability to continue in 
business.
    (vii) Such other matters as justice may require.
    (2) Subpoenas for witnesses who must attend a district court in any 
district may apply to any other district.
    (b) Administrative penalties. Instead of bringing a civil action, we 
may assess administrative penalties if the total is less than $295,000 
against you individually. This maximum penalty may be greater if the 
Administrator and the Attorney General jointly determine that a greater 
administrative penalty assessment is appropriate, or if the limit is 
adjusted under 40 CFR part 19. No court may review this determination. 
Before we assess an administrative penalty, you may ask for a hearing 
(subject to 40 CFR part 22). The Administrator may compromise or remit, 
with or without conditions, any administrative penalty that may be 
imposed under this section.
    (1) To determine the amount of an administrative penalty, we will 
consider the factors described in paragraph (a)(1) of this section.
    (2) An administrative order we issue under this paragraph (b) 
becomes final 30 days after we issue it unless you ask for judicial 
review by that time (see paragraph (c) of this section). You may ask for 
review by any of the district courts listed in paragraph (a) of this 
section. Send the Administrator a copy of the filing by certified mail.
    (3) We will not pursue an administrative penalty for a particular 
violation if either of the following two conditions is true:
    (i) We are separately prosecuting the violation under this subpart.
    (ii) We have issued a final order for a violation, no longer subject 
to judicial review, for which you have already paid a penalty.
    (c) Judicial review. If you ask a court to review a civil or 
administrative penalty, we will file in the appropriate court within 30 
days of your request a certified copy or certified index of the record 
on which the court or the Administrator issued the order.
    (1) The judge may set aside or remand any order issued under this 
section only if one of the following is true:
    (i) Substantial evidence does not exist in the record, taken as a 
whole, to support finding a violation.
    (ii) The Administrator's assessment of the penalty is an abuse of 
discretion.
    (2) The judge may not add civil penalties unless our penalty is an 
abuse of discretion that favors you.
    (d) Effect of enforcement actions on other requirements. Our pursuit 
of civil

[[Page 780]]

or administrative penalties does not affect or limit our authority to 
enforce any provisions of this chapter.
    (e) Penalties. In any proceedings, the United States government may 
seek to collect civil penalties assessed under this section.
    (1) Once a penalty assessment is final, if you do not pay it, the 
Administrator will ask the Attorney General to bring a civil action in 
an appropriate district court to recover the money. We may collect 
interest from the date of the final order or final judgment at rates 
established by the Internal Revenue Code of 1986 (26 U.S.C. 6621(a)(2)). 
In this action to collect overdue penalties, the court will not review 
the validity, amount, and appropriateness of the penalty.
    (2) In addition, if you do not pay the full amount of a penalty on 
time, you must then pay more to cover interest, enforcement expenses 
(including attorney's fees and costs for collection), and a quarterly 
nonpayment penalty for each quarter you do not pay. The quarterly 
nonpayment penalty is 10 percent of your total penalties plus any unpaid 
nonpayment penalties from previous quarters.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010]



                   Subpart C_Exemptions and Exclusions



Sec. 1068.201  Does EPA exempt or exclude any engines/equipment from the prohibited acts?

    We may exempt new engines/equipment from some or all of the 
prohibited acts or requirements of this part under provisions described 
in this subpart. We may exempt engines/equipment already placed in 
service in the United States from the prohibition in Sec. 
1068.101(b)(1) if the exemption for engines/equipment used solely for 
competition applies (see Sec. 1068.235). In addition, see Sec. 1068.1 
and the standard-setting parts to determine if other engines/equipment 
are excluded from some or all of the regulations in this chapter.
    (a) This subpart identifies which engines/equipment qualify for 
exemptions and what information we need. We may ask for more 
information.
    (b) If you violate any of the terms, conditions, instructions, or 
requirements to qualify for an exemption, we may void, revoke, or 
suspend the exemption.
    (c) If you use an exemption under this subpart, we may require you 
to add a permanent label to your exempted engines/equipment. You may ask 
us to modify these labeling requirements if it is appropriate for your 
engine/equipment.
    (d) If you produce engines/equipment we exempt under this subpart, 
we may require you to make and keep records, perform tests, make reports 
and provide information as needed to reasonably evaluate the validity of 
the exemption.
    (e) If you own or operate engines/equipment we exempt under this 
subpart, we may require you to provide information as needed to 
reasonably evaluate the validity of the exemption.
    (f) Subpart D of this part describes how we apply these exemptions 
to engines/equipment you import (or intend to import).
    (g) If you want to ask for an exemption or need more information, 
write to the Designated Compliance Officer.
    (h) You may ask us to modify the administrative requirements for the 
exemptions described in this subpart or in subpart D of this part. We 
may approve your request if we determine that such approval is 
consistent with the intent of this part. For example, waivable 
administrative requirements might include some reporting requirements, 
but would not include any eligibility requirements or use restrictions.
    (i) If you want to take an action with respect to an exempted or 
excluded engine/equipment that is prohibited by the exemption or 
exclusion, such as selling it, you need to certify the engine/equipment. 
We will issue a certificate of conformity if you send us an application 
for certification showing that you meet all the applicable requirements 
from the standard-setting part and pay the appropriate fee. 
Alternatively, we may allow you to include in an existing certified 
engine family those engines/equipment you modify (or otherwise 
demonstrate) to be identical to engines/equipment already covered by the 
certificate. We would base

[[Page 781]]

such an approval on our review of any appropriate documentation. These 
engines/equipment must have emission control information labels that 
accurately describe their status.

[73 59344, Oct. 8, 2008, as amended at 74 FR 8428, Feb. 24, 2009]



Sec. 1068.210  What are the provisions for exempting test engines/equipment?

    (a) We may exempt engines/equipment that you will use for research, 
investigations, studies, demonstrations, or training. Note that you are 
not required to get an exemption under this section for engines that are 
exempted under other provisions of this part, such as the manufacturer-
owned exemption in Sec. 1068.215.
    (b) Anyone may ask for a testing exemption.
    (c) If you are a certificate holder, you may request an exemption 
for engines/equipment you intend to include in test programs over a two-
year period.
    (1) In your request, tell us the maximum number of engines/equipment 
involved and describe how you will make sure exempted engines/equipment 
are used only for this testing.
    (2) Give us the information described in paragraph (d) of this 
section if we ask for it.
    (d) If you are not a certificate holder, do all the following 
things:
    (1) Show that the proposed test program has a valid purpose under 
paragraph (a) of this section.
    (2) Show you need an exemption to achieve the purpose of the test 
program (time constraints may be a basis for needing an exemption, but 
the cost of certification alone is not).
    (3) Estimate the duration of the proposed test program and the 
number of engines/equipment involved.
    (4) Allow us to monitor the testing.
    (5) Describe how you will ensure that you stay within this 
exemption's purposes. Address at least the following things:
    (i) The technical nature of the test.
    (ii) The test site.
    (iii) The duration and accumulated engine/equipment operation 
associated with the test.
    (iv) Ownership and control of the engines/equipment involved in the 
test.
    (v) The intended final disposition of the engines/equipment.
    (vi) How you will identify, record, and make available the engine/
equipment identification numbers.
    (vii) The means or procedure for recording test results.
    (e) If we approve your request for a testing exemption, we will send 
you a letter or a memorandum for your signature describing the basis and 
scope of the exemption. The exemption does not take effect until we 
receive the signed letter or memorandum from you. It will also include 
any necessary terms and conditions, which normally require you to do the 
following:
    (1) Stay within the scope of the exemption.
    (2) Create and maintain adequate records that we may inspect.
    (3) Add a permanent label to all engines/equipment exempted under 
this section, consistent with Sec. 1068.45, with at least the following 
items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement, family identification, and model year of 
the engine/equipment (as applicable), or whom to contact for further 
information.
    (iv) One of these statements (as applicable):
    (A) ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM 
EMISSION STANDARDS AND RELATED REQUIREMENTS.''
    (B) ``THIS EQUIPMENT IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 
FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''
    (4) Tell us when the test program is finished.
    (5) Tell us the final disposition of the engines/equipment.
    (6) Send us a written confirmation that you meet the terms and 
conditions of this exemption.



Sec. 1068.215  What are the provisions for exempting manufacturer-owned engines/equipment?

    (a) You are eligible for the exemption for manufacturer-owned 
engines/equipment only if you are a certificate holder. Any engine for 
which you meet all

[[Page 782]]

applicable requirements under this section is exempt without request.
    (b) Engines/equipment may be exempt without a request if they are 
nonconforming engines/equipment under your ownership, possession, and 
control and you do not operate them for purposes other than to develop 
products, assess production methods, or promote your engines/equipment 
in the marketplace, or other purposes we approve. You may not loan, 
lease, sell, or use the engine/equipment to generate revenue, either by 
itself or for an engine installed in a piece of equipment, except as 
allowed by Sec. 1068.201(i). Note that this paragraph (b) does not 
prevent the sale or shipment of a partially complete engine to a 
secondary engine manufacturer that will meet the requirements of this 
paragraph (b). See Sec. 1068.262 for provisions related to shipping 
partially complete engines to secondary engine manufacturers.
    (c) To use this exemption, you must do three things:
    (1) Establish, maintain, and keep adequately organized and indexed 
information on all exempted engines/equipment, including the engine/
equipment identification number, the use of the engine/equipment on 
exempt status, and the final disposition of any engine/equipment removed 
from exempt status.
    (2) Let us access these records, as described in Sec. 1068.20.
    (3) Add a permanent label to all engines/equipment exempted under 
this section, consistent with Sec. 1068.45, with at least the following 
items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Family identification and model year of the engine/equipment 
(as applicable), or whom to contact for further information.
    (iv) One of these statements (as applicable):
    (A) ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM 
EMISSION STANDARDS AND RELATED REQUIREMENTS.''
    (B) ``THIS EQUIPMENT IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 
FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''

[73 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010]



Sec. 1068.220  What are the provisions for exempting display engines/equipment?

    (a) Anyone may request an exemption for display engines/equipment.
    (b) Nonconforming display engines/equipment will be exempted if they 
are used only for displays in the interest of a business or the general 
public. This exemption does not apply to engines/equipment displayed for 
private use, private collections, or any other purpose we determine is 
inappropriate for a display exemption.
    (c) You may operate the exempted engine/equipment, but only if we 
approve specific operation that is part of the display.
    (d) You may sell or lease the exempted engine/equipment only with 
our advance approval; you may not use it to generate revenue.
    (e) To use this exemption, you must add a permanent label to all 
engines/equipment exempted under this section, consistent with Sec. 
1068.45, with at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, family identification, and model year of 
the engine/equipment (as applicable), or whom to contact for further 
information.
    (4) One of these statements (as applicable):
    (i) ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.220 FROM EMISSION 
STANDARDS AND RELATED REQUIREMENTS.''
    (ii) ``THIS EQUIPMENT IS EXEMPT UNDER 40 CFR 1068.220 FROM EMISSION 
STANDARDS AND RELATED REQUIREMENTS.''
    (f) We may set other conditions for approval of this exemption.



Sec. 1068.225  What are the provisions for exempting engines/equipment for national security?

    (a) An engine/equipment is exempt without a request if it will be 
used or

[[Page 783]]

owned by an agency of the federal government responsible for national 
defense, where the equipment in which it is installed has armor, 
permanently attached weaponry, or other substantial features typical of 
military combat.
    (b) Manufacturers may request a national security exemption for 
engines/equipment not meeting the conditions of paragraph (a) of this 
section as long as the request is endorsed by an agency of the Federal 
government responsible for national defense. In your request, explain 
why you need the exemption.
    (c) [Reserved]
    (d) Add a permanent label to all engines/equipment exempted under 
this section, consistent with Sec. 1068.45, with at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, family identification, and model year of 
the engine/equipment (as applicable), or whom to contact for further 
information.
    (4) One of these statements (as applicable):
    (i) ``THIS ENGINE HAS AN EXEMPTION FOR NATIONAL SECURITY UNDER 40 
CFR 1068.225.''
    (ii) ``THIS EQUIPMENT HAS AN EXEMPTION FOR NATIONAL SECURITY UNDER 
40 CFR 1068.225.''

[73 59344, Oct. 8, 2008, as amended at 74 8428, Feb. 24, 2009; 75 FR 
23062, Apr. 30, 2010]



Sec. 1068.230  What are the provisions for exempting engines/equipment for export?

    The provisions of this section apply differently depending on the 
country to which the engines/equipment are being exported.
    (a) We will not exempt new engines/equipment if you export them to a 
country with emission standards identical to ours, in which case they 
must be covered by a certificate of conformity. Where we determine that 
such engines/equipment will not be placed into service in the United 
States, the following provisions apply for special export-only 
certification:
    (1) The engines/equipment must be covered by a certificate of 
conformity or equivalent approval issued by the destination country.
    (2) To get an export-only certificate of conformity, send the 
Designated Compliance Officer a request. We may require you to provide 
information such as documentation of the foreign certification and 
related test data.
    (3) No fees apply for export-only certification.
    (4) The engines/equipment must be labeled as specified in paragraph 
(d) of this section.
    (5) This export-only certificate is not considered a valid 
certificate of conformity with respect to the prohibition in Sec. 
1068.101(a)(1) for sale to ultimate purchasers in the United States. 
These engines/equipment also may not reenter the United States unless 
the regulations of this chapter otherwise allow it.
    (b) Engines/equipment exported to a country not covered by paragraph 
(a) of this section are exempt from the prohibited acts in this part 
without a request. If you produce exempt engines/equipment for export 
and any of them are sold or offered for sale to an ultimate purchaser in 
the United States, we will void the exemption for those engines/
equipment.
    (c) Except as specified in paragraph (d) of this section, label 
exempted engines/equipment (including shipping containers if the label 
on the engine/equipment will be obscured by the container) with a label 
showing that they are not certified for sale or use in the United 
States. This label may be permanent or removable. See Sec. 1068.45 for 
provisions related to the use of removable labels and applying labels to 
containers without labeling individual engines/equipment. The label must 
include your corporate name and trademark and one of the following 
statements (as applicable):
    (1) ``THIS ENGINE IS SOLELY FOR EXPORT AND IS THEREFORE EXEMPT UNDER 
40 CFR 1068.230 FROM U.S. EMISSION STANDARDS AND RELATED REQUIREMENTS.''
    (2) ``THIS EQUIPMENT IS SOLELY FOR EXPORT AND IS THEREFORE EXEMPT 
UNDER 40 CFR 1068.230 FROM U.S. EMISSION STANDARDS AND RELATED 
REQUIREMENTS.''

[[Page 784]]

    (d) You must apply a permanent label as specified in this paragraph 
(d) for engines/equipment certified under paragraph (a) of this section. 
You may apply a permanent label as specified in this paragraph (d) 
instead of the label specified in paragraph (c) of this section for 
exempted engines/equipment. Add a permanent label meeting the 
requirements of the destination country and include in the bill of 
lading a statement that the engines/equipment must be exported to avoid 
violating EPA regulations. We may modify applicable labeling 
requirements to align with the labeling requirements that apply for the 
destination country.
    (e) We may set other reasonable conditions to ensure that engines/
equipment exempted under this section are not placed into service in the 
United States.
    (f) Exemptions under this section expire once engines are no longer 
in the United States. Therefore exemptions under this section do not 
allow engines to be imported back into the United States.



Sec. 1068.235  What are the provisions for exempting engines/equipment used solely for competition?

    (a) New engines/equipment you produce that are used solely for 
competition are generally excluded from emission standards. See the 
standard-setting parts for specific provisions where applicable.
    (b) If you modify any engines/equipment after they have been placed 
into service in the United States so they will be used solely for 
competition, they are exempt without request. This exemption applies 
only to the prohibition in Sec. 1068.101(b)(1) and is valid only as 
long as the engine/equipment is used solely for competition. You may not 
use the provisions of this paragraph (b) to circumvent the requirements 
that apply to the sale of new competition engines under the standard-
setting part.
    (c) If you modify any engines/equipment under paragraph (b) of this 
section, you must destroy the original emission labels. If you loan, 
lease, sell, or give any of these engines/equipment to someone else, you 
must tell the new owner (or operator, if applicable) in writing that 
they may be used only for competition.



Sec. 1068.240  What are the provisions for exempting new replacement engines?

    The prohibitions in Sec. 1068.101(a)(1) do not apply to a new 
engine if it is exempt under this section as a replacement engine. For 
purposes of this section, a replacement engine is a new engine that is 
used to replace an engine that has already been placed into service 
(whether the previous engine is replaced in whole or in part with a new 
engine).
    (a) General provisions. You are eligible for the exemption for new 
replacement engines only if you are a certificate holder. Note that this 
exemption does not apply for locomotives (40 CFR 1033.601) and that 
unique provisions apply to marine compression-ignition engines (40 CFR 
1042.615). Paragraphs (b), (c), and (d) of this section describe 
different approaches for exempting new replacement engines where the 
engines are specially built to correspond to an earlier model year that 
was subject to less stringent standards than those that apply for 
current production (or is no longer covered by a certificate of 
conformity). Paragraph (e) of this section describes a simpler approach 
for exempting partially complete new replacement engines that are built 
under a certificate of conformity that is valid for producing engines 
for the current model year.
    (b) Previous-tier replacement engines with tracking. You may produce 
any number of new replacement engines under this section if all the 
following conditions are true:
    (1) You produce a new engine to replace an engine already placed 
into service in a piece of equipment.
    (2) The engine being replaced was not originally subject to emission 
standards or was originally subject to less stringent emission standards 
than those that would otherwise apply to the new engine. The provisions 
of this paragraph (b) also apply for engines that were originally 
certified to the same standards that apply for the current model year if 
you no longer have a certificate of conformity to continue producing 
that engine configuration.

[[Page 785]]

    (3) You determine that you do not produce an engine certified to 
meet current requirements that has the appropriate physical or 
performance characteristics to repower the equipment. If the engine 
being replaced was made by a different company, you must make this 
determination also for engines produced by this other company. You must 
keep records to document your basis for making this determination.
    (4) You or your agent takes possession of the old engine or confirms 
that the old engine has been destroyed.
    (5) If the old engine was subject to emission standards, you must 
make the new replacement engine in a configuration identical in all 
material respects to the old engine and meet the requirements of Sec. 
1068.265. You may alternatively make the new replacement engine in a 
configuration identical in all material respects to another certified 
engine of the same or later model year as long as the engine is not 
certified with a family emission limit higher than that of the old 
engine.
    (6) You add a permanent label, consistent with Sec. 1068.45, with 
your corporate name and trademark and the following additional 
information:
    (i) Add the following statement if the engine being replaced was not 
subject to any emission standards under this chapter:


THIS ENGINE DOES NOT COMPLY WITH U.S. EPA EMISSION REQUIREMENTS. SELLING 
OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE AN 
ENGINE BUILT BEFORE JANUARY 1, [Insert appropriate year reflecting when 
the earliest tier of standards began to apply to engines of that size 
and type] MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (ii) Add the following statement if the engine being replaced was 
subject to emission standards:


THIS ENGINE COMPLIES WITH U.S. EPA EMISSION REQUIREMENTS FOR [Identify 
the appropriate emission standards (by model year, tier, or emission 
levels) for the replaced engine] ENGINES UNDER 40 CFR 1068.240. SELLING 
OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE A 
[Identify the appropriate emission standards for the replaced engine, by 
model year(s), tier(s), or emission levels)] ENGINE MAY BE A VIOLATION 
OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (7) Engines exempt under this paragraph (b) may not be introduced 
into commerce before you make the determination under paragraph (b)(3), 
except as specified in this paragraph (b)(7). We may waive this 
restriction for engines excluded under paragraph (c)(5) of this section 
that you ship to a distributor. Where we waive this restriction, you 
must take steps to ensure that the engine is installed consistent with 
the requirements of this paragraph (b). For example, at a minimum you 
must report to us annually whether engines we allowed you to ship to a 
distributor under this paragraph (b)(7) have been placed into service or 
remain in inventory. After an engine is placed into service, your report 
must describe how the engine was installed consistent with the 
requirements of this paragraph (b). Send these reports to the Designated 
Compliance Officer by the deadlines we specify.
    (c) Previous-tier replacement engines without tracking. You may 
produce a limited number of new replacement engines that are not from a 
currently certified engine family under the provisions of this paragraph 
(c). If you produce new engines under this paragraph (c) to replace 
engines subject to emission standards, the new replacement engine must 
be in a configuration identical in all material respects to the old 
engine and meet the requirements of Sec. 1068.265. This would apply, 
for example, for engine configurations that were certified in an earlier 
model year but are no longer covered by a certificate of conformity. You 
must comply with the requirements of paragraph (b) of this section for 
any number of replacement engines you produce in excess of what we allow 
under this paragraph (c). Engines produced under this paragraph (c) may 
be redesignated as engines subject to paragraph (b) of this section, as 
long as you meet all the requirements and conditions of paragraph (b) of 
this section before the end

[[Page 786]]

of the calendar year in which the engine was produced. The following 
provisions apply to engines exempted under this paragraph (c):
    (1) You may produce a limited number of replacement engines under 
this paragraph (c) representing 0.5 percent of your annual production 
volumes for each category and subcategory of engines identified in Table 
1 to this section (1.0 percent through 2013). Calculate this number by 
multiplying your annual U.S.-directed production volume by 0.005 (or 
0.01 through 2013) and rounding to the nearest whole number. Determine 
the appropriate production volume by identifying the highest total 
annual U.S.-directed production volume of engines from the previous 
three model years for all your certified engines from each category or 
subcategory identified in Table 1 to this section, as applicable. In 
unusual circumstances, you may ask us to base your production limits on 
U.S.-directed production volume for a model year more than three years 
prior. Include only those stationary engines from your U.S.-directed 
production volume that are certified under one of the standard-setting 
parts identified in Table 1 to this section. Do not include any exempted 
engines you produce as part of your U.S.-directed production volume, 
even if those engines must meet emission standards as a condition of the 
exemption. Include U.S.-directed engines produced by any parent or 
subsidiary companies and those from any other companies you license to 
produce engines for you.
    (2) Count every exempted new replacement engine from your total 
U.S.-directed production volume that you produce in a given calendar 
year under this paragraph (c), including partially complete engines, 
except for the following:
    (i) Engines built to specifications for an earlier model year under 
paragraph (b) of this section.
    (ii) Partially complete engines exempted under paragraph (e) of this 
section.
    (3) Send the Designated Compliance Officer a report by February 15 
of the year following any year in which you produced exempted 
replacement engines under this paragraph (c). In your report include the 
total number of replacement engines you produce under this paragraph (c) 
for each category or subcategory, as appropriate, and the corresponding 
total production volumes determined under paragraph (c)(1) of this 
section. If you send us a report under this paragraph (c)(3), you must 
also include the total number of replacement engines you produced under 
paragraphs (b), (d), and (e) of this section. You may include this 
information in production reports required under the standard-setting 
part.
    (4) Add a permanent label as specified in paragraph (b)(6) of this 
section. For partially complete engines, you may alternatively add a 
permanent or removable label as specified in paragraph (d) of this 
section.
    (5) You may not use the provisions of this paragraph (c) for any 
engines in the following engine categories or subcategories:
    (i) Land-based nonroad compression-ignition engines we regulate 
under 40 CFR part 1039 with a per-cylinder displacement at or above 7.0 
liters.
    (ii) Marine compression-ignition engines we regulate under 40 CFR 
part 1042 with a per-cylinder displacement at or above 7.0 liters.
    (iii) Locomotive engines we regulate under 40 CFR part 1033.
    (d) Partially complete engines. The following requirements apply if 
you ship a partially complete replacement engine under paragraph (b) or 
(c) of this section:
    (1) Provide instructions specifying how to complete the engine 
assembly such that the resulting engine conforms to the applicable 
certificate of conformity or the specifications of Sec. 1068.265. Where 
a partially complete engine can be built into multiple different 
configurations, you must be able to identify all the engine models and 
model years for which the partially complete engine may properly be used 
for replacement purposes. Your instructions must make clear how the 
final assembler can determine which configurations are appropriate for 
the engine they receive.
    (2) You must label the engine as follows:
    (i) If you have a reasonable basis to believe that the fully 
assembled engine

[[Page 787]]

will include the original emission control information label, you may 
add a removable label to the engine with your corporate name and 
trademark and the statement: ``This replacement engine is exempt under 
40 CFR 1068.240.'' This would generally apply if all the engine models 
that are compatible with the replacement engine were covered by a 
certificate of conformity and they were labeled in a position on the 
engine or equipment that is not included as part of the partially 
complete engine being shipped for replacement purposes. Removable labels 
must meet the requirements specified in Sec. 1068.45.
    (ii) If you do not qualify for using a removable label in paragraph 
(d)(1) of this section, you must add a permanent label in a readily 
visible location, though it may be obscured after installation in a 
piece of equipment. Include on the permanent label your corporate name 
and trademark, the engine's part number (or other identifying 
information), and the statement: ``This replacement engine is exempt 
under 40 CFR 1068.240.'' If there is not enough space for this 
statement, you may alternatively add: ``REPLACEMENT'' or ``SERVICE 
ENGINE''. For purposes of this paragraph (d)(2), engine part numbers 
permanently stamped or engraved on the engine are considered to be 
included on the label.
    (e) Partially complete current-tier replacement engines. The 
provisions of paragraph (d) of this section apply for partially complete 
engines you produce from a current line of certified engines or 
vehicles. This applies for engine-based and equipment-based standards as 
follows:
    (1) Where engine-based standards apply, you may introduce into U.S. 
commerce short blocks or other partially complete engines from a 
currently certified engine family as replacement components for in-use 
equipment powered by engines you originally produced. You must be able 
to identify all the engine models and model years for which the 
partially complete engine may properly be used for replacement purposes.
    (2) Where equipment-based standards apply, you may introduce into 
U.S. commerce engines that are identical to engines covered by a current 
certificate of conformity by demonstrating compliance with currently 
applicable standards where the engines will be installed as replacement 
engines. These engines might be fully assembled, but we would consider 
them to be partially complete engines because they are not yet installed 
in the equipment.
    (f) Emission credits. Replacement engines exempted under this 
section may not generate or use emission credits under the standard-
setting part nor be part of any associated credit calculations.
    (g) Circumvention. The provisions of this section may not be used to 
circumvent emission standards that apply to new engines under the 
standard-setting part.
    (1) The provisions of this section are intended to allow for 
replacement of engines that fail prematurely if none of the following is 
true:
    (i) The engine can reasonably be repaired or rebuilt.
    (ii) A different used engine (including rebuilt engines) can be 
used, consistent with applicable regulations. Note that the regulations 
limit the use of used engines from certain categories, such as 
converting land-based engines for use in marine vessels.
    (iii) A new certified engine is available with the appropriate 
physical and performance characteristics.
    (2) Anyone installing or completing assembly of an exempted new 
replacement engine is deemed to be a manufacturer of a new engine with 
respect to the prohibitions of Sec. 1068.101(a)(1). This applies to all 
engines exempted under this section.
    (3) The stockpiling restrictions specified in Sec. 1068.103(f) do 
not apply for engines that will be introduced into U.S. commerce only as 
allowed by this section. The model year restrictions specified in Sec. 
1068.103(f) do not apply for engines produced under paragraphs (d) and 
(e) of this section if you can demonstrate that the engines will be used 
only as replacement engines.

[[Page 788]]



  Table 1 to Sec.  1068.240--Engine Categories and Subcategories for Streamlined Compliance Provisions for New
                                               Replacement Engines
----------------------------------------------------------------------------------------------------------------
            Engine category               Standard-setting part \1\              Engine subcategories
----------------------------------------------------------------------------------------------------------------
Highway CI.............................  40 CFR part 86............  disp. < 0.6 L/cyl
                                                                     0.6 <= disp. < 1.2 L/cyl
                                                                     disp. = 1.2 L/cyl
----------------------------------------------------------------------------------------------------------------
Nonroad CI, Stationary CI, and Marine    40 CFR part 1039, or 40     disp. < 0.6 L/cyl
 CI.                                      CFR part 1042.             0.6 <= disp. < 1.2 L/cyl
                                                                     1.2 <= disp. < 2.5 L/cyl
                                                                     2.5 <= disp. < 7.0 L/cyl
----------------------------------------------------------------------------------------------------------------
Marine SI..............................  40 CFR part 1045..........  outboard.
                                                                     personal watercraft.
----------------------------------------------------------------------------------------------------------------
Large SI, Stationary SI, and Marine SI   40 CFR part 1048 or 40 CFR  all engines.
 (sterndrive/ inboard only).              part 1045.
----------------------------------------------------------------------------------------------------------------
Recreational vehicles..................  40 CFR part 1051..........  off-highway motorcycle.
                                                                     all-terrain vehicle.
                                                                     snowmobile.
----------------------------------------------------------------------------------------------------------------
Small SI and Stationary SI.............  40 CFR part 1054..........  handheld.
                                                                     Class I.
                                                                     Class II.
----------------------------------------------------------------------------------------------------------------
\1\ Include an engine as being subject to the identified standard-setting part if it will eventually be subject
  to emission standards under that part. For example, if you certify marine compression-ignition engines under
  part 94, count those as if they were already subject to part 1042.


[73 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010]



Sec. 1068.245  What temporary provisions address hardship due to unusual circumstances?

    (a) After considering the circumstances, we may permit you to 
introduce into U.S. commerce engines/equipment that do not comply with 
emission-related requirements for a limited time if all the following 
conditions apply:
    (1) Unusual circumstances that are clearly outside your control 
prevent you from meeting requirements from this chapter.
    (2) You exercised prudent planning and were not able to avoid the 
violation; you have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (3) No other allowances are available under the regulations in this 
chapter to avoid the impending violation, including the provisions of 
Sec. 1068.250.
    (4) Not having the exemption will jeopardize the solvency of your 
company.
    (b) If your unusual circumstances are only related to compliance 
with the model-year provisions of Sec. 1068.103(f), we may grant 
hardship under this section without a demonstration that the solvency of 
your company is in jeopardy as follows:
    (1) You must demonstrate that the conditions specified in paragraphs 
(a)(1) through (3) of this section apply.
    (2) Your engines/equipment must comply with standards and other 
requirements that would have applied if assembly were completed on 
schedule.
    (3) You may generally request this exemption only for engines/
equipment for which assembly has been substantially completed; you may 
not begin assembly of any additional engines/equipment under this 
exemption after the cause for delay has occurred. We may make an 
exception to this general restriction for secondary engine 
manufacturers.
    (4) As an example, if your normal production process involves 
purchase of partially complete engines and a supplier fails to deliver 
all the ordered engines in time for your assembly according to your 
previously established schedule as a result of a fire at its factory, 
you may request that we treat those engine as if they had been completed 
on the original schedule. Note that we would grant relief only for those 
engines where you had a reasonable basis for expecting the engines to

[[Page 789]]

be delivered on time based on past performance and terms of purchase.
    (c) To apply for an exemption, you must send the Designated 
Compliance Officer a written request as soon as possible before you are 
in violation. In your request, show that you meet all the conditions and 
requirements in paragraph (a) of this section.
    (d) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (e) You must give us other relevant information if we ask for it.
    (f) We may include reasonable additional conditions on an approval 
granted under this section, including provisions to recover or otherwise 
address the lost environmental benefit or paying fees to offset any 
economic gain resulting from the exemption. For example, in the case of 
multiple tiers of emission standards, we may require that you meet the 
standards from the previous tier whether or not your hardship is granted 
under paragraph (b) of this section.
    (g) Add a permanent label to all engines/equipment exempted under 
this section, consistent with Sec. 1068.45, with at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement (in liters or cubic centimeters), and model 
year of the engine/equipment, (as applicable); or whom to contact for 
further information. We may also require that you include maximum engine 
power.
    (4) A statement describing the engine's status as an exempted 
engine:
    (i) If the engine/equipment does not meet any emission standards, 
add one of the following statements:
    (A) ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.245 FROM EMISSION 
STANDARDS AND RELATED REQUIREMENTS.''
    (B) ``THIS EQUIPMENT IS EXEMPT UNDER 40 CFR 1068.245 FROM EMISSION 
STANDARDS AND RELATED REQUIREMENTS.''
    (ii) If the engines/equipment meet alternate emission standards as a 
condition of an exemption under this section, we may specify a different 
statement to identify the alternate emission standards.



Sec. 1068.250  What are the provisions for extending compliance deadlines 

for small businesses under hardship?

    (a) After considering the circumstances, we may extend the 
compliance deadline for you to meet new or revised emission standards as 
long as you meet all the conditions and requirements in this section.
    (b) You must be a small business to be eligible for this exemption.
    (c) Send the Designated Compliance Officer a written request for an 
extension. In your request, show that all the following conditions and 
requirements apply:
    (1) You have taken all possible business, technical, and economic 
steps to comply.
    (i) In the case of importers of engines/equipment produced by other 
companies, show that you attempted to find a manufacturer capable of 
supplying complying products as soon as you became aware of the 
applicable requirements but were unable to do so.
    (ii) For all other manufacturers, show that the burden of compliance 
costs prevents you from meeting the requirements of this chapter.
    (2) Not having the exemption will jeopardize the solvency of your 
company.
    (3) No other allowances are available under the regulations in this 
chapter to avoid the impending violation.
    (d) In describing the steps you have taken to comply under paragraph 
(c)(1) of this section, include at least the following information:
    (1) Describe your business plan, showing the range of projects 
active or under consideration.
    (2) Describe your current and projected financial status, with and 
without the burden of complying fully with the applicable regulations in 
this chapter.
    (3) Describe your efforts to raise capital to comply with 
regulations in this chapter (this may not apply for importers).
    (4) Identify the engineering and technical steps you have taken or 
those you plan to take to comply with regulations in this chapter.

[[Page 790]]

    (5) Identify the level of compliance you can achieve. For example, 
you may be able to produce engines/equipment that meet a somewhat less 
stringent emission standard than the regulations in this chapter 
require.
    (e) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (f) You must give us other relevant information if we ask for it.
    (g) An authorized representative of your company must sign the 
request and include the statement: ``All the information in this request 
is true and accurate to the best of my knowledge.''
    (h) Send your request for this extension at least nine months before 
the relevant deadline. If different deadlines apply to companies that 
are not small-volume manufacturers, do not send your request before the 
regulations in question apply to the other manufacturers. Otherwise, do 
not send your request more than three years before the relevant 
deadline.
    (i) We may include reasonable requirements on an approval granted 
under this section, including provisions to recover or otherwise address 
the lost environmental benefit. For example, we may require that you 
meet a less stringent emission standard or buy and use available 
emission credits.
    (j) We may approve extensions of the compliance deadlines as 
reasonable under the circumstances up to one model year at a time, and 
up to three years total.
    (k) Add a permanent label to all engines/equipment exempted under 
this section, consistent with Sec. 1068.45, with at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement (in liters or cubic centimeters), and model 
year of the engine/equipment (as applicable); or whom to contact for 
further information. We may also require that you include maximum engine 
power.
    (4) A statement describing the engine's status as an exempted 
engine:
    (i) If the engine/equipment does not meet any emission standards, 
add one of the following statements:
    (A) ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.250 FROM EMISSION 
STANDARDS AND RELATED REQUIREMENTS.''
    (B) ``THIS EQUIPMENT IS EXEMPT UNDER 40 CFR 1068.250 FROM EMISSION 
STANDARDS AND RELATED REQUIREMENTS.''
    (ii) If the engine/equipment meets alternate emission standards as a 
condition of an exemption under this section, we may specify a different 
statement to identify the alternate emission standards.



Sec. 1068.255  What are the provisions for exempting engines and fuel-system 

components for hardship for equipment manufacturers and secondary engine 
          manufacturers?

    This section describes how, in unusual circumstances, we may approve 
an exemption to prevent hardship to an equipment manufacturer or a 
secondary engine manufacturer. This section does not apply to products 
that are subject to equipment-based exhaust emission standards.
    (a) Equipment exemption. As an equipment manufacturer, you may ask 
for approval to produce exempted equipment for up to 12 months. We will 
generally limit this to the first year that new or revised emission 
standards apply. Send the Designated Compliance Officer a written 
request for an exemption before you are in violation. In your request, 
you must show you are not at fault for the impending violation and that 
you would face serious economic hardship if we do not grant the 
exemption. This exemption is not available under this paragraph (a) if 
you manufacture the engine or fuel-system components you need for your 
own equipment, or if complying engines or fuel-system components are 
available from other manufacturers that could be used in your equipment, 
unless we allow it elsewhere in this chapter. We may impose other 
conditions, including provisions to use products meeting less stringent 
emission standards or to recover the lost environmental benefit. In 
determining whether to grant the exemptions, we will consider all 
relevant factors, including the following:
    (1) The number of engines or fuel-system components involved.

[[Page 791]]

    (2) The size of your company and your ability to endure the 
hardship.
    (3) The amount of time you had to redesign your equipment to 
accommodate complying products.
    (4) Whether there was any breach of contract by a supplier.
    (5) The potential for market disruption.
    (b) Engine and fuel-system component exemption. As an engine 
manufacturer or fuel-system component manufacturer, you may produce 
nonconforming products for the equipment we exempt in paragraph (a) of 
this section. You do not have to request this exemption but you must 
have written assurance from equipment manufacturers that they need a 
certain number of exempted products under this section. Label engines or 
fuel-system components as follows, consistent with Sec. 1068.45:
    (1) Engines. Add a permanent label to all engines/equipment exempted 
under this section with at least the following items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement (in liters or cubic centimeters) and model 
year of the engine, or whom to contact for further information. We may 
also require that you include maximum engine power.
    (iv) If the engine does not meet any emission standards: ``THIS 
ENGINE IS EXEMPT UNDER 40 CFR 1068.255 FROM EMISSION STANDARDS AND 
RELATED REQUIREMENTS.'' If the engine meets alternate emission standards 
as a condition of an exemption under this section, we may specify a 
different statement to identify the alternate emission standards.
    (2) Fuel-system components. Add a permanent label to all engines/
equipment exempted under this section with at least the following items:
    (i) Your corporate name and trademark.
    (ii) The statement ``EXEMPT UNDER 40 CFR 1068.255''.
    (c) Secondary engine manufacturers. As a secondary engine 
manufacturer, you may ask for approval to produce exempted engines under 
this section for up to 12 months. We may require you to certify your 
engines to compliance levels above the emission standards that apply. 
For example, in the case of multiple tiers of emission standards, we may 
require you to meet the standards from the previous tier.
    (1) The provisions in paragraph (a) of this section that apply to 
equipment manufacturers requesting an exemption apply equally to you 
except that you may manufacture the engines. Before we approve an 
exemption under this section, we will generally require that you commit 
to a plan to make up the lost environmental benefit.
    (i) If you produce uncertified engines under this exemption, we will 
calculate the lost environmental benefit based on our best estimate of 
uncontrolled emission rates for your engines.
    (ii) If you produce engines under this exemption that are certified 
to a compliance level less stringent than the emission standards that 
would otherwise apply, we will calculate the lost environmental benefit 
based on the compliance level you select for your engines.
    (2) The labeling requirements in paragraph (b) of this section apply 
to your exempted engines; however, if you certify engines to specific 
compliance levels, state on the label the compliance levels that apply 
to each engine.



Sec. 1068.260  What general provisions apply for selling or 

shipping engines that are not yet in their certified configuration?

    Except as specified in paragraph (e) of this section, all new 
engines in the United States are presumed to be subject to the 
prohibitions of Sec. 1068.101, which generally require that all new 
engines be in a certified configuration before being introduced into 
U.S. commerce. All emission-related components generally need to be 
installed on an engine for such an engine to be in its certified 
configuration. This section specifies clarifications and exemptions 
related to these requirements for engines. Except for paragraph (c) of 
this section, the provisions of this section generally apply for engine-
based standards but not for equipment-based standards.

[[Page 792]]

    (a) The provisions of this paragraph (a) apply for emission-related 
components that cannot practically be assembled before shipment because 
they depend on equipment design parameters.
    (1) You do not need an exemption to ship an engine that does not 
include installation or assembly of certain emission-related components, 
if those components are shipped along with the engine. For example, you 
may generally ship aftertreatment devices along with engines rather than 
installing them on the engine before shipment. We may require you to 
describe how you plan to use this provision.
    (2) You may ask us at the time of certification for an exemption to 
allow you to ship your engines without emission-related components. If 
we allow this, we may specify conditions that we determine are needed to 
ensure that shipping the engine without such components will not result 
in the engine being operated outside of its certified configuration. See 
paragraph (d) of this section for additional provisions that apply in 
certain circumstances.
    (b) You do not need an exemption to ship engines without specific 
components if they are not emission-related components identified in 
Appendix I of this part. For example, you may generally ship engines 
without radiators needed to cool the engine.
    (c) If you are a certificate holder, partially complete engines 
shipped between two of your facilities are exempt, subject to the 
provisions of this paragraph (c), as long as you maintain ownership and 
control of the engines until they reach their destination. We may also 
allow this where you do not maintain actual ownership and control of the 
engines (such as hiring a shipping company to transport the engines) but 
only if you demonstrate that the engines will be transported only 
according to your specifications. See Sec. 1068.261(b) for the 
provisions that apply instead of this paragraph (c) for the special case 
of integrated manufacturers using the delegated-assembly exemption. 
Notify us of your intent to use this exemption in your application for 
certification, if applicable. Your exemption is effective when we grant 
your certificate. You may alternatively request an exemption in a 
separate submission; for example, this would be necessary if you will 
not be the certificate holder for the engines in question. We may 
require you to take specific steps to ensure that such engines are in a 
certified configuration before reaching the ultimate purchaser. Note 
that since this is a temporary exemption, it does not allow you to sell 
or otherwise distribute to ultimate purchasers an engine in an 
uncertified configuration. Note also that the exempted engine remains 
new and subject to emission standards (see definition of ``exempted'' in 
Sec. 1068.30) until its title is transferred to the ultimate purchaser 
or it otherwise ceases to be new.
    (d) See Sec. 1068.261 for delegated-assembly provisions in which 
certificate-holding manufacturers introduce into U.S. commerce engines 
that are not yet equipped with certain emission-related components. See 
Sec. 1068.262 for provisions related to manufacturers introducing into 
U.S. commerce partially complete engines for which a secondary engine 
manufacturer holds the certificate of conformity.
    (e) Engines used in hobby vehicles are not presumed to be engines 
subject to the prohibitions of Sec. 1068.101. Hobby vehicles are 
reduced-scale models of vehicles that are not capable of transporting a 
person. Some gas turbine engines are subject to the prohibitions of 
Sec. 1068.101, but we do not presume that all gas turbine engines are 
subject to these prohibitions. Other engines that do not have a valid 
certificate of conformity or exemption when introduced into U.S. 
commerce are presumed to be engines subject to the prohibitions of Sec. 
1068.101 unless we determine that such engines are excluded from the 
prohibitions of Sec. 1068.101.
    (f) While we presume that new nonhobby engines are subject to the 
prohibitions of Sec. 1068.101, we may determine that a specific engine 
is not subject to these prohibitions based on information you provide or 
other information that is available to us. For example, the provisions 
of this part 1068 and the standard-setting parts provide for exemptions 
in certain circumstances. Also, some engines are subject to separate 
prohibitions under

[[Page 793]]

subchapter C instead of the prohibitions of Sec. 1068.101 (see for 
example, 40 CFR 89.1003).

[73 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010]



Sec. 1068.261  What provisions apply for selling or 

shipping certified engines that are not yet in the certified configuration?

    This section describes an exemption that allows certificate holders 
to sell or ship engines that are missing certain emission-related 
components if those components will be installed by an equipment 
manufacturer. This section does not apply to equipment subject to 
equipment-based standards. See the standard-setting part to determine 
whether and how the provisions of this section apply. (Note: See Sec. 
1068.262 for provisions related to manufacturers introducing into U.S. 
commerce partially complete engines for which someone else holds the 
certificate of conformity.) This exemption is temporary as described in 
paragraph (f) of this section.
    (a) Shipping an engine separately from an aftertreatment component 
that you have specified as part of its certified configuration will not 
be a violation of the prohibitions in Sec. 1068.101(a)(1) subject to 
the provisions in this section.
    (b) If you manufacture engines and install them in equipment you 
also produce, you must take steps to ensure that your facilities, 
procedures, and production records are set up to ensure that equipment 
and engines are assembled in their proper certified configurations. For 
example, you may demonstrate compliance with the requirements of this 
section by maintaining a database showing how you pair aftertreatment 
components with the appropriate engines such that the final product is 
in its certified configuration.
    (c) If you include the price of all aftertreatment components in the 
price of the engine and ship the aftertreatment components directly to 
the equipment manufacturer, or arrange for separate shipment by the 
component manufacturer to the equipment manufacturer, all the following 
conditions apply:
    (1) Apply for and receive a certificate of conformity for the engine 
and its emission control system before shipment as described in the 
standard-setting part. For an existing certificate of conformity, amend 
the application for certification by describing your plans to use the 
provisions of this section as described in paragraph (c)(8) of this 
section.
    (2) Provide installation instructions in enough detail to ensure 
that the engine will be in its certified configuration if someone 
follows these instructions. Provide the installation instructions in a 
timely manner, generally directly after you receive an order for 
shipping engines or earlier. If you apply removable labels as described 
in paragraph (c)(7)(i) of this section, include an instruction for the 
equipment manufacturer to remove the label after installing the 
appropriate aftertreatment component.
    (3) Have a contractual agreement with the equipment manufacturer 
obligating the equipment manufacturer to complete the final assembly of 
the engine so it is in its certified configuration when final assembly 
is complete. This agreement must also obligate the equipment 
manufacturer to provide the affidavits required under paragraph (c)(4) 
of this section.
    (4) Take appropriate additional steps to ensure that all engines 
will be in a certified configuration when installed by the equipment 
manufacturer. At a minimum, you must obtain annual affidavits from every 
equipment manufacturer to which you sell engines under this section. 
Include engines that you sell to distributors or dealers. The affidavits 
must list the part numbers of the aftertreatment devices that equipment 
manufacturers install on each engine they purchase from you under this 
section and include confirmation that the number of aftertreatment 
devices received were sufficient for the number of engines involved.
    (5) [Reserved]
    (6) Keep records to document how many engines you produce under this 
exemption. Also, keep records to document your contractual agreements 
under paragraph (c)(3) of this section. Keep all these records for five 
years after the end of the applicable model

[[Page 794]]

year and make them available to us upon request.
    (7) Make sure the engine has the emission control information label 
we require under the standard-setting part. Include additional labeling 
using one of the following approaches:
    (i) Apply an additional removable label in a way that makes it 
unlikely that the engine will be installed in equipment other than in 
its certified configuration. The label must identify the engine as 
incomplete and include a clear statement that failing to install the 
aftertreatment device, or otherwise failing to bring the engine into its 
certified configuration, is a violation of federal law subject to civil 
penalty.
    (ii) Add the statement ``DELEGATED ASSEMBLY'' to the permanent 
emission control information label. You may alternatively add the 
abbreviated statement ``DEL ASSY'' if there is not enough room on the 
label.
    (8) Describe the following things in your application for 
certification:
    (i) How you plan to use the provisions of this section.
    (ii) A detailed plan for auditing equipment manufacturers, as 
described in paragraph (d)(3) of this section, if applicable.
    (iii) All other steps you plan to take under paragraph (c)(4) of 
this section.
    (9) If one of your engines produced under this section is selected 
for production-line testing or a selective enforcement audit, you must 
arrange to get a randomly selected aftertreatment component from either 
the equipment manufacturer or the equipment manufacturer's supplier. You 
may keep an inventory of these randomly selected parts, consistent with 
good engineering judgment and the intent of this section. You may obtain 
such aftertreatment components from any point in the normal distribution 
from the aftertreatment component manufacturer to the equipment 
manufacturer. Keep records describing how you randomly selected these 
aftertreatment components, consistent with the requirements specified in 
the standard-setting part.
    (10) Note that for purposes of importation, you may itemize your 
invoice to identify separate costs for engines and aftertreatment 
components that will be shipped separately. A copy of your invoice from 
the aftertreatment manufacturer may be needed to avoid payment of 
importation duties for the engine that also include the value of 
aftertreatment components.
    (d) If you do not include the price of all aftertreatment components 
in the price of the engine, you must meet all the conditions described 
in paragraphs (c)(1) through (9) of this section, with the following 
additional provisions:
    (1) The contractual agreement described in paragraph (c)(3) of this 
section must include a commitment that the equipment manufacturer will 
do the following things:
    (i) Purchase the aftertreatment components you have specified in 
your application for certification and keep records to document these 
purchases.
    (ii) Cooperate with the audits described in paragraph (d)(3) of this 
section.
    (2) You must have written confirmation that the equipment 
manufacturer has ordered the appropriate type of aftertreatment 
components for an initial shipment of engines under this section. For 
the purpose of this paragraph (d)(2), initial shipment means the first 
shipment of engines that are subject to new or more stringent emissions 
standard (or the first shipment of engines using the provisions of this 
section) to a given equipment manufacturer for a given engine family. 
For the purpose of this paragraph (d)(2), you may treat as a single 
engine family those engine families from different model years that 
differ only with respect to model year or other characteristics 
unrelated to emissions. You must receive the written confirmation within 
30 days after shipment. If you do not receive written confirmation 
within 30 days, you may not ship any more engines from that engine 
family to that equipment manufacturer until you have the written 
confirmation. Note that it may be appropriate to obtain subsequent 
written confirmations to ensure compliance with this section, as 
described in paragraph (c)(4) of this section.
    (3) You must perform or arrange for audits of equipment 
manufacturers as follows:
    (i) If you sell engines to 16 or more equipment manufacturers under 
the

[[Page 795]]

provisions of this section, you must annually perform or arrange for 
audits of four equipment manufacturers to whom you sell engines under 
this section. To select individual equipment manufacturers, divide all 
the affected equipment manufacturers into quartiles based on the number 
of engines they buy from you; select a single equipment manufacturer 
from each quartile each model year. Vary the equipment manufacturers 
selected for auditing from year to year, though you may repeat an audit 
in a later model year if you find or suspect that a particular equipment 
manufacturer is not properly installing aftertreatment devices.
    (ii) If you sell engines to fewer than 16 equipment manufacturers 
under the provisions of this section, set up a plan to perform or 
arrange for audits of each equipment manufacturer on average once every 
four model years.
    (iii) Starting with the 2019 model year, if you sell engines to 
fewer than 40 equipment manufacturers under the provisions of this 
section, you may ask us to approve a reduced auditing rate. We may 
approve an alternate plan that involves audits of each equipment 
manufacturer on average once every ten model years as long as you show 
that you have met the auditing requirements in preceding years without 
finding noncompliance or improper procedures.
    (iv) To meet these audit requirements, you or your agent must at a 
minimum inspect the assembling companies' procedures and production 
records to monitor their compliance with your instructions, investigate 
some assembled engines, and confirm that the number of aftertreatment 
devices shipped were sufficient for the number of engines produced.
    (v) You must keep records of these audits for five years after the 
end of the applicable model year.
    (e) The following provisions apply if you ship engines without air 
filters or other portions of the air intake system that are specifically 
identified by part number (or other specific part reference) in the 
application for certification such that the shipped engine is not in its 
certified configuration. You do not need an exemption under this section 
to ship engines without air intake system components if you instead 
describe in your installation instructions how equipment manufacturers 
should use components meeting certain functional specifications.
    (1) If you are using the provisions of this section to ship an 
engine without aftertreatment, apply all the provisions of this section 
to ensure that each engine, including its intake system, is in its 
certified configuration before it reaches the ultimate purchaser.
    (2) If you are not using the provisions of this section to ship an 
engine without aftertreatment, shipping an engine without air-intake 
components that you have specified as part of its certified 
configuration will not be a violation of the prohibitions in Sec. 
1068.101(a) if you follow the provisions specified in paragraph (b) or 
paragraphs (c)(1) through (9) of this section. If we find there is a 
problem, we may require you to perform audits as specified in paragraph 
(d)(3) of this section.
    (f) Once the equipment manufacturer takes possession of an engine 
exempted under this section and the engine reaches the point of final 
equipment assembly, the exemption expires and the engine is subject to 
all the prohibitions in Sec. 1068.101. Note that the engine's model 
year does not change based on the date the equipment manufacturer adds 
the aftertreatment device and/or air filter under this section.
    (g) You may use the provisions of this section for engines you sell 
to a distributor as described in this paragraph (g) using one of the 
following approaches:
    (1) You may sell engines through a distributor if you comply with 
the provisions of paragraph (d) of this section with respect to the 
equipment manufacturer.
    (2) You may treat the distributor as the equipment manufacturer as 
described in this paragraph (g)(2) for all applicable requirements and 
prohibitions. Such distributors must bring engines into their final 
certified configuration. This may include shipping the engine with the 
appropriate aftertreatment device and/or air filter, but without 
completing the assembly

[[Page 796]]

with all the components. The exemptions expire for such engines when the 
distributor no longer has control of them.
    (h) You must notify us within 15 days if you find from an audit or 
another source that engines produced under this section are not in a 
certified configuration at the point of final assembly or that an 
equipment manufacturer has otherwise failed to meet its obligations 
under this section. If this occurs, send us a report describing the 
circumstances related to the noncompliance within 75 days after you 
notify us.
    (i) We may suspend, revoke, or void an exemption under this section, 
as follows:
    (1) We may suspend or revoke your exemption for a specific equipment 
manufacturer if any of the engines are not in a certified configuration 
after installation in that manufacturer's equipment, or if we determine 
that the equipment manufacturer has otherwise failed to comply with the 
requirements of this section. We may also suspend or revoke your 
exemption for other engine families with respect to the equipment 
manufacturer unless you demonstrate that the noncompliance is limited to 
a specific engine family. You may not use this exemption for future 
shipments to the affected equipment manufacturer without taking action 
beyond the minimum steps specified in this section, such as performing 
on-site audits. We will approve further use of this exemption only if 
you convince us that you have adequately addressed the factors causing 
the noncompliance.
    (2) We may suspend or revoke your exemption for the entire engine 
family if we determine that you have failed to comply with the 
requirements of this section. If we make an adverse decision with 
respect to the exemption for any of your engine families under this 
paragraph (i), this exemption will not apply for future certificates 
unless you convince us that the factors causing the noncompliance do not 
apply to the other engine families. We may also set additional 
conditions beyond the provisions specified in this section.
    (3) We may void your exemption for the entire engine family if you 
intentionally submit false or incomplete information or fail to keep and 
provide to EPA the records required by this section. Note that all 
records and reports required under this section (whether generated by 
the engine manufacturer, equipment manufacturer, or others) are subject 
to the prohibition in Sec. 1068.101(a)(2), which prohibits the 
submission of false or incomplete information. For example, the 
affidavits required by this section are considered a submission.
    (j) You are liable for the in-use compliance of any engine that is 
exempt under this section.
    (k) It is a violation of Sec. 1068.101(a)(1) for any person to 
introduce into U.S. commerce a previously exempted engine, including as 
part of a piece of equipment, without complying fully with the 
installation instructions.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010]



Sec. 1068.262  What are the provisions for temporarily exempting engines for 

shipment to secondary engine manufacturers?

    This section specifies when manufacturers may introduce into U.S. 
commerce partially complete engines that have an exemption or a 
certificate of conformity held by a secondary engine manufacturer and 
are not yet in a certified configuration. See the standard-setting part 
to determine whether and how the provisions of this section apply. 
(Note: See Sec. 1068.261 for provisions related to manufacturers 
introducing into U.S. commerce partially complete engines for which they 
hold the certificate of conformity.) This exemption is temporary as 
described in paragraph (g) of this section.
    (a) The provisions of this section generally apply where the 
secondary engine manufacturer has substantial control over the design 
and assembly of emission controls. In determining whether a manufacturer 
has substantial control over the design and assembly of emission 
controls, we would consider the degree to which the secondary engine 
manufacturer would be able to ensure that the engine will conform to the 
regulations in its final configuration. Such secondary engine 
manufacturers may finish assembly of partially complete engines in the 
following cases:

[[Page 797]]

    (1) You obtain an engine that is not fully assembled with the intent 
to manufacture a complete engine.
    (2) You obtain an engine with the intent to modify it before it 
reaches the ultimate purchaser.
    (3) You obtain an engine with the intent to install it in equipment 
that will be subject to equipment-based standards.
    (b) Manufacturers may introduce into U.S. commerce partially 
complete engines as described in this section if they have a written 
request for such engines from a secondary engine manufacturer that has 
certified the engine and will finish the engine assembly. The written 
request must include a statement that the secondary engine manufacturer 
has a certificate of conformity for the engine and identify a valid 
engine family name associated with each engine model ordered (or the 
basis for an exemption if applicable, as specified in paragraph (e) of 
this section). The original engine manufacturer must apply a removable 
label meeting the requirements of Sec. 1068.45 that identifies the 
corporate name of the original manufacturer and states that the engine 
is exempt under the provisions of Sec. 1068.262. The name of the 
certifying manufacturer must also be on the label or, alternatively, on 
the bill of lading that accompanies the engines during shipment. The 
original engine manufacturer may not apply a permanent emission control 
information label identifying the engine's eventual status as a 
certified engine.
    (c) The manufacturer that will hold the certificate must include the 
following information in its application for certification:
    (1) Identify the original engine manufacturer of the partially 
complete engine or of the complete engine you will modify.
    (2) Describe briefly how and where final assembly will be completed. 
Specify how you have the ability to ensure that the engines will conform 
to the regulations in their final configuration. (Note: Paragraph (a) of 
this section prohibits using the provisions of this section unless you 
have substantial control over the design and assembly of emission 
controls.)
    (3) State unconditionally that you will not distribute the engines 
without conforming to all applicable regulations.
    (d) If you are a certificate holder, you may receive shipment of 
partially complete engines after you apply for a certificate of 
conformity but before the certificate's effective date. In this case, 
all the provisions of Sec. 1068.103(c)(1) through (3) apply. This 
exemption allows the original manufacturer to ship engines after you 
have applied for a certificate of conformity. Manufacturers may 
introduce into U.S. commerce partially complete engines as described in 
this paragraph (d) if they have a written request for such engines from 
a secondary engine manufacturer stating that the application for 
certification has been submitted (instead of the information we specify 
in paragraph (b) of this section). We may set additional conditions 
under this paragraph (d) to prevent circumvention of regulatory 
requirements. Consistent with Sec. 1068.103(c), we may also revoke an 
exemption under this paragraph (d) if we have reason to believe that the 
application for certification will not be approved or that the engines 
will otherwise not reach a certified configuration before reaching the 
ultimate purchaser. This may require that you export the engines.
    (e) The provisions of this section also apply for shipping partially 
complete engines if the engine is covered by a valid exemption and there 
is no valid engine family name that could be used to represent the 
engine model. Unless we approve otherwise in advance, you may do this 
only when shipping engines to secondary engine manufacturers that are 
certificate holders. In this case, the secondary engine manufacturer 
must identify the regulatory cite identifying the applicable exemption 
instead of a valid engine family name when ordering engines from the 
original engine manufacturer.
    (f) If secondary engine manufacturers determine after receiving an 
engine under this section that the engine will not be covered by a 
certificate or exemption as planned, they may ask us to allow for 
shipment of the engines back to the original engine manufacturer or to 
another secondary engine

[[Page 798]]

manufacturer. This might occur in the case of an incorrect shipment or 
excess inventory. We may modify the provisions of this section as 
appropriate to address these cases.
    (g) Both original and secondary engine manufacturers must keep the 
records described in this section for at least five years, including the 
written request for engines and the bill of lading for each shipment (if 
applicable). The written request is deemed to be a submission to EPA and 
is thus subject to the reporting requirements of 40 CFR 1068.101(a)(2).
    (h) These provisions are intended only to allow you to obtain or 
transport engines in the specific circumstances identified in this 
section so any exemption under this section expires when the engine 
reaches the point of final assembly identified in accordance paragraph 
(c)(2) of this section.
    (i) For purposes of this section, an allowance to introduce engines 
into U.S. commerce includes a conditional allowance to sell, introduce, 
or deliver such partially complete engines into commerce in the United 
States or import them into the United States. It does not include a 
general allowance to offer such partially complete engines for sale 
because this exemption is intended to apply only for cases in which the 
certificate holder already has an arrangement to purchase the engines 
from the original engine manufacturer. This exemption does not allow the 
original engine manufacturer to subsequently offer the engines for sale 
to a different manufacturer who will hold the certificate unless that 
second manufacturer has also complied with the requirements of this 
part. The exemption does not apply for any individual engines that are 
not labeled as specified in this section or which are shipped to someone 
who is not a certificate holder.
    (j) We may suspend, revoke, or void an exemption under this section, 
as follows:
    (1) We may suspend or revoke your exemption if you fail to meet the 
requirements of this section. We may suspend or revoke your exemption 
for a specific secondary engine manufacturer if that manufacturer sells 
engines that are in not in a certified configuration in violation of the 
regulations. We may disallow this exemption for future shipments to the 
affected secondary engine manufacturer or set additional conditions to 
ensure that engines will be assembled in the certified configuration.
    (2) We may void your exemption for all the affected engines if you 
intentionally submit false or incomplete information or fail to keep and 
provide to EPA the records required by this section.
    (3) The exemption is void for an engine that is shipped to a company 
that is not a certificate holder or for an engine that is shipped to a 
secondary engine manufacturer that is not in compliance with the 
requirements of this section.
    (k) No exemption is needed to import equipment that does not include 
an engine. No exemption is available under this section for equipment 
subject to equipment-based standards if the engine has been installed.



Sec. 1068.265  What provisions apply to engines/equipment that are conditionally 

exempted from certification?

    In some cases, exempted engines may need to meet alternate emission 
standards as a condition of the exemption. For example, replacement 
engines exempted under Sec. 1068.240 in many cases need to meet the 
same standards as the engines they are replacing. The standard-setting 
part may similarly exempt engines/equipment from all certification 
requirements, or allow us to exempt engines/equipment from all 
certification requirements for certain cases, but require the engines/
equipment to meet alternate standards. In these cases, all the following 
provisions apply:
    (a) Your engines/equipment must meet the alternate standards we 
specify in (or pursuant to) the exemption section, and all other 
requirements applicable to engines/equipment that are subject to such 
standards.
    (b) You need not apply for and receive a certificate for the exempt 
engines/equipment. However, you must comply with all the requirements 
and obligations that would apply to the engines/equipment if you had 
received a

[[Page 799]]

certificate of conformity for them unless we specifically waive certain 
requirements.
    (c) You must have emission data from test engines/equipment using 
the appropriate procedures that demonstrate compliance with the 
alternate standards unless the engines/equipment are identical in all 
material respects to engines/equipment that you have previously 
certified to standards that are the same as, or more stringent than, the 
alternate standards. Note that ``engines/equipment that you have 
previously certified'' does not include any engines/equipment initially 
covered by a certificate that was later voided or otherwise invalidated, 
or engines/equipment that we have determined did not fully conform to 
the regulations.
    (d) See the provisions of the applicable exemption for labeling 
instructions, including those related to the compliance statement and 
other modifications to the label otherwise required in the standard-
setting part. If we do not identify specific labeling requirements for 
an exempted engine, you must meet the labeling requirements in the 
standard-setting part, with the following exceptions:
    (1) Modify the family designation by eliminating the character that 
identifies the model year.
    (2) We may also specify alternative language to replace the 
compliance statement otherwise required in the standard-setting part.
    (e) You may not generate emission credits for averaging, banking, or 
trading with engines/equipment meeting requirements under the provisions 
of this section.
    (f) Keep records to show that you meet the alternate standards as 
follows:
    (1) If your exempted engines/equipment are identical to previously 
certified engines/equipment, keep your most recent application for 
certification for the certified family.
    (2) If you previously certified a similar family, but have modified 
the exempted engines/equipment in a way that changes them from their 
previously certified configuration, keep your most recent application 
for certification for the certified family, a description of the 
relevant changes, and any test data or engineering evaluations that 
support your conclusions.
    (3) If you have not previously certified a similar family, keep all 
the records we specify for the application for certification and any 
additional records the standard-setting part requires you to keep.
    (g) We may require you to send us an annual report of the engines/
equipment you produce under this section.



                            Subpart D_Imports



Sec. 1068.301  What general provisions apply?

    (a) This subpart applies to you if you import into the United States 
engines or equipment subject to EPA emission standards or equipment 
containing engines subject to EPA emission standards.
    (b) In general, engines/equipment that you import must be covered by 
a certificate of conformity unless they were built before emission 
standards started to apply. This subpart describes the limited cases 
where we allow importation of exempt or excluded engines/equipment. For 
equipment not subject to equipment-based exhaust emission standards, an 
exemption of the engine allows you to import the equipment.
    (c) U.S. Customs and Border Protection may prevent you from 
importing engines or equipment if you do not meet the requirements of 
this subpart. In addition, U.S. Customs and Border Protection 
regulations may contain other requirements for engines/equipment 
imported into the United States (see 19 CFR Chapter I).
    (d) Complete the appropriate EPA declaration form before importing 
any engines or equipment. These forms are available on the Internet at 
http://www.epa.gov/OTAQ/imports/ or by phone at 734-214-4100. Importers 
must keep the forms for five years and make them available promptly upon 
request.



Sec. 1068.305  How do I get an exemption or exclusion for imported engines/equipment?

    (a) You must meet the requirements of the specific exemption or 
exclusion

[[Page 800]]

you intend to use, including any labeling requirements that apply, and 
complete the appropriate declaration form described in Sec. 
1068.301(d).
    (b) If we ask for it, prepare a written request in which you do the 
following:
    (1) Give your name, address, telephone number, and taxpayer 
identification number.
    (2) Give the engine/equipment owner's name, address, telephone 
number, and taxpayer identification number.
    (3) Identify the make, model, identification number, and original 
production year of all engines/equipment.
    (4) Identify which exemption or exclusion in this subpart allows you 
to import nonconforming engines/equipment and describe how your engine/
equipment qualifies.
    (5) Tell us where you will keep your engines/equipment if you might 
need to store them until we approve your request.
    (6) Authorize us to inspect or test your engines/equipment as the 
Clean Air Act allows.
    (c) We may ask for more information.
    (d) You may import the nonconforming engines/equipment you identify 
in your request if you get prior written approval from us. U.S. Customs 
and Border Protection may require you to present the approval letter. We 
may temporarily or permanently approve the exemptions or exclusions, as 
described in this subpart.



Sec. 1068.310  What are the exclusions for imported engines/equipment?

    If you show us that your engines/equipment qualify under one of the 
paragraphs of this section, we will approve your request to import such 
excluded engines/equipment. You must have our approval before importing 
engines/equipment under paragraph (a) of this section. You may, but are 
not required to request our approval to import the engines/equipment 
under paragraph (b) through (c) of this section. The following engines/
equipment are excluded:
    (a) Engines/equipment used solely for competition. Engines/equipment 
that you demonstrate will be used solely for competition are excluded 
from the restrictions on imports in Sec. 1068.301(b), but only if they 
are properly labeled. See the standard-setting part for provisions 
related to this demonstration. Section 1068.101(b)(4) prohibits anyone 
from using these excluded engines/equipment for purposes other than 
competition.
    (b) Stationary engines. The definition of nonroad engine in Sec. 
1068.30 does not include certain engines used in stationary 
applications. Such engines (and equipment containing such engines) may 
be subject to the standards of 40 CFR part 60. Engines that are excluded 
from the definition of nonroad engine in this part and are not required 
to be certified to standards under 40 CFR part 60 are not subject to the 
restrictions on imports in Sec. 1068.301(b), but only if they are 
properly labeled and there is clear and convincing evidence that each 
engine will be used in a stationary application (see paragraph (2)(iii) 
of the definition of ``Nonroad engine''). Section 1068.101 restricts the 
use of stationary engines for non-stationary purposes unless they are 
certified under 40 CFR part 60 to the same standards that would apply to 
nonroad engines for the same model year.
    (c) Hobby engines. The standard-setting parts exclude engines used 
in reduced-scale models of vehicles that are not capable of transporting 
a person.
    (d) Other engines/equipment. The standard-setting parts may exclude 
engines/equipment used in certain applications. For example, engines 
used in aircraft are generally excluded. Engines/equipment used in 
underground mining are excluded if they are regulated by the Mine Safety 
and Health Administration.
    (e) Labeling. For engines/equipment imported under paragraph (a) or 
(b) of this section, you must add a permanent label, consistent with 
Sec. 1068.45, with at least the following items unless the standard-
setting part includes other specific labeling requirements or we approve 
alternate label language that is more accurate for your engine/
equipment:
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark.
    (3) State the engine displacement (in liters or cubic centimeters). 
We may also require that you include maximum

[[Page 801]]

engine power. If the engine's power is not established, state the 
approximate power.
    (4) State: ``THIS ENGINE IS EXEMPT FROM THE REQUIREMENTS OF 
[identify the part referenced in Sec. 1068.1(a) that would otherwise 
apply], AS PROVIDED IN [identify the paragraph authorizing the exemption 
(for example, ``40 CFR 1068.315(a)'')]. INSTALLING THIS ENGINE IN ANY 
DIFFERENT APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL 
PENALTY.''



Sec. 1068.315  What are the permanent exemptions for imported engines/equipment?

    We may approve a permanent exemption from the restrictions on 
imports under Sec. 1068.301(b) under the following conditions:
    (a) National security exemption. You may import an engine or piece 
of equipment under the national security exemption in Sec. 1068.225, 
but only if it is properly labeled.
    (b) Manufacturer-owned engine/equipment exemption. You may import 
manufacturer-owned engines/equipment, as described in Sec. 1068.215.
    (c) Replacement engine exemption. You may import a nonconforming 
replacement engine as described in Sec. 1068.240. To use this 
exemption, you must be a certificate holder for a family we regulate 
under the same part as the replacement engine.
    (d) Extraordinary circumstances exemption. You may import a 
nonconforming engine or piece of equipment if we grant hardship relief 
as described in Sec. 1068.245.
    (e) Small-volume manufacturer exemption. You may import a 
nonconforming engine or piece of equipment if we grant hardship relief 
for a small-volume manufacturer, as described in Sec. 1068.250.
    (f) Equipment-manufacturer hardship exemption. You may import a 
nonconforming engine if we grant an exemption for the transition to new 
or revised emission standards, as described in Sec. 1068.255.
    (g) [Reserved]
    (h) Identical configuration exemption. Unless specified otherwise in 
the standard-setting part, you may import nonconforming engines/
equipment if they are identical to certified engines/equipment produced 
by the same manufacturer, subject to the following provisions:
    (1) You must meet all the following criteria:
    (i) You have owned the engines/equipment for at least six months.
    (ii) You agree not to sell, lease, donate, trade, or otherwise 
transfer ownership of the engines/equipment for at least five years. 
During this period, the only acceptable way to dispose of the engines/
equipment is to destroy or export them.
    (iii) You use data or evidence sufficient to show that the engines/
equipment are in a configuration that is identical to engines/equipment 
the original manufacturer has certified to meet emission standards that 
apply at the time the manufacturer finished assembling or modifying the 
engines/equipment in question. If you modify the engines/equipment to 
make them identical, you must completely follow the original 
manufacturer's written instructions.
    (2) We will tell you in writing if we find the information 
insufficient to show that the engines/equipment are eligible for this 
exemption. In this case, we will not consider your request further until 
you address our concerns.
    (i) Ancient engine/equipment exemption. If you are not the original 
engine/equipment manufacturer, you may import nonconforming engines/
equipment that are subject to a standard-setting part and were first 
manufactured at least 21 years earlier, as long as they are still in 
their original configurations.



Sec. 1068.325  What are the temporary exemptions for imported engines/equipment?

    You may import engines/equipment under certain temporary exemptions, 
subject to the conditions in this section. We may ask U.S. Customs and 
Border Protection to require a specific bond amount to make sure you 
comply with the requirements of this subpart. You may not sell or lease 
one of these engines/equipment while it is in the

[[Page 802]]

United States. You must eventually export the engine/equipment as we 
describe in this section unless it conforms to a certificate of 
conformity or it qualifies for one of the permanent exemptions in Sec. 
1068.315.
    (a) Exemption for repairs or alterations. You may temporarily import 
nonconforming engines/equipment under bond solely for repair or 
alteration, subject to our advance approval as described in paragraph 
(j) of this section. You may operate the engine/equipment in the United 
States only as necessary to repair it, alter it, or ship it to or from 
the service location. Export the engine/equipment directly after 
servicing is complete.
    (b) Testing exemption. You may temporarily import nonconforming 
engines/equipment under bond for testing if you follow the requirements 
of Sec. 1068.210, subject to our advance approval as described in 
paragraph (j) of this section. You may operate the engines/equipment in 
the United States only as needed to perform tests. This exemption 
expires one year after you import the engine/equipment unless we approve 
an extension. The engine/equipment must be exported before the exemption 
expires.
    (c) Display exemption. You may temporarily import nonconforming 
engines/equipment under bond for display if you follow the requirements 
of Sec. 1068.220, subject to our advance approval as described in 
paragraph (j) of this section. This exemption expires one year after you 
import the engine/equipment, unless we approve your request for an 
extension. We may approve an extension of up to one more year for each 
request, but no more than three years total. The engine/equipment must 
be exported by the time the exemption expires or directly after the 
display concludes, whichever comes first.
    (d) Export exemption. You may temporarily import nonconforming 
engines/equipment to export them, as described in Sec. 1068.230. You 
may operate the engine/equipment in the United States only as needed to 
prepare it for export. Label the engine/equipment as described in Sec. 
1068.230.
    (e) Diplomatic or military exemption. You may temporarily import 
nonconforming engines/equipment without bond if you represent a foreign 
government in a diplomatic or military capacity. In your request to the 
Designated Compliance Officer (see Sec. 1068.305), include either 
written confirmation from the U.S. State Department that you qualify for 
this exemption or a copy of your orders for military duty in the United 
States. We will rely on the State Department or your military orders to 
determine when your diplomatic or military status expires, at which time 
you must export your exempt engines/equipment.
    (f) Delegated-assembly exemption. You may import a nonconforming 
engine for final assembly under the provisions of Sec. 1068.261.
    (g) Exemption for partially complete engines. You may import an 
engine if another company already has a certificate of conformity and 
will be modifying the engine to be in its final certified configuration 
or a final exempt configuration under the provisions of Sec. 1068.262. 
You may also import a partially complete engine by shipping it from one 
of your facilities to another under the provisions of Sec. 1068.260(c). 
If you are importing a used engine that becomes new as a result of 
importation, you must meet all the requirements that apply to original 
engine manufacturers under Sec. 1068.262.
    (h)-(i) [Reserved]
    (j) Approvals. For the exemptions in this section requiring our 
approval, you must send a request to the Designated Compliance Officer 
before importing the engines/equipment. We will approve your request if 
you meet all the applicable requirements and conditions. If another 
section separately requires that you request approval for the exemption, 
you may combine the information requirements in a single request. 
Include the following information in your request:
    (1) Identify the importer of the engine/equipment and the applicable 
postal address, e-mail address, and telephone number.
    (2) Identify the engine/equipment owner and the applicable postal 
address, e-mail address, and telephone number.

[[Page 803]]

    (3) Identify the engine/equipment by model number (or name), serial 
number, and original production year.
    (4) Identify the specific regulatory provision under which you are 
seeking an exemption.
    (5) Authorize EPA enforcement officers to conduct inspections or 
testing as allowed under the Clean Air Act.
    (6) Include any additional information we specify for demonstrating 
that you qualify for the exemption.

[73 59344, Oct. 8, 2008, as amended at 74 FR 8428, Feb. 24, 2009; 75 FR 
23064, Apr. 30, 2010]



Sec. 1068.335  What are the penalties for violations?

    (a) All imported engines/equipment. Unless you comply with the 
provisions of this subpart, importation of nonconforming engines/
equipment violates sections 203 and 213(d) of the Clean Air Act (42 
U.S.C. 7522 and 7547(d)). You may then have to export the engines/
equipment, pay civil penalties, or both. U.S. Customs and Border 
Protection may seize unlawfully imported engines and equipment.
    (b) Temporarily imported engines/equipment. If you do not comply 
with the provisions of this subpart for a temporary exemption under 
Sec. 1068.325, you may forfeit the total amount of the bond in addition 
to the sanctions we identify in paragraph (a) of this section. We will 
consider an engine or piece of equipment to be exported if it has been 
destroyed or delivered to U.S. Customs and Border Protection for export 
or other disposition under applicable Customs laws and regulations. EPA 
or U.S. Customs and Border Protection may offer you a grace period to 
allow you to export temporarily exempted engines/equipment without 
penalty after the exemption expires.



Sec. 1068.360  What restrictions apply to assigning a model year to

imported engines and equipment?

    This section includes limitations on assigning a model year to 
engines and equipment that are imported in a year later than the model 
year in which they were manufactured, except as specified in paragraph 
(e) of this section.
    (a) The term ``model year'' is defined in each of the standard-
setting parts. These definitions may vary slightly to address the 
different categories of engines and equipment. Except as specified in 
paragraphs (b) and (c) of this section, the emission standards and other 
emission-related requirements that apply for an imported engine or piece 
of equipment are determined by the model year as defined in the 
applicable standard-setting part and the provisions of 40 CFR 
1068.105(a).
    (b) This paragraph (b) applies for the importation of new engines 
and new equipment in any calendar year that is more than one year after 
the named model year of the engine or equipment when emission control 
requirements applying to current engines are different than for engines 
or equipment in the named model year, unless they are imported under 
special provisions for Independent Commercial Importers as allowed under 
the standard-setting part. Regardless of what other provisions of this 
subchapter U specify for the model year of the engine or equipment, such 
engines and equipment are deemed to have an applicable model year no 
more than one year earlier than the calendar year in which they are 
imported. For example, a new engine identified as a 2007 model-year 
product that is imported on January 31, 2010 will be treated as a 2009 
model-year engine; the same engine will be treated as a 2010 model-year 
engine if it is imported any time in calendar year 2011.
    (c) If you claim that an engine or piece of equipment is not subject 
to standards-or is subject to standards less stringent than those 
currently in place--based on its original manufacture date because it 
has already been placed into service, you must provide clear and 
convincing evidence that it has already been placed into service. Such 
evidence must generally include, but not be limited to, documentary 
evidence of purchase and maintenance history and visible wear that is 
consistent with the reported manufacture date. Importing products for 
resale or importing more than one engine or piece of equipment at a time 
would generally require a greater degree of evidence under this 
paragraph (c). If you do not satisfactorily demonstrate that the engine 
or equipment has already been

[[Page 804]]

placed into service, the provisions of paragraph (b) of this section 
apply.
    (d) Nothing in this section should be interpreted to allow 
circumvention of the requirements of this part by mis-stating or mis-
labeling the model year of engines or equipment. For example, this 
section does not permit engines imported in the same year that they are 
manufactured to be treated as an engine manufactured in the previous 
year. To verify compliance with the provisions of this section, we may 
require you to verify the original manufacture date of the engine or 
equipment based on manufacturing records, title-transfer documents, 
service records, or other documentation.
    (e) If all the current emission control requirements are the same as 
in the named model year, the provisions of this section do not apply.



                Subpart E_Selective Enforcement Auditing



Sec. 1068.401  What is a selective enforcement audit?

    (a) We may conduct or require you to conduct emission tests on your 
production engines/equipment in a selective enforcement audit. This 
requirement is independent of any requirement for you to routinely test 
production-line engines/equipment. For products subject to equipment-
based standards, but tested using engine-based test procedures, this 
subpart applies to the engines and/or the equipment, as applicable. 
Otherwise this subpart applies to engines for products subject to 
engine-based standards and to equipment for products subject to 
equipment-based standards.
    (b) If we send you a signed test order, you must follow its 
directions and the provisions of this subpart. We may tell you where to 
test the engines/equipment. This may be where you produce the engines/
equipment or any other emission testing facility.
    (c) If we select one or more of your families for a selective 
enforcement audit, we will send the test order to the person who signed 
the application for certification or we will deliver it in person.
    (d) If we do not select a testing facility, notify the Designated 
Compliance Officer within one working day of receiving the test order 
where you will test your engines/equipment.
    (e) You must do everything we require in the audit without delay.



Sec. 1068.405  What is in a test order?

    (a) In the test order, we will specify the following things:
    (1) The family and configuration (if any) we have identified for 
testing.
    (2) The engine/equipment assembly plant, storage facility, or (if 
you import the engines/equipment) port facility from which you must 
select engines/equipment.
    (3) The procedure for selecting engines/equipment for testing, 
including a selection rate.
    (4) The test procedures, duty cycles, and test points, as 
appropriate, for testing the engines/equipment to show that they meet 
emission standards.
    (b) We may state that we will select the test engines/equipment.
    (c) We may identify alternate families or configurations for testing 
in case we determine the intended engines/equipment are not available 
for testing or if you do not produce enough engines/equipment to meet 
the minimum rate for selecting test engines/equipment.
    (d) We may include other directions or information in the test 
order.
    (e) We may ask you to show us that you meet any additional 
requirements that apply to your engines/equipment (closed crankcases, 
for example).
    (f) In anticipation of a potential audit, you may give us a list of 
your preferred families and the corresponding assembly plants, storage 
facilities, or (if you import the engines/equipment) port facilities 
from which we should select engines/equipment for testing. The 
information would apply only for a single model year so it would be best 
to include this information in your application for certification. If 
you give us this list before we issue a test order, we will consider 
your recommendations, but we may select different engines/equipment.
    (g) If you also do routine production-line testing with the selected 
family in the same time period, the test order will tell you what 
changes you might

[[Page 805]]

need to make in your production-line testing schedule.



Sec. 1068.410  How must I select and prepare my engines/equipment?

    (a) Selecting engines/equipment. Select engines/equipment as 
described in the test order. If you are unable to select test engines/
equipment this way, you may ask us to approve an alternate plan as long 
as you make the request before you start selecting engines/equipment.
    (b) Assembling engines/equipment. Produce and assemble test engines/
equipment using your normal production and assembly process for that 
family.
    (1) Notify us directly if you make any change in your production, 
assembly, or quality control processes that might affect emissions 
between the time you receive the test order and the time you finish 
selecting test engines/equipment.
    (2) If you do not fully assemble engines/equipment at the specified 
location, we will describe in the test order how to select components to 
finish assembling the engines/equipment. Assemble these components onto 
the test engines/equipment using your documented assembly and quality 
control procedures.
    (c) Modifying engines/equipment. Once an engine or piece of 
equipment is selected for testing, you may adjust, repair, prepare, or 
modify it or check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines/equipment and make 
the action routine for all the engines/equipment in the family.
    (2) This subpart otherwise allows your action.
    (3) We approve your action in advance.
    (d) Engine/equipment malfunction. If an engine/equipment malfunction 
prevents further emission testing, ask us to approve your decision to 
either repair the engine or delete it from the test sequence.
    (e) Setting adjustable parameters. Before any test, we may adjust or 
require you to adjust any adjustable parameter to any setting within its 
physically adjustable range.
    (1) [Reserved]
    (2) We may make or specify adjustments within the physically 
adjustable range by considering their effect on emission levels. We may 
also consider how likely it is that someone will make such an adjustment 
with in-use engines/equipment.
    (f) Stabilizing emission levels. (1) Before you test production-line 
engines/equipment for exhaust emission, you may operate the engine/
equipment to stabilize the exhaust emission levels. Using good 
engineering judgment, operate your engines/equipment in a way that 
represents the way production engines/equipment will be used. You may 
operate each engine or piece of equipment for no more than the greater 
of two periods:
    (i) 50 hours.
    (ii) The number of hours you operated your emission-data engine/
equipment for certifying the family (see 40 CFR part 1065, subpart E).
    (2) Use good engineering judgment and follow the standard-setting 
part to stabilize equipment for evaporative emissions, where 
appropriate.
    (g) Damage during shipment. If shipping the engine/equipment to a 
remote facility for testing under a selective enforcement audit makes 
necessary an adjustment or repair, you must wait until after the initial 
emission test to do this work. We may waive this requirement if the test 
would be impossible or unsafe or if it would permanently damage the 
engine/equipment. Report to us, in your written report under Sec. 
1068.450, all adjustments or repairs you make on test engines/equipment 
before each test.
    (h) Shipping engines/equipment. If you need to ship engines/
equipment to another facility for testing, make sure the test engines/
equipment arrive at the test facility within 24 hours after being 
selected. You may ask that we allow more time if you are unable to do 
this.
    (i) Retesting after invalid tests. You may retest an engine or piece 
of equipment if you determine an emission test is invalid under the 
standard-setting part. Explain in your written report reasons for 
invalidating any test and

[[Page 806]]

the emission results from all tests. If you retest an engine or piece of 
equipment and, within ten days after testing, ask to substitute results 
of the new tests for the original ones, we will answer within ten days 
after we receive your information.
    (j) Retesting after reaching a fail decision. You may retest your 
engines/equipment once a fail decision for the audit has been reached 
based on the first test on each engine or piece of equipment under Sec. 
1068.420(c). You may test each engine or piece of equipment up to a 
total of three times, but you must perform the same number of tests on 
each engine or piece of equipment. You may further operate the engine/
equipment to stabilize emission levels before testing, subject to the 
provisions of paragraph (f) of this section. We may approve retesting at 
other times if you send us a request with satisfactory justification.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010]



Sec. 1068.415  How do I test my engines/equipment?

    (a) Use the test procedures specified in the standard-setting part 
for showing that your engines/equipment meet emission standards. The 
test order will give further testing instructions.
    (b) If no test cells are available at a given facility, you may make 
alternate testing arrangements with our approval.
    (c) Test at least two engines/equipment in each 24-hour period 
(including void tests). However, if your projected U.S. nonroad sales 
within the family are less than 7,500 for the year, you may test a 
minimum of one per 24-hour period. If you request and justify it, we may 
approve a lower testing rate.
    (d) For exhaust emissions, accumulate service on test engines/
equipment at a minimum rate of 6 hours per engine or piece of equipment 
during each 24-hour period. The first 24-hour period for service 
accumulation begins when you finish preparing an engine or piece of 
equipment for testing. The minimum service accumulation rate does not 
apply on weekends or holidays. You may ask us to approve a lower service 
accumulation rate. We may require you to accumulate hours more rapidly 
than the minimum rate, as appropriate. Plan your service accumulation to 
allow testing at the rate specified in paragraph (c) of this section. 
Select operation for accumulating operating hours on your test engines/
equipment to represent normal in-use operation for the family.
    (e) Test engines/equipment in the same order you select them.



Sec. 1068.420  How do I know when my engine family fails an SEA?

    (a) A failed engine or piece of equipment is one whose final 
deteriorated test results exceed an applicable emission standard for any 
regulated pollutant.
    (b) Continue testing engines/equipment until you reach a pass 
decision for all pollutants or a fail decision for one pollutant.
    (c) You reach a pass decision for the SEA requirements when the 
number of failed engines/equipment is less than or equal to the pass 
decision number in Appendix A to this subpart for the total number of 
engines/equipment tested. You reach a fail decision for the SEA 
requirements when the number of failed engines/equipment is greater than 
or equal to the fail decision number in Appendix A to this subpart for 
the total number of engines/equipment you test. An acceptable quality 
level of 40 percent is the basis for the pass or fail decision.
    (d) Consider test results in the same order as the engine/equipment 
testing sequence.
    (e) If you reach a pass decision for one pollutant, but need to 
continue testing for another pollutant, we will disregard these later 
test results for the pollutant with the pass decision.
    (f) Appendix A to this subpart lists multiple sampling plans. Use 
the sampling plan for the projected sales volume you reported in your 
application for the audited family.
    (g) We may choose to stop testing after any number of tests.
    (h) If we test some of your engines/equipment in addition to your 
own testing, we may decide not to include your test results as official 
data for those engines/equipment if there is substantial disagreement 
between your

[[Page 807]]

testing and our testing. We will reinstate your data as valid if you 
show us that we made an error and your data are correct.
    (i) If we rely on our test data instead of yours, we will notify you 
in writing of our decision and the reasons we believe your facility is 
not appropriate for doing the tests we require under this subpart. You 
may request in writing that we consider your test results from the same 
facility for future testing if you show us that you have made changes to 
resolve the problem.



Sec. 1068.425  What happens if one of my production-line engines/equipment

exceeds the emission standards?

    (a) If one of your production-line engines/equipment fails to meet 
one or more emission standards (see Sec. 1068.420), the certificate of 
conformity is automatically suspended for that engine or piece of 
equipment. You must take the following actions before your certificate 
of conformity can cover that engine or piece of equipment:
    (1) Correct the problem and retest the engine/equipment to show it 
complies with all emission standards.
    (2) Include in your written report a description of the test results 
and the remedy for each engine or piece of equipment (see Sec. 
1068.450).
    (b) You may ask for a hearing at any time to determine whether the 
tests and sampling methods were proper (see subpart G of this part).



Sec. 1068.430  What happens if a family fails an SEA?

    (a) We may suspend your certificate of conformity for a family if it 
fails the SEA under Sec. 1068.420. The suspension may apply to all 
facilities producing engines/equipment from a family even if you find 
noncompliant engines/equipment only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the family fails the SEA. The suspension is effective when 
you receive our notice.
    (c) You may ask for a hearing to determine whether the tests and 
sampling methods were proper (see subpart G of this part) up to 15 days 
after we suspend the certificate for a family. If we agree that we used 
erroneous information in deciding to suspend the certificate before a 
hearing is held, we will reinstate the certificate.



Sec. 1068.435  May I sell engines/equipment from a family with a suspended

certificate of conformity?

    You may sell engines/equipment that you produce after we suspend the 
family's certificate of conformity only if one of the following occurs:
    (a) You test each engine or piece of equipment you produce and show 
it complies with emission standards that apply.
    (b) We conditionally reinstate the certificate for the family. We 
may do so if you agree to recall all the affected engines/equipment and 
remedy any noncompliance at no expense to the owner if later testing 
shows that engines/equipment in the family still do not comply.



Sec. 1068.440  How do I ask EPA to reinstate my suspended certificate?

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for the SEA failure, 
propose a remedy, and commit to a date for carrying it out. In your 
proposed remedy include any quality control measures you propose to keep 
the problem from happening again.
    (b) Give us test data from production engines/equipment showing that 
engines/equipment in the remedied family comply with all the emission 
standards that apply.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010]



Sec. 1068.445  When may EPA revoke my certificate under this subpart and how 

may I sell these engines/equipment again?

    (a) We may revoke your certificate for a family in the following 
cases:
    (1) You do not meet the reporting requirements under this subpart.
    (2) Your family fails an SEA and your proposed remedy to address a 
suspended certificate is inadequate to solve the problem or requires you 
to change the engine/equipment's design or emission control system.

[[Page 808]]

    (b) To sell engines/equipment from a family with a revoked 
certificate of conformity, you must modify the family and then show it 
complies with the applicable requirements.
    (1) If we determine your proposed design change may not control 
emissions for the engine/equipment's full useful life, we will tell you 
within five working days after receiving your report. In this case we 
will decide whether production-line testing will be enough for us to 
evaluate the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines/equipment as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec. 1068.450  What records must I send to EPA?

    (a) Within 30 days of the end of each audit, send us a report with 
the following information:
    (1) Describe any facility used to test production-line engines/
equipment and state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each family.
    (3) Describe your test engines/equipment, including the family's 
identification and the engine/equipment's model year, build date, model 
number, identification number, and number of hours of operation before 
testing for each test engine or piece of equipment.
    (4) Identify where you accumulated hours of operation on the 
engines/equipment and describe the procedure and schedule you used.
    (5) Provide the test number; the date, time and duration of testing; 
test procedure; initial test results before and after rounding; final 
test results; and final deteriorated test results for all tests. Provide 
the emission figures for all measured pollutants. Include information 
for both valid and invalid tests and the reason for any invalidation.
    (6) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine/equipment if you did not report it separately under this subpart. 
Include the results of any emission measurements, regardless of the 
procedure or type of equipment.
    (7) Report on each failed engine or piece of equipment as described 
in Sec. 1068.425.
    (b) We may ask you to add information to your written report, so we 
can determine whether your new engines/equipment conform with the 
requirements of this subpart.
    (c) An authorized representative of your company must sign the 
following statement: We submit this report under Sections 208 and 213 of 
the Clean Air Act. Our testing conformed completely with the 
requirements of 40 CFR part 1068. We have not changed production 
processes or quality-control procedures for the family in a way that 
might affect the emission control from production engines/equipment. All 
the information in this report is true and accurate to the best of my 
knowledge. I know of the penalties for violating the Clean Air Act and 
the regulations. (Authorized Company Representative)
    (d) Send reports of your testing to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (e) We may post test results on publicly accessible databases and we 
will send copies of your reports to anyone from the public who asks for 
them. We will not release information about your sales or production 
volumes, which is all we will consider confidential.



Sec. 1068.455  What records must I keep?

    (a) We may review your records at any time so it is important to 
keep required information readily available. Organize and maintain your 
records as described in this section.
    (b) Keep paper records for testing under this subpart for one full 
year after you complete all the testing required for the selective 
enforcement audit. For additional storage, you may use any format or 
media.
    (c) Keep a copy of the written reports described in Sec. 1068.450.
    (d) Keep the following additional records:
    (1) The names of supervisors involved in each test.

[[Page 809]]

    (2) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine/equipment and the names of all 
supervisors who oversee this work.
    (3) If you shipped the engine/equipment for testing, the date you 
shipped it, the associated storage or port facility, and the date the 
engine/equipment arrived at the testing facility.
    (4) Any records related to your audit that are not in the written 
report.
    (5) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (e) If we ask, you must give us projected or actual production for a 
family. Include each assembly plant if you produce engines/equipment at 
more than one plant.
    (f) We may ask you to keep or send other information necessary to 
implement this subpart.



     Sec. Appendix A to Subpart E of Part 1068--Plans for Selective 
                          Enforcement Auditing

    The following tables describe sampling plans for selective 
enforcement audits, as described in Sec. 1068.420:

                                      Table A-1--Sampling Plan Code Letter
----------------------------------------------------------------------------------------------------------------
                                                         Minimum number of tests
   Projected family       Code letter \1\    ----------------------------------------------   Maximum number of
        sales                                        To pass                To fail                 tests
----------------------------------------------------------------------------------------------------------------
            20-50                     AA                      3                      5                     20
            20-99                      A                      4                      6                     30
          100-299                      B                      5                      6                     40
          300-499                       C                     5                      6                     50
            500 +                      D                      5                      6                     60
----------------------------------------------------------------------------------------------------------------
\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 families with annual sales between 20 and 50 engines/
  equipment. Additionally, the manufacturer may switch between these plans during the audit.


                                           Table A-2--Sampling Plans for Different Engine Family Sales Volumes
--------------------------------------------------------------------------------------------------------------------------------------------------------
                          AA                           A                           B                           C                           D
             -------------------------------------------------------------------------------------------------------------------------------------------
  Stage \a\   Pass             i>            i>            i>            i>            i>            i>            i>            i>            i>
--------------------------------------------------------------------------------------------------------------------------------------------------------
         1    ............  ............  ............  ............  ............  ............  ............  ............  ............
         2    ............  ............  ............  ............  ............  ............  ............  ............  ............
         3             0    ............  ............  ............  ............  ............  ............  ............  ............
         4             0    ............           0    ............  ............  ............  ............  ............  ............
         5             1             5             0    ............           0    ............           0    ............          0
         6             1             6             1             6             1             6             0            6             0          6
         7             2             6             1             7             1             7             1            7             1          7
         8             2             7             2             7             2             7             2            7             2          8
         9             3             7             2             8             2             8             2            8             2          8
        10             3             8             3             8             3             8             3            9             3          9
        11             4             8             3             8             3             9             3            9             3          9
        12             4             9             4             9             4             9             4           10             4         10
        13             5             9             5            10             4            10             4           10             4         10
        14             5            10             5            10             5            10             5           11             5         11
        15             6            10             6            11             5            11             5           11             5         11
        16             6            10             6            11             6            12             6           12             6         12
        17             7            10             7            12             6            12             6           12             6         12
        18             8            10             7            12             7            13             7           13             7         13
        19             8            10             8            13             8            13             7           13             7         13
        20             9            10             8            13             8            14             8           14             8         14
        21    ............  ............           9            14             9            14             8           14             8         14
        22    ............  ............          10            14             9            15             9           15             9         15
        23    ............  ............          10            15            10            15            10           15             9         15
        24    ............  ............          11            15            10            16            10           16            10         16
        25    ............  ............          11            16            11            16            11           16            11         16
        26    ............  ............          12            16            11            17            11           17            11         17
        27    ............  ............          12            17            12            17            12           17            12         17
        28    ............  ............          13            17            12            18            12           18            12         18
        29    ............  ............          14            17            13            18            13           18            13         19
        30    ............  ............          16            17            13            19            13           19            13         19
        31    ............  ............  ............  ............          14            19            14           19            14         20
        32    ............  ............  ............  ............          14            20            14           20            14         20
        33    ............  ............  ............  ............          15            20            15           20            15         21

[[Page 810]]

 
        34    ............  ............  ............  ............          16            21            15           21            15         21
        35    ............  ............  ............  ............          16            21            16           21            16         22
        36    ............  ............  ............  ............          17            22            16           22            16         22
        37    ............  ............  ............  ............          17            22            17           22            17         23
        38    ............  ............  ............  ............          18            22            18           23            17         23
        39    ............  ............  ............  ............          18            22            18           23            18         24
        40    ............  ............  ............  ............          21            22            19           24            18         24
        41    ............  ............  ............  ............  ............  ............          19           24            19         25
        42    ............  ............  ............  ............  ............  ............          20           25            19         26
        43    ............  ............  ............  ............  ............  ............          20           25            20         26
        44    ............  ............  ............  ............  ............  ............          21           26            21         27
        45    ............  ............  ............  ............  ............  ............          21           27            21         27
        46    ............  ............  ............  ............  ............  ............          22           27            22         28
        47    ............  ............  ............  ............  ............  ............          22           27            22         28
        48    ............  ............  ............  ............  ............  ............          23           27            23         29
        49    ............  ............  ............  ............  ............  ............          23           27            23         29
        50    ............  ............  ............  ............  ............  ............          26           27            24         30
        51    ............  ............  ............  ............  ............  ............  ............  ............         24         30
        52    ............  ............  ............  ............  ............  ............  ............  ............         25         31
        53    ............  ............  ............  ............  ............  ............  ............  ............         25         31
        54    ............  ............  ............  ............  ............  ............  ............  ............         26         32
        55    ............  ............  ............  ............  ............  ............  ............  ............         26         32
        56    ............  ............  ............  ............  ............  ............  ............  ............         27         33
        57    ............  ............  ............  ............  ............  ............  ............  ............         27         33
        58    ............  ............  ............  ............  ............  ............  ............  ............         28         33
        59    ............  ............  ............  ............  ............  ............  ............  ............         28         33
        60    ............  ............  ............  ............  ............  ............  ............  ............         32         33
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ Stage refers to the cumulative number of engines/equipment tested.



       Subpart F_Reporting Defects and Recalling Engines/Equipment



Sec. 1068.501  How do I report emission-related defects?

    This section addresses the certificate holder's responsibility to 
investigate and report emission-related defects in design, materials, or 
workmanship. The provisions of this section do not limit your liability 
under this part or the Clean Air Act. For example, selling an engine/
equipment that does not conform to your application for certification is 
a violation of Sec. 1068.101(a)(1) independent of the requirements of 
this section. The requirements of this section apply separately to each 
certificate holder if there is more than one certificate holder for the 
equipment.
    (a) General provisions. As a certifying manufacturer, you must 
investigate in certain circumstances whether engines/equipment that have 
been introduced into U.S. commerce under your certificate have 
incorrect, improperly installed, or otherwise defective emission-related 
components or systems. This includes defects in design, materials, or 
workmanship. You must also send us reports as specified by this section.
    (1) This section addresses defects for any of the following 
emission-related components or systems containing the following 
components:
    (i) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors associated with any of these components.
    (ii) For engines and equipment subject to evaporative emission 
standards, fuel tanks, fuel caps, and fuel lines and connectors.
    (iii) Any other component whose primary purpose is to reduce 
emissions.
    (iv) Any other component whose failure might increase emissions of 
any regulated pollutant without significantly degrading engine/equipment 
performance.

[[Page 811]]

    (2) The requirements of this section relate to defects in any of the 
components or systems identified in paragraph (a)(1) of this section if 
the defects might affect any of the parameters or specifications in 
Appendix II of this part or might otherwise affect the emissions of any 
regulated pollutant.
    (3) For the purposes of this section, defects do not include damage 
to emission-related components or systems (or maladjustment of 
parameters) caused by owners improperly maintaining or abusing their 
engines/equipment.
    (4) The requirements of this section do not apply to emission 
control information labels. Note however, that Sec. 1068.101(a)(1) 
prohibits the sale of engines/equipment without proper labels, which 
also applies to misprinted labels.
    (5) You must track the information specified in paragraph (b)(1) of 
this section. You must assess this data at least every three months to 
evaluate whether you exceed the thresholds specified in paragraphs (e) 
and (f) of this section. Where thresholds are based on a percentage of 
engines/equipment in the family, use actual U.S.-directed production 
volumes for the whole model year when they become available. Use 
projected production figures until the actual production figures become 
available. You are not required to collect additional information other 
than that specified in paragraph (b)(1) of this section before reaching 
a threshold for an investigation specified in paragraph (e) of this 
section.
    (6) You may ask us to allow you to use alternate methods for 
tracking, investigating, reporting, and correcting emission-related 
defects. In your request, explain and demonstrate why you believe your 
alternate system will be at least as effective in the aggregate in 
tracking, identifying, investigating, evaluating, reporting, and 
correcting potential and actual emissions-related defects as the 
requirements in this section. In this case, provide all available data 
necessary to demonstrate why an alternate system is appropriate for your 
engines/equipment and how it will result in a system at least as 
effective as that required under this section.
    (7) If we determine that emission-related defects result in a 
substantial number of properly maintained and used engines/equipment not 
conforming to the regulations of this chapter during their useful life, 
we may order you to conduct a recall of your engines/equipment (see 
Sec. 1068.505).
    (8) Send all reports required by this section to the Designated 
Enforcement Officer.
    (9) This section distinguishes between defects and possible defects. 
A possible defect exists anytime there is an indication that an 
emission-related component or system might have a defect, as described 
in paragraph (b)(1) of this section.
    (b) Investigation of possible defects. Investigate possible defects 
as follows:
    (1) If the number of engines/equipment that have a possible defect, 
as defined by this paragraph (b)(1), exceeds a threshold specified in 
paragraph (e) of this section, you must conduct an investigation to 
determine if an emission-related component or system is actually 
defective. You must classify an engine/equipment component or system as 
having a possible defect if any of the following sources of information 
shows there is a significant possibility that a defect exists:
    (i) A warranty claim is submitted for the component, whether this is 
under your emission-related warranty or any other warranty.
    (ii) Your quality-assurance procedures suggest that a defect may 
exist.
    (iii) You receive any other information for which good engineering 
judgment would indicate the component or system may be defective, such 
as information from dealers, field-service personnel, equipment 
manufacturers, hotline complaints, or engine diagnostic systems.
    (2) If the number of shipped replacement parts for any individual 
component is high enough that good engineering judgment would indicate a 
significant possibility that a defect exists, you must conduct an 
investigation to determine if it is actually defective. Note that this 
paragraph (b)(2) does not require data-tracking or recording provisions 
related to shipment of replacement parts.
    (3) Your investigation must be prompt, thorough, consider all 
relevant information, follow accepted scientific

[[Page 812]]

and engineering principles, and be designed to obtain all the 
information specified in paragraph (d) of this section.
    (4) Your investigation needs to consider possible defects that occur 
only within the useful life period, or within five years after the end 
of the model year, whichever is longer.
    (5) You must continue your investigation until you are able to show 
that there is no emission-related defect or you obtain all the 
information specified for a defect report in paragraph (d) of this 
section.
    (6) If a component with a possible defect is used in additional 
families or model years, you must investigate whether the component may 
be defective when used in these additional families or model years, and 
include these results in any defect report you send under paragraph (c) 
of this section.
    (7) If your initial investigation concludes that the number of 
engines/equipment with a defect is fewer than any of the thresholds 
specified in paragraph (f) of this section, but other information later 
becomes available that may show that the number of engines/equipment 
with a defect exceeds a threshold, then you must resume your 
investigation. If you resume an investigation, you must include the 
information from the earlier investigation to determine whether to send 
a defect report.
    (c) Reporting defects. You must send us a defect report in either of 
the following cases:
    (1) Your investigation shows that the number of engines/equipment 
with a defect exceeds a threshold specified in paragraph (f) of this 
section. Send the defect report within 21 days after the date you 
identify this number of defective engines/equipment. See paragraph (h) 
of this section for reporting requirements that apply if the number of 
engines/equipment with a defect does not exceed any of the thresholds in 
paragraph (f) of this section.
    (2) You know there are emission-related defects for a component or 
system in a number of engines/equipment that exceeds a threshold 
specified in paragraph (f) of this section, regardless of how you obtain 
this information. Send the defect report within 21 days after you learn 
that the number of defects exceeds a threshold. Send us an updated 
defect report anytime you have significant additional information.
    (d) Contents of a defect report. Include the following information 
in a defect report:
    (1) Your corporate name and a person to contact regarding this 
defect.
    (2) A description of the defect, including a summary of any 
engineering analyses and associated data, if available.
    (3) A description of the engines/equipment that have the defect, 
including families, models, and range of production dates.
    (4) An estimate of the number and percentage of each class or 
category of affected engines/equipment that have the defect, and an 
explanation of how you determined this number. Describe any statistical 
methods you used under paragraph (g)(6) of this section.
    (5) An estimate of the defect's impact on emissions, with an 
explanation of how you calculated this estimate and a summary of any 
emission data demonstrating the impact of the defect, if available.
    (6) A description of your plan for addressing the defect or an 
explanation of your reasons for not believing the defects must be 
addressed.
    (e) Thresholds for conducting a defect investigation. You must begin 
a defect investigation based on the following number of engines/
equipment that may have the defect:
    (1) For engines/equipment with maximum engine power at or below 560 
kW:
    (i) For families with annual production below 500 units: 50 or more 
engines/equipment.
    (ii) For families with annual production from 500 to 50,000 units: 
more than 10.0 percent of the total number of engines/equipment in the 
family.
    (iii) For families with annual production from 50,000 to 550,000 
units: more than the total number of engines/equipment represented by 
the following equation:

Investigation threshold = 5,000 + (Production units--50,000) x 0.04

    (iv) For families with annual production above 550,000 units: 25,000 
or more engines/equipment.

[[Page 813]]

    (2) For engines/equipment with maximum engine power greater than 560 
kW:
    (i) For families with annual production below 250 units: 25 or more 
engines/equipment.
    (ii) For families with annual production at or above 250 units: more 
than 10.0 percent of the total number of engines/equipment in the 
family.
    (f) Thresholds for filing a defect report. You must send a defect 
report based on the following number of engines/equipment that have the 
defect:
    (1) For engines/equipment with maximum engine power at or below 560 
kW:
    (i) For families with annual production below 1,000 units: 20 or 
more engines/equipment.
    (ii) For families with annual production from 1,000 to 50,000 units: 
more than 2.0 percent of the total number of engines/equipment in the 
family.
    (iii) For families with annual production from 50,000 to 550,000 
units: more than the total number of engines/equipment represented by 
the following equation:

Reporting threshold = 1,000 + (Production units--50,000) x 0.01

    (iv) For families with annual production above 550,000 units: 6,000 
or more engines/equipment.
    (2) For engines/equipment with maximum engine power greater than 560 
kW:
    (i) For families with annual production below 150 units: 10 or more 
engines/equipment.
    (ii) For families with annual production from 150 to 750 units: 15 
or more engines/equipment.
    (iii) For families with annual production above 750 units: more than 
2.0 percent of the total number of engines/equipment in the family.
    (g) How to count defects. (1) Track defects separately for each 
model year and family as much as possible. If information is not 
identifiable by model year or family, use good engineering judgment to 
evaluate whether you exceed a threshold in paragraph (e) or
    (f) of this section. Consider only your U.S.-directed production 
volume.
    (2) Within a family, track defects together for all components or 
systems that are the same in all material respects. If multiple 
companies separately supply a particular component or system, treat each 
company's component or system as unique.
    (3) For engine-based standards, if a possible defect is not 
attributed to any specific part of the engine, consider the complete 
engine a distinct component for evaluating whether you exceed a 
threshold in paragraph (e) of this section. For equipment-based 
standards, if a possible defect is not attributed to any specific part 
of the equipment, consider the complete piece of equipment a distinct 
component for evaluating whether you exceed a threshold in paragraph (e) 
of this section.
    (4) If you correct defects before they reach the ultimate purchaser 
as a result of your quality-assurance procedures, count these against 
the investigation thresholds in paragraph (e) of this section unless you 
routinely check every engine or piece of equipment in the family. Do not 
count any corrected defects as actual defects under paragraph (f) of 
this section.
    (5) Use aggregated data from all the different sources identified in 
paragraph (b)(1) of this section to determine whether you exceed a 
threshold in paragraphs (e) and (f) of this section.
    (6) If information is readily available to conclude that the 
possible defects identified in paragraph (b)(1) of this section are 
actual defects, count these toward the reporting thresholds in paragraph 
(f) of this section.
    (7) During an investigation, use appropriate statistical methods to 
project defect rates for engines/equipment that you are not otherwise 
able to evaluate. For example, if 75 percent of the components replaced 
under warranty are available for evaluation, it would be appropriate to 
extrapolate known information on failure rates to the components that 
are unavailable for evaluation. Take steps as necessary to prevent bias 
in sampled data. Make adjusted calculations to take into account any 
bias that may remain.
    (h) Investigation reports. Once you trigger an investigation 
threshold under paragraph (e) of this section, you must report your 
progress and conclusions. In your reports, include the information 
specified in paragraph (d) of

[[Page 814]]

this section, or explain why the information is not relevant. Send us 
the following reports:
    (1) While you are investigating, send us mid-year and end-of-year 
reports to describe the methods you are using and the status of the 
investigation. Send these status reports no later than June 30 and 
December 31 of each year.
    (2) If you find that the number of components or systems with an 
emission-related defect exceeds a threshold specified in paragraph (f) 
of this section, send us a report describing your findings within 21 
days after the date you reach this conclusion.
    (3) If you find that the number of components or systems with an 
emission-related defect does not exceed any of the thresholds specified 
in paragraph (f) of this section, send us a final report supporting this 
conclusion. For example, you may exclude warranty claims that resulted 
from misdiagnosis and you may exclude defects caused by improper 
maintenance, improper use, or misfueling. Send this report within 21 
days after the date you reach this conclusion.
    (i) Future production. If you identify a design or manufacturing 
defect that prevents engines/equipment from meeting the requirements of 
this part, you must correct the defect as soon as possible for future 
production of engines/equipment in every family affected by the defect. 
This applies without regard to whether you are required to conduct a 
defect investigation or submit a defect report under this section.

[73 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010]



Sec. 1068.505  How does the recall program work?

    (a) If we make a determination that a substantial number of properly 
maintained and used engines/equipment do not conform to the regulations 
of this chapter during their useful life, you must submit a plan to 
remedy the nonconformity of your engines/equipment. We will notify you 
of our determination in writing. Our notice will identify the class or 
category of engines/equipment affected and describe how we reached our 
conclusion. If this happens, you must meet the requirements and follow 
the instructions in this subpart. You must remedy at your expense 
noncompliant engines/equipment that have been properly maintained and 
used, as described in Sec. 1068.510(a)(7). You may not transfer this 
expense to a dealer (or equipment manufacturer for engine-based 
standards) through a franchise or other agreement.
    (b) You may ask for a hearing if you disagree with our determination 
(see subpart G of this part).
    (c) Unless we withdraw the determination of noncompliance, you must 
respond to it by sending a remedial plan to the Designated Compliance 
Officer by the later of these two deadlines:
    (1) Within 60 days after we notify you.
    (2) Within 60 days after a hearing.
    (d) Once you have sold engines/equipment to the ultimate purchaser, 
we may inspect or test the engines/equipment only if the purchaser 
permits it, or if state or local inspection programs separately provide 
for it.
    (e) You may ask us to allow you to conduct your recall differently 
than specified in this subpart, consistent with section 207(c) of the 
Clean Air Act (42 U.S.C. 7541(c)).
    (f) You may do a voluntary recall under Sec. 1068.535 unless we 
have made the determination described in Sec. 1068.535(a).
    (g) For purposes of recall, owner means someone who owns an engine 
or piece of equipment affected by a remedial plan.



Sec. 1068.510  How do I prepare and apply my remedial plan?

    (a) In your remedial plan, describe all of the following:
    (1) The class or category of engines/equipment to be recalled, 
including the number of engines/equipment involved and the model year or 
other information needed to identify the engines/equipment.
    (2) The modifications, alterations, repairs, corrections, 
adjustments, or other changes you will make to correct the affected 
engines/equipment.
    (3) A brief description of the studies, tests, and data that support 
the effectiveness of the remedy you propose to use.

[[Page 815]]

    (4) The instructions you will send to those who will repair the 
engines/equipment under the remedial plan.
    (5) How you will determine the owners' names and addresses.
    (6) How you will notify owners; include copies of any notification 
letters.
    (7) The proper maintenance or use you will specify, if any, as a 
condition to be eligible for repair under the remedial plan. Describe 
how these specifications meet the provisions of paragraph (e) of this 
section. Describe how the owners should show they meet your conditions.
    (8) The steps owners must take for you to do the repair. You may set 
a date or a range of dates, specify the amount of time you need, and 
designate certain facilities to do the repairs.
    (9) Which company (or group) you will assign to do or manage the 
repairs.
    (10) If your employees or authorized warranty agents will not be 
doing the work, state who will and describe their qualifications.
    (11) How you will ensure an adequate and timely supply of parts.
    (12) The effect of proposed changes on fuel consumption, 
driveability, and safety of the engines/equipment you will recall; 
include a brief summary of the information supporting these conclusions.
    (13) How you intend to label the engines/equipment you repair and 
where you will place the label on the engine/equipment (see Sec. 
1068.515).
    (b) We may require you to add information to your remedial plan.
    (c) We may require you to test the proposed repair to show it will 
remedy the noncompliance.
    (d) Use all reasonable means to locate owners. We may require you to 
use government or commercial registration lists to get owners' names and 
addresses so your notice will be effective.
    (e) The maintenance or use that you specify as a condition for 
eligibility under the remedial plan may include only things you can show 
would cause noncompliance. Do not require use of a component or service 
identified by brand, trade, or corporate name unless we approved this 
approach with your original certificate of conformity. Also, do not 
place conditions on who maintained the engine/equipment.
    (f) We may require you to adjust your repair plan if we determine 
owners would be without their engines or equipment for an unreasonably 
long time.
    (g) We will tell you in writing within 15 days of receiving your 
remedial plan whether we have approved or disapproved it. We will 
explain our reasons for any disapproval.
    (h) Begin notifying owners within 15 days after we approve your 
remedial plan. If we hold a hearing, but do not change our position 
about the noncompliance, you must begin notifying owners within 60 days 
after we complete the hearing unless we specify otherwise.



Sec. 1068.515  How do I mark or label repaired engines/equipment?

    (a) Attach a label to engines/equipment you repair under the 
remedial plan. At your discretion, you may label or mark engines/
equipment you inspect but do not repair.
    (b) Make the label from a durable material suitable for its planned 
location. Make sure no one can remove the label without destroying or 
defacing it.
    (c) On the label, designate the specific recall campaign and state 
where you repaired or inspected the engine/equipment.
    (d) We may waive or modify the labeling requirements if we determine 
they are overly burdensome.



Sec. 1068.520  How do I notify affected owners?

    (a) Notify owners by first class mail or e-mail unless we say 
otherwise. We may require you to use certified mail. Include the 
following in your notice:
    (1) State: ``The U.S. Environmental Protection Agency has determined 
that your engine/equipment may be emitting pollutants in excess of the 
federal emission standards as defined in Title 40 of the Code of Federal 
Regulations. These emission standards were established to protect the 
public health or welfare from air pollution.''
    (2) State that you (or someone you designate) will repair these 
engines/equipment at your expense.

[[Page 816]]

    (3) If we approved maintenance and use conditions in your remedial 
plan, state that you will make these repairs only if owners show their 
engines/equipment meet the conditions for proper maintenance and use. 
Describe these conditions and how owners should prove their engines/
equipment are eligible for repair.
    (4) Describe the components your repair will affect and say 
generally how you will repair the engines/equipment.
    (5) State that the engine/equipment, if not repaired, may fail an 
emission inspection test if state or local law requires one.
    (6) Describe any adverse effects on its performance or driveability 
that would be caused by not repairing the engine/equipment.
    (7) Describe any adverse effects on the functions of other 
components that would be caused by not repairing the engine/equipment.
    (8) Specify the date you will start the repairs, the amount of time 
you will need to do them, and where you will do them. Include any other 
information owners may need to know.
    (9) Allow for the owner to inform you using one of the following 
methods if they have sold the engine/equipment:
    (i) Send a self-addressed card that owners can mail back to you; 
include a space for owners to write the name and address of a buyer.
    (ii) Provide owners with a toll-free number and an e-mail address or 
Web site they can use to identify the name and address of a buyer.
    (10) State that owners should call you at a phone number you give to 
report any difficulty in obtaining repairs.
    (11) State: ``To ensure your full protection under the emission 
warranty on your [engine/equipment] by federal law, and your right to 
participate in future recalls, we recommend you have your [engine/
equipment] serviced as soon as possible. We may consider your not 
servicing it to be improper maintenance.''
    (b) We may require you to add information to your notice or to send 
more notices.
    (c) You may not in any communication with owners or dealers say or 
imply that your noncompliance does not exist or that it will not degrade 
air quality.



Sec. 1068.525  What records must I send to EPA?

    (a) Send us a copy of all communications related to the remedial 
plan you sent to dealers and others doing the repairs. Mail or e-mail us 
the information at the same time you send it to others.
    (b) From the time you begin to notify owners, send us a report 
within 25 days of the end of each calendar quarter. Send reports for six 
consecutive quarters or until all the engines/equipment are inspected, 
whichever comes first. In these reports, identify the following:
    (1) The range of dates you needed to notify owners.
    (2) The total number of notices sent.
    (3) The number of engines/equipment you estimate fall under the 
remedial plan (explain how you determined this number).
    (4) The cumulative number of engines/equipment you inspected under 
the remedial plan.
    (5) The cumulative number of these engines/equipment you found 
needed the specified repair.
    (6) The cumulative number of these engines/equipment you have 
repaired.
    (7) The cumulative number of engines/equipment you determined to be 
unavailable due to exportation, theft, retirement, or other reasons 
(specify).
    (8) The cumulative number of engines/equipment you disqualified for 
not being properly maintained or used.
    (c) If your estimated number of engines/equipment falling under the 
remedial plan changes, change the estimate in your next report and add 
an explanation for the change.
    (d) We may ask for more information.
    (e) We may waive reporting requirements or adjust the reporting 
schedule.
    (f) If anyone asks to see the information in your reports, we will 
follow the provisions of Sec. 1068.10 for handling confidential 
information.



Sec. 1068.530  What records must I keep?

    We may review your records at any time so it is important that you 
keep required information readily available. Keep records associated 
with your recall campaign for three years after you

[[Page 817]]

send the last report we require under Sec. 1068.525(b). Organize and 
maintain your records as described in this section.
    (a) Keep a paper copy of the written reports described in Sec. 
1068.525.
    (b) Keep a record of the names and addresses of owners you notified. 
For each engine or piece of equipment, state whether you did any of the 
following:
    (1) Inspected the engine/equipment.
    (2) Disqualified the engine/equipment for not being properly 
maintained or used.
    (3) Completed the prescribed repairs.
    (c) You may keep the records in paragraph (b) of this section in any 
form we can inspect, including computer databases.



Sec. 1068.535  How can I do a voluntary recall for emission-related problems?

    If we have made a determination that a substantial number of 
properly maintained and used engines/equipment do not conform to the 
regulations of this chapter during their useful life, you may not use a 
voluntary recall or other alternate means to meet your obligation to 
remedy the noncompliance. Thus, this section applies only if you learn 
that your family does not meet the requirements of this chapter and we 
have not made such a determination.
    (a) To do a voluntary recall under this section, first send the 
Designated Compliance Officer a plan, following the guidelines in Sec. 
1068.510. Within 15 days, we will send you our comments on your plan.
    (b) Once we approve your plan, start notifying owners and carrying 
out the specified repairs. Make reasonable efforts to carry out the 
recall as quickly as possible.
    (c) From the time you start the recall campaign, send us a report 
within 25 days of the end of each calendar quarter, following the 
guidelines in Sec. 1068.525(b). Send reports for six consecutive 
quarters or until all the engines/equipment are inspected, whichever 
comes first.
    (d) Keep your reports and the supporting information as described in 
Sec. 1068.530.



                           Subpart G_Hearings



Sec. 1068.601  What are the procedures for hearings?

    If we agree to hold a hearing related to our decision to order a 
recall under Sec. 1068.505, we will hold the hearing according to the 
provisions of 40 CFR 85.1807. For any other issues, you may request an 
informal hearing as described in 40 CFR 86.1853-01.



        Sec. Appendix I to Part 1068--Emission-Related Components

    This appendix specifies emission-related components that we refer to 
for describing such things as emission-related warranty or requirements 
related to rebuilding engines. Note that inclusion of a component in 
Section III of this Appendix does not make it an emission-related 
component for engines/equipment that are not subject to evaporative 
emission standards.
    I. For exhaust emissions, emission-related components include any 
engine parts related to the following systems:
    1. Air-induction system.
    2. Fuel system.
    3. Ignition system.
    4. Exhaust gas recirculation systems.
    II. The following parts are also considered emission-related 
components for exhaust emissions:
    1. Aftertreatment devices.
    2. Crankcase ventilation valves.
    3. Sensors.
    4. Electronic control units.
    III. The following parts are considered emission-related components 
for evaporative emissions:
    1. Fuel Tank.
    2. Fuel Cap.
    3. Fuel Line.
    4. Fuel Line Fittings.
    5. Clamps*.
    6. Pressure Relief Valves*.
    7. Control Valves*.
    8. Control Solenoids*.
    9. Electronic Controls*.
    10. Vacuum Control Diaphragms*.
    11. Control Cables*.
    12. Control Linkages*.
    13. Purge Valves.
    14. Vapor Hoses.
    15. Liquid/Vapor Separator.
    16. Carbon Canister.
    17. Canister Mounting Brackets.
    18. Carburetor Purge Port Connector.
    *As related to the evaporative emission control system.
    IV. Emission-related components also include any other part whose 
only purpose is to reduce emissions or whose failure will increase 
emissions without significantly degrading engine/equipment performance.

[[Page 818]]



     Sec. Appendix II to Part 1068--Emission-Related Parameters and 
                             Specifications

    This appendix specifies emission-related parameters and 
specifications that we refer to for describing such things as emission-
related defects or requirements related to rebuilding engines.
    I. Basic Engine Parameters for Reciprocating Engines.
    1. Compression ratio.
    2. Type of air aspiration (natural, 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 top-dead center or 
bottom-dead center).
    b. Valve closing--intake exhaust (degrees from top-dead center or 
bottom-dead center).
    c. Valve overlap (degrees).
    5. Ports--two stroke engines (intake and/or exhaust).
    a. Flow area.
    b. Opening timing (degrees from top-dead center or bottom-dead 
center).
    c. Closing timing (degrees from top-dead center or bottom-dead 
center).
    II. Intake Air System.
    1. Roots blower/supercharger/turbocharger calibration.
    2. Charge air cooling.
    a. Type (air-to-air; air-to-liquid).
    b. Type of liquid cooling (engine coolant, dedicated cooling 
system).
    c. Performance.
    3. Temperature control system calibration.
    4. Maximum allowable inlet air restriction.
    III. Fuel System.
    1. General.
    a. Engine idle speed.
    b. Engine idle mixture.
    2. Carburetion.
    a. Air-fuel flow calibration.
    b. Idle mixture.
    c. Transient enrichment system calibration.
    d. Starting enrichment system calibration.
    e. Altitude compensation system calibration.
    f. Hot idle compensation system calibration.
    3. Fuel injection for spark-ignition engines.
    a. Control parameters and calibrations.
    b. Idle mixture.
    c. Fuel shutoff system calibration.
    d. Starting enrichment system calibration.
    e. Transient enrichment system calibration.
    f. Air-fuel flow calibration.
    g. Altitude compensation system calibration.
    h. Operating pressure(s).
    i. Injector timing calibration.
    4. Fuel injection for compression-ignition engines.
    a. Control parameters and calibrations.
    b. Transient enrichment system calibration.
    c. Air-fuel flow calibration.
    d. Altitude compensation system calibration.
    e. Operating pressure(s).
    f. Injector timing calibration.
    IV. Ignition System for Spark-ignition Engines.
    1. Control parameters and calibration.
    2. Initial timing setting.
    3. Dwell setting.
    4. Altitude compensation system calibration.
    5. Spark plug voltage.
    V. Engine Cooling System--thermostat calibration.
    VI. Exhaust System--maximum allowable back pressure.
    VII. System for Controlling Exhaust Emissions.
    1. Air injection system.
    a. Control parameters and calibrations.
    b. Pump flow rate.
    2. EGR system.
    a. Control parameters and calibrations.
    b. EGR valve flow calibration.
    3. Catalytic converter system.
    a. Active surface area.
    b. Volume of catalyst.
    c. Conversion efficiency.
    4. Backpressure.
    VIII. System for Controlling Crankcase Emissions.
    1. Control parameters and calibrations.
    2. Valve calibrations.
    IX. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).
    X. System for Controlling Evaporative Emissions.
    1. Control parameters and calibrations.
    2. Fuel tank.
    a. Volume.
    b. Pressure and vacuum relief settings.
    XI. Warning Systems Related to Emission Controls.
    1. Control parameters and calibrations.
    2. Component calibrations.



         Sec. Appendix III to Part 1068--High-Altitude Counties

    In some cases the standard-setting part includes requirements or 
other specifications that apply for high-altitude counties. The 
following counties have substantial populated areas above 4,000 feet 
above sea level and are therefore considered to be high-altitude 
counties:

[[Page 819]]

                            STATE OF ARIZONA

Apache
Cochise
Coconino
Navajo
Yavapai

                            STATE OF COLORADO

Adams
Alamosa
Arapahoe
Archuleta
Boulder
Chaffee
Cheyenne
Clear Creek
Conejos
Costilla
Crowley
Custer
Delta
Denver
Dolores
Douglas
Eagle
Elbert
El Paso
Fremont
Garfield
Gilpin
Grand
Gunnison
Hinsdale
Huerfano
Jackson
Jefferson
Kit Carson
Lake
La Plata
Larimer
Las Animas
Lincoln
Mesa
Mineral
Moffat
Montezuma
Montrose
Morgan
Otero
Ouray
Park
Pitkin
Pueblo
Rio Blanco
Rio Grande
Routt
Saguache
San Juan
San Miguel
Summit
Teller
Washington
Weld

                             STATE OF IDAHO

Bannock
Bear Lake
Bingham
Blaine
Bonneville
Butte
Camas
Caribou
Cassia
Clark
Custer
Franklin
Fremont
Jefferson
Lemhi
Madison
Minidoka
Oneida
Power
Teton
Valley

                            STATE OF MONTANA

Beaverhead
Deer Lodge
Gallatin
Jefferson
Judith Basin
Powell
Madison
Meagher
Park
Silver Bow
Wheatland

                            STATE OF NEBRASKA

Banner
Cheyenne
Kimball
Sioux

                             STATE OF NEVADA

Carson City
Douglas
Elko
Esmeralda
Eureka
Humboldt
Lander
Lincoln
Lyon
Mineral
Nye
Pershing
Storey
Washoe
White Pine

                           STATE OF NEW MEXICO

Bernalillo
Catron
Colfax
Curry
De Baca
Grant
Guadalupe
Harding

[[Page 820]]

Hidalgo
Lincoln
Los Alamos
Luna
McKinley
Mora
Otero
Rio Arriba
Roosevelt
Sandoval
San Juan
San Miguel
Santa Fe
Sierra
Socorro
Taos
Torrance
Union
Valencia

                             STATE OF OREGON

Harney
Lake
Klamath

                             STATE OF TEXAS

Jeff Davis
Judspeth
Parmer

                              STATE OF UTAH

Beaver
Box Elder
Cache
Carbon
Daggett
Davis
Duchesne
Emery
Garfield
Grand
Iron
Juab
Kane
Millard
Morgan
Piute
Rich
Salt Lake
San Juan
Sanpete
Sevier
Summit
Tooele
Uintah
Utah
Wasatch
Wayne
Weber

[[Page 821]]

                            STATE OF WYOMING

Albany
Campbell
Carbon
Converse
Fremont
Goshen
Hot Springs
Johnson
Laramie
Lincoln
Natrona
Niobrara
Park
Platte
Sublette
Sweetwater
Teton
Uinta
Washakie
Weston



PART 1074_PREEMPTION OF STATE STANDARDS AND PROCEDURES FOR WAIVER OF FEDERAL 

PREEMPTION FOR NONROAD ENGINES AND NONROAD VEHICLES--Table of Contents



             Subpart A_Applicability and General Provisions

Sec.
1074.1 Applicability.
1074.5 Definitions.
1074.10 Scope of preemption.
1074.12 Scope of preemption--specific provisions for locomotives and 
          locomotive engines

                 Subpart B_Procedures for Authorization

1074.101 Procedures for California nonroad authorization requests.
1074.105 Criteria for granting authorization.
1074.110 Adoption of California standards by other states.
1074.115 Relationship of federal and state standards.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 59379, Oct. 8, 2008, unless otherwise noted.



             Subpart A_Applicability and General Provisions



Sec. 1074.1  Applicability.

    The requirements of this part apply with respect to state and local 
standards and other requirements relating to the control of emissions 
from nonroad engines and nonroad vehicles.



Sec. 1074.5  Definitions.

    The definitions in this section apply to this part. As used in this 
part, all undefined terms have the meaning the Act gives to them. The 
definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Administrator means the Administrator of the Environmental 
Protection Agency and any authorized representatives.
    Commercial means an activity engaged in as a vocation.
    Construction equipment or vehicle means any internal combustion 
engine-powered machine primarily used in construction and located on 
commercial construction sites.
    Engine used in a locomotive means either an engine placed in a 
locomotive to move other equipment, freight, or passenger traffic, or an 
engine mounted on a locomotive to provide auxiliary power.
    Farm equipment or vehicle means any internal combustion engine-
powered machine primarily used in the commercial production and/or 
commercial harvesting of food, fiber, wood, or commercial organic 
products or for the processing of such products for further use on the 
farm.
    Locomotive means a piece of equipment meeting the definition of 
locomotive in 40 CFR 1033.901 that is propelled by a nonroad engine.
    New has the following meanings:
    (1) For locomotives, new has the meaning given in 40 CFR 1033.901.
    (2) For engines used in locomotives, new means an engine 
incorporated in (or intended to be incorporated in) in a new locomotive.
    (3) For other nonroad engines and equipment, new means a domestic or 
imported nonroad engine or nonroad vehicle the equitable or legal title 
to which has never been transferred to an ultimate purchaser. Where the 
equitable or legal title to an engine or vehicle is not transferred to 
an ultimate purchaser until after the engine or vehicle is placed into 
service, then the engine or vehicle will no longer be new once it is 
placed into service. A nonroad engine or vehicle is placed into service 
when it is used for its functional purposes. This paragraph (3)

[[Page 822]]

does not apply to locomotives or engines used in locomotives.
    Nonroad engine has the meaning given in 40 CFR 1068.30
    Primarily used means used 51 percent or more.
    States and localities means any or all of the states, commonwealths, 
and territories in the United States including the District of Columbia 
and any or all of their political subdivisions.
    Ultimate purchaser means the first person who in good faith 
purchases a new nonroad engine or new nonroad vehicle or equipment for 
purposes other than resale.
    United States has the meaning given in 40 CFR 1068.30.



Sec. 1074.10  Scope of preemption.

    (a) States and localities are preempted from adopting or enforcing 
standards or other requirements relating to the control of emissions 
from new engines smaller than 175 horsepower that are primarily used in 
farm or construction equipment or vehicles, as defined in this part. For 
equipment that is used in applications in addition to farming or 
construction activities, if the equipment is primarily used as farm and/
or construction equipment or vehicles (as defined in this part), it is 
considered farm or construction equipment or vehicles.
    (b) For nonroad engines or vehicles other than those described in 
paragraph (a) of this section and Sec. 1074.12, States and localities 
are preempted from enforcing any standards or other requirements 
relating to control of emissions from nonroad engines or vehicles except 
as provided in subpart B of this part.



Sec. 1074.12  Scope of preemption-specific provisions for locomotives and locomotive engines

    (a) States and localities are preempted from adopting or enforcing 
standards or other requirements relating to the control of emissions 
from new locomotives and new engines used in locomotives.
    (b) During a period equivalent in length to 133 percent of the 
useful life, expressed as MW-hrs (or miles where applicable), beginning 
at the point at which the locomotive or engine becomes new, those 
standards or other requirements which are preempted include, but are not 
limited to, the following: emission standards, mandatory fleet average 
standards, certification requirements, retrofit and aftermarket 
equipment requirements, and nonfederal in-use testing requirements. The 
standards and other requirements specified in the preceding sentence are 
preempted whether applicable to new or other locomotives or locomotive 
engines.



                 Subpart B_Procedures for Authorization



Sec. 1074.101  Procedures for California nonroad authorization requests.

    (a) California must request authorization from the Administrator to 
enforce its adopted standards and other requirements relating to control 
of emissions from nonroad engines or vehicles that are not preempted by 
Sec. 1074.10(a) or Sec. 1074.12. The request must include the record 
on which the state rulemaking was based.
    (b) After receiving the authorization request, the Administrator 
will provide notice and opportunity for a public hearing regarding such 
requests.



Sec. 1074.105  Criteria for granting authorization.

    (a) The Administrator will grant the authorization if California 
determines that its standards will be, in the aggregate, at least as 
protective of public health and welfare as otherwise applicable federal 
standards.
    (b) The authorization will not be granted if the Administrator finds 
that any of the following are true:
    (1) California's determination is arbitrary and capricious.
    (2) California does not need such standards to meet compelling and 
extraordinary conditions.
    (3) The California standards and accompanying enforcement procedures 
are not consistent with section 209 of the Act (42 U.S.C. 7543).
    (c) In considering any request from California to authorize the 
state to adopt or enforce standards or other requirements relating to 
control of emissions from new nonroad spark-ignition engines smaller 
than 50 horsepower,

[[Page 823]]

the Administrator will give appropriate consideration to safety factors 
(including the potential increased risk of burn or fire) associated with 
compliance with the California standard.



Sec. 1074.110  Adoption of California standards by other states.

    (a) Except as described in paragraph (b) of this section, any state 
other than California that has plan provisions approved under Part D of 
Title I of the Act (42 U.S.C. 7501 to 7515) may adopt and enforce 
emission standards for any period for nonroad engines and vehicles 
subject to the following requirements:
    (1) The state must provide notice to the Administrator that it has 
adopted such standards.
    (2) Such standards may not apply to new engines smaller than 175 
horsepower that are used in farm or construction equipment or vehicles, 
or to new locomotives or new engines used in locomotives.
    (3) Such standards and implementation and enforcement must be 
identical, for the period concerned, to the California standards 
authorized by the Administrator.
    (4) The state must adopt such standards at least two years before 
the standards first take effect.
    (5) California must have adopted such standards two years before the 
standards first take effect in the state that is adopting them under 
this section.
    (b) States and localities, other than the State of California, may 
not adopt or attempt to enforce any standard or other requirement 
applicable to the control of emissions from spark-ignition engines 
smaller than 50 horsepower, except standards or other requirements that 
were adopted by that state before September 1, 2003.



Sec. 1074.115  Relationship of federal and state standards.

    If state standards apply to a new nonroad engine or vehicle pursuant 
to authorization granted under section 209 of the Act (42 U.S.C. 7543), 
compliance with such state standards will be treated as compliance with 
the otherwise applicable standards of this chapter for engines or 
vehicles introduced into commerce in that state.

[[Page 825]]



  CHAPTER IV--ENVIRONMENTAL PROTECTION AGENCY AND DEPARTMENT OF JUSTICE




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

     SUBCHAPTER A--ACCIDENTAL RELEASE PREVENTION REQUIREMENTS; RISK 
     MANAGEMENT PROGRAMS UNDER THE CLEAN AIR ACT SECTION 112(R)(7); 
        DISTRIBUTION OF OFF-SITE CONSEQUENCE ANALYSIS INFORMATION
Part                                                                Page
1400            Distribution of off-site consequence 
                    analysis information....................         827

[[Page 827]]



SUBCHAPTER A_ACCIDENTAL RELEASE PREVENTION REQUIREMENTS; RISK MANAGEMENT 

PROGRAMS UNDER THE CLEAN AIR ACT SECTION 112(r)(7); DISTRIBUTION OF OFF-
                  SITE CONSEQUENCE ANALYSIS INFORMATION


PART 1400_DISTRIBUTION OF OFF-SITE CONSEQUENCE ANALYSIS INFORMATION--Table of Contents



                            Subpart A_General

Sec.
1400.1 Purpose.
1400.2 Definitions.

                         Subpart B_Public Access

1400.3 Public access to paper copies of off-site consequence analysis 
          information.
1400.4 Vulnerable zone indicator system.
1400.5 Internet access to certain off-site consequence analysis data 
          elements.
1400.6 Enhanced local access.

    Subpart C_Access to Off-Site Consequence Analysis Information by 
                          Government Officials

1400.7 In general.
1400.8 Access to off-site consequence analysis information by Federal 
          Government officials.
1400.9 Access to off-site consequence analysis information by State and 
          local government officials.

                       Subpart D_Other Provisions

1400.10 Limitation on public dissemination.
1400.11 Limitation on dissemination to State and local government 
          officials.
1400.12 Qualified researchers.
1400.13 Read-only database.

    Authority: 42 U.S.C. 7412(r)(7)(H)(ii).

    Source: 65 FR 48131, Aug. 4, 2000, unless otherwise noted.



                            Subpart A_General



Sec. 1400.1  Purpose.

    Stationary sources subject to the Chemical Accident Prevention 
Provisions of 40 CFR part 68 are required to analyze the potential harm 
to public health and welfare of hypothetical chemical accidents and 
submit the results of their analyses to the U.S. Environmental 
Protection Agency as part of risk management plans. This part governs 
access by the public and by government officials to the portions of risk 
management plans containing the results of those analyses and certain 
related materials. This part also restricts dissemination of that 
information by government officials.



Sec. 1400.2  Definitions.

    For the purposes of this part:
    (a) Accidental release means an unanticipated emission of a 
regulated substance or other extremely hazardous substance into the 
ambient air from a stationary source.
    (b) Administrator means the Administrator of the U.S. Environmental 
Protection Agency or his or her designated representative.
    (c) Attorney General means the Attorney General of the United States 
or his or her designated representative.
    (d) Federal government official means--
    (1) An officer or employee of the United States; and
    (2) An officer or employee of an agent or contractor of the Federal 
government.
    (e) State or local government official means--
    (1) An officer or employee of a State or local government;
    (2) An officer or employee of an agent or contractor of a State or 
local government;
    (3) An individual affiliated with an entity that has been given, by 
a state or local government, responsibility for preventing, planning 
for, or responding to accidental releases, such as a member of a Local 
Emergency Planning Committee (LEPC) or a State Emergency Response 
Commission (SERC), or a paid or volunteer member of a fire or police 
department; or
    (4) An officer or employee or an agent or contractor of an entity 
described in paragraph (e)(3) of this section.
    (f) LEPC means a Local Emergency Planning Committee created under 
the Emergency Planning and Community Right-to-Know Act, 42 U.S.C. 11001 
et seq.

[[Page 828]]

    (g) Member of the public or person means an individual.
    (h) Official use means an action of a Federal, State, or local 
government agency or an entity described in paragraph (e)(3) of this 
section intended to carry out a function relevant to preventing, 
planning for, or responding to accidental releases.
    (i) Off-site consequence analysis (OCA) information means sections 2 
through 5 of a risk management plan (consisting of an evaluation of one 
or more worst-case release scenarios or alternative release scenarios) 
for an identified facility and any electronic database created by the 
Administrator from those sections.
    (j) Off-site consequence analysis (OCA) data elements means the 
results of the off-site consequence analysis conducted by a stationary 
source pursuant to 40 CFR part 68, subpart B, when presented in a format 
different than sections 2 through 5 of a risk management plan or any 
Administrator-created electronic database.
    (k) Off-site consequence analysis (OCA) rankings means any statewide 
or national rankings of identified stationary sources derived from OCA 
information.
    (l) Qualified researcher means a researcher who receives OCA 
information pursuant to 42 U.S.C. 7412(r)(7)(H)(vii).
    (m) Related local government agencies means local government 
agencies, such as police, fire, emergency management, and planning 
departments, that are involved in chemical emergency planning, 
prevention, or response.
    (n) Related state government agencies means State government 
agencies, such as emergency management, environmental protection, 
health, and natural resources departments, that are involved in chemical 
emergency planning, prevention, or response.
    (o) Risk management plan (RMP) means a risk management plan 
submitted to the Administrator by an owner or operator of a stationary 
source pursuant to 40 CFR part 68, subpart G.
    (p) SERC means a State Emergency Response Commission created under 
the Emergency Planning and Community Right-to-Know Act, 42 U.S.C. 11001 
et seq.
    (q) State has the same meaning as provided in 42 U.S.C. 7602(d) (a 
state, the District of Columbia, the Commonwealth of Puerto Rico, the 
Virgin Islands, Guam, American Samoa, and the Commonwealth of the 
Northern Mariana Islands).
    (r) Stationary source has the same meaning as provided in 40 CFR 
part 68 subpart A, Sec. 68.3.
    (s) Vulnerable zone means the geographical area that could be 
affected by a worst-case or alternative scenario release from a 
stationary source, as indicated by the off-site consequence analysis 
reported by the stationary source in its risk management plan pursuant 
to the applicable requirements of 40 CFR Part 68. It is defined as a 
circle, the center of which is the stationary source and the radius of 
which is the ``distance-to-endpoint,'' or the distance a toxic or 
flammable cloud, overpressure, or radiant heat would travel after being 
released and before dissipating to the point that it no longer threatens 
serious short-term harm to people or the environment.



                         Subpart B_Public Access



Sec. 1400.3  Public access to paper copies of off-site consequence analysis information.

    (a) General. The Administrator and the Attorney General shall ensure 
that any member of the public has access to a paper copy of OCA 
information in the manner prescribed by this section.
    (b) Reading-room access. Paper copies of OCA information shall be 
available in at least 50 reading rooms geographically distributed across 
the United States and its territories. The reading rooms shall allow any 
person to read, but not remove or mechanically reproduce, a paper copy 
of OCA information, in accordance with paragraphs (c) through (g) of 
this section and procedures established by the Administrator and 
Attorney General.
    (c) Limited number. Any person shall be provided with access to a 
paper copy of the OCA information for up to 10 stationary sources 
located anywhere in the country, without geographical restriction, in a 
calendar month.
    (d) Additional access. Any person also shall be provided with access 
to a paper

[[Page 829]]

copy of the OCA information for stationary sources located in the 
jurisdiction of the LEPC where the person lives or works and for any 
other stationary source that has a vulnerable zone that extends into 
that LEPC's jurisdiction.
    (e) Personal identification for access to OCA information without 
geographical restriction. Reading rooms established under this section 
shall provide a person with access to a paper copy of OCA information 
under paragraph (c) of this section only after a reading room 
representative has
    (1) Ascertained the person's identity by viewing photo 
identification issued by a Federal, State, or local government agency to 
the person; and
    (2) Obtained the person's signature on a sign-in sheet and a 
certification that the person has not received access to OCA information 
for more than 10 stationary sources for that calendar month.
    (f) Personal identification for access to local OCA information. 
Reading rooms established under this section shall provide a person with 
access to a paper copy of OCA information under paragraph (d) of this 
section only after a reading room representative has
    (1) Ascertained where the person lives or works by viewing 
appropriate documentation; and
    (2) Obtained the person's signature on a sign-in sheet.
    (g) Record keeping. Reading room personnel shall keep records of 
reading room use and certifications in accordance with procedures 
established by the Administrator and the Attorney General. These records 
shall be retained for no more than three years. Federal reading rooms 
will not index or otherwise manipulate the sign-in sheets according to 
individuals' names, except in accordance with the Privacy Act.



Sec. 1400.4  Vulnerable zone indicator system.

    (a) In general. The Administrator shall provide access to a 
computer-based indicator that shall inform any person located in any 
state whether an address specified by that person might be within the 
vulnerable zone of one or more stationary sources, according to the data 
reported in RMPs. The indicator also shall provide information about how 
to obtain further information.
    (b) Methods of access. The indicator shall be available on the 
Internet or by request made by telephone or by mail to the Administrator 
to operate the indicator for an address specified by the requestor. 
SERCs, LEPCs, and other related state or local government agencies are 
authorized and encouraged to operate the indicator as well.



Sec. 1400.5  Internet access to certain off-site consequence analysis data elements.

    The Administrator shall include only the following OCA data elements 
in the risk management plan database available on the Internet:
    (a) The concentration of the chemical (RMP Sections 2.1.b; 3.1.b);
    (b) The physical state of the chemical (RMP Sections 2.2; 3.2);
    (c) The statistical model used (RMP Sections 2.3; 3.3; 4.2; 5.2);
    (d) The endpoint used for flammables in the worst-case scenario (RMP 
Section 4.5);
    (e) The duration of the chemical release for the worst-case scenario 
(RMP Section 2.7);
    (f) The wind speed during the chemical release (RMP Sections 2.8; 
3.8);
    (g) The atmospheric stability (RMP Sections 2.9; 3.9);
    (h) The topography of the surrounding area (RMP Sections 2.10; 
3.10);
    (i) The passive mitigation systems considered (RMP Sections 2.15; 
3.15; 4.10; 5.10); and
    (j) The active mitigation systems considered (RMP Sections 3.16; 
5.11).



Sec. 1400.6  Enhanced local access.

    (a) OCA data elements. Consistent with 42 U.S.C. 
7412(r)(7)(H)(xii)(II), members of LEPCs and SERCs, and any other State 
or local government official, may convey to the public OCA data elements 
orally or in writing, as long as the data elements are not conveyed in 
the format of sections 2 through 5 of an RMP or any electronic database 
developed by the Administrator from those sections. Disseminating OCA 
data elements to the public

[[Page 830]]

in a manner consistent with this provision does not violate 42 U.S.C. 
7412(r)(7)(H)(v) and is not punishable under federal law.
    (b) OCA information. (1) LEPCs and related local government agencies 
are authorized and encouraged to allow any member of the public to read, 
but not remove or mechanically copy, a paper copy of the OCA sections of 
RMPs (i.e., sections 2 through 5) for stationary sources located within 
the jurisdiction of the LEPC and for any other stationary source that 
has a vulnerable zone that extends into that jurisdiction.
    (2) LEPCs and related local government agencies that provide read-
only access to the OCA sections of RMPs under this paragraph (b) are not 
required to limit the number of stationary sources for which a person 
can gain access, ascertain a person's identity or place of residence or 
work, or keep records of public access provided.
    (3) SERCs and related state government agencies are authorized and 
encouraged to allow any person to read, but not remove or mechanically 
copy, a paper copy of the OCA sections of RMPs for the same stationary 
sources that the LEPC in whose jurisdiction the person lives or works 
would be authorized to make available to that person under paragraph 
(b)(1) of this section.
    (4) Any LEPC, SERC, or related local or State government agency that 
allows a person to read the OCA sections of RMPs in a manner consistent 
with this paragraph (b) shall not be in violation of 42 U.S.C. 
7412(r)(7)(H)(v) or any other provision of federal law.



    Subpart C_Access to Off-Site Consequence Analysis Information by 
                          Government Officials.



Sec. 1400.7  In general.

    The Administrator shall provide OCA information to government 
officials as provided in this subpart. Any OCA information provided to 
government officials shall be accompanied by a copy of the notice 
prescribed by 42 U.S.C. 7412(r)(7)(H)(vi).



Sec. 1400.8  Access to off-site consequence analysis information by Federal 

government officials.

    The Administrator shall provide any Federal government official with 
the OCA information requested by the official for official use. The 
Administrator shall provide the OCA information to the official in 
electronic form, unless the official specifically requests the 
information in paper form. The Administrator may charge a fee to cover 
the cost of copying OCA information in paper form.



Sec. 1400.9  Access to off-site consequence analysis information by 

State and local government officials.

    (a) The Administrator shall make available to any State or local 
government official for official use the OCA information for stationary 
sources located in the official's state.
    (b) The Administrator also shall make available to any State or 
local government official for official use the OCA information for 
stationary sources not located in the official's state, at the request 
of the official.
    (c) The Administrator shall provide OCA information to a State or 
local government official in electronic form, unless the official 
specifically requests the information in paper form. The Administrator 
may charge a fee to cover the cost of copying OCA information in paper 
form.
    (d) Any State or local government official is authorized to provide, 
for official use, OCA information relating to stationary sources located 
in the official's state to other State or local government officials in 
that state and to State or local government officials in a contiguous 
state.



                       Subpart D_Other Provisions



Sec. 1400.10  Limitation on public dissemination.

    Except as authorized by this part and by 42 U.S.C. 
7412(r)(7)(H)(v)(III), Federal, State, and local government officials, 
and qualified researchers are prohibited from disseminating OCA 
information and OCA rankings to the public. Violation of this provision 
subjects the violator to criminal liability as provided in 42 U.S.C. 
7412(r)(7)(H)(v)

[[Page 831]]

and civil liability as provided in 42 U.S.C. 7413.



Sec. 1400.11  Limitation on dissemination to State and local government officials.

    Except as authorized by this part and by 42 U.S.C. 
7412(r)(7)(H)(v)(III), Federal, State, and local government officials, 
and qualified researchers are prohibited from disseminating OCA 
information to State and local government officials. Violation of this 
provision subjects the violator to civil liability as provided in 42 
U.S.C. 7413.



Sec. 1400.12  Qualified researchers.

    The Administrator is authorized to provide OCA information, 
including facility identification, to qualified researchers pursuant to 
a system developed and implemented under 42 U.S.C. 7412(r)(7)(H)(vii), 
in consultation with the Attorney General.



Sec. 1400.13  Read-only database.

    The Administrator is authorized to establish, pursuant to 42 U.S.C. 
7412(r)(7)(H)(viii), an information technology system that makes 
available to the public off-site consequence analysis information by 
means of a central database under the control of the Federal government 
that contains information that users may read, but that provides no 
means by which an electronic or mechanical copy of the information may 
be made.

[[Page 833]]



               CHAPTER V--COUNCIL ON ENVIRONMENTAL QUALITY




  --------------------------------------------------------------------
Part                                                                Page
1500            Purpose, policy, and mandate................         835
1501            NEPA and agency planning....................         837
1502            Environmental impact statement..............         841
1503            Commenting..................................         848
1504            Predecision referrals to the Council of 
                    proposed Federal actions determined to 
                    be environmentally unsatisfactory.......         849
1505            NEPA and agency decisionmaking..............         851
1506            Other requirements of NEPA..................         852
1507            Agency compliance...........................         857
1508            Terminology and index.......................         859
                Index to Parts 1500 Through 1508............         864
1515            Freedom of Information Act procedures.......         865
1516            Privacy Act implementation..................         872
1517            Public meeting procedures of the Council on 
                    Environmental Quality...................         874
1518            Office of Environmental Quality Management 
                    Fund....................................         878


PART 1500_PURPOSE, POLICY, AND MANDATE--Table of Contents



[[Page 835]]

Sec.
1500.1 Purpose.
1500.2 Policy.
1500.3 Mandate.
1500.4 Reducing paperwork.
1500.5 Reducing delay.
1500.6 Agency authority.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609) and E.O. 11514, Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55990, Nov. 28, 1978, unless otherwise noted.



Sec. 1500.1  Purpose.

    (a) The National Environmental Policy Act (NEPA) is our basic 
national charter for protection of the environment. It establishes 
policy, sets goals (section 101), and provides means (section 102) for 
carrying out the policy. Section 102(2) contains ``action-forcing'' 
provisions to make sure that federal agencies act according to the 
letter and spirit of the Act. The regulations that follow implement 
section 102(2). Their purpose is to tell federal agencies what they must 
do to comply with the procedures and achieve the goals of the Act. The 
President, the federal agencies, and the courts share responsibility for 
enforcing the Act so as to achieve the substantive requirements of 
section 101.
    (b) NEPA procedures must insure that environmental information is 
available to public officials and citizens before decisions are made and 
before actions are taken. The information must be of high quality. 
Accurate scientific analysis, expert agency comments, and public 
scrutiny are essential to implementing NEPA. Most important, NEPA 
documents must concentrate on the issues that are truly significant to 
the action in question, rather than amassing needless detail.
    (c) Ultimately, of course, it is not better documents but better 
decisions that count. NEPA's purpose is not to generate paperwork--even 
excellent paperwork--but to foster excellent action. The NEPA process is 
intended to help public officials make decisions that are based on 
understanding of environmental consequences, and take actions that 
protect, restore, and enhance the environment. These regulations provide 
the direction to achieve this purpose.



Sec. 1500.2  Policy.

    Federal agencies shall to the fullest extent possible:
    (a) Interpret and administer the policies, regulations, and public 
laws of the United States in accordance with the policies set forth in 
the Act and in these regulations.
    (b) Implement procedures to make the NEPA process more useful to 
decisionmakers and the public; to reduce paperwork and the accumulation 
of extraneous background data; and to emphasize real environmental 
issues and alternatives. Environmental impact statements shall be 
concise, clear, and to the point, and shall be supported by evidence 
that agencies have made the necessary environmental analyses.
    (c) Integrate the requirements of NEPA with other planning and 
environmental review procedures required by law or by agency practice so 
that all such procedures run concurrently rather than consecutively.
    (d) Encourage and facilitate public involvement in decisions which 
affect the quality of the human environment.
    (e) Use the NEPA process to identify and assess the reasonable 
alternatives to proposed actions that will avoid or minimize adverse 
effects of these actions upon the quality of the human environment.
    (f) Use all practicable means, consistent with the requirements of 
the Act and other essential considerations of national policy, to 
restore and enhance the quality of the human environment and avoid or 
minimize any possible adverse effects of their actions upon the quality 
of the human environment.



Sec. 1500.3  Mandate.

    Parts 1500 through 1508 of this title provide regulations applicable 
to and binding on all Federal agencies for implementing the procedural 
provisions of the National Environmental Policy Act of 1969, as amended 
(Pub. L. 91-190, 42 U.S.C. 4321 et seq.) (NEPA or the Act)

[[Page 836]]

except where compliance would be inconsistent with other statutory 
requirements. These regulations are issued pursuant to NEPA, the 
Environmental Quality Improvement Act of 1970, as amended (42 U.S.C. 
4371 et seq.) section 309 of the Clean Air Act, as amended (42 U.S.C. 
7609) and Executive Order 11514, Protection and Enhancement of 
Environmental Quality (March 5, 1970, as amended by Executive Order 
11991, May 24, 1977). These regulations, unlike the predecessor 
guidelines, are not confined to sec. 102(2)(C) (environmental impact 
statements). The regulations apply to the whole of section 102(2). The 
provisions of the Act and of these regulations must be read together as 
a whole in order to comply with the spirit and letter of the law. It is 
the Council's intention that judicial review of agency compliance with 
these regulations not occur before an agency has filed the final 
environmental impact statement, or has made a final finding of no 
significant impact (when such a finding will result in action affecting 
the environment), or takes action that will result in irreparable 
injury. Furthermore, it is the Council's intention that any trivial 
violation of these regulations not give rise to any independent cause of 
action.



Sec. 1500.4  Reducing paperwork.

    Agencies shall reduce excessive paperwork by:
    (a) Reducing the length of environmental impact statements (Sec. 
1502.2(c)), by means such as setting appropriate page limits (Sec. Sec. 
1501.7(b)(1) and 1502.7).
    (b) Preparing analytic rather than encyclopedic environmental impact 
statements (Sec. 1502.2(a)).
    (c) Discussing only briefly issues other than significant ones 
(Sec. 1502.2(b)).
    (d) Writing environmental impact statements in plain language (Sec. 
1502.8).
    (e) Following a clear format for environmental impact statements 
(Sec. 1502.10).
    (f) Emphasizing the portions of the environmental impact statement 
that are useful to decisionmakers and the public (Sec. Sec. 1502.14 and 
1502.15) and reducing emphasis on background material (Sec. 1502.16).
    (g) Using the scoping process, not only to identify significant 
environmental issues deserving of study, but also to deemphasize 
insignificant issues, narrowing the scope of the environmental impact 
statement process accordingly (Sec. 1501.7).
    (h) Summarizing the environmental impact statement (Sec. 1502.12) 
and circulating the summary instead of the entire environmental impact 
statement if the latter is unusually long (Sec. 1502.19).
    (i) Using program, policy, or plan environmental impact statements 
and tiering from statements of broad scope to those of narrower scope, 
to eliminate repetitive discussions of the same issues (Sec. Sec. 
1502.4 and 1502.20).
    (j) Incorporating by reference (Sec. 1502.21).
    (k) Integrating NEPA requirements with other environmental review 
and consultation requirements (Sec. 1502.25).
    (l) Requiring comments to be as specific as possible (Sec. 1503.3).
    (m) Attaching and circulating only changes to the draft 
environmental impact statement, rather than rewriting and circulating 
the entire statement when changes are minor (Sec. 1503.4(c)).
    (n) Eliminating duplication with State and local procedures, by 
providing for joint preparation (Sec. 1506.2), and with other Federal 
procedures, by providing that an agency may adopt appropriate 
environmental documents prepared by another agency (Sec. 1506.3).
    (o) Combining environmental documents with other documents (Sec. 
1506.4).
    (p) Using categorical exclusions to define categories of actions 
which do not individually or cumulatively have a significant effect on 
the human environment and which are therefore exempt from requirements 
to prepare an environmental impact statement (Sec. 1508.4).
    (q) Using a finding of no significant impact when an action not 
otherwise excluded will not have a significant effect on the human 
environment and is therefore exempt from requirements to prepare an 
environmental impact statement (Sec. 1508.13).

[43 FR 55990, Nov. 29, 1978; 44 FR 873, Jan. 3, 1979]



Sec. 1500.5  Reducing delay.

    Agencies shall reduce delay by:

[[Page 837]]

    (a) Integrating the NEPA process into early planning (Sec. 1501.2).
    (b) Emphasizing interagency cooperation before the environmental 
impact statement is prepared, rather than submission of adversary 
comments on a completed document (Sec. 1501.6).
    (c) Insuring the swift and fair resolution of lead agency disputes 
(Sec. 1501.5).
    (d) Using the scoping process for an early identification of what 
are and what are not the real issues (Sec. 1501.7).
    (e) Establishing appropriate time limits for the environmental 
impact statement process (Sec. Sec. 1501.7(b)(2) and 1501.8).
    (f) Preparing environmental impact statements early in the process 
(Sec. 1502.5).
    (g) Integrating NEPA requirements with other environmental review 
and consultation requirements (Sec. 1502.25).
    (h) Eliminating duplication with State and local procedures by 
providing for joint preparation (Sec. 1506.2) and with other Federal 
procedures by providing that an agency may adopt appropriate 
environmental documents prepared by another agency (Sec. 1506.3).
    (i) Combining environmental documents with other documents (Sec. 
1506.4).
    (j) Using accelerated procedures for proposals for legislation 
(Sec. 1506.8).
    (k) Using categorical exclusions to define categories of actions 
which do not individually or cumulatively have a significant effect on 
the human environment (Sec. 1508.4) and which are therefore exempt from 
requirements to prepare an environmental impact statement.
    (l) Using a finding of no significant impact when an action not 
otherwise excluded will not have a significant effect on the human 
environment (Sec. 1508.13) and is therefore exempt from requirements to 
prepare an environmental impact statement.



Sec. 1500.6  Agency authority.

    Each agency shall interpret the provisions of the Act as a 
supplement to its existing authority and as a mandate to view 
traditional policies and missions in the light of the Act's national 
environmental objectives. Agencies shall review their policies, 
procedures, and regulations accordingly and revise them as necessary to 
insure full compliance with the purposes and provisions of the Act. The 
phrase ``to the fullest extent possible'' in section 102 means that each 
agency of the Federal Government shall comply with that section unless 
existing law applicable to the agency's operations expressly prohibits 
or makes compliance impossible.



PART 1501_NEPA AND AGENCY PLANNING--Table of Contents



Sec.
1501.1 Purpose.
1501.2 Apply NEPA early in the process.
1501.3 When to prepare an environmental assessment.
1501.4 Whether to prepare an environmental impact statement.
1501.5 Lead agencies.
1501.6 Cooperating agencies.
1501.7 Scoping.
1501.8 Time limits.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609, and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55992, Nov. 29, 1978, unless otherwise noted.



Sec. 1501.1  Purpose.

    The purposes of this part include:
    (a) Integrating the NEPA process into early planning to insure 
appropriate consideration of NEPA's policies and to eliminate delay.
    (b) Emphasizing cooperative consultation among agencies before the 
environmental impact statement is prepared rather than submission of 
adversary comments on a completed document.
    (c) Providing for the swift and fair resolution of lead agency 
disputes.
    (d) Identifying at an early stage the significant environmental 
issues deserving of study and deemphasizing insignificant issues, 
narrowing the scope of the environmental impact statement accordingly.
    (e) Providing a mechanism for putting appropriate time limits on the 
environmental impact statement process.

[[Page 838]]



Sec. 1501.2  Apply NEPA early in the process.

    Agencies shall integrate the NEPA process with other planning at the 
earliest possible time to insure that planning and decisions reflect 
environmental values, to avoid delays later in the process, and to head 
off potential conflicts. Each agency shall:
    (a) Comply with the mandate of section 102(2)(A) to ``utilize a 
systematic, interdisciplinary approach which will insure the integrated 
use of the natural and social sciences and the environmental design arts 
in planning and in decisionmaking which may have an impact on man's 
environment,'' as specified by Sec. 1507.2.
    (b) Identify environmental effects and values in adequate detail so 
they can be compared to economic and technical analyses. Environmental 
documents and appropriate analyses shall be circulated and reviewed at 
the same time as other planning documents.
    (c) Study, develop, and describe appropriate alternatives to 
recommended courses of action in any proposal which involves unresolved 
conflicts concerning alternative uses of available resources as provided 
by section 102(2)(E) of the Act.
    (d) Provide for cases where actions are planned by private 
applicants or other non-Federal entities before Federal involvement so 
that:
    (1) Policies or designated staff are available to advise potential 
applicants of studies or other information foreseeably required for 
later Federal action.
    (2) The Federal agency consults early with appropriate State and 
local agencies and Indian tribes and with interested private persons and 
organizations when its own involvement is reasonably foreseeable.
    (3) The Federal agency commences its NEPA process at the earliest 
possible time.



Sec. 1501.3  When to prepare an environmental assessment.

    (a) Agencies shall prepare an environmental assessment (Sec. 
1508.9) when necessary under the procedures adopted by individual 
agencies to supplement these regulations as described in Sec. 1507.3. 
An assessment is not necessary if the agency has decided to prepare an 
environmental impact statement.
    (b) Agencies may prepare an environmental assessment on any action 
at any time in order to assist agency planning and decisionmaking.



Sec. 1501.4  Whether to prepare an environmental impact statement.

    In determining whether to prepare an environmental impact statement 
the Federal agency shall:
    (a) Determine under its procedures supplementing these regulations 
(described in Sec. 1507.3) whether the proposal is one which:
    (1) Normally requires an environmental impact statement, or
    (2) Normally does not require either an environmental impact 
statement or an environmental assessment (categorical exclusion).
    (b) If the proposed action is not covered by paragraph (a) of this 
section, prepare an environmental assessment (Sec. 1508.9). The agency 
shall involve environmental agencies, applicants, and the public, to the 
extent practicable, in preparing assessments required by Sec. 
1508.9(a)(1).
    (c) Based on the environmental assessment make its determination 
whether to prepare an environmental impact statement.
    (d) Commence the scoping process (Sec. 1501.7), if the agency will 
prepare an environmental impact statement.
    (e) Prepare a finding of no significant impact (Sec. 1508.13), if 
the agency determines on the basis of the environmental assessment not 
to prepare a statement.
    (1) The agency shall make the finding of no significant impact 
available to the affected public as specified in Sec. 1506.6.
    (2) In certain limited circumstances, which the agency may cover in 
its procedures under Sec. 1507.3, the agency shall make the finding of 
no significant impact available for public review (including State and 
areawide clearinghouses) for 30 days before the agency makes its final 
determination whether to prepare an environmental impact statement and 
before the action may begin. The circumstances are:

[[Page 839]]

    (i) The proposed action is, or is closely similar to, one which 
normally requires the preparation of an environmental impact statement 
under the procedures adopted by the agency pursuant to Sec. 1507.3, or
    (ii) The nature of the proposed action is one without precedent.



Sec. 1501.5  Lead agencies.

    (a) A lead agency shall supervise the preparation of an 
environmental impact statement if more than one Federal agency either:
    (1) Proposes or is involved in the same action; or
    (2) Is involved in a group of actions directly related to each other 
because of their functional interdependence or geographical proximity.
    (b) Federal, State, or local agencies, including at least one 
Federal agency, may act as joint lead agencies to prepare an 
environmental impact statement (Sec. 1506.2).
    (c) If an action falls within the provisions of paragraph (a) of 
this section the potential lead agencies shall determine by letter or 
memorandum which agency shall be the lead agency and which shall be 
cooperating agencies. The agencies shall resolve the lead agency 
question so as not to cause delay. If there is disagreement among the 
agencies, the following factors (which are listed in order of descending 
importance) shall determine lead agency designation:
    (1) Magnitude of agency's involvement.
    (2) Project approval/disapproval authority.
    (3) Expertise concerning the action's environmental effects.
    (4) Duration of agency's involvement.
    (5) Sequence of agency's involvement.
    (d) Any Federal agency, or any State or local agency or private 
person substantially affected by the absence of lead agency designation, 
may make a written request to the potential lead agencies that a lead 
agency be designated.
    (e) If Federal agencies are unable to agree on which agency will be 
the lead agency or if the procedure described in paragraph (c) of this 
section has not resulted within 45 days in a lead agency designation, 
any of the agencies or persons concerned may file a request with the 
Council asking it to determine which Federal agency shall be the lead 
agency.

A copy of the request shall be transmitted to each potential lead 
agency. The request shall consist of:
    (1) A precise description of the nature and extent of the proposed 
action.
    (2) A detailed statement of why each potential lead agency should or 
should not be the lead agency under the criteria specified in paragraph 
(c) of this section.
    (f) A response may be filed by any potential lead agency concerned 
within 20 days after a request is filed with the Council. The Council 
shall determine as soon as possible but not later than 20 days after 
receiving the request and all responses to it which Federal agency shall 
be the lead agency and which other Federal agencies shall be cooperating 
agencies.

[43 FR 55992, Nov. 29, 1978; 44 FR 873, Jan. 3, 1979]



Sec. 1501.6  Cooperating agencies.

    The purpose of this section is to emphasize agency cooperation early 
in the NEPA process. Upon request of the lead agency, any other Federal 
agency which has jurisdiction by law shall be a cooperating agency. In 
addition any other Federal agency which has special expertise with 
respect to any environmental issue, which should be addressed in the 
statement may be a cooperating agency upon request of the lead agency. 
An agency may request the lead agency to designate it a cooperating 
agency.
    (a) The lead agency shall:
    (1) Request the participation of each cooperating agency in the NEPA 
process at the earliest possible time.
    (2) Use the environmental analysis and proposals of cooperating 
agencies with jurisdiction by law or special expertise, to the maximum 
extent possible consistent with its responsibility as lead agency.
    (3) Meet with a cooperating agency at the latter's request.
    (b) Each cooperating agency shall:
    (1) Participate in the NEPA process at the earliest possible time.

[[Page 840]]

    (2) Participate in the scoping process (described below in Sec. 
1501.7).
    (3) Assume on request of the lead agency responsibility for 
developing information and preparing environmental analyses including 
portions of the environmental impact statement concerning which the 
cooperating agency has special expertise.
    (4) Make available staff support at the lead agency's request to 
enhance the latter's interdisciplinary capability.
    (5) Normally use its own funds. The lead agency shall, to the extent 
available funds permit, fund those major activities or analyses it 
requests from cooperating agencies. Potential lead agencies shall 
include such funding requirements in their budget requests.
    (c) A cooperating agency may in response to a lead agency's request 
for assistance in preparing the environmental impact statement 
(described in paragraph (b)(3), (4), or (5) of this section) reply that 
other program commitments preclude any involvement or the degree of 
involvement requested in the action that is the subject of the 
environmental impact statement. A copy of this reply shall be submitted 
to the Council.



Sec. 1501.7  Scoping.

    There shall be an early and open process for determining the scope 
of issues to be addressed and for identifying the significant issues 
related to a proposed action. This process shall be termed scoping. As 
soon as practicable after its decision to prepare an environmental 
impact statement and before the scoping process the lead agency shall 
publish a notice of intent (Sec. 1508.22) in the Federal Register 
except as provided in Sec. 1507.3(e).
    (a) As part of the scoping process the lead agency shall:
    (1) Invite the participation of affected Federal, State, and local 
agencies, any affected Indian tribe, the proponent of the action, and 
other interested persons (including those who might not be in accord 
with the action on environmental grounds), unless there is a limited 
exception under Sec. 1507.3(c). An agency may give notice in accordance 
with Sec. 1506.6.
    (2) Determine the scope (Sec. 1508.25) and the significant issues 
to be analyzed in depth in the environmental impact statement.
    (3) Identify and eliminate from detailed study the issues which are 
not significant or which have been covered by prior environmental review 
(Sec. 1506.3), narrowing the discussion of these issues in the 
statement to a brief presentation of why they will not have a 
significant effect on the human environment or providing a reference to 
their coverage elsewhere.
    (4) Allocate assignments for preparation of the environmental impact 
statement among the lead and cooperating agencies, with the lead agency 
retaining responsibility for the statement.
    (5) Indicate any public environmental assessments and other 
environmental impact statements which are being or will be prepared that 
are related to but are not part of the scope of the impact statement 
under consideration.
    (6) Identify other environmental review and consultation 
requirements so the lead and cooperating agencies may prepare other 
required analyses and studies concurrently with, and integrated with, 
the environmental impact statement as provided in Sec. 1502.25.
    (7) Indicate the relationship between the timing of the preparation 
of environmental analyses and the agency's tentative planning and 
decisionmaking schedule.
    (b) As part of the scoping process the lead agency may:
    (1) Set page limits on environmental documents (Sec. 1502.7).
    (2) Set time limits (Sec. 1501.8).
    (3) Adopt procedures under Sec. 1507.3 to combine its environmental 
assessment process with its scoping process.
    (4) Hold an early scoping meeting or meetings which may be 
integrated with any other early planning meeting the agency has. Such a 
scoping meeting will often be appropriate when the impacts of a 
particular action are confined to specific sites.
    (c) An agency shall revise the determinations made under paragraphs 
(a) and (b) of this section if substantial changes are made later in the 
proposed

[[Page 841]]

action, or if significant new circumstances or information arise which 
bear on the proposal or its impacts.



Sec. 1501.8  Time limits.

    Although the Council has decided that prescribed universal time 
limits for the entire NEPA process are too inflexible, Federal agencies 
are encouraged to set time limits appropriate to individual actions 
(consistent with the time intervals required by Sec. 1506.10). When 
multiple agencies are involved the reference to agency below means lead 
agency.
    (a) The agency shall set time limits if an applicant for the 
proposed action requests them: Provided, That the limits are consistent 
with the purposes of NEPA and other essential considerations of national 
policy.
    (b) The agency may:
    (1) Consider the following factors in determining time limits:
    (i) Potential for environmental harm.
    (ii) Size of the proposed action.
    (iii) State of the art of analytic techniques.
    (iv) Degree of public need for the proposed action, including the 
consequences of delay.
    (v) Number of persons and agencies affected.
    (vi) Degree to which relevant information is known and if not known 
the time required for obtaining it.
    (vii) Degree to which the action is controversial.
    (viii) Other time limits imposed on the agency by law, regulations, 
or executive order.
    (2) Set overall time limits or limits for each constituent part of 
the NEPA process, which may include:
    (i) Decision on whether to prepare an environmental impact statement 
(if not already decided).
    (ii) Determination of the scope of the environmental impact 
statement.
    (iii) Preparation of the draft environmental impact statement.
    (iv) Review of any comments on the draft environmental impact 
statement from the public and agencies.
    (v) Preparation of the final environmental impact statement.
    (vi) Review of any comments on the final environmental impact 
statement.
    (vii) Decision on the action based in part on the environmental 
impact statement.
    (3) Designate a person (such as the project manager or a person in 
the agency's office with NEPA responsibilities) to expedite the NEPA 
process.
    (c) State or local agencies or members of the public may request a 
Federal Agency to set time limits.



PART 1502_ENVIRONMENTAL IMPACT STATEMENT--Table of Contents



Sec.
1502.1 Purpose.
1502.2 Implementation.
1502.3 Statutory requirements for statements.
1502.4 Major Federal actions requiring the preparation of environmental 
          impact statements.
1502.5 Timing.
1502.6 Interdisciplinary preparation.
1502.7 Page limits.
1502.8 Writing.
1502.9 Draft, final, and supplemental statements.
1502.10 Recommended format.
1502.11 Cover sheet.
1502.12 Summary.
1502.13 Purpose and need.
1502.14 Alternatives including the proposed action.
1502.15 Affected environment.
1502.16 Environmental consequences.
1502.17 List of preparers.
1502.18 Appendix.
1502.19 Circulation of the environmental impact statement.
1502.20 Tiering.
1502.21 Incorporation by reference.
1502.22 Incomplete or unavailable information.
1502.23 Cost-benefit analysis.
1502.24 Methodology and scientific accuracy.
1502.25 Environmental review and consultation requirements.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55994, Nov. 29, 1978, unless otherwise noted.



Sec. 1502.1  Purpose.

    The primary purpose of an environmental impact statement is to serve 
as an action-forcing device to insure that the policies and goals 
defined in the

[[Page 842]]

Act are infused into the ongoing programs and actions of the Federal 
Government. It shall provide full and fair discussion of significant 
environmental impacts and shall inform decisionmakers and the public of 
the reasonable alternatives which would avoid or minimize adverse 
impacts or enhance the quality of the human environment. Agencies shall 
focus on significant environmental issues and alternatives and shall 
reduce paperwork and the accumulation of extraneous background data. 
Statements shall be concise, clear, and to the point, and shall be 
supported by evidence that the agency has made the necessary 
environmental analyses. An environmental impact statement is more than a 
disclosure document. It shall be used by Federal officials in 
conjunction with other relevant material to plan actions and make 
decisions.



Sec. 1502.2  Implementation.

    To achieve the purposes set forth in Sec. 1502.1 agencies shall 
prepare environmental impact statements in the following manner:
    (a) Environmental impact statements shall be analytic rather than 
encyclopedic.
    (b) Impacts shall be discussed in proportion to their significance. 
There shall be only brief discussion of other than significant issues. 
As in a finding of no significant impact, there should be only enough 
discussion to show why more study is not warranted.
    (c) Environmental impact statements shall be kept concise and shall 
be no longer than absolutely necessary to comply with NEPA and with 
these regulations. Length should vary first with potential environmental 
problems and then with project size.
    (d) Environmental impact statements shall state how alternatives 
considered in it and decisions based on it will or will not achieve the 
requirements of sections 101 and 102(1) of the Act and other 
environmental laws and policies.
    (e) The range of alternatives discussed in environmental impact 
statements shall encompass those to be considered by the ultimate agency 
decisionmaker.
    (f) Agencies shall not commit resources prejudicing selection of 
alternatives before making a final decision (Sec. 1506.1).
    (g) Environmental impact statements shall serve as the means of 
assessing the environmental impact of proposed agency actions, rather 
than justifying decisions already made.



Sec. 1502.3  Statutory requirements for statements.

    As required by sec. 102(2)(C) of NEPA environmental impact 
statements (Sec. 1508.11) are to be included in every recommendation or 
report.
    On proposals (Sec. 1508.23).
    For legislation and (Sec. 1508.17).
    Other major Federal actions (Sec. 1508.18).
    Significantly (Sec. 1508.27).
    Affecting (Sec. Sec. 1508.3, 1508.8).
    The quality of the human environment (Sec. 1508.14).



Sec. 1502.4  Major Federal actions requiring the preparation of environmental impact statements.

    (a) Agencies shall make sure the proposal which is the subject of an 
environmental impact statement is properly defined. Agencies shall use 
the criteria for scope (Sec. 1508.25) to determine which proposal(s) 
shall be the subject of a particular statement. Proposals or parts of 
proposals which are related to each other closely enough to be, in 
effect, a single course of action shall be evaluated in a single impact 
statement.
    (b) Environmental impact statements may be prepared, and are 
sometimes required, for broad Federal actions such as the adoption of 
new agency programs or regulations (Sec. 1508.18). Agencies shall 
prepare statements on broad actions so that they are relevant to policy 
and are timed to coincide with meaningful points in agency planning and 
decisionmaking.
    (c) When preparing statements on broad actions (including proposals 
by more than one agency), agencies may find it useful to evaluate the 
proposal(s) in one of the following ways:
    (1) Geographically, including actions occurring in the same general 
location, such as body of water, region, or metropolitan area.
    (2) Generically, including actions which have relevant similarities, 
such

[[Page 843]]

as common timing, impacts, alternatives, methods of implementation, 
media, or subject matter.
    (3) By stage of technological development including federal or 
federally assisted research, development or demonstration programs for 
new technologies which, if applied, could significantly affect the 
quality of the human environment. Statements shall be prepared on such 
programs and shall be available before the program has reached a stage 
of investment or commitment to implementation likely to determine 
subsequent development or restrict later alternatives.
    (d) Agencies shall as appropriate employ scoping (Sec. 1501.7), 
tiering (Sec. 1502.20), and other methods listed in Sec. Sec. 1500.4 
and 1500.5 to relate broad and narrow actions and to avoid duplication 
and delay.



Sec. 1502.5  Timing.

    An agency shall commence preparation of an environmental impact 
statement as close as possible to the time the agency is developing or 
is presented with a proposal (Sec. 1508.23) so that preparation can be 
completed in time for the final statement to be included in any 
recommendation or report on the proposal. The statement shall be 
prepared early enough so that it can serve practically as an important 
contribution to the decisionmaking process and will not be used to 
rationalize or justify decisions already made (Sec. Sec. 1500.2(c), 
1501.2, and 1502.2). For instance:
    (a) For projects directly undertaken by Federal agencies the 
environmental impact statement shall be prepared at the feasibility 
analysis (go-no go) stage and may be supplemented at a later stage if 
necessary.
    (b) For applications to the agency appropriate environmental 
assessments or statements shall be commenced no later than immediately 
after the application is received. Federal agencies are encouraged to 
begin preparation of such assessments or statements earlier, preferably 
jointly with applicable State or local agencies.
    (c) For adjudication, the final environmental impact statement shall 
normally precede the final staff recommendation and that portion of the 
public hearing related to the impact study. In appropriate circumstances 
the statement may follow preliminary hearings designed to gather 
information for use in the statements.
    (d) For informal rulemaking the draft environmental impact statement 
shall normally accompany the proposed rule.



Sec. 1502.6  Interdisciplinary preparation.

    Environmental impact statements shall be prepared using an inter-
disciplinary approach which will insure the integrated use of the 
natural and social sciences and the environmental design arts (section 
102(2)(A) of the Act). The disciplines of the preparers shall be 
appropriate to the scope and issues identified in the scoping process 
(Sec. 1501.7).



Sec. 1502.7  Page limits.

    The text of final environmental impact statements (e.g., paragraphs 
(d) through (g) of Sec. 1502.10) shall normally be less than 150 pages 
and for proposals of unusual scope or complexity shall normally be less 
than 300 pages.



Sec. 1502.8  Writing.

    Environmental impact statements shall be written in plain language 
and may use appropriate graphics so that decisionmakers and the public 
can readily understand them. Agencies should employ writers of clear 
prose or editors to write, review, or edit statements, which will be 
based upon the analysis and supporting data from the natural and social 
sciences and the environmental design arts.



Sec. 1502.9  Draft, final, and supplemental statements.

    Except for proposals for legislation as provided in Sec. 1506.8 
environmental impact statements shall be prepared in two stages and may 
be supplemented.
    (a) Draft environmental impact statements shall be prepared in 
accordance with the scope decided upon in the scoping process. The lead 
agency shall work with the cooperating agencies and shall obtain 
comments as required in part 1503 of this chapter. The draft statement 
must fulfill and satisfy to the fullest extent possible the requirements 
established for final statements

[[Page 844]]

in section 102(2)(C) of the Act. If a draft statement is so inadequate 
as to preclude meaningful analysis, the agency shall prepare and 
circulate a revised draft of the appropriate portion. The agency shall 
make every effort to disclose and discuss at appropriate points in the 
draft statement all major points of view on the environmental impacts of 
the alternatives including the proposed action.
    (b) Final environmental impact statements shall respond to comments 
as required in part 1503 of this chapter. The agency shall discuss at 
appropriate points in the final statement any responsible opposing view 
which was not adequately discussed in the draft statement and shall 
indicate the agency's response to the issues raised.
    (c) Agencies:
    (1) Shall prepare supplements to either draft or final environmental 
impact statements if:
    (i) The agency makes substantial changes in the proposed action that 
are relevant to environmental concerns; or
    (ii) There are significant new circumstances or information relevant 
to environmental concerns and bearing on the proposed action or its 
impacts.
    (2) May also prepare supplements when the agency determines that the 
purposes of the Act will be furthered by doing so.
    (3) Shall adopt procedures for introducing a supplement into its 
formal administrative record, if such a record exists.
    (4) Shall prepare, circulate, and file a supplement to a statement 
in the same fashion (exclusive of scoping) as a draft and final 
statement unless alternative procedures are approved by the Council.



Sec. 1502.10  Recommended format.

    Agencies shall use a format for environmental impact statements 
which will encourage good analysis and clear presentation of the 
alternatives including the proposed action. The following standard 
format for environmental impact statements should be followed unless the 
agency determines that there is a compelling reason to do otherwise:
    (a) Cover sheet.
    (b) Summary.
    (c) Table of contents.
    (d) Purpose of and need for action.
    (e) Alternatives including proposed action (sections 102(2)(C)(iii) 
and 102(2)(E) of the Act).
    (f) Affected environment.
    (g) Environmental consequences (especially sections 102(2)(C)(i), 
(ii), (iv), and (v) of the Act).
    (h) List of preparers.
    (i) List of Agencies, Organizations, and persons to whom copies of 
the statement are sent.
    (j) Index.
    (k) Appendices (if any).

If a different format is used, it shall include paragraphs (a), (b), 
(c), (h), (i), and (j), of this section and shall include the substance 
of paragraphs (d), (e), (f), (g), and (k) of this section, as further 
described in Sec. Sec. 1502.11 through 1502.18, in any appropriate 
format.



Sec. 1502.11  Cover sheet.

    The cover sheet shall not exceed one page. It shall include:
    (a) A list of the responsible agencies including the lead agency and 
any cooperating agencies.
    (b) The title of the proposed action that is the subject of the 
statement (and if appropriate the titles of related cooperating agency 
actions), together with the State(s) and county(ies) (or other 
jurisdiction if applicable) where the action is located.
    (c) The name, address, and telephone number of the person at the 
agency who can supply further information.
    (d) A designation of the statement as a draft, final, or draft or 
final supplement.
    (e) A one paragraph abstract of the statement.
    (f) The date by which comments must be received (computed in 
cooperation with EPA under Sec. 1506.10).

The information required by this section may be entered on Standard Form 
424 (in items 4, 6, 7, 10, and 18).



Sec. 1502.12  Summary.

    Each environmental impact statement shall contain a summary which 
adequately and accurately summarizes the statement. The summary shall 
stress the major conclusions, areas of controversy (including issues 
raised by agencies and the public), and the issues to be resolved 
(including the choice

[[Page 845]]

among alternatives). The summary will normally not exceed 15 pages.



Sec. 1502.13  Purpose and need.

    The statement shall briefly specify the underlying purpose and need 
to which the agency is responding in proposing the alternatives 
including the proposed action.



Sec. 1502.14  Alternatives including the proposed action.

    This section is the heart of the environmental impact statement. 
Based on the information and analysis presented in the sections on the 
Affected Environment (Sec. 1502.15) and the Environmental Consequences 
(Sec. 1502.16), it should present the environmental impacts of the 
proposal and the alternatives in comparative form, thus sharply defining 
the issues and providing a clear basis for choice among options by the 
decisionmaker and the public. In this section agencies shall:
    (a) Rigorously explore and objectively evaluate all reasonable 
alternatives, and for alternatives which were eliminated from detailed 
study, briefly discuss the reasons for their having been eliminated.
    (b) Devote substantial treatment to each alternative considered in 
detail including the proposed action so that reviewers may evaluate 
their comparative merits.
    (c) Include reasonable alternatives not within the jurisdiction of 
the lead agency.
    (d) Include the alternative of no action.
    (e) Identify the agency's preferred alternative or alternatives, if 
one or more exists, in the draft statement and identify such alternative 
in the final statement unless another law prohibits the expression of 
such a preference.
    (f) Include appropriate mitigation measures not already included in 
the proposed action or alternatives.



Sec. 1502.15  Affected environment.

    The environmental impact statement shall succinctly describe the 
environment of the area(s) to be affected or created by the alternatives 
under consideration. The descriptions shall be no longer than is 
necessary to understand the effects of the alternatives. Data and 
analyses in a statement shall be commensurate with the importance of the 
impact, with less important material summarized, consolidated, or simply 
referenced. Agencies shall avoid useless bulk in statements and shall 
concentrate effort and attention on important issues. Verbose 
descriptions of the affected environment are themselves no measure of 
the adequacy of an environmental impact statement.



Sec. 1502.16  Environmental consequences.

    This section forms the scientific and analytic basis for the 
comparisons under Sec. 1502.14. It shall consolidate the discussions of 
those elements required by sections 102(2)(C)(i), (ii), (iv), and (v) of 
NEPA which are within the scope of the statement and as much of section 
102(2)(C)(iii) as is necessary to support the comparisons. The 
discussion will include the environmental impacts of the alternatives 
including the proposed action, any adverse environmental effects which 
cannot be avoided should the proposal be implemented, the relationship 
between short-term uses of man's environment and the maintenance and 
enhancement of long-term productivity, and any irreversible or 
irretrievable commitments of resources which would be involved in the 
proposal should it be implemented. This section should not duplicate 
discussions in Sec. 1502.14. It shall include discussions of:
    (a) Direct effects and their significance (Sec. 1508.8).
    (b) Indirect effects and their significance (Sec. 1508.8).
    (c) Possible conflicts between the proposed action and the 
objectives of Federal, regional, State, and local (and in the case of a 
reservation, Indian tribe) land use plans, policies and controls for the 
area concerned. (See Sec. 1506.2(d).)
    (d) The environmental effects of alternatives including the proposed 
action. The comparisons under Sec. 1502.14 will be based on this 
discussion.
    (e) Energy requirements and conservation potential of various 
alternatives and mitigation measures.
    (f) Natural or depletable resource requirements and conservation 
potential of various alternatives and mitigation measures.

[[Page 846]]

    (g) Urban quality, historic and cultural resources, and the design 
of the built environment, including the reuse and conservation potential 
of various alternatives and mitigation measures.
    (h) Means to mitigate adverse environmental impacts (if not fully 
covered under Sec. 1502.14(f)).

[43 FR 55994, Nov. 29, 1978; 44 FR 873, Jan. 3, 1979]



Sec. 1502.17  List of preparers.

    The environmental impact statement shall list the names, together 
with their qualifications (expertise, experience, professional 
disciplines), of the persons who were primarily responsible for 
preparing the environmental impact statement or significant background 
papers, including basic components of the statement (Sec. Sec. 1502.6 
and 1502.8). Where possible the persons who are responsible for a 
particular analysis, including analyses in background papers, shall be 
identified. Normally the list will not exceed two pages.



Sec. 1502.18  Appendix.

    If an agency prepares an appendix to an environmental impact 
statement the appendix shall:
    (a) Consist of material prepared in connection with an environmental 
impact statement (as distinct from material which is not so prepared and 
which is incorporated by reference (Sec. 1502.21)).
    (b) Normally consist of material which substantiates any analysis 
fundamental to the impact statement.
    (c) Normally be analytic and relevant to the decision to be made.
    (d) Be circulated with the environmental impact statement or be 
readily available on request.



Sec. 1502.19  Circulation of the environmental impact statement.

    Agencies shall circulate the entire draft and final environmental 
impact statements except for certain appendices as provided in Sec. 
1502.18(d) and unchanged statements as provided in Sec. 1503.4(c). 
However, if the statement is unusually long, the agency may circulate 
the summary instead, except that the entire statement shall be furnished 
to:
    (a) Any Federal agency which has jurisdiction by law or special 
expertise with respect to any environmental impact involved and any 
appropriate Federal, State or local agency authorized to develop and 
enforce environmental standards.
    (b) The applicant, if any.
    (c) Any person, organization, or agency requesting the entire 
environmental impact statement.
    (d) In the case of a final environmental impact statement any 
person, organization, or agency which submitted substantive comments on 
the draft.

If the agency circulates the summary and thereafter receives a timely 
request for the entire statement and for additional time to comment, the 
time for that requestor only shall be extended by at least 15 days 
beyond the minimum period.



Sec. 1502.20  Tiering.

    Agencies are encouraged to tier their environmental impact 
statements to eliminate repetitive discussions of the same issues and to 
focus on the actual issues ripe for decision at each level of 
environmental review (Sec. 1508.28). Whenever a broad environmental 
impact statement has been prepared (such as a program or policy 
statement) and a subsequent statement or environmental assessment is 
then prepared on an action included within the entire program or policy 
(such as a site specific action) the subsequent statement or 
environmental assessment need only summarize the issues discussed in the 
broader statement and incorporate discussions from the broader statement 
by reference and shall concentrate on the issues specific to the 
subsequent action. The subsequent document shall state where the earlier 
document is available. Tiering may also be appropriate for different 
stages of actions. (Section 1508.28).



Sec. 1502.21  Incorporation by reference.

    Agencies shall incorporate material into an environmental impact 
statement by reference when the effect will be to cut down on bulk 
without impeding agency and public review of the action. The 
incorporated material shall be cited in the statement and its content 
briefly described. No material

[[Page 847]]

may be incorporated by reference unless it is reasonably available for 
inspection by potentially interested persons within the time allowed for 
comment. Material based on proprietary data which is itself not 
available for review and comment shall not be incorporated by reference.



Sec. 1502.22  Incomplete or unavailable information.

    When an agency is evaluating reasonably foreseeable significant 
adverse effects on the human environment in an environmental impact 
statement and there is incomplete or unavailable information, the agency 
shall always make clear that such information is lacking.
    (a) If the incomplete information relevant to reasonably foreseeable 
significant adverse impacts is essential to a reasoned choice among 
alternatives and the overall costs of obtaining it are not exorbitant, 
the agency shall include the information in the environmental impact 
statement.
    (b) If the information relevant to reasonably foreseeable 
significant adverse impacts cannot be obtained because the overall costs 
of obtaining it are exorbitant or the means to obtain it are not known, 
the agency shall include within the environmental impact statement:
    (1) A statement that such information is incomplete or unavailable; 
(2) a statement of the relevance of the incomplete or unavailable 
information to evaluating reasonably foreseeable significant adverse 
impacts on the human environment; (3) a summary of existing credible 
scientific evidence which is relevant to evaluating the reasonably 
foreseeable significant adverse impacts on the human environment, and 
(4) the agency's evaluation of such impacts based upon theoretical 
approaches or research methods generally accepted in the scientific 
community. For the purposes of this section, ``reasonably foreseeable'' 
includes impacts which have catastrophic consequences, even if their 
probability of occurrence is low, provided that the analysis of the 
impacts is supported by credible scientific evidence, is not based on 
pure conjecture, and is within the rule of reason.
    (c) The amended regulation will be applicable to all environmental 
impact statements for which a Notice of Intent (40 CFR 1508.22) is 
published in the Federal Register on or after May 27, 1986. For 
environmental impact statements in progress, agencies may choose to 
comply with the requirements of either the original or amended 
regulation.

[51 FR 15625, Apr. 25, 1986]



Sec. 1502.23  Cost-benefit analysis.

    If a cost-benefit analysis relevant to the choice among 
environmentally different alternatives is being considered for the 
proposed action, it shall be incorporated by reference or appended to 
the statement as an aid in evaluating the environmental consequences. To 
assess the adequacy of compliance with section 102(2)(B) of the Act the 
statement shall, when a cost-benefit analysis is prepared, discuss the 
relationship between that analysis and any analyses of unquantified 
environmental impacts, values, and amenities. For purposes of complying 
with the Act, the weighing of the merits and drawbacks of the various 
alternatives need not be displayed in a monetary cost-benefit analysis 
and should not be when there are important qualitative considerations. 
In any event, an environmental impact statement should at least indicate 
those considerations, including factors not related to environmental 
quality, which are likely to be relevant and important to a decision.



Sec. 1502.24  Methodology and scientific accuracy.

    Agencies shall insure the professional integrity, including 
scientific integrity, of the discussions and analyses in environmental 
impact statements. They shall identify any methodologies used and shall 
make explicit reference by footnote to the scientific and other sources 
relied upon for conclusions in the statement. An agency may place 
discussion of methodology in an appendix.

[[Page 848]]



Sec. 1502.25  Environmental review and consultation requirements.

    (a) To the fullest extent possible, agencies shall prepare draft 
environmental impact statements concurrently with and integrated with 
environmental impact analyses and related surveys and studies required 
by the Fish and Wildlife Coordination Act (16 U.S.C. 661 et seq.), the 
National Historic Preservation Act of 1966 (16 U.S.C. 470 et seq.), the 
Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.), and other 
environmental review laws and executive orders.
    (b) The draft environmental impact statement shall list all Federal 
permits, licenses, and other entitlements which must be obtained in 
implementing the proposal. If it is uncertain whether a Federal permit, 
license, or other entitlement is necessary, the draft environmental 
impact statement shall so indicate.



PART 1503_COMMENTING--Table of Contents



Sec.
1503.1 Inviting comments.
1503.2 Duty to comment.
1503.3 Specificity of comments.
1503.4 Response to comments.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55997, Nov. 29, 1978, unless otherwise noted.



Sec. 1503.1  Inviting comments.

    (a) After preparing a draft environmental impact statement and 
before preparing a final environmental impact statement the agency 
shall:
    (1) Obtain the comments of any Federal agency which has jurisdiction 
by law or special expertise with respect to any environmental impact 
involved or which is authorized to develop and enforce environmental 
standards.
    (2) Request the comments of:
    (i) Appropriate State and local agencies which are authorized to 
develop and enforce environmental standards;
    (ii) Indian tribes, when the effects may be on a reservation; and
    (iii) Any agency which has requested that it receive statements on 
actions of the kind proposed.

Office of Management and Budget Circular A-95 (Revised), through its 
system of clearinghouses, provides a means of securing the views of 
State and local environmental agencies. The clearinghouses may be used, 
by mutual agreement of the lead agency and the clearinghouse, for 
securing State and local reviews of the draft environmental impact 
statements.
    (3) Request comments from the applicant, if any.
    (4) Request comments from the public, affirmatively soliciting 
comments from those persons or organizations who may be interested or 
affected.
    (b) An agency may request comments on a final environmental impact 
statement before the decision is finally made. In any case other 
agencies or persons may make comments before the final decision unless a 
different time is provided under Sec. 1506.10.



Sec. 1503.2  Duty to comment.

    Federal agencies with jurisdiction by law or special expertise with 
respect to any environmental impact involved and agencies which are 
authorized to develop and enforce environmental standards shall comment 
on statements within their jurisdiction, expertise, or authority. 
Agencies shall comment within the time period specified for comment in 
Sec. 1506.10. A Federal agency may reply that it has no comment. If a 
cooperating agency is satisfied that its views are adequately reflected 
in the environmental impact statement, it should reply that it has no 
comment.



Sec. 1503.3  Specificity of comments.

    (a) Comments on an environmental impact statement or on a proposed 
action shall be as specific as possible and may address either the 
adequacy of the statement or the merits of the alternatives discussed or 
both.
    (b) When a commenting agency criticizes a lead agency's predictive 
methodology, the commenting agency should describe the alternative 
methodology which it prefers and why.

[[Page 849]]

    (c) A cooperating agency shall specify in its comments whether it 
needs additional information to fulfill other applicable environmental 
reviews or consultation requirements and what information it needs. In 
particular, it shall specify any additional information it needs to 
comment adequately on the draft statement's analysis of significant 
site-specific effects associated with the granting or approving by that 
cooperating agency of necessary Federal permits, licenses, or 
entitlements.
    (d) When a cooperating agency with jurisdiction by law objects to or 
expresses reservations about the proposal on grounds of environmental 
impacts, the agency expressing the objection or reservation shall 
specify the mitigation measures it considers necessary to allow the 
agency to grant or approve applicable permit, license, or related 
requirements or concurrences.



Sec. 1503.4  Response to comments.

    (a) An agency preparing a final environmental impact statement shall 
assess and consider comments both individually and collectively, and 
shall respond by one or more of the means listed below, stating its 
response in the final statement. Possible responses are to:
    (1) Modify alternatives including the proposed action.
    (2) Develop and evaluate alternatives not previously given serious 
consideration by the agency.
    (3) Supplement, improve, or modify its analyses.
    (4) Make factual corrections.
    (5) Explain why the comments do not warrant further agency response, 
citing the sources, authorities, or reasons which support the agency's 
position and, if appropriate, indicate those circumstances which would 
trigger agency reappraisal or further response.
    (b) All substantive comments received on the draft statement (or 
summaries thereof where the response has been exceptionally voluminous), 
should be attached to the final statement whether or not the comment is 
thought to merit individual discussion by the agency in the text of the 
statement.
    (c) If changes in response to comments are minor and are confined to 
the responses described in paragraphs (a)(4) and (5) of this section, 
agencies may write them on errata sheets and attach them to the 
statement instead of rewriting the draft statement. In such cases only 
the comments, the responses, and the changes and not the final statement 
need be circulated (Sec. 1502.19). The entire document with a new cover 
sheet shall be filed as the final statement (Sec. 1506.9).



PART 1504_PREDECISION REFERRALS TO THE COUNCIL OF PROPOSED FEDERAL ACTIONS DETERMINED 

TO BE ENVIRONMENTALLY UNSATISFACTORY--Table of Contents



Sec.
1504.1 Purpose.
1504.2 Criteria for referral.
1504.3 Procedure for referrals and response.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).



Sec. 1504.1  Purpose.

    (a) This part establishes procedures for referring to the Council 
Federal interagency disagreements concerning proposed major Federal 
actions that might cause unsatisfactory environmental effects. It 
provides means for early resolution of such disagreements.
    (b) Under section 309 of the Clean Air Act (42 U.S.C. 7609), the 
Administrator of the Environmental Protection Agency is directed to 
review and comment publicly on the environmental impacts of Federal 
activities, including actions for which environmental impact statements 
are prepared. If after this review the Administrator determines that the 
matter is ``unsatisfactory from the standpoint of public health or 
welfare or environmental quality,'' section 309 directs that the matter 
be referred to the Council (hereafter ``environmental referrals'').
    (c) Under section 102(2)(C) of the Act other Federal agencies may 
make similar reviews of environmental impact statements, including 
judgments on the acceptability of anticipated environmental impacts. 
These reviews

[[Page 850]]

must be made available to the President, the Council and the public.

[43 FR 55998, Nov. 29, 1978]



Sec. 1504.2  Criteria for referral.

    Environmental referrals should be made to the Council only after 
concerted, timely (as early as possible in the process), but 
unsuccessful attempts to resolve differences with the lead agency. In 
determining what environmental objections to the matter are appropriate 
to refer to the Council, an agency should weigh potential adverse 
environmental impacts, considering:
    (a) Possible violation of national environmental standards or 
policies.
    (b) Severity.
    (c) Geographical scope.
    (d) Duration.
    (e) Importance as precedents.
    (f) Availability of environmentally preferable alternatives.

[43 FR 55998, Nov. 29, 1978]



Sec. 1504.3  Procedure for referrals and response.

    (a) A Federal agency making the referral to the Council shall:
    (1) Advise the lead agency at the earliest possible time that it 
intends to refer a matter to the Council unless a satisfactory agreement 
is reached.
    (2) Include such advice in the referring agency's comments on the 
draft environmental impact statement, except when the statement does not 
contain adequate information to permit an assessment of the matter's 
environmental acceptability.
    (3) Identify any essential information that is lacking and request 
that it be made available at the earliest possible time.
    (4) Send copies of such advice to the Council.
    (b) The referring agency shall deliver its referral to the Council 
not later than twenty-five (25) days after the final environmental 
impact statement has been made available to the Environmental Protection 
Agency, commenting agencies, and the public. Except when an extension of 
this period has been granted by the lead agency, the Council will not 
accept a referral after that date.
    (c) The referral shall consist of:
    (1) A copy of the letter signed by the head of the referring agency 
and delivered to the lead agency informing the lead agency of the 
referral and the reasons for it, and requesting that no action be taken 
to implement the matter until the Council acts upon the referral. The 
letter shall include a copy of the statement referred to in (c)(2) of 
this section.
    (2) A statement supported by factual evidence leading to the 
conclusion that the matter is unsatisfactory from the standpoint of 
public health or welfare or environmental quality. The statement shall:
    (i) Identify any material facts in controversy and incorporate (by 
reference if appropriate) agreed upon facts,
    (ii) Identify any existing environmental requirements or policies 
which would be violated by the matter,
    (iii) Present the reasons why the referring agency believes the 
matter is environmentally unsatisfactory,
    (iv) Contain a finding by the agency whether the issue raised is of 
national importance because of the threat to national environmental 
resources or policies or for some other reason,
    (v) Review the steps taken by the referring agency to bring its 
concerns to the attention of the lead agency at the earliest possible 
time, and
    (vi) Give the referring agency's recommendations as to what 
mitigation alternative, further study, or other course of action 
(including abandonment of the matter) are necessary to remedy the 
situation.
    (d) Not later than twenty-five (25) days after the referral to the 
Council the lead agency may deliver a response to the Council, and the 
referring agency. If the lead agency requests more time and gives 
assurance that the matter will not go forward in the interim, the 
Council may grant an extension. The response shall:
    (1) Address fully the issues raised in the referral.
    (2) Be supported by evidence.
    (3) Give the lead agency's response to the referring agency's 
recommendations.
    (e) Interested persons (including the applicant) may deliver their 
views in writing to the Council. Views in support of the referral should 
be delivered

[[Page 851]]

not later than the referral. Views in support of the response shall be 
delivered not later than the response.
    (f) Not later than twenty-five (25) days after receipt of both the 
referral and any response or upon being informed that there will be no 
response (unless the lead agency agrees to a longer time), the Council 
may take one or more of the following actions:
    (1) Conclude that the process of referral and response has 
successfully resolved the problem.
    (2) Initiate discussions with the agencies with the objective of 
mediation with referring and lead agencies.
    (3) Hold public meetings or hearings to obtain additional views and 
information.
    (4) Determine that the issue is not one of national importance and 
request the referring and lead agencies to pursue their decision 
process.
    (5) Determine that the issue should be further negotiated by the 
referring and lead agencies and is not appropriate for Council 
consideration until one or more heads of agencies report to the Council 
that the agencies' disagreements are irreconcilable.
    (6) Publish its findings and recommendations (including where 
appropriate a finding that the submitted evidence does not support the 
position of an agency).
    (7) When appropriate, submit the referral and the response together 
with the Council's recommendation to the President for action.
    (g) The Council shall take no longer than 60 days to complete the 
actions specified in paragraph (f)(2), (3), or (5) of this section.
    (h) When the referral involves an action required by statute to be 
determined on the record after opportunity for agency hearing, the 
referral shall be conducted in a manner consistent with 5 U.S.C. 557(d) 
(Administrative Procedure Act).

[43 FR 55998, Nov. 29, 1978; 44 FR 873, Jan. 3, 1979]



PART 1505_NEPA AND AGENCY DECISIONMAKING--Table of Contents



Sec.
1505.1 Agency decisionmaking procedures.
1505.2 Record of decision in cases requiring environmental impact 
          statements.
1505.3 Implementing the decision.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55999, Nov. 29, 1978, unless otherwise noted.



Sec. 1505.1  Agency decisionmaking procedures.

    Agencies shall adopt procedures (Sec. 1507.3) to ensure that 
decisions are made in accordance with the policies and purposes of the 
Act. Such procedures shall include but not be limited to:
    (a) Implementing procedures under section 102(2) to achieve the 
requirements of sections 101 and 102(1).
    (b) Designating the major decision points for the agency's principal 
programs likely to have a significant effect on the human environment 
and assuring that the NEPA process corresponds with them.
    (c) Requiring that relevant environmental documents, comments, and 
responses be part of the record in formal rulemaking or adjudicatory 
proceedings.
    (d) Requiring that relevant environmental documents, comments, and 
responses accompany the proposal through existing agency review 
processes so that agency officials use the statement in making 
decisions.
    (e) Requiring that the alternatives considered by the decisionmaker 
are encompassed by the range of alternatives discussed in the relevant 
environmental documents and that the decisionmaker consider the 
alternatives described in the environmental impact statement. If another 
decision document accompanies the relevant environmental documents to 
the decisionmaker, agencies are encouraged to make available to the 
public before the decision is made any part of that document that 
relates to the comparison of alternatives.

[[Page 852]]



Sec. 1505.2  Record of decision in cases requiring environmental impact statements.

    At the time of its decision (Sec. 1506.10) or, if appropriate, its 
recommendation to Congress, each agency shall prepare a concise public 
record of decision. The record, which may be integrated into any other 
record prepared by the agency, including that required by OMB Circular 
A-95 (Revised), part I, sections 6(c) and (d), and part II, section 
5(b)(4), shall:
    (a) State what the decision was.
    (b) Identify all alternatives considered by the agency in reaching 
its decision, specifying the alternative or alternatives which were 
considered to be environmentally preferable. An agency may discuss 
preferences among alternatives based on relevant factors including 
economic and technical considerations and agency statutory missions. An 
agency shall identify and discuss all such factors including any 
essential considerations of national policy which were balanced by the 
agency in making its decision and state how those considerations entered 
into its decision.
    (c) State whether all practicable means to avoid or minimize 
environmental harm from the alternative selected have been adopted, and 
if not, why they were not. A monitoring and enforcement program shall be 
adopted and summarized where applicable for any mitigation.



Sec. 1505.3  Implementing the decision.

    Agencies may provide for monitoring to assure that their decisions 
are carried out and should do so in important cases. Mitigation (Sec. 
1505.2(c)) and other conditions established in the environmental impact 
statement or during its review and committed as part of the decision 
shall be implemented by the lead agency or other appropriate consenting 
agency. The lead agency shall:
    (a) Include appropriate conditions in grants, permits or other 
approvals.
    (b) Condition funding of actions on mitigation.
    (c) Upon request, inform cooperating or commenting agencies on 
progress in carrying out mitigation measures which they have proposed 
and which were adopted by the agency making the decision.
    (d) Upon request, make available to the public the results of 
relevant monitoring.



PART 1506_OTHER REQUIREMENTS OF NEPA--Table of Contents



Sec.
1506.1 Limitations on actions during NEPA process.
1506.2 Elimination of duplication with State and local procedures.
1506.3 Adoption.
1506.4 Combining documents.
1506.5 Agency responsibility.
1506.6 Public involvement.
1506.7 Further guidance.
1506.8 Proposals for legislation.
1506.9 Filing requirements.
1506.10 Timing of agency action.
1506.11 Emergencies.
1506.12 Effective date.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 56000, Nov. 29, 1978, unless otherwise noted.



Sec. 1506.1  Limitations on actions during NEPA process.

    (a) Until an agency issues a record of decision as provided in Sec. 
1505.2 (except as provided in paragraph (c) of this section), no action 
concerning the proposal shall be taken which would:
    (1) Have an adverse environmental impact; or
    (2) Limit the choice of reasonable alternatives.
    (b) If any agency is considering an application from a non-Federal 
entity, and is aware that the applicant is about to take an action 
within the agency's jurisdiction that would meet either of the criteria 
in paragraph (a) of this section, then the agency shall promptly notify 
the applicant that the agency will take appropriate action to insure 
that the objectives and procedures of NEPA are achieved.
    (c) While work on a required program environmental impact statement 
is in progress and the action is not covered by an existing program 
statement,

[[Page 853]]

agencies shall not undertake in the interim any major Federal action 
covered by the program which may significantly affect the quality of the 
human environment unless such action:
    (1) Is justified independently of the program;
    (2) Is itself accompanied by an adequate environmental impact 
statement; and
    (3) Will not prejudice the ultimate decision on the program. Interim 
action prejudices the ultimate decision on the program when it tends to 
determine subsequent development or limit alternatives.
    (d) This section does not preclude development by applicants of 
plans or designs or performance of other work necessary to support an 
application for Federal, State or local permits or assistance. Nothing 
in this section shall preclude Rural Electrification Administration 
approval of minimal expenditures not affecting the environment (e.g. 
long leadtime equipment and purchase options) made by non-governmental 
entities seeking loan guarantees from the Administration.



Sec. 1506.2  Elimination of duplication with State and local procedures.

    (a) Agencies authorized by law to cooperate with State agencies of 
statewide jurisdiction pursuant to section 102(2)(D) of the Act may do 
so.
    (b) Agencies shall cooperate with State and local agencies to the 
fullest extent possible to reduce duplication between NEPA and State and 
local requirements, unless the agencies are specifically barred from 
doing so by some other law. Except for cases covered by paragraph (a) of 
this section, such cooperation shall to the fullest extent possible 
include:
    (1) Joint planning processes.
    (2) Joint environmental research and studies.
    (3) Joint public hearings (except where otherwise provided by 
statute).
    (4) Joint environmental assessments.
    (c) Agencies shall cooperate with State and local agencies to the 
fullest extent possible to reduce duplication between NEPA and 
comparable State and local requirements, unless the agencies are 
specifically barred from doing so by some other law. Except for cases 
covered by paragraph (a) of this section, such cooperation shall to the 
fullest extent possible include joint environmental impact statements. 
In such cases one or more Federal agencies and one or more State or 
local agencies shall be joint lead agencies. Where State laws or local 
ordinances have environmental impact statement requirements in addition 
to but not in conflict with those in NEPA, Federal agencies shall 
cooperate in fulfilling these requirements as well as those of Federal 
laws so that one document will comply with all applicable laws.
    (d) To better integrate environmental impact statements into State 
or local planning processes, statements shall discuss any inconsistency 
of a proposed action with any approved State or local plan and laws 
(whether or not federally sanctioned). Where an inconsistency exists, 
the statement should describe the extent to which the agency would 
reconcile its proposed action with the plan or law.



Sec. 1506.3  Adoption.

    (a) An agency may adopt a Federal draft or final environmental 
impact statement or portion thereof provided that the statement or 
portion thereof meets the standards for an adequate statement under 
these regulations.
    (b) If the actions covered by the original environmental impact 
statement and the proposed action are substantially the same, the agency 
adopting another agency's statement is not required to recirculate it 
except as a final statement. Otherwise the adopting agency shall treat 
the statement as a draft and recirculate it (except as provided in 
paragraph (c) of this section).
    (c) A cooperating agency may adopt without recirculating the 
environmental impact statement of a lead agency when, after an 
independent review of the statement, the cooperating agency concludes 
that its comments and suggestions have been satisfied.
    (d) When an agency adopts a statement which is not final within the 
agency that prepared it, or when the action it assesses is the subject 
of a referral under part 1504, or when the statement's adequacy is the 
subject of

[[Page 854]]

a judicial action which is not final, the agency shall so specify.



Sec. 1506.4  Combining documents.

    Any environmental document in compliance with NEPA may be combined 
with any other agency document to reduce duplication and paperwork.



Sec. 1506.5  Agency responsibility.

    (a) Information. If an agency requires an applicant to submit 
environmental information for possible use by the agency in preparing an 
environmental impact statement, then the agency should assist the 
applicant by outlining the types of information required. The agency 
shall independently evaluate the information submitted and shall be 
responsible for its accuracy. If the agency chooses to use the 
information submitted by the applicant in the environmental impact 
statement, either directly or by reference, then the names of the 
persons responsible for the independent evaluation shall be included in 
the list of preparers (Sec. 1502.17). It is the intent of this 
paragraph that acceptable work not be redone, but that it be verified by 
the agency.
    (b) Environmental assessments. If an agency permits an applicant to 
prepare an environmental assessment, the agency, besides fulfilling the 
requirements of paragraph (a) of this section, shall make its own 
evaluation of the environmental issues and take responsibility for the 
scope and content of the environmental assessment.
    (c) Environmental impact statements. Except as provided in 
Sec. Sec. 1506.2 and 1506.3 any environmental impact statement prepared 
pursuant to the requirements of NEPA shall be prepared directly by or by 
a contractor selected by the lead agency or where appropriate under 
Sec. 1501.6(b), a cooperating agency. It is the intent of these 
regulations that the contractor be chosen solely by the lead agency, or 
by the lead agency in cooperation with cooperating agencies, or where 
appropriate by a cooperating agency to avoid any conflict of interest. 
Contractors shall execute a disclosure statement prepared by the lead 
agency, or where appropriate the cooperating agency, specifying that 
they have no financial or other interest in the outcome of the project. 
If the document is prepared by contract, the responsible Federal 
official shall furnish guidance and participate in the preparation and 
shall independently evaluate the statement prior to its approval and 
take responsibility for its scope and contents. Nothing in this section 
is intended to prohibit any agency from requesting any person to submit 
information to it or to prohibit any person from submitting information 
to any agency.



Sec. 1506.6  Public involvement.

    Agencies shall:
    (a) Make diligent efforts to involve the public in preparing and 
implementing their NEPA procedures.
    (b) Provide public notice of NEPA-related hearings, public meetings, 
and the availability of environmental documents so as to inform those 
persons and agencies who may be interested or affected.
    (1) In all cases the agency shall mail notice to those who have 
requested it on an individual action.
    (2) In the case of an action with effects of national concern notice 
shall include publication in the Federal Register and notice by mail to 
national organizations reasonably expected to be interested in the 
matter and may include listing in the 102 Monitor. An agency engaged in 
rulemaking may provide notice by mail to national organizations who have 
requested that notice regularly be provided. Agencies shall maintain a 
list of such organizations.
    (3) In the case of an action with effects primarily of local concern 
the notice may include:
    (i) Notice to State and areawide clearinghouses pursuant to OMB 
Circular A-95 (Revised).
    (ii) Notice to Indian tribes when effects may occur on reservations.
    (iii) Following the affected State's public notice procedures for 
comparable actions.
    (iv) Publication in local newspapers (in papers of general 
circulation rather than legal papers).
    (v) Notice through other local media.
    (vi) Notice to potentially interested community organizations 
including small business associations.

[[Page 855]]

    (vii) Publication in newsletters that may be expected to reach 
potentially interested persons.
    (viii) Direct mailing to owners and occupants of nearby or affected 
property.
    (ix) Posting of notice on and off site in the area where the action 
is to be located.
    (c) Hold or sponsor public hearings or public meetings whenever 
appropriate or in accordance with statutory requirements applicable to 
the agency. Criteria shall include whether there is:
    (1) Substantial environmental controversy concerning the proposed 
action or substantial interest in holding the hearing.
    (2) A request for a hearing by another agency with jurisdiction over 
the action supported by reasons why a hearing will be helpful. If a 
draft environmental impact statement is to be considered at a public 
hearing, the agency should make the statement available to the public at 
least 15 days in advance (unless the purpose of the hearing is to 
provide information for the draft environmental impact statement).
    (d) Solicit appropriate information from the public.
    (e) Explain in its procedures where interested persons can get 
information or status reports on environmental impact statements and 
other elements of the NEPA process.
    (f) Make environmental impact statements, the comments received, and 
any underlying documents available to the public pursuant to the 
provisions of the Freedom of Information Act (5 U.S.C. 552), without 
regard to the exclusion for interagency memoranda where such memoranda 
transmit comments of Federal agencies on the environmental impact of the 
proposed action. Materials to be made available to the public shall be 
provided to the public without charge to the extent practicable, or at a 
fee which is not more than the actual costs of reproducing copies 
required to be sent to other Federal agencies, including the Council.



Sec. 1506.7  Further guidance.

    The Council may provide further guidance concerning NEPA and its 
procedures including:
    (a) A handbook which the Council may supplement from time to time, 
which shall in plain language provide guidance and instructions 
concerning the application of NEPA and these regulations.
    (b) Publication of the Council's Memoranda to Heads of Agencies.
    (c) In conjunction with the Environmental Protection Agency and the 
publication of the 102 Monitor, notice of:
    (1) Research activities;
    (2) Meetings and conferences related to NEPA; and
    (3) Successful and innovative procedures used by agencies to 
implement NEPA.



Sec. 1506.8  Proposals for legislation.

    (a) The NEPA process for proposals for legislation (Sec. 1508.17) 
significantly affecting the quality of the human environment shall be 
integrated with the legislative process of the Congress. A legislative 
environmental impact statement is the detailed statement required by law 
to be included in a recommendation or report on a legislative proposal 
to Congress. A legislative environmental impact statement shall be 
considered part of the formal transmittal of a legislative proposal to 
Congress; however, it may be transmitted to Congress up to 30 days later 
in order to allow time for completion of an accurate statement which can 
serve as the basis for public and Congressional debate. The statement 
must be available in time for Congressional hearings and deliberations.
    (b) Preparation of a legislative environmental impact statement 
shall conform to the requirements of these regulations except as 
follows:
    (1) There need not be a scoping process.
    (2) The legislative statement shall be prepared in the same manner 
as a draft statement, but shall be considered the ``detailed statement'' 
required by statute; Provided, That when any of the following conditions 
exist both the draft and final environmental impact statement on the 
legislative proposal shall be prepared and circulated as provided by 
Sec. Sec. 1503.1 and 1506.10.
    (i) A Congressional Committee with jurisdiction over the proposal 
has a

[[Page 856]]

rule requiring both draft and final environmental impact statements.
    (ii) The proposal results from a study process required by statute 
(such as those required by the Wild and Scenic Rivers Act (16 U.S.C. 
1271 et seq.) and the Wilderness Act (16 U.S.C. 1131 et seq.)).
    (iii) Legislative approval is sought for Federal or federally 
assisted construction or other projects which the agency recommends be 
located at specific geographic locations. For proposals requiring an 
environmental impact statement for the acquisition of space by the 
General Services Administration, a draft statement shall accompany the 
Prospectus or the 11(b) Report of Building Project Surveys to the 
Congress, and a final statement shall be completed before site 
acquisition.
    (iv) The agency decides to prepare draft and final statements.
    (c) Comments on the legislative statement shall be given to the lead 
agency which shall forward them along with its own responses to the 
Congressional committees with jurisdiction.



Sec. 1506.9  Filing requirements.

    (a) Environmental impact statements together with comments and 
responses shall be filed with the Environmental Protection Agency, 
attention Office of Federal Activities, EIS Filing Section, Ariel Rios 
Building (South Oval Lobby), Mail Code 2252-A, Room 7220, 1200 
Pennsylvania Ave., NW., Washington, DC 20460. This address is for 
deliveries by US Postal Service (including USPS Express Mail).
    (b) For deliveries in-person or by commercial express mail services, 
including Federal Express or UPS, the correct address is: US 
Environmental Protection Agency, Office of Federal Activities, EIS 
Filing Section, Ariel Rios Building (South Oval Lobby), Room 7220, 1200 
Pennsylvania Avenue, NW., Washington, DC 20004.
    (c) Statements shall be filed with the EPA no earlier than they are 
also transmitted to commenting agencies and made available to the 
public. EPA shall deliver one copy of each statement to the Council, 
which shall satisfy the requirement of availability to the President. 
EPA may issue guidelines to agencies to implement its responsibilities 
under this section and Sec. 1506.10.

[70 FR 41148, July 18, 2005]



Sec. 1506.10  Timing of agency action.

    (a) The Environmental Protection Agency shall publish a notice in 
the Federal Register each week of the environmental impact statements 
filed during the preceding week. The minimum time periods set forth in 
this section shall be calculated from the date of publication of this 
notice.
    (b) No decision on the proposed action shall be made or recorded 
under Sec. 1505.2 by a Federal agency until the later of the following 
dates:
    (1) Ninety (90) days after publication of the notice described above 
in paragraph (a) of this section for a draft environmental impact 
statement.
    (2) Thirty (30) days after publication of the notice described above 
in paragraph (a) of this section for a final environmental impact 
statement.

An exception to the rules on timing may be made in the case of an agency 
decision which is subject to a formal internal appeal. Some agencies 
have a formally established appeal process which allows other agencies 
or the public to take appeals on a decision and make their views known, 
after publication of the final environmental impact statement. In such 
cases, where a real opportunity exists to alter the decision, the 
decision may be made and recorded at the same time the environmental 
impact statement is published. This means that the period for appeal of 
the decision and the 30-day period prescribed in paragraph (b)(2) of 
this section may run concurrently. In such cases the environmental 
impact statement shall explain the timing and the public's right of 
appeal. An agency engaged in rulemaking under the Administrative 
Procedure Act or other statute for the purpose of protecting the public 
health or safety, may waive the time period in paragraph (b)(2) of this 
section and publish a decision on the final rule simultaneously with 
publication of the notice of the availability of the final environmental 
impact statement as described in paragraph (a) of this section.

[[Page 857]]

    (c) If the final environmental impact statement is filed within 
ninety (90) days after a draft environmental impact statement is filed 
with the Environmental Protection Agency, the minimum thirty (30) day 
period and the minimum ninety (90) day period may run concurrently. 
However, subject to paragraph (d) of this section agencies shall allow 
not less than 45 days for comments on draft statements.
    (d) The lead agency may extend prescribed periods. The Environmental 
Protection Agency may upon a showing by the lead agency of compelling 
reasons of national policy reduce the prescribed periods and may upon a 
showing by any other Federal agency of compelling reasons of national 
policy also extend prescribed periods, but only after consultation with 
the lead agency. (Also see Sec. 1507.3(d).) Failure to file timely 
comments shall not be a sufficient reason for extending a period. If the 
lead agency does not concur with the extension of time, EPA may not 
extend it for more than 30 days. When the Environmental Protection 
Agency reduces or extends any period of time it shall notify the 
Council.

[43 FR 56000, Nov. 29, 1978; 44 FR 874, Jan. 3, 1979]



Sec. 1506.11  Emergencies.

    Where emergency circumstances make it necessary to take an action 
with significant environmental impact without observing the provisions 
of these regulations, the Federal agency taking the action should 
consult with the Council about alternative arrangements. Agencies and 
the Council will limit such arrangements to actions necessary to control 
the immediate impacts of the emergency. Other actions remain subject to 
NEPA review.



Sec. 1506.12  Effective date.

    The effective date of these regulations is July 30, 1979, except 
that for agencies that administer programs that qualify under section 
102(2)(D) of the Act or under section 104(h) of the Housing and 
Community Development Act of 1974 an additional four months shall be 
allowed for the State or local agencies to adopt their implementing 
procedures.
    (a) These regulations shall apply to the fullest extent practicable 
to ongoing activities and environmental documents begun before the 
effective date. These regulations do not apply to an environmental 
impact statement or supplement if the draft statement was filed before 
the effective date of these regulations. No completed environmental 
documents need be redone by reasons of these regulations. Until these 
regulations are applicable, the Council's guidelines published in the 
Federal Register of August 1, 1973, shall continue to be applicable. In 
cases where these regulations are applicable the guidelines are 
superseded. However, nothing shall prevent an agency from proceeding 
under these regulations at an earlier time.
    (b) NEPA shall continue to be applicable to actions begun before 
January 1, 1970, to the fullest extent possible.



PART 1507_AGENCY COMPLIANCE--Table of Contents



Sec.
1507.1 Compliance.
1507.2 Agency capability to comply.
1507.3 Agency procedures.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 56002, Nov. 29, 1978, unless otherwise noted.



Sec. 1507.1  Compliance.

    All agencies of the Federal Government shall comply with these 
regulations. It is the intent of these regulations to allow each agency 
flexibility in adapting its implementing procedures authorized by Sec. 
1507.3 to the requirements of other applicable laws.



Sec. 1507.2  Agency capability to comply.

    Each agency shall be capable (in terms of personnel and other 
resources) of complying with the requirements enumerated below. Such 
compliance may include use of other's resources, but the using agency 
shall itself have sufficient capability to evaluate what others do for 
it. Agencies shall:

[[Page 858]]

    (a) Fulfill the requirements of section 102(2)(A) of the Act to 
utilize a systematic, interdisciplinary approach which will insure the 
integrated use of the natural and social sciences and the environmental 
design arts in planning and in decisionmaking which may have an impact 
on the human environment. Agencies shall designate a person to be 
responsible for overall review of agency NEPA compliance.
    (b) Identify methods and procedures required by section 102(2)(B) to 
insure that presently unquantified environmental amenities and values 
may be given appropriate consideration.
    (c) Prepare adequate environmental impact statements pursuant to 
section 102(2)(C) and comment on statements in the areas where the 
agency has jurisdiction by law or special expertise or is authorized to 
develop and enforce environmental standards.
    (d) Study, develop, and describe alternatives to recommended courses 
of action in any proposal which involves unresolved conflicts concerning 
alternative uses of available resources. This requirement of section 
102(2)(E) extends to all such proposals, not just the more limited scope 
of section 102(2)(C)(iii) where the discussion of alternatives is 
confined to impact statements.
    (e) Comply with the requirements of section 102(2)(H) that the 
agency initiate and utilize ecological information in the planning and 
development of resource-oriented projects.
    (f) Fulfill the requirements of sections 102(2)(F), 102(2)(G), and 
102(2)(I), of the Act and of Executive Order 11514, Protection and 
Enhancement of Environmental Quality, Sec. 2.



Sec. 1507.3  Agency procedures.

    (a) Not later than eight months after publication of these 
regulations as finally adopted in the Federal Register, or five months 
after the establishment of an agency, whichever shall come later, each 
agency shall as necessary adopt procedures to supplement these 
regulations. When the agency is a department, major subunits are 
encouraged (with the consent of the department) to adopt their own 
procedures. Such procedures shall not paraphrase these regulations. They 
shall confine themselves to implementing procedures. Each agency shall 
consult with the Council while developing its procedures and before 
publishing them in the Federal Register for comment. Agencies with 
similar programs should consult with each other and the Council to 
coordinate their procedures, especially for programs requesting similar 
information from applicants. The procedures shall be adopted only after 
an opportunity for public review and after review by the Council for 
conformity with the Act and these regulations. The Council shall 
complete its review within 30 days. Once in effect they shall be filed 
with the Council and made readily available to the public. Agencies are 
encouraged to publish explanatory guidance for these regulations and 
their own procedures. Agencies shall continue to review their policies 
and procedures and in consultation with the Council to revise them as 
necessary to ensure full compliance with the purposes and provisions of 
the Act.
    (b) Agency procedures shall comply with these regulations except 
where compliance would be inconsistent with statutory requirements and 
shall include:
    (1) Those procedures required by Sec. Sec. 1501.2(d), 1502.9(c)(3), 
1505.1, 1506.6(e), and 1508.4.
    (2) Specific criteria for and identification of those typical 
classes of action:
    (i) Which normally do require environmental impact statements.
    (ii) Which normally do not require either an environmental impact 
statement or an environmental assessment (categorical exclusions (Sec. 
1508.4)).
    (iii) Which normally require environmental assessments but not 
necessarily environmental impact statements.
    (c) Agency procedures may include specific criteria for providing 
limited exceptions to the provisions of these regulations for classified 
proposals. They are proposed actions which are specifically authorized 
under criteria established by an Executive Order or statute to be kept 
secret in the interest of national defense or foreign policy and are in 
fact properly classified pursuant to such Executive Order or statute. 
Environmental assessments and environmental impact statements

[[Page 859]]

which address classified proposals may be safeguarded and restricted 
from public dissemination in accordance with agencies' own regulations 
applicable to classified information. These documents may be organized 
so that classified portions can be included as annexes, in order that 
the unclassified portions can be made available to the public.
    (d) Agency procedures may provide for periods of time other than 
those presented in Sec. 1506.10 when necessary to comply with other 
specific statutory requirements.
    (e) Agency procedures may provide that where there is a lengthy 
period between the agency's decision to prepare an environmental impact 
statement and the time of actual preparation, the notice of intent 
required by Sec. 1501.7 may be published at a reasonable time in 
advance of preparation of the draft statement.



PART 1508_TERMINOLOGY AND INDEX--Table of Contents



Sec.
1508.1 Terminology.
1508.2 Act.
1508.3 Affecting.
1508.4 Categorical exclusion.
1508.5 Cooperating agency.
1508.6 Council.
1508.7 Cumulative impact.
1508.8 Effects.
1508.9 Environmental assessment.
1508.10 Environmental document.
1508.11 Environmental impact statement.
1508.12 Federal agency.
1508.13 Finding of no significant impact.
1508.14 Human environment.
1508.15 Jurisdiction by law.
1508.16 Lead agency.
1508.17 Legislation.
1508.18 Major Federal action.
1508.19 Matter.
1508.20 Mitigation.
1508.21 NEPA process.
1508.22 Notice of intent.
1508.23 Proposal.
1508.24 Referring agency.
1508.25 Scope.
1508.26 Special expertise.
1508.27 Significantly.
1508.28 Tiering.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 56003, Nov. 29, 1978, unless otherwise noted.



Sec. 1508.1  Terminology.

    The terminology of this part shall be uniform throughout the Federal 
Government.



Sec. 1508.2  Act.

    Act means the National Environmental Policy Act, as amended (42 
U.S.C. 4321, et seq.) which is also referred to as ``NEPA.''



Sec. 1508.3  Affecting.

    Affecting means will or may have an effect on.



Sec. 1508.4  Categorical exclusion.

    Categorical exclusion means a category of actions which do not 
individually or cumulatively have a significant effect on the human 
environment and which have been found to have no such effect in 
procedures adopted by a Federal agency in implementation of these 
regulations (Sec. 1507.3) and for which, therefore, neither an 
environmental assessment nor an environmental impact statement is 
required. An agency may decide in its procedures or otherwise, to 
prepare environmental assessments for the reasons stated in Sec. 1508.9 
even though it is not required to do so. Any procedures under this 
section shall provide for extraordinary circumstances in which a 
normally excluded action may have a significant environmental effect.



Sec. 1508.5  Cooperating agency.

    Cooperating agency means any Federal agency other than a lead agency 
which has jurisdiction by law or special expertise with respect to any 
environmental impact involved in a proposal (or a reasonable 
alternative) for legislation or other major Federal action significantly 
affecting the quality of the human environment. The selection and 
responsibilities of a cooperating agency are described in Sec. 1501.6. 
A State or local agency of similar qualifications or, when the effects 
are on a reservation, an Indian Tribe, may by agreement with the lead 
agency become a cooperating agency.

[[Page 860]]



Sec. 1508.6  Council.

    Council means the Council on Environmental Quality established by 
title II of the Act.



Sec. 1508.7  Cumulative impact.

    Cumulative impact is the impact on the environment which results 
from the incremental impact of the action when added to other past, 
present, and reasonably foreseeable future actions regardless of what 
agency (Federal or non-Federal) or person undertakes such other actions. 
Cumulative impacts can result from individually minor but collectively 
significant actions taking place over a period of time.



Sec. 1508.8  Effects.

    Effects include:
    (a) Direct effects, which are caused by the action and occur at the 
same time and place.
    (b) Indirect effects, which are caused by the action and are later 
in time or farther removed in distance, but are still reasonably 
foreseeable. Indirect effects may include growth inducing effects and 
other effects related to induced changes in the pattern of land use, 
population density or growth rate, and related effects on air and water 
and other natural systems, including ecosystems.

Effects and impacts as used in these regulations are synonymous. Effects 
includes ecological (such as the effects on natural resources and on the 
components, structures, and functioning of affected ecosystems), 
aesthetic, historic, cultural, economic, social, or health, whether 
direct, indirect, or cumulative. Effects may also include those 
resulting from actions which may have both beneficial and detrimental 
effects, even if on balance the agency believes that the effect will be 
beneficial.



Sec. 1508.9  Environmental assessment.

    Environmental assessment:
    (a) Means a concise public document for which a Federal agency is 
responsible that serves to:
    (1) Briefly provide sufficient evidence and analysis for determining 
whether to prepare an environmental impact statement or a finding of no 
significant impact.
    (2) Aid an agency's compliance with the Act when no environmental 
impact statement is necessary.
    (3) Facilitate preparation of a statement when one is necessary.
    (b) Shall include brief discussions of the need for the proposal, of 
alternatives as required by section 102(2)(E), of the environmental 
impacts of the proposed action and alternatives, and a listing of 
agencies and persons consulted.



Sec. 1508.10  Environmental document.

    Environmental document includes the documents specified in Sec. 
1508.9 (environmental assessment), Sec. 1508.11 (environmental impact 
statement), Sec. 1508.13 (finding of no significant impact), and Sec. 
1508.22 (notice of intent).



Sec. 1508.11  Environmental impact statement.

    Environmental impact statement means a detailed written statement as 
required by section 102(2)(C) of the Act.



Sec. 1508.12  Federal agency.

    Federal agency means all agencies of the Federal Government. It does 
not mean the Congress, the Judiciary, or the President, including the 
performance of staff functions for the President in his Executive 
Office. It also includes for purposes of these regulations States and 
units of general local government and Indian tribes assuming NEPA 
responsibilities under section 104(h) of the Housing and Community 
Development Act of 1974.



Sec. 1508.13  Finding of no significant impact.

    Finding of no significant impact means a document by a Federal 
agency briefly presenting the reasons why an action, not otherwise 
excluded (Sec. 1508.4), will not have a significant effect on the human 
environment and for which an environmental impact statement therefore 
will not be prepared. It shall include the environmental assessment or a 
summary of it and shall note any other environmental documents related 
to it (Sec. 1501.7(a)(5)). If the assessment is included, the finding 
need not

[[Page 861]]

repeat any of the discussion in the assessment but may incorporate it by 
reference.



Sec. 1508.14  Human environment.

    Human environment shall be interpreted comprehensively to include 
the natural and physical environment and the relationship of people with 
that environment. (See the definition of ``effects'' (Sec. 1508.8).) 
This means that economic or social effects are not intended by 
themselves to require preparation of an environmental impact statement. 
When an environmental impact statement is prepared and economic or 
social and natural or physical environmental effects are interrelated, 
then the environmental impact statement will discuss all of these 
effects on the human environment.



Sec. 1508.15  Jurisdiction by law.

    Jurisdiction by law means agency authority to approve, veto, or 
finance all or part of the proposal.



Sec. 1508.16  Lead agency.

    Lead agency means the agency or agencies preparing or having taken 
primary responsibility for preparing the environmental impact statement.



Sec. 1508.17  Legislation.

    Legislation includes a bill or legislative proposal to Congress 
developed by or with the significant cooperation and support of a 
Federal agency, but does not include requests for appropriations. The 
test for significant cooperation is whether the proposal is in fact 
predominantly that of the agency rather than another source. Drafting 
does not by itself constitute significant cooperation. Proposals for 
legislation include requests for ratification of treaties. Only the 
agency which has primary responsibility for the subject matter involved 
will prepare a legislative environmental impact statement.



Sec. 1508.18  Major Federal action.

    Major Federal action includes actions with effects that may be major 
and which are potentially subject to Federal control and responsibility. 
Major reinforces but does not have a meaning independent of 
significantly (Sec. 1508.27). Actions include the circumstance where 
the responsible officials fail to act and that failure to act is 
reviewable by courts or administrative tribunals under the 
Administrative Procedure Act or other applicable law as agency action.
    (a) Actions include new and continuing activities, including 
projects and programs entirely or partly financed, assisted, conducted, 
regulated, or approved by federal agencies; new or revised agency rules, 
regulations, plans, policies, or procedures; and legislative proposals 
(Sec. Sec. 1506.8, 1508.17). Actions do not include funding assistance 
solely in the form of general revenue sharing funds, distributed under 
the State and Local Fiscal Assistance Act of 1972, 31 U.S.C. 1221 et 
seq., with no Federal agency control over the subsequent use of such 
funds. Actions do not include bringing judicial or administrative civil 
or criminal enforcement actions.
    (b) Federal actions tend to fall within one of the following 
categories:
    (1) Adoption of official policy, such as rules, regulations, and 
interpretations adopted pursuant to the Administrative Procedure Act, 5 
U.S.C. 551 et seq.; treaties and international conventions or 
agreements; formal documents establishing an agency's policies which 
will result in or substantially alter agency programs.
    (2) Adoption of formal plans, such as official documents prepared or 
approved by federal agencies which guide or prescribe alternative uses 
of Federal resources, upon which future agency actions will be based.
    (3) Adoption of programs, such as a group of concerted actions to 
implement a specific policy or plan; systematic and connected agency 
decisions allocating agency resources to implement a specific statutory 
program or executive directive.
    (4) Approval of specific projects, such as construction or 
management activities located in a defined geographic area. Projects 
include actions approved by permit or other regulatory decision as well 
as federal and federally assisted activities.



Sec. 1508.19  Matter.

    Matter includes for purposes of part 1504:

[[Page 862]]

    (a) With respect to the Environmental Protection Agency, any 
proposed legislation, project, action or regulation as those terms are 
used in section 309(a) of the Clean Air Act (42 U.S.C. 7609).
    (b) With respect to all other agencies, any proposed major federal 
action to which section 102(2)(C) of NEPA applies.



Sec. 1508.20  Mitigation.

    Mitigation includes:
    (a) Avoiding the impact altogether by not taking a certain action or 
parts of an action.
    (b) Minimizing impacts by limiting the degree or magnitude of the 
action and its implementation.
    (c) Rectifying the impact by repairing, rehabilitating, or restoring 
the affected environment.
    (d) Reducing or eliminating the impact over time by preservation and 
maintenance operations during the life of the action.
    (e) Compensating for the impact by replacing or providing substitute 
resources or environments.



Sec. 1508.21  NEPA process.

    NEPA process means all measures necessary for compliance with the 
requirements of section 2 and title I of NEPA.



Sec. 1508.22  Notice of intent.

    Notice of intent means a notice that an environmental impact 
statement will be prepared and considered. The notice shall briefly:
    (a) Describe the proposed action and possible alternatives.
    (b) Describe the agency's proposed scoping process including 
whether, when, and where any scoping meeting will be held.
    (c) State the name and address of a person within the agency who can 
answer questions about the proposed action and the environmental impact 
statement.



Sec. 1508.23  Proposal.

    Proposal exists at that stage in the development of an action when 
an agency subject to the Act has a goal and is actively preparing to 
make a decision on one or more alternative means of accomplishing that 
goal and the effects can be meaningfully evaluated. Preparation of an 
environmental impact statement on a proposal should be timed (Sec. 
1502.5) so that the final statement may be completed in time for the 
statement to be included in any recommendation or report on the 
proposal. A proposal may exist in fact as well as by agency declaration 
that one exists.



Sec. 1508.24  Referring agency.

    Referring agency means the federal agency which has referred any 
matter to the Council after a determination that the matter is 
unsatisfactory from the standpoint of public health or welfare or 
environmental quality.



Sec. 1508.25  Scope.

    Scope consists of the range of actions, alternatives, and impacts to 
be considered in an environmental impact statement. The scope of an 
individual statement may depend on its relationships to other statements 
(Sec. Sec. 1502.20 and 1508.28). To determine the scope of 
environmental impact statements, agencies shall consider 3 types of 
actions, 3 types of alternatives, and 3 types of impacts. They include:
    (a) Actions (other than unconnected single actions) which may be:
    (1) Connected actions, which means that they are closely related and 
therefore should be discussed in the same impact statement. Actions are 
connected if they:
    (i) Automatically trigger other actions which may require 
environmental impact statements.
    (ii) Cannot or will not proceed unless other actions are taken 
previously or simultaneously.
    (iii) Are interdependent parts of a larger action and depend on the 
larger action for their justification.
    (2) Cumulative actions, which when viewed with other proposed 
actions have cumulatively significant impacts and should therefore be 
discussed in the same impact statement.
    (3) Similar actions, which when viewed with other reasonably 
foreseeable or proposed agency actions, have similarities that provide a 
basis for evaluating their environmental

[[Page 863]]

consequencies together, such as common timing or geography. An agency 
may wish to analyze these actions in the same impact statement. It 
should do so when the best way to assess adequately the combined impacts 
of similar actions or reasonable alternatives to such actions is to 
treat them in a single impact statement.
    (b) Alternatives, which include:
    (1) No action alternative.
    (2) Other reasonable courses of actions.
    (3) Mitigation measures (not in the proposed action).
    (c) Impacts, which may be: (1) Direct; (2) indirect; (3) cumulative.



Sec. 1508.26  Special expertise.

    Special expertise means statutory responsibility, agency mission, or 
related program experience.



Sec. 1508.27  Significantly.

    Significantly as used in NEPA requires considerations of both 
context and intensity:
    (a) Context. This means that the significance of an action must be 
analyzed in several contexts such as society as a whole (human, 
national), the affected region, the affected interests, and the 
locality. Significance varies with the setting of the proposed action. 
For instance, in the case of a site-specific action, significance would 
usually depend upon the effects in the locale rather than in the world 
as a whole. Both short- and long-term effects are relevant.
    (b) Intensity. This refers to the severity of impact. Responsible 
officials must bear in mind that more than one agency may make decisions 
about partial aspects of a major action. The following should be 
considered in evaluating intensity:
    (1) Impacts that may be both beneficial and adverse. A significant 
effect may exist even if the Federal agency believes that on balance the 
effect will be beneficial.
    (2) The degree to which the proposed action affects public health or 
safety.
    (3) Unique characteristics of the geographic area such as proximity 
to historic or cultural resources, park lands, prime farmlands, 
wetlands, wild and scenic rivers, or ecologically critical areas.
    (4) The degree to which the effects on the quality of the human 
environment are likely to be highly controversial.
    (5) The degree to which the possible effects on the human 
environment are highly uncertain or involve unique or unknown risks.
    (6) The degree to which the action may establish a precedent for 
future actions with significant effects or represents a decision in 
principle about a future consideration.
    (7) Whether the action is related to other actions with individually 
insignificant but cumulatively significant impacts. Significance exists 
if it is reasonable to anticipate a cumulatively significant impact on 
the environment. Significance cannot be avoided by terming an action 
temporary or by breaking it down into small component parts.
    (8) The degree to which the action may adversely affect districts, 
sites, highways, structures, or objects listed in or eligible for 
listing in the National Register of Historic Places or may cause loss or 
destruction of significant scientific, cultural, or historical 
resources.
    (9) The degree to which the action may adversely affect an 
endangered or threatened species or its habitat that has been determined 
to be critical under the Endangered Species Act of 1973.
    (10) Whether the action threatens a violation of Federal, State, or 
local law or requirements imposed for the protection of the environment.

[43 FR 56003, Nov. 29, 1978; 44 FR 874, Jan. 3, 1979]



Sec. 1508.28  Tiering.

    Tiering refers to the coverage of general matters in broader 
environmental impact statements (such as national program or policy 
statements) with subsequent narrower statements or environmental 
analyses (such as regional or basinwide program statements or ultimately 
site-specific statements) incorporating by reference the general 
discussions and concentrating solely on the issues specific to the 
statement

[[Page 864]]

subsequently prepared. Tiering is appropriate when the sequence of 
statements or analyses is:
    (a) From a program, plan, or policy environmental impact statement 
to a program, plan, or policy statement or analysis of lesser scope or 
to a site-specific statement or analysis.
    (b) From an environmental impact statement on a specific action at 
an early stage (such as need and site selection) to a supplement (which 
is preferred) or a subsequent statement or analysis at a later stage 
(such as environmental mitigation). Tiering in such cases is appropriate 
when it helps the lead agency to focus on the issues which are ripe for 
decision and exclude from consideration issues already decided or not 
yet ripe.



Index to Parts 1500 Through 1508--Table of Contents



    Editorial Note: This listing is provided for information purposes 
only. It is compiled and kept up-to-date by the Council on Environmental 
Quality, and is revised through July 1, 2011.

                                  Index
Act.......................................  1508.2.
Action....................................  1508.18, 1508.25.
Action-forcing............................  1500.1, 1502.1.
Adoption..................................  1500.4(n), 1500.5(h),
                                             1506.3.
Affected Environment......................  1502.10(f), 1502.15.
Affecting.................................  1502.3, 1508.3.
Agency Authority..........................  1500.6.
Agency Capability.........................  1501.2(a), 1507.2.
Agency Compliance.........................  1507.1.
Agency Procedures.........................  1505.1, 1507.3.
Agency Responsibility.....................  1506.5.
Alternatives..............................  1501.2(c), 1502.2,
                                             1502.10(e), 1502.14,
                                             1505.1(e), 1505.2,
                                             1507.2(d), 1508.25(b).
Appendices................................  1502.10(k), 1502.18,
                                             1502.24.
Applicant.................................  1501.2(d)(1), 1501.4(b),
                                             1501.8(a), 1502.19(b),
                                             1503.1(a)(3), 1504.3(e),
                                             1506.1(d), 1506.5(a),
                                             1506.5(b).
Apply NEPA Early in the Process...........  1501.2.
Categorical Exclusion.....................  1500.4(p), 1500.5(k),
                                             1501.4(a), 1507.3(b),
                                             1508.4.
Circulation of Environmental Impact         1502.19, 1506.3.
 Statement.
Classified Information....................  1507.3(c).
Clean Air Act.............................  1504.1(b), 1508.19(a).
Combining Documents.......................  1500.4(o), 1500.5(i),
                                             1506.4.
Commenting................................  1502.19, 1503.1, 1503.2,
                                             1503.3, 1503.4, 1506.6(f).
Consultation Requirement..................  1500.4(k), 1500.5(g),
                                             1501.7(a)(6), 1502.25.
Context...................................  1508.27(a).
Cooperating Agency........................  1500.5(b), 1501.1(b),
                                             1501.5(c), 1501.5(f),
                                             1501.6, 1503.1(a)(1),
                                             1503.2, 1503.3, 1506.3(c),
                                             1506.5(c), 1508.5.
Cost-Benefit..............................  1502.23.
Council on Environmental Quality..........  1500.3, 1501.5(e),
                                             1501.5(f), 1501.6(c),
                                             1502.9(c)(4), 1504.1,
                                             1504.2, 1504.3, 1506.6(f),
                                             1506.9, 1506.10(d),
                                             1506.11, 1507.3, 1508.6,
                                             1508.24.
Cover Sheet...............................  1502.10(a), 1502.11.
Cumulative Impact.........................  1508.7, 1508.25(a),
                                             1508.25(c).
Decisionmaking............................  1505.1, 1506.1.
Decision points...........................  1505.1(b).
Dependent.................................  1508.25(a).
Draft Environmental Impact Statement......  1502.9(a).
Early Application of NEPA.................  1501.2.
Economic Effects..........................  1508.8.
Effective Date............................  1506.12.
Effects...................................  1502.16, 1508.8.
Emergencies...............................  1506.11.
Endangered Species Act....................  1502.25, 1508.27(b)(9).
Energy....................................  1502.16(e).
Environmental Assessment..................  1501.3, 1501.4(b),
                                             1501.4(c), 1501.7(b)(3),
                                             1506.2(b)(4), 1506.5(b),
                                             1508.4, 1508.9, 1508.10,
                                             1508.13.
Environmental Consequences................  1502.10(g), 1502.16.
Environmental Consultation Requirements...  1500.4(k), 1500.5(g),
                                             1501.7(a)(6), 1502.25,
                                             1503.3(c).
Environmental Documents...................  1508.10.
Environmental Impact Statement............  1500.4, 1501.4, 1501.7,
                                             1502.1, 1502.2, 1502.3,
                                             1502.4, 1502.5, 1502.6,
                                             1502.7, 1502.8, 1502.9,
                                             1502.10, 1502.11, 1502.12,
                                             1502.13, 1502.14, 1502.15,
                                             1502.16, 1502.17, 1502.18,
                                             1502.19, 1502.20, 1502.21,
                                             1502.22, 1502.23, 1502.24,
                                             1502.25, 1506.2(c), 1506.3,
                                             1506.8, 1508.11.
Environmental Protection Agency...........  1502.11(f), 1504.1, 1504.3,
                                             1506.7(c), 1506.9, 1506.10,
                                             1508.19(a).
Environmental Review Requirements.........  1500.4(k), 1500.5(g),
                                             1501.7(a)(6), 1502.25,
                                             1503.3(c).
Expedite..................................  1501.8(b)(3).
Federal Agency............................  1508.12.
Filing....................................  1506.9.
Final Environmental Impact Statement......  1502.9(b), 1503.1,
                                             1503.4(b).
Finding of No Significant Impact..........  1500.3, 1500.4(q),
                                             1500.5(l), 1501.4(e),
                                             1508.13.
Fish and Wildlife Coordination Act........  1502.25.
Format for Environmental Impact Statement.  1502.10.
Freedom of Information Act................  1506.6(f).
Further Guidance..........................  1506.7.
Generic...................................  1502.4(c)(2).
General Services Administration...........  1506.8(b)(2)(iii).
Geographic................................  1502.4(c)(1).
Graphics..................................  1502.8.
Handbook..................................  1506.7(a).
Housing and Community Development Act.....  1506.12, 1508.12.

[[Page 865]]

 
Human Environment.........................  1502.3, 1502.22, 1508.14.
Impacts...................................  1508.8, 1508.25(c).
Implementing the Decision.................  1505.3.
Incomplete or Unavailable Information.....  1502.22.
Incorporation by Reference................  1500.4(j), 1502.21.
Index.....................................  1502.10(j).
Indian Tribes.............................  1501.2(d)(2), 1501.7(a)(1),
                                             1502.16(c),
                                             1503.1(a)(2)(ii),
                                             1506.6(b)(3)(ii), 1508.5,
                                             1508.12.
Intensity.................................  1508.27(b).
Interdisciplinary Preparation.............  1502.6, 1502.17.
Interim Actions...........................  1506.1.
Joint Lead Agency.........................  1501.5(b), 1506.2.
Judicial Review...........................  1500.3.
Jurisdiction by Law.......................  1508.15.
Lead Agency...............................  1500.5(c), 1501.1(c),
                                             1501.5, 1501.6, 1501.7,
                                             1501.8, 1504.3, 1506.2(c),
                                             1506.8(c), 1506.10(d),
                                             1508.16.
Legislation...............................  1500.5(j), 1502.3, 1506.8,
                                             1508.17, 1508.18(a).
Limitation on Action During NEPA Process..  1506.1.
List of Preparers.........................  1502.10(h), 1502.17.
Local or State............................  1500.4(n), 1500.5(h),
                                             1501.2(d)(2), 1501.5(b),
                                             1501.5(d), 1501.7(a)(1),
                                             1501.8(c), 1502.16(c),
                                             1503.1(a)(2), 1506.2(b),
                                             1506.6(b)(3), 1508.5,
                                             1508.12, 1508.18.
Major Federal Action......................  1502.3, 1508.18.
Mandate...................................  1500.3.
Matter....................................  1504.1, 1504.2, 1504.3,
                                             1508.19.
Methodology...............................  1502.24.
Mitigation................................  1502.14(f), 1502.16(h),
                                             1503.3(d), 1505.2(c),
                                             1505.3, 1508.20.
Monitoring................................  1505.2(c), 1505.3.
National Historic Preservation Act........  1502.25.
National Register of Historical Places....  1508.27(b)(8).
Natural or Depletable Resource              1502.16(f).
 Requirements.
Need for Action...........................  1502.10(d), 1502.13.
NEPA Process..............................  1508.21.
Non-Federal Sponsor.......................  1501.2(d).
Notice of Intent..........................  1501.7, 1507.3(e), 1508.22.
OMB Circular A-95.........................  1503.1(a)(2)(iii), 1505.2,
                                             1506.6(b)(3)(i).
Ongoing Activities........................  1506.12.
Page Limits...............................  1500.4(a), 1501.7(b),
                                             1502.7.
Planning..................................  1500.5(a), 1501.2(b),
                                             1502.4(b), 1508.18.
Policy....................................  1500.2, 1502.4(b),
                                             1508.18(a).
Program Environmental Impact Statement....  1500.4(i), 1502.4, 1502.20,
                                             1508.18.
Programs..................................  1502.4, 1508.18(b).
Projects..................................  1508.18.
Proposal..................................  1502.4, 1502.5, 1506.8,
                                             1508.23.
Proposed Action...........................  1502.10(e), 1502.14,
                                             1506.2(d).
Public Health and Welfare.................  1504.1.
Public Involvement........................  1501.4(e), 1503.1(a)(4),
                                             1506.6.
Purpose...................................  1500.1, 1501.1, 1502.1,
                                             1504.1.
Purpose of Action.........................  1502.10(d), 1502.13.
Record of Decision........................  1505.2, 1506.1.
Referrals.................................  1504.1, 1504.2, 1504.3,
                                             1506.3(d).
Referring Agency..........................  1504.1, 1504.2, 1504.3.
Response to Comments......................  1503.4.
Rural Electrification Administration......  1506.1(d).
Scientific Accuracy.......................  1502.24.
Scope.....................................  1502.4(a), 1502.9(a),
                                             1508.25.
Scoping...................................  1500.4(g), 1501.1(d),
                                             1501.4(d), 1501.7,
                                             1502.9(a), 1506.8(b).
Significantly.............................  1502.3, 1508.27.
Similar...................................  1508.25.
Small Business Associations...............  1506.6(b)(3)(vi).
Social Effects............................  1508.8.
Special Expertise.........................  1508.26.
Specificity of Comments...................  1500.4(l), 1503.3.
State and Areawide Clearinghouses.........  1501.4(e)(2),
                                             1503.1(a)(2)(iii),
                                             1506.6(b)(3)(i).
State and Local...........................  1500.4(n), 1500.5(h),
                                             1501.2(d)(2), 1501.5(b),
                                             1501.5(d), 1501.7(a)(1),
                                             1501.8(c), 1502.16(c),
                                             1503.1(a)(2), 1506.2(b),
                                             1506.6(b)(3), 1508.5,
                                             1508.12, 1508.18.
State and Local Fiscal Assistance Act.....  1508.18(a).
Summary...................................  1500.4(h), 1502.10(b),
                                             1502.12.
Supplements to Environmental Impact         1502.9(c).
 Statements.
Table of Contents.........................  1502.10(c).
Technological Development.................  1502.4(c)(3).
Terminology...............................  1508.1.
Tiering...................................  1500.4(i), 1502.4(d),
                                             1502.20, 1508.28.
Time Limits...............................  1500.5(e), 1501.1(e),
                                             1501.7(b)(2), 1501.8.
Timing....................................  1502.4, 1502.5, 1506.10.
Treaties..................................  1508.17.
When to Prepare an Environmental            1501.3.
 Assessment.
Whether to Prepare an Environmental Impact  1501.4.
 Statement.
Wild and Scenic Rivers Act................  1506.8(b)(2)(ii).
Wilderness Act............................  1506.8(b)(2)(ii).
Writing...................................  1502.8.
------------------------------------------------------------------------



PART 1515_FREEDOM OF INFORMATION ACT PROCEDURES--Table of Contents



                                 Purpose

Sec.
1515.1 FOIA procedures.

                           Organization of CEQ

1515.2 About the Council on Environmental Quality (CEQ).
1515.3 CEQ organization.
1515.4 CEQ FOIA Officials.

                    Procedures for Requesting Records

1515.5 Making a Freedom of Information Act request.

[[Page 866]]

1515.6 CEQ's response to a request.
1515.7 Expedited processing.
1515.8 Appeals.
1515.9 Extending CEQ's time to respond.

                       Availability of Information

1515.10 Obtaining available information.

                                  Costs

1515.11 Definitions.
1515.12 Fees in general.
1515.13 Fees for categories of requesters.
1515.14 Other charges.
1515.15 Payment and waiver.
1515.16 Other rights and services.
1515.17-1515.19 [Reserved]

    Authority: 5 U.S.C. 552, as amended by Pub. L. 93-502, Pub. L. 99-
570, Pub. L. 104-231, Pub. L. 110-175; E.O. 13392; Pres. Mem. 74 FR 
4685. Source: 42 FR 65158, Dec. 30, 1977, unless otherwise noted.

    Source:  75 FR 48590, Aug. 11, 2010, unless otherwise noted.

                                 Purpose



Sec. 1515.1  FOIA procedures.

    The Freedom of Information Act (5 U.S.C. 552), as amended, commonly 
known as FOIA, is a Federal law that creates a procedure for any person 
to request documents and other records from United States Government 
agencies. The law requires every Federal agency to make available to the 
public the material requested, unless the material falls under one of 
the limited exemptions stated in Section 552(b) of the Act. These 
procedures explain how the Council on Environmental Quality (CEQ)--one 
of several agencies in the Executive Office of the President--will carry 
out the FOIA. They are written from the standpoint of a FOIA requester 
and should be read together with the FOIA, which provides additional 
information about access to records maintained by CEQ. This information 
is furnished for the guidance of the public and in compliance with the 
requirements of Section 552 of title 5, United States Code, as amended.

                           Organization of CEQ



Sec. 1515.2  About the Council on Environmental Quality (CEQ).

    The Council on Environmental Quality (``CEQ'' or ``the Council'') 
was created by the National Environmental Policy Act of 1969, as amended 
(42 U.S.C. 4321 through 4347). The Council's authority is primarily 
derived from that Act, the Environmental Quality Improvement Act of 
1970, as amended (42 U.S.C. 4371-4374), Reorganization Plan No. 1 of 
1977 (July 15, 1977), and Executive Order 11514, ``Protection and 
Enhancement of Environmental Quality,'' March 5, 1970, as amended by 
Executive Order 11991, May 24, 1977.



Sec. 1515.3  CEQ organization.

    (a) The Council is made up of a Chair appointed by the President and 
subject to approval by the Senate who serves in a full-time capacity. 
Congress has allowed CEQ to consist of a Council of one member who 
serves as Chairman or Chair.
    (b) The National Environmental Policy Act and the Environmental 
Quality Improvement Act give the Council the authority to hire any 
officers and staff that may be necessary to carry out responsibilities 
and functions specified in these two Acts. Also, the use of consultants 
and experts is permitted.
    (c) In addition to the Chair, the Council has program and legal 
staff.
    (d) The Council has no field or regional offices.
    (e) The Council is located at 722 Jackson Place NW., Washington, DC 
20503. Office hours are 9 a.m.-5:30 p.m., Monday through Friday, except 
Federal holidays. To meet with any of the staff, please write or phone 
ahead for an appointment. The main number is 202-456-6224.



Sec. 1515.4  CEQ FOIA Officials.

    (a) The Chair shall appoint a Chief Freedom of Information Act 
Officer (Chief FOIA Officer) who is responsible for overseeing the 
Council's administration of the Freedom of Information Act and for 
receiving, routing and overseeing the processing of all Freedom of 
Information requests as set forth in these regulations. The Chair shall 
appoint an Appeals Officer, who is responsible for processing and acting 
upon any appeals and may designate one or more CEQ officials, as 
appropriate, as FOIA Officers authorized to oversee and process FOIA 
requests. The Chief FOIA Officer may serve as the Appeals Officer.

[[Page 867]]

    (b) The Chief FOIA officer shall designate a FOIA Public Liaison who 
is the supervisory official to whom a FOIA requester can raise concerns 
about the service the FOIA requester has received from the CEQ FOIA 
Center, described in Section 1515.5(a), following an initial response 
from the staff of the CEQ FOIA Center staff. The FOIA Public Liaison 
shall assist, as appropriate, in reducing delays and increasing 
understanding of the status of requests. The Chief FOIA officer shall 
also designate a CEQ FOIA Officer responsible for overseeing CEQ's day-
to-day administration of the FOIA and for receiving, routing, and 
overseeing the processing of all FOIA requests.

                    Procedures for Requesting Records



Sec. 1515.5  Making a Freedom of Information Act request.

    (a) Availability of records. The Council maintains a World Wide Web 
site, http://www.whitehouse.gov/administration/eop/ceq, and an online 
Freedom of Information Act Requester Service Center (``Center''), http:/
/www.whitehouse.gov/administration/eop/ceq/foia. From the Center, a 
requester can find contact information regarding the CEQ's FOIA Public 
Liaison, as defined in Section 1515.4(b), and access CEQ's Online 
Reading Room where CEQ makes available records pertaining to matters 
within the scope of 5 U.S.C. 552(a)(2), as amended, and environmental 
issues and other documents that, because of the nature of their subject 
matter, are likely to be the subject of FOIA requests. To save both time 
and money, CEQ strongly urges requesters to review documents currently 
available from the Center's Online Reading Room before submitting a 
request.
    (b) Requesting information from the Council. (1) Requesters must 
make a Freedom of Information Act request in writing. For quickest 
possible handling, it should be sent via e-mail to: [email protected] 
and must include in the subject line of the e-mail message: ``Freedom of 
Information Act Request.'' Written requests may also be faxed to (202) 
456-0753 or addressed and mailed to: Council on Environmental Quality, 
Executive Office of the President, 722 Jackson Place NW., Washington, DC 
20503. Requesters should mark both the request letter and the envelope 
``Freedom of Information Act Request'' and include their name, address, 
and sufficient contact information to allow follow up regarding the 
scope and status of your request.
    (2) The request should identify or reasonably describe the desired 
record. It should be as specific as possible, so that the item can be 
readily found. Blanket requests, such as requests for ``all materials 
relating to'' a specified subject are not recommended. Requesters should 
specify the preferred form or format (including electronic format) for 
the response. CEQ will accommodate such requests, if the record is 
readily reproducible in that form or format. Please be aware that FOIA 
requests and responses may themselves be made available for public 
inspection.
    (3) The CEQ FOIA Officer is responsible for acting on all initial 
requests; however, he or she may consult and refer, pursuant to Section 
552(a)(6)(B)(iii)(III) of the FOIA, with another agency if he or she 
determines that that agency is better able to act on the request. 
Whenever the CEQ FOIA Officer refers all or any part of the 
responsibility for responding to a request to another agency, he or she 
will notify the requester of the referral, the name of the agency and 
agency official to whom it has been referred, and which portion of the 
request has been referred. Unless a request is deemed ``expedited'' as 
set forth in Section 1515.7 below, the CEQ FOIA Officer will respond to 
requests in order of receipt. CEQ may use two or more processing tracks 
by distinguishing between simple and more complex requests based on the 
amount of time and work needed to process the request. CEQ may provide 
requesters on a slower track an opportunity to limit the scope of their 
request in order to qualify for faster processing.
    (4) The Council will make a reasonable effort to assist with 
defining the request to eliminate extraneous and unwanted materials and 
to keep search and copying fees to a minimum. If budgetary constraints 
exist, the requester should indicate the maximum

[[Page 868]]

fee he or she is prepared to pay to acquire the information. (See also 
Sec. 1515.11)
    (5) The Freedom of Information Act does not require a government 
agency to create or research information; rather, it only requires that 
existing records be made available to the public.



Sec. 1515.6  CEQ's response to a request.

    (a) Upon receipt of any written request for information or records, 
under the Act, the CEQ FOIA Officer or his or her designee, will make an 
initial determination on the request within 20 days (excepting 
Saturdays, Sundays and Federal holidays) from the date CEQ receives the 
request unless unusual or exceptional circumstances exist. The CEQ FOIA 
Officer will provide written notification of the determination, 
including, if applicable, notification that the request has been 
referred to another agency for consultation as set forth above in Sec. 
1515.5(b)(3). CEQ may make one request to the requester for information 
and toll the 20-day period while it is awaiting such information that it 
has reasonably requested from the requester. It may also toll the 20-day 
period if necessary to clarify with the requester issues regarding fee 
assessment. In either case, CEQ's receipt of the requester's response to 
its request for information or clarification ends the tolling period.
    (b) Requests received by the CEQ FOIA Officer or his or her designee 
will be assigned an individualized tracking number if they will take 
more than 10 days to process. Requesters may call the FOIA Public 
Liaison at (202) 456-6224 and, using the tracking number, obtain 
information about the request, including the date on which CEQ 
originally received the request and an estimated date on which CEQ will 
complete action on the request.
    (c) If it is appropriate to grant the request, a staff member will 
immediately collect the requested materials in order to accompany, 
wherever possible, the Freedom of Information Officer's letter conveying 
decision.
    (d) If a request is denied in part or in full, the letter conveying 
the decision will be signed by the CEQ FOIA Officer, and will include: 
The reasons for any denial, including any FOIA exemption(s) applied by 
the FOIA Officer in denying the request; an estimate of the volume of 
records or information withheld, in number of pages or in some other 
reasonable form of estimation. This estimate does not need to be 
provided, if the volume is otherwise indicated through exemptions on 
records disclosed in part or, if providing an estimate would harm an 
interest protected by an applicable exemption; and the procedure for 
filing an appeal.



Sec. 1515.7  Expedited processing.

    (a) Requests and appeals will be taken out of order and given 
expedited treatment whenever it is determined that they involve:
    (1) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (2) An urgency to inform the public about an actual or alleged 
Federal Government activity, if made by a person primarily engaged in 
disseminating information.
    (b) A request for expedited processing may be made at the time of 
the initial request for records or at any later time.
    (c) A requester who seeks expedited processing must submit a written 
statement, certified to be true and correct to the best of that person's 
knowledge and belief, explaining in detail the basis for requesting 
expedited processing. For example, a requester within the category 
described in paragraph (a)(2) of this section, if not a full-time member 
of the news media, must establish that he or she is a person whose main 
professional activity or occupation is information dissemination, though 
it need not be his or her sole occupation. A requester within the 
category (a)(2) of this section must also establish a particular urgency 
to inform the public about the government activity involved in the 
request, beyond the public's right to know about government activity 
generally. Formal certification may be waived as a matter of 
administrative discretion.
    (d) Within 10 days of its receipt of a request for expedited 
processing, the CEQ FOIA Officer will decide whether

[[Page 869]]

to grant it and will notify the requester of the decision. If a request 
for expedited treatment is granted, the request will be placed in the 
expedited processing track, given priority, and processed as soon as 
practicable. If a request for expedited processing is denied, any appeal 
of that decision will be acted on expeditiously.



Sec. 1515.8  Appeals.

    (a) The requester may appeal an adverse determination, in any 
respect, to the CEQ FOIA Appeals Officer. Any appeal must be received by 
CEQ within 60 days of the date on the CEQ letter denying the request.
    (b) Appeals must be in writing and may be sent via e-mail to: 
[email protected]. They may also be sent via facsimile to: (202) 456-
0753 or via U.S. mail addressed to: FOIA Appeals Officer, Council on 
Environmental Quality, Executive Office of the President, 722 Jackson 
Place NW., Washington, DC 20503.
    (c) The appeal letter should specify the records requested and ask 
the Appeals Officer to review the determination made by the Freedom of 
Information Officer. The letter should explain the basis for the appeal.
    (d) The Appeals Officer will make a final determination on an appeal 
within 20 working days (excepting Saturdays, Sundays and Federal 
holidays) from the date CEQ receives the appeal. The Appeals Officer (or 
designee) will send a letter to the requester conveying the decision as 
soon as it is made. If an appeal is denied, in part or in whole, the 
letter will also include the provisions for judicial review.



Sec. 1515.9  Extending CEQ's time to respond.

    (a) In unusual circumstances as defined in paragraph (c) of this 
section, the time limits for responding to a request (Sec. Sec. 
1515.6(a) and 1515.8(d)) may be extended by the Council for not more 
than 10 working days. Extensions may be granted by the CEQ FOIA Officer 
in the case of initial requests and by the Appeals Officer in the case 
of any appeals. The extension period may be split between the initial 
request and the appeal but may not exceed 10 working days overall. 
Extensions will be confirmed in writing and set forth the reasons for 
the extension and the date that the final determination is expected.
    (b) With respect to a request for which a written notice under this 
section extends the time limits prescribed under Sec. 1515.6(a), the 
CEQ FOIA Officer will notify the requester, if the request cannot be 
processed within the time limit specified in Sec. 1515.6(a) and provide 
an opportunity to limit the scope of the request, so that it may be 
processed within that time limit or an opportunity to arrange an 
alternative time frame for processing the request or a modified request. 
A requester's refusal to reasonably modify the request or arrange such 
an alternative time frame will be considered as a factor in determining 
whether exceptional circumstances exist for purposes of 5 U.S.C. 
552(a)(6)(C). When CEQ reasonably believes that a requester, or a group 
of requesters, has submitted a request constituting a single request 
that would otherwise satisfy the unusual circumstances specified under 
this section, CEQ may aggregate those requests for purposes of this 
paragraph. Multiple requests involving unrelated matters will not be 
aggregated.
    (c) The term ``unusual circumstances'' means:
    (1) The need to search for and collect the requested records from 
establishments that are separate from the office processing the request;
    (2) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (3) The need for consultation, which will be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
agency having substantial subject-matter interest therein.

                       Availability of Information



Sec. 1515.10  Obtaining available information.

    (a) When a request for information has been granted in whole or in 
part,

[[Page 870]]

CEQ will notify the requester in writing, inform the requester in the 
notice of any fee charged under Sec. 1515.11 and will disclose records 
to the requester promptly on payment of any applicable fees. The 
requested material may be made available on CEQ's Online FOIA Center, 
http://www.whitehouse.gov/administration/eop/ceq/foia, and also in the 
form or format requested if the record is readily reproducible in that 
form or format with reasonable effort. When a form or format of the 
response is not requested, CEQ will respond in the form or format in 
which the document is most accessible to CEQ. ``Readily reproducible'' 
means, with respect to electronic format, that the requested record or 
records can be downloaded or transferred intact to a computer disk or 
other electronic medium using equipment currently in use by CEQ.
    (b) Records disclosed in part will be marked or annotated to show 
information deleted, unless doing so would harm an interest protected by 
an applicable exemption. The location of the information deleted will 
also be indicated in the record, if technically feasible.
    (c) The legislative history of the establishment of CEQ states that 
the Congress intended CEQ to be a confidential advisor to the President 
on matters of environmental policy. Therefore, members of the public 
should be aware that communications between CEQ and the President 
(including communications between their staff) may be confidential; they 
will usually fall, at a minimum, within Exemption 5 of the Act. The 
Freedom of Information Officer shall review each request to determine 
whether the record is exclusively factual or may have factual portions 
which may be reasonably segregated and made available to the requester. 
Furthermore, on the recommendation of the CEQ FOIA Officer or Appeals 
Officer, CEQ will consider the release of an entire record, even if it 
comes within an exemption or contains policy advice, if its disclosure 
would not impair Executive policymaking processes or CEQ's participation 
in decisionmaking.

                                  Costs



Sec. 1515.11  Definitions.

    For purposes of these regulations:
    Commercial use request means a request from or on behalf of a person 
who seeks information for a use or purpose that furthers the requester's 
or other person's commercial, trade, or profit interests.
    Direct costs means those costs incurred in searching for and 
duplicating (and, in the case of commercial use requests, reviewing) 
documents to respond to a FOIA request. Direct costs include, for 
example, salaries of employees who perform the work and costs of 
conducting large-scale computer searches.
    Duplicate means to copy records to be released to the FOIA 
requester. Copies can take the form of paper, audio-visual materials, or 
electronic records, among others.
    Educational institution means a school that operates a program of 
scholarly research.
    Non-commercial scientific institution means an institution that is 
not operated on a commercial basis and that operates solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry.
    Representative of the news media means any person or entity that 
gathers information of potential interest to a segment of the public, 
uses its editorial skills to turn the raw materials into a distinct 
work, and distributes that work to an audience.
    Review means to examine a record to determine whether any portion of 
the record may be withheld and to process a record for disclosure, 
including by redacting it.
    Search means to look for and retrieve records covered by a FOIA 
request, including by looking page-by-page or line-by-line to identify 
responsive material within individual records.



Sec. 1515.12  Fees in general.

    CEQ shall charge fees that recoup the full allowable direct costs it 
incurs in responding to FOIA requests. CEQ may assess charges for time 
spent searching for records even if CEQ fails to locate the records or 
if the records are located

[[Page 871]]

and determined to be exempt from disclosure. In general, CEQ shall apply 
the following fee schedule, subject to Sec. Sec. 1515.13 through 
1515.15:
    (a) Manual searches. Time devoted to manual searches shall be 
charged on the basis of the salary of the employee(s) conducting the 
search (basic hourly rate(s) of pay for the employee(s), plus 16 
percent).
    (b) Electronic searches. Fees shall reflect the direct cost of 
conducting the search. This will include the cost of operating the 
central processing unit for that portion of operating time that is 
directly attributable to searching for and printing records responsive 
to the FOIA request and operator/programmer salary attributable to the 
search.
    (c) Record reviews. Time devoted to reviewing records shall be 
charged on the same basis as under paragraph (a) of this section, but 
shall only be applicable to the review of records located in response to 
commercial use requests.
    (d) Duplication. Fees for copying paper records or for printing 
electronic records shall be assessed at a rate of $.15 per page. For 
other types of copies such as disks or audio visual tapes, CEQ shall 
charge the direct cost of producing the document(s). If total costs are 
expected to exceed $25, the FOIA Officer shall provide the requester 
with an estimate in writing and, in return, obtain from the requester a 
commitment to pay the estimated fee. This does not apply if the 
requester has indicated in advance a willingness to pay fees as high as 
those anticipated. If a requester wishes to limit costs, the FOIA 
Officer shall provide the requester an opportunity to reformulate the 
request in order to reduce costs. If the requester reformulates a 
request, it shall be considered a new request and the 20-day period 
described in Sec. 1515.6(a) shall be deemed to begin when the FOIA 
Officer receives the request.
    (e)(1) Advance payments required. The FOIA Officer may require a 
requester to make an advance deposit of up to the amount of the entire 
anticipated fee before the FOIA Officer begins to process the request 
if:
    (i) The FOIA Officer estimates that the fee will exceed $250; or
    (ii) The requester has previously failed to pay a fee in a timely 
fashion.
    (2) When the FOIA Officer requires a requester to make an advance 
payment, the 20-day period described in Sec. 1515.6(a) shall begin when 
the FOIA Officer receives the payment.
    (f) No assessment of fee. CEQ shall not charge a fee to any 
requester if:
    (1) The cost of collecting the fee would be equal to or greater than 
the fee itself; or
    (2) After the effective date of these regulations CEQ fails to 
comply with a time limit under the Freedom of Information Act for 
responding to the request for records where no unusual or exceptional 
circumstances apply.



Sec. 1515.13  Fees for categories of requesters.

    CEQ shall assess fees for certain categories of requesters as 
follows:
    (a) Commercial use requesters. In responding to commercial use 
requests, CEQ shall assess fees that recover the full direct costs of 
searching for, reviewing, and duplicating records.
    (b) Educational and non-commercial scientific institutions. CEQ 
shall provide records to requesters in this category for the cost of 
duplication alone, excluding charges for the first 100 pages. To qualify 
for inclusion in this fee category, a requester must show that the 
request is authorized by and is made under the auspices of a qualifying 
institution and that the records are sought to further scholarly 
research, not an individual goal.
    (c) Representatives of the news media. CEQ shall provide records to 
requesters in this category for the cost of duplication alone, excluding 
charges for the first 100 pages.
    (d) All other requesters. CEQ shall charge requesters who do not 
fall within paragraphs (a) through (c) of this section fees that recover 
the full direct cost of searching for and duplicating records, excluding 
charges for the first 100 pages of reproduction and the first two hours 
of search time.



Sec. 1515.14  Other charges.

    CEQ may apply other charges, including the following:

[[Page 872]]

    (a) Special charges. CEQ shall recover the full cost of providing 
special services, such as sending records by express mail, to the extent 
that CEQ elects to provide them in that manner.
    (b) Interest charges. CEQ may begin assessing interest charges on an 
unpaid bill starting on the 31st day following the day on which the FOIA 
Officer sent the billing. Interest shall be charged at the rate 
prescribed in 31 U.S.C. 3717 and will accrue from the date of billing.
    (c) Aggregating requests. When the FOIA Officer reasonably believes 
that a requester or a group of requesters acting in concert is 
attempting to divide a request into a series of requests for the purpose 
of avoiding fees, the FOIA Officer shall aggregate those requests and 
charge accordingly.



Sec. 1515.15  Payment and waiver.

    (a) Remittances. Payment shall be made in the form of check or money 
order made payable to the Treasury of the United States. At the time the 
FOIA Officer notifies a requester of the applicable fees, the Officer 
shall inform the requester of where to send the payment.
    (b) Waiver of fees. CEQ may waive all or part of any fee provided 
for in Sec. Sec. 1515.12 and 1515.13 when the FOIA Officer deems that 
disclosure of the information is in the general public's interest 
because it is likely to contribute significantly to public understanding 
of the operations or activities of the government and is not primarily 
in the commercial interest of the requester. In determining whether a 
fee should be waived, the FOIA Officer may consider whether:
    (1) The subject matter specifically concerns identifiable operations 
or activities of the government;
    (2) The information is already in the public domain;
    (3) Disclosure of the information would contribute to the 
understanding of the public-at-large as opposed to a narrow segment of 
the population;
    (4) Disclosure of the information would significantly enhance the 
public's understanding of the subject matter;
    (5) Disclosure of the information would further a commercial 
interest of the requester; and
    (6) The public's interest is greater than any commercial interest of 
the requester.



Sec. 1515.16  Other rights and services.

    Nothing in this subpart will be construed to entitle any person, as 
of right, to any service or to the disclosure of any record to which 
such person is not entitled under the FOIA.



Sec. 1515.17-1515.19  [Reserved]



PART 1516_PRIVACY ACT IMPLEMENTATION--Table of Contents



Sec.
1516.1 Purpose and scope.
1516.2 Definitions.
1516.3 Procedures for requests pertaining to individual records in a 
          record system.
1516.4 Times, places, and requirements for the identification of the 
          individual making a request.
1516.5 Disclosure of requested information to the individual.
1516.6 Request for correction or amendment to the record.
1516.7 Agency review of request for correction or amendment of the 
          record.
1516.8 Appeal of an initial adverse agency determination on correction 
          or amendment of the record.
1516.9 Disclosure of a record to a person other than the individual to 
          whom the record pertains.
1516.10 Fees.

    Authority: 5 U.S.C. 552a; Pub. L. 93-579.

    Source: 42 FR 32537, June 27, 1977, unless otherwise noted.



Sec. 1516.1  Purpose and scope.

    The purposes of these regulations are to:
    (a) Establish a procedure by which an individual can determine if 
the Council on Environmental Quality (hereafter known as the Council) 
maintains a system of records which includes a record pertaining to the 
individual; and
    (b) Establish a procedure by which an individual can gain access to 
a record pertaining to him or her for the purpose of review, amendment 
and/or correction.



Sec. 1516.2  Definitions.

    For the purpose of these regulations:
    (a) The term individual means a citizen of the United States or an 
alien

[[Page 873]]

lawfully admitted for permanent residence;
    (b) The term maintain means maintain, collect, use or disseminate;
    (c) The term record means any item or collection or grouping of 
information about an individual that is maintained by the Council 
(including, but not limited to, his or her employment history, payroll 
information, and financial transactions), and that contains his or her 
name, or an identifying number, symbol, or other identifying particular 
assigned to the individual such as a social security number;
    (d) The term system of records means a group of any records under 
the control of the Council from which information is retrieved by the 
name of the individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual; and
    (e) The term routine use means with respect to the disclosure of a 
record, the use of such record for a purpose which is compatible with 
the purpose for which it was collected.



Sec. 1516.3  Procedures for requests pertaining to individual records in a record system.

    An individual shall submit a written request to the Administrative 
Officer of the Council to determine if a system of records named by the 
individual contains a record pertaining to the individual. The 
individual shall submit a written request to the Administrative Officer 
of the Council which states the individual's desire to review his or her 
record. The Administrative Officer of the Council is available to answer 
questions regarding these regulations and to provide assistance in 
locating records in the Council's system of records.

[42 FR 32537, June 27, 1977; 42 FR 35960, July 13, 1977]



Sec. 1516.4  Times, places, and requirements for the identification of 

the individual making a request.

    An individual making a request to the Administrative Officer of the 
Council pursuant to Sec. 1516.3 shall present the request at the 
Council's office, 722 Jackson Place NW., Washington, DC 20006, on any 
business day between the hours of 9 a.m. and 5 p.m. and should be 
prepared to identify himself by signature. Requests will also be 
accepted in writing if mailed to the Council's offices and signed by the 
requester.



Sec. 1516.5  Disclosure of requested information to the individual.

    Upon verification of identity, the Council shall disclose to the 
individual the information contained in the record which pertains to 
that individual.
    (a) The individual may be accompanied for this purpose by a person 
of his choosing.
    (b) Upon request of the individual to whom the record pertains, all 
information in the accounting of disclosures will be made available.

[42 FR 35960, July 13, 1977]



Sec. 1516.6  Request for correction or amendment to the record.

    The individual may submit a request to the Administrative Officer of 
the Council which states the individual's desire to correct or to amend 
his or her record. This request must be made in accordance with the 
procedures of Sec. 1516.4 and shall describe in detail the change which 
is requested.

[42 FR 32537, June 27, 1977. Redesignated at 42 FR 35960, July 13, 1977]



Sec. 1516.7  Agency review of request for correction or amendment of the record.

    Within ten working days of the receipt of a request to correct or to 
amend a record, the Administrative Officer of the Council will 
acknowledge in writing such receipt and promptly either:
    (a) Make any correction or amendment of any portion thereof which 
the individual believes is not accurate, relevant, timely, or complete; 
or
    (b) Inform the individual of his or her refusal to correct or amend 
the record in accordance with the request, the reason for the refusal, 
and the procedure established by the Council for the individual to 
request a review of that refusal.

[[Page 874]]



Sec. 1516.8  Appeal of an initial adverse agency determination on correction 

or amendment of the record.

    An individual may appeal refusal by the Administrative Officer of 
the Council to correct or to amend his or her record by submitting a 
request for a review of such refusal to the General Counsel, Council on 
Environmental Quality, 722 Jackson Place NW., Washington, DC 20006. The 
General Counsel shall, not later than thirty working days from the date 
on which the individual requests such a review, complete such review and 
make a final determination unless, for good cause shown, the General 
Counsel extends such thirty day period. If, after his or her review, the 
General Counsel also refuses to correct or to amend the record in 
accordance with the request, the individual may file with the Council a 
concise statement setting forth the reasons for his or her disagreement 
with the General Counsel's decision and may seek judicial relief under 5 
U.S.C. 552a(g)(1)(A).



Sec. 1516.9  Disclosure of a record to a person other than the individual

to whom the record pertains.

    The Council will not disclose a record to any individual other than 
to the individual to whom the record pertains without receiving the 
prior written consent of the individual to whom the record pertains, 
unless the disclosure either has been listed as a ``routine use'' in the 
Council's notices of its systems of records or falls within the special 
conditions of disclosure set forth in section 3 of the Privacy Act of 
1974.



Sec. 1516.10  Fees.

    If an individual requests copies of his or her record, he or she 
shall be charged ten cents per page, excluding the cost of any search 
for the record, in advance of receipt of the pages.



PART 1517_PUBLIC MEETING PROCEDURES OF THE COUNCIL ON ENVIRONMENTAL QUALITY--Table of Contents



Sec.
1517.1 Policy and scope.
1517.2 Definitions.
1517.3 Open meeting requirement.
1517.4 Exceptions.
1517.5 Procedure for closing meetings.
1517.6 Notice of meetings.
1517.7 Records of closed meetings.

    Authority: 5 U.S.C. 552b(g); Pub. L. 94-409.

    Source: 42 FR 20818, Apr. 22, 1977, unless otherwise noted.



Sec. 1517.1  Policy and scope.

    Consistent with the policy that the public is entitled to the 
fullest information regarding the decisionmaking processes of the 
Federal Government, it is the purpose of this part to open the meetings 
of the Council on Environmental Quality to public observation while 
protecting the rights of individuals and the ability of the Council to 
carry out its primary responsibility of providing advice to the 
President. Actions taken by the Chairman acting as Director of the 
Office of Environmental Quality and Council actions involving advice to 
the President when such advice is not formulated collegially during a 
meeting are outside the scope of this part. In addition to conducting 
the meetings required by this part, it is the Council's policy to 
conduct, open to public observation, periodic meetings involving Council 
discussions of Council business, including where appropriate, matters 
outside the scope of this part. This part does not affect the procedures 
set forth in part 1515 pursuant to which records of the Council are made 
available to the public for inspection and copying, except that the 
exemptions set forth in Sec. 1517.4(a) shall govern in the case of any 
request made to copy or inspect the transcripts, recording or minutes 
described in Sec. 1517.7.

[47 FR 6277, Feb. 11, 1982]



Sec. 1517.2  Definitions.

    For the purpose of this part:
    (a) The term Council shall mean the Council on Environmental Quality 
established under title II of the National Environmental Policy Act of 
1969 (42 U.S.C. 4321 through 4347).
    (b) The term meeting means the deliberations of at least two Council 
members where such deliberations determine or result in the joint 
conduct or disposition of official collegial Council business, but does 
not include deliberations to take actions to open or close a

[[Page 875]]

meeting under Sec. Sec. 1517.4 and 1517.5 or to release or withhold 
information under Sec. Sec. 1517.4 and 1517.7. ``Meeting'' shall not be 
construed to prevent Council members from considering individually 
Council business that is circulated to them sequentially in writing.
    (c) Director means the Chairman of the Council on Environmental 
Quality acting as the head of the Office of Environmental Quality 
pursuant to the Environmental Quality Improvement Act of 1970, Pub. L. 
91-224, 42 U.S.C. 4371 through 4374.

[44 FR 34946, June 18, 1979, as amended at 47 FR 6277, Feb. 11, 1982]



Sec. 1517.3  Open meeting requirement.

    (a) Every portion of every meeting of the Council is open to public 
observation subject to the exemptions provided in Sec. 1517.4. Members 
of the Council may not jointly conduct or dispose of the business of the 
Council other than in accordance with this part.
    (b) The Council will conduct open to public observation periodic 
meetings involving Council discussions of Council business including 
where appropriate matters outside the scope of this part. Such meetings 
will be noticed pursuant to Sec. 1517.6.
    (c) Members of the public may attend open meetings of the Council 
for the sole purpose of observation and may not participate in or 
photograph any meeting without prior permission of the Council. Members 
of the public who desire to participate in or photograph an open meeting 
of the Council may request permission to do so from the General Counsel 
of the Council before such meeting. Members of the public may record 
open meetings of the Council by means of any mechanical or electronic 
device unless the Council determines such recording would disrupt the 
orderly conduct of such meeting.

[44 FR 34946, June 18, 1979, as amended at 47 FR 6277, Feb. 11, 1982]



Sec. 1517.4  Exceptions.

    (a) A meeting or portion thereof may be closed to public 
observation, and information pertaining to such meeting or portion 
thereof may be withheld from the public, if the Council determines that 
such meeting or portion thereof or disclosure of such information is 
likely to:
    (1) Disclose matters that are (i) specifically authorized under 
criteria established by an Executive order to be kept secret in the 
interest of national defense or foreign policy and (ii) in fact properly 
classified pursuant to that Executive order;
    (2) Relate solely to the internal personnel rules and practices of 
the Council;
    (3) Disclose matters specifically exempted from disclosure by 
statute (other than the Freedom of Information Act, 5 U.S.C. 552), 
provided that the statute: (i) Requires that the matters be withheld 
from the public in such a manner as to leave no discretion on the issue, 
or (ii) establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Disclose the trade secrets and commercial or financial 
information obtained from a person and privileged or confidential;
    (5) Involve accusing any person of a crime, or formally censuring 
any person;
    (6) Disclose information of a personal nature if disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (7) Disclose investigatory records compiled for law enforcement 
purposes, or information which if written would be contained in such 
records, but only to the extent that the production of those records or 
information would:
    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source,
    (v) Disclose investigative techniques and procedures, or,
    (vi) Endanger the life or physical safety of law enforcement 
personnel;

[[Page 876]]

    (8) Disclose information contained in or related to examination, 
operating, or condition reports prepared by, on behalf of, or for the 
use of an agency responsible for the regulation or supervision of 
financial institutions;
    (9) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed action of 
the Council. This exception shall not apply in any instance where the 
Council has already disclosed to the public the content or nature of the 
proposed action, or where the Council is required by law to make such 
disclosure on its own initiative prior to taking final action on the 
proposal; or
    (10) Specifically concern the issuance of a subpoena by the Council, 
or the participation of the Council in a civil action or proceeding, an 
action in a foreign court or international tribunal, or an arbitration, 
or the initiation, conduct, or disposition by the Council of a 
particular case of formal adjudication pursuant to the procedures in 5 
U.S.C. 554 or otherwise involving a determination on the record after 
opportunity for a hearing.
    (b) Before a meeting is closed to public observation the Council 
shall determine whether or not the public interest requires that the 
meeting be open. The Council may open a meeting to public observation 
which could be closed under paragraph (a) of this section, if the 
Council finds it to be in the public interest to do so.



Sec. 1517.5  Procedure for closing meetings.

    (a) A majority of the entire membership of the Council may vote to 
close to public observation a meeting or a portion or portions thereof, 
or to withhold information pertaining to such meeting. A separate vote 
of the members of the Council shall be taken with respect to each 
meeting of the Council, a portion or portions of which are proposed to 
be closed to the observation of the public or with respect to any 
information concerning such meetings or portion thereof. A single vote 
may be taken with respect to a series of meetings, a portion or portions 
of which are proposed to be closed to the public, or with respect to 
information concerning such series of meetings, so long as each meeting 
in such series involves the same particular matters and is scheduled to 
be held no more than thirty days after the initial meeting in such 
series. The vote of each member of the Council participating in a vote 
shall be recorded and no proxies shall be allowed.
    (b) Whenever any person whose interest may be directly affected by a 
portion of a meeting requests that the Council close that portion to 
public observation for any of the reasons referred to in Sec. 1517.4(a) 
the Council, upon request of any of the members of the Council, shall 
decide by recorded vote whether to close that portion of the meeting.
    (c) For every meeting or portion thereof closed under this part, the 
General Counsel of the Council before such meeting is closed shall 
publicly certify that, in his or her opinion, the meeting may properly 
be closed to the public stating each relevant exemptive provision. The 
Council shall retain a copy of the General Counsel's certification, 
together with a statement from the presiding officer of the meeting 
setting forth the time and place of the meeting and listing the persons 
present.
    (d) Within one day of any vote taken on a proposal to close a 
meeting, the Council shall make publicly available a record reflecting 
the vote of each member on the question. In addition, within one day of 
any vote which closes a portion or portions of a meeting to the public, 
the Council shall make publicly available a full written explanation of 
its closure action together with a list naming all persons expected to 
attend and identifying their affiliation, unless such disclosure would 
reveal the information that the meeting itself was closed to protect.
    (e) Following any announcement that the Council intends to close a 
meeting or portion thereof, any person may make a request that the 
meeting or portion thereof be opened. Such request shall be made of the 
Chairman of the Council who shall ensure that the request is circulated 
to all members of the Council on the same business day on which it is 
received. The request shall set forth the reasons why the requestor 
believes the meeting should be

[[Page 877]]

open. The Council upon the request of any member or its General Counsel, 
shall vote on the request.



Sec. 1517.6  Notice of meetings.

    (a) Except as otherwise provided in this section, the Council shall 
make a public announcement at least one week before a meeting, to 
include the following:
    (1) Time, place, and subject matter of the meeting;
    (2) Whether the meeting is to be open or closed; and
    (3) Name and telephone number of the official who will respond to 
requests for information about the meeting.
    (b) A majority of the members of the Council may determine by 
recorded vote that the business of the Council requires a meeting to be 
called with less than one week's notice. At the earliest practicable 
time, the Council shall publicly announce the time, place and subject 
matter of the meeting, and whether or not it is to be open or closed to 
the public.
    (c) If announcement of the subject matter of a closed meeting would 
reveal the information that the meeting itself was closed to protect, 
the subject matter shall not be announced.
    (d) Following the public announcement required by paragraph (a) or 
(b) of this section:
    (1) A majority of the members of the Council may change the time or 
place of a meeting. At the earliest practicable time, the Council shall 
publicly announce the change.
    (2) A majority of the entire membership of the Council may change 
the subject matter of a meeting, or the determination to open or close a 
meeting to the public, if it determines by a recorded vote that the 
change is required by the business of the Council and that no earlier 
announcement of the change was possible. At the earliest practicable 
time, the Council shall publicly announce the change, and the vote of 
each member upon the change.
    (e) Individuals or organizations having a special interest in 
activities of the Council may request the Council to place them on a 
mailing list for receipt of information available under this section.
    (f) Following public announcement of a meeting, the time or place of 
a meeting may be changed only if the change is announced publicly at the 
earliest practicable time. The subject matter of a meeting or the 
determination to open or close a meeting may be changed following public 
announcement of a meeting only if both of the following conditions are 
met:
    (1) There must be a recorded vote of a majority of the Council that 
the business of the Council requires the change and that no earlier 
announcement of such change was possible; and
    (2) There must be a public announcement of the change and of the 
individual Council members' votes at the earliest practicable time.
    (g) Immediately following each public announcement required by this 
section, the following information, as applicable, shall be submitted 
for publication in the Federal Register.
    (1) Notice of the time, place, and subject matter of a meeting;
    (2) Whether the meeting is open or closed;
    (3) Any change in one of the preceding; and
    (4) The name and telephone number of the official who will respond 
to requests for information about the meeting.



Sec. 1517.7  Records of closed meetings.

    (a) A record of each meeting or portion thereof which is closed to 
the public shall be made and retained for two years or for one year 
after the conclusion of any Council proceeding involved in the meeting 
whichever occurs later. The record of any portion of a meeting closed to 
the public shall be a verbatim transcript or electronic recording. In 
lieu of a transcript or recording, a comprehensive set of minutes may be 
produced if the closure decision was made pursuant to Sec. 1517.4(a) 
(8) or (10).
    (b) If minutes are produced, such minutes shall fully and clearly 
describe all matters discussed, provide a full and accurate summary of 
any actions taken and the reasons expressed therefor, and include a 
description of each of the views expressed on any item. The minutes 
shall also reflect the vote of each member of the Council on any roll

[[Page 878]]

call vote taken during the proceedings and identify all documents 
produced at the meeting.
    (c) The following documents shall be retained by the Council as part 
of the transcript, recording, or minutes of the meeting:
    (1) Certification by the General Counsel that the meeting may 
properly be closed; and
    (2) Statement from the presiding officer of the meeting setting 
forth the date, time, and place of the meeting and listing the persons 
present.
    (d) The Council shall make promptly available to the public at its 
offices at 722 Jackson Place, NW., Washington, DC the transcript, 
electronic recording, or minutes maintained as a record of a closed 
meeting, except for such information as may be withheld under one of the 
provisions of Sec. 1517.5. Copies of such transcript, minutes, or 
transcription of an electronic recording, disclosing the identity of 
each speaker, shall be furnished to any person at the actual cost of 
duplication or transcription.
    (e) [Reserved]
    (f) Requests to review or obtain copies of records other than 
transcripts, electronic recordings or minutes of a meeting will be 
processed under the Freedom of Information Act (5 U.S.C. 552) or, where 
applicable, the Privacy Act of 1974. (5 U.S.C. 552a). Nothing in these 
regulations authorizes the Council to withhold from any individual any 
record, including the transcripts or electronic recordings described in 
Sec. 1517.8, to which the individual may have access under the Privacy 
Act of 1974 (5 U.S.C. 552a).



PART 1518_OFFICE OF ENVIRONMENTAL QUALITY MANAGEMENT FUND--Table of Contents



Sec.
1518.1 Purpose.
1518.2 Definitions.
1518.3 Policy.
1518.4 Procedures.

    Authority: 42 U.S.C. 4375(c).

    Source: 67 FR 62189, Oct. 4, 2002, unless otherwise noted.



Sec. 1518.1  Purpose.

    The purpose of the OEQ Management Fund is to finance:
    (a) Study contracts that are jointly sponsored by OEQ and one or 
more other Federal agency; and
    (b) Federal interagency environmental projects (including task 
forces) in which OEQ participates. See 42 U.S.C. 4375(a).



Sec. 1518.2  Definitions.

    (a) Advance Payment: Amount of money prepaid pursuant to statutory 
authorization in contemplation of the later receipt of goods, services, 
or other assets.
    (b) Director: The Director of the Office of Environmental Quality. 
The Environmental Quality Improvement Act specifies that the Chairman of 
the Council on Environmental quality shall serve as the Director of OEQ. 
42 U.S.C. 4372(a).
    (c) OEQ Management Fund (``Fund''): The Management Fund for the 
Office of Environmental Quality.
    (d) Interagency Agreement: A document jointly executed by OEQ and 
another agency or agencies, which sets forth the details of a joint 
study or project and the funding arrangements for such a study or 
project.
    (e) Project Officer: The Council on Environmental Quality staff 
member charged with day-to-day supervision of an OEQ Management Fund 
study or project.
    (f) Source: The agency or account from which funds are contributed 
into the Fund.



Sec. 1518.3  Policy.

    (a) All studies and projects financed through the OEQ Management 
Fund shall be consistent with the purposes and goals of the National 
Environmental Policy Act and/or the Environmental Quality Improvement 
Act.
    (b) Agency funds accepted by the Director for transfer into the OEQ 
Management Fund shall specify the purposes permissible under the source 
appropriation and any restrictions relating thereto.
    (c) The Director may authorize expenditures to support OEQ 
Management Fund studies and projects, including:

[[Page 879]]

    (1) Leasing office space and providing utilities;
    (2) Leasing or purchasing equipment;
    (3) Funding travel;
    (4) Contracting for goods and services; and
    (5) Funding consultants and personnel costs for task force 
employees.
    (d) In carrying out the purposes of the OEQ Management Fund, the 
Director is authorized to contract with public or private agencies, 
institutions, organizations and individuals, by negotiation, without 
regard to 31 U.S.C. 3324(a) and (b) 41 U.S.C. 5, and 42 U.S.C. 4372(e). 
All such contracting activities shall be accomplished through the Office 
of Administration, Executive Office of the President. The Director may, 
by interagency agreement with another federal agency or agencies and 
with the concurrence of the Office of Administration's Financial 
Management Division, obtain specific administrative services (including 
contracting activities) in support of OEQ Management Fund studies or 
projects.
    (e) Task forces and projects funded by the OEQ Management Fund are 
permitted to make expenditures for all project and study activities, 
except for compensation or benefits for full-time OEQ employees or to 
reimburse OEQ or CEQ for ordinarily appropriated expenses, such as 
salaries, benefits, rent, telephone and supplies.



Sec. 1518.4  Procedures.

    (a) Charters: (1) A charter must be prepared for each project or 
study to be financed and supported by the OEQ Management Fund.
    (2) The charter must clearly state the relation of the study or 
project to the goals and purposes of the Office of Environmental Quality 
and the National Environmental Policy Act; describe the study or 
project; identify the participating agency or agencies; provide the 
names, titles and phone numbers of the Project Officer and 
administrative contact.
    (3) Charters may be amended by preparing a formal amendment, which 
sets forth the new language to be incorporated in the existing charter.
    (4) The Director shall approve all Management Fund charters and 
amendments in writing.
    (5) Copies of each charter and charter amendment approved by the 
Director shall be provided to the Contracts Branch and the Financial 
Management Division of the Office of Administration, Executive Office of 
the President.
    (b) Finances and accounting: (1) Annual budget estimates shall be 
prepared for the OEQ Management Fund.
    (2) An operating budget for each project or study shall be submitted 
to the Financial Management Division of the Office of Administration, 
Executive Office of the President.
    (3) All contributions from other agencies to the OEQ Management Fund 
for a joint study or project shall be accomplished by interagency 
agreements, which shall provide for full payment of funds on an advance 
basis. 42 U.S.C. 4375(a).
    (4) All contributions by the Office of Environmental Quality or the 
Council on Environmental Quality to the OEQ Management Fund for a joint 
study or project shall be accomplished by a letter of transmittal which 
specifies the particular study or project to be funded. A copy of this 
transmittal letter shall be provided to the Financial Management 
Division of the Office of Administration, Executive Office of the 
President.
    (5) The OEQ Management Fund is a no-year appropriations account, 
which can accept one-year or multiple-year funds, and is available until 
the objectives for which the authority was made available are attained. 
Funds transferred into the Management Fund are individually accounted 
for and expire under the terms of their appropriation.
    (6) Any agency, including the Office of Environmental Quality and 
the Council on Environmental Quality, may provide technical expertise, 
physical resources, facilities, equipment, or other assets; perform 
support or administrative services; or assign detailees or agency 
representatives to an OEQ Management Fund project or study. These 
contributions may be in addition to funding.
    (7) Subaccounts shall be established within OEQ Management Fund for 
each project or study. All expenditures for a particular project or 
study must be matched with the source contribution

[[Page 880]]

and approved by the Director or the Project Officer.
    (8) The Director may transfer Management Fund resources for any 
study or project to other federal accounts or other OEQ subaccounts 
provided that the transfer:
    (i) Is approved in writing by the source agency that provided the 
portion of the funds being transferred;
    (ii) Promotes the statutory mission of OEQ; and
    (iii) Is justified by the Director as being in the best interests of 
the government.
    (9) Financial transactions shall be classified under each Management 
Funds subaccount in sufficient detail to satisfy management planning, 
control requirements and financial audit requirements.
    (10) All fund expenditures must comport with the purposes of the 
Management Fund and follow CEQ approval procedures. Any fund 
expenditures pursuant to interagency agreement for the provision of 
administrative services shall comport with the CEQ approval procedures 
specified in the interagency agreement.

[[Page 881]]



       CHAPTER VI--CHEMICAL SAFETY AND HAZARD INVESTIGATION BOARD




  --------------------------------------------------------------------
Part                                                                Page
1600            Organization and functions of the Chemical 
                    Safety and Hazard Investigation Board...         883
1601            Procedures for disclosure of records under 
                    the Freedom of Information Act..........         884
1602            Protection of privacy and access to 
                    individual records under the Privacy Act 
                    of 1974.................................         896
1603            Rules implementing the Government in the 
                    Sunshine Act............................         900
1610            Administrative investigations...............         905
1611            Testimony by employees in legal proceedings.         907
1612            Production of records in legal proceedings..         910
1613-1619

 [Reserved]

1620            Administrative claims arising under the 
                    Federal Tort Claims Act.................         911
1621-1699

 [Reserved]

[[Page 883]]



PART 1600_ORGANIZATION AND FUNCTIONS OF THE CHEMICAL SAFETY AND HAZARD 

INVESTIGATION BOARD--Table of Contents



Sec.
1600.1 Purpose.
1600.2 Organization.
1600.3 Functions.
1600.4 Operation.
1600.5 Quorum and voting requirements.
1600.6 Office location.

    Authority: 5 U.S.C. 301, 552(a)(1); 42 U.S.C. 7412(r)(6)(N).

    Source: 68 FR 65403, Nov. 20, 2003, unless otherwise noted.



Sec. 1600.1  Purpose.

    This part describes the organization, functions, and operation of 
the Chemical Safety and Hazard Investigation Board (CSB). The CSB is an 
independent agency of the United States created by the Clean Air Act 
Amendments of 1990 [Pub. L. 101-549, 104 Stat. 2399, codified at 42 
U.S.C. 7412(r)(6) et seq.]. Information about the CSB is available from 
its Web site, http://www.csb.gov.



Sec. 1600.2  Organization.

    (a) The CSB's Board consists of five Members appointed by the 
President with the advice and consent of the Senate. The President 
designates one of the Members as Chairperson with the advice and consent 
of the Senate. The Members exercise various functions, powers, and 
duties set forth in the Clean Air Act Amendments of 1990 (42 U.S.C. 
7412(r)(6) et seq.).
    (b) The CSB's staff is comprised of the following administrative 
units:
    (1) The Office of the Chief Operating Officer;
    (2) The Office of Investigations and Safety Programs;
    (3) The Office of the General Counsel;
    (4) The Office of Financial Operations;
    (5) The Office of Management Operations; and
    (6) The Office of Equal Employment Opportunity.



Sec. 1600.3  Functions.

    (a) The CSB investigates chemical accidents and hazards, 
recommending actions to protect workers, the public, and the 
environment. The CSB is responsible for the investigation and 
determination of the facts, conditions, and circumstances and the cause 
or probable cause or causes of any accidental release resulting in a 
fatality, serious injury, or substantial property damages.
    (b) The CSB makes safety recommendations to Federal, State, and 
local agencies, including the Environmental Protection Agency and the 
Occupational Safety and Health Administration and private organizations 
to reduce the likelihood of recurrences of chemical incidents. It 
initiates and conducts safety studies and special investigations on 
matters pertaining to chemical safety.
    (c) The CSB issues reports pursuant to its duties to determine the 
cause or probable cause or causes of chemical incidents and to report 
the facts, conditions, and circumstances relating to such incidents; and 
issues and makes available to the public safety recommendations, safety 
studies, and reports of special investigations.



Sec. 1600.4  Operation.

    In exercising its functions, duties, and responsibilities, the CSB 
utilizes:
    (a) The CSB's staff, consisting of specialized offices performing 
investigative, administrative, legal, and financial work for the Board.
    (b) Rules published in the Federal Register and codified in this 
title of the Code of Federal Regulations.
    (c) Meetings of the Board Members conducted pursuant to the 
Government in the Sunshine Act and part 1603 of this title (CSB Rules 
Implementing the Government in the Sunshine Act) or voting by notation 
as provided in Sec. 1600.5(b).
    (d) Public hearings in connection with incident or hazard 
investigations.



Sec. 1600.5  Quorum and voting requirements.

    (a) Quorum requirements. A quorum of the Board for the transaction 
of business shall consist of three Members; provided, however, that if 
the number of Board Members in office is fewer than three, a quorum 
shall consist of the number of Members in Office; and provided further 
that on any matter of

[[Page 884]]

business as to which the number of Members in office, minus the number 
of Members who have disqualified themselves from consideration of such 
matter is two, two Members shall constitute a quorum for purposes of 
such matter. Once a quorum is constituted, a simple majority of voting 
Members is required to approve an item of the Board's business. A tie 
vote results in no action.
    (b) Voting. The Board votes on items of business in meetings 
conducted pursuant to the Government in the Sunshine Act. Alternatively, 
whenever a Member of the Board is of the opinion that joint deliberation 
among the members of the Board upon any matter at a meeting is 
unnecessary in light of the nature of the matter, impracticable, or 
would impede the orderly disposition of agency business, such matter may 
be disposed of by employing notation voting procedures. A written 
notation of the vote of each participating Board member shall be 
recorded by the General Counsel who shall retain it in the records of 
the Board.



Sec. 1600.6  Office location.

    The principal offices of the Chemical Safety and Hazard 
Investigation Board are located at 2175 K Street NW, Washington, DC 
20037.



PART 1601_PROCEDURES FOR DISCLOSURE OF RECORDS UNDER THE FREEDOM OF 

INFORMATION ACT--Table of Contents



               Subpart A_Purpose, Scope, and Applicability

Sec.
1601.1 Purpose and scope.
1601.2 Applicability.
1601.3 Definitions.

                        Subpart B_Administration

1601.10 Protection of records.
1601.11 Preservation of records pertaining to requests under this part.
1601.12 Public reading room.

       Subpart C_Procedures for Requesting and Disclosing Records

1601.20 Requests for records.
1601.21 Responses to requests.
1601.22 Form and content of responses.
1601.23 Appeals of denials.
1601.24 Timing of responses to requests.
1601.25 Disclosure of requested records.
1601.26 Special procedures for confidential business information.

                             Subpart D_Fees

1601.30 Fees to be charged--general.
1601.31 Fees to be charged--categories of requesters.
1601.32 Limitations on charging fees.
1601.33 Miscellaneous fee provisions.

    Authority: 5 U.S.C. 552, 553; 42 U.S.C. 7412 et seq.

    Source: 65 FR 70499, Nov. 24, 2000, unless otherwise noted.



               Subpart A_Purpose, Scope, and Applicability



Sec. 1601.1  Purpose and scope.

    This part contains the regulations of the United States Chemical 
Safety and Hazard Investigation Board (``CSB'' or ``Board'' or 
``agency'') implementing the Freedom of Information Act (``FOIA''). 
These regulations provide procedures by which members of the public may 
obtain access to records compiled, created, and maintained by the CSB, 
along with procedures it must follow in response to such requests for 
records.



Sec. 1601.2  Applicability.

    (a) General. The FOIA and the regulations in this part apply to all 
CSB documents and information. However, if another law sets specific 
procedures for disclosure, the CSB will process a request in accordance 
with the procedures that apply to those specific documents. If a request 
is received for disclosure of a document to the public which is not 
required to be released under those provisions, the CSB will consider 
the request under the FOIA and the regulations in this part.
    (b) Records available through routine distribution procedures. When 
the record requested includes material published and offered for sale, 
e.g., by the Superintendent of Documents of the Government Printing 
Office, or by an authorized private distributor, the CSB will first 
refer the requester to those sources. Nevertheless, if the requester is 
not satisfied with the alternative

[[Page 885]]

sources, the CSB will process the request under the FOIA.



Sec. 1601.3  Definitions.

    Appeals Officer means the person designated by the Chairperson to 
process appeals of denials of requests for CSB records under the FOIA.
    Business submitter means any person or entity which provides 
confidential business information, directly or indirectly, to the CSB 
and who has a proprietary interest in the information.
    Chairperson means the Chairperson of the CSB (including, in the 
absence of a Chairperson, the Board Member supervising personnel 
matters) or his or her designee.
    Commercial-use requester means requesters seeking information for a 
use or purpose that furthers the commercial, trade, or profit interests 
of the requester or the person on whose behalf the request is made. In 
determining whether a requester properly belongs in this category, the 
CSB shall determine, whenever reasonably possible, the use to which a 
requester will put the documents requested. Where the CSB has reasonable 
cause to doubt the use to which a requester will put the records sought, 
or where that use is not clear from the request itself, the CSB shall 
seek additional clarification before assigning the request to a specific 
category.
    Confidential business information means records provided to the 
government by a submitter that arguably contain material exempt from 
disclosure under Exemption 4 of the FOIA, because disclosure could 
reasonably be expected to cause substantial competitive harm.
    Direct costs means those expenditures by the CSB actually incurred 
in searching for and duplicating records to respond to a FOIA request. 
Direct costs include the salary of the employee or employees performing 
the work (the basic rate of pay for the employee plus a percentage of 
that rate to cover benefits) and the cost of operating duplicating 
machinery. Direct costs do not include overhead expenses, such as the 
cost of space and heating or lighting of the facility in which the 
records are stored.
    Duplication refers to the process of making a copy of a document 
necessary to fulfill a FOIA request. Such copies can take the form of, 
among other things, paper copy, microform, audio-visual materials, or 
machine-readable documentation. The copies provided shall be in a form 
that is reasonably usable by requesters.
    Educational institution refers to a preschool, a public or private 
elementary or high school, an institution of undergraduate higher 
education, an institution of graduate higher education, an institution 
of professional education, and an institution of vocational education, 
which operates a program of scholarly research.
    FOIA Officer means the person designated to process requests for CSB 
documents under the FOIA.
    Non-commercial scientific institution refers to an institution that 
is not operated on a commercial basis as that term is used above in 
defining commercial-use requester, and which is operated solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry.
    Record includes any writing, drawing, map, recording, tape, film, 
photo, or other documentary material by which information is preserved.
    Representative of the news media refers to any person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public. The term news means information that is 
about current events or that would be of current interest to the public. 
For freelance journalists to be regarded as working for a news 
organization, they must demonstrate a solid basis for expecting 
publication through that organization. A publication contract would be 
the clearest proof, but components shall also look to the past 
publication record of a requester in making this determination.
    Requester means any person, including an individual, Indian tribe, 
partnership, corporation, association, or public or private organization 
other than a Federal agency, that requests access to records in the 
possession of the CSB.
    Review refers to the process of examining a record, in response to a 
FOIA

[[Page 886]]

request, to determine whether any portion of that record may be withheld 
under one or more of the FOIA exemptions. It also includes the 
processing of any record for disclosure; for example, redacting 
information that is exempt from disclosure under the FOIA. Review does 
not include time spent resolving general legal or policy issues 
regarding the use of FOIA exemptions.
    Search refers to the time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification of material within a document. The CSB shall ensure that 
searches are conducted in the most efficient and least expensive manner 
reasonably possible.
    Submitter means any person or entity who provides information 
directly or indirectly to the CSB. The term includes, but is not limited 
to, corporations, Indian tribal governments, state governments, and 
foreign governments.
    Working day means a Federal workday that does not include Saturdays, 
Sundays, or Federal holidays.



                        Subpart B_Administration



Sec. 1601.10  Protection of records.

    (a) Except as authorized by this part or as otherwise necessary in 
performing official duties, no employee shall in any manner disclose or 
permit disclosure of any document or information in the possession of 
the CSB that is confidential or otherwise of a nonpublic nature, 
including that regarding the CSB, the Environmental Protection Agency or 
the Occupational Safety and Health Administration.
    (b) No person may, without permission, remove from the place where 
it is made available any record made available to him for inspection or 
copying. Stealing, altering, mutilating, obliterating, or destroying, in 
whole or in part, such a record shall be deemed a crime.



Sec. 1601.11  Preservation of records pertaining to requests under this part.

    The CSB will preserve all correspondence pertaining to the requests 
that it receives under this part, as well as copies of all requested 
records, until disposition or destruction is authorized by Title 44 of 
the United States Code or the National Archives and Records 
Administration's General Records Schedule 14. Records will not be 
disposed of while they are the subject of a pending request, appeal, or 
lawsuit under the FOIA.



Sec. 1601.12  Public reading room.

    (a) The CSB maintains a public reading room that contains the 
records that the FOIA requires to be made regularly available for public 
inspection and copying as well as a current subject-matter index of its 
reading room records.
    (b) Because of the lack of requests to date for material required to 
be indexed, the CSB has determined that it is unnecessary and 
impracticable to publish quarterly, or more frequently, and distribute 
(by sale or otherwise) copies of each index and supplements thereto, as 
provided in 5 U.S.C. 552(a)(2). However, the CSB will provide a copy of 
such indexes to a member of the public upon request, at a cost not to 
exceed the direct cost of duplication and mailing, if sending records by 
other than ordinary mail.
    (c) The CSB maintains a public reading room at its headquarters: 
2175 K Street, NW, Suite 400, Washington, DC 20037-1809.
    (d) Copying. The cost of copying information available in the 
offices of the CSB shall be imposed on a requester in accordance with 
the provisions of Sec. Sec. 1601.30 through 1601.33.
    (e) The CSB also makes reading room records available electronically 
through the agency's World Wide Web site (which can be found at http://
www.csb.gov). This includes the index of its reading room records, 
indicating which records are available electronically.



       Subpart C_Procedures for Requesting and Disclosing Records



Sec. 1601.20  Requests for records.

    (a) Addressing requests. Requests for records in the possession of 
the CSB shall be made in writing. The envelope and the request both 
should be clearly marked FOIA Request and addressed to: FOIA Officer, 
United States Chemical Safety and Hazard Investigation Board,

[[Page 887]]

2175 K Street, NW, Suite 400, Washington, DC 20037-1809. A request 
improperly addressed will be deemed not to have been received for the 
purposes of Sec. 1601.24(a) until it is received, or would have been 
received with the exercise of due diligence, by the FOIA Officer. 
Records requested in conformance with this section and which are not 
withholdable records may be obtained in person or by mail as specified 
in the request. Records to be obtained in person will be available for 
inspection or copying during business hours on a regular business day in 
the office of the CSB.
    (b) Description of records. Each request must reasonably describe 
the desired records in sufficient detail to enable CSB personnel to 
locate the records with a reasonable amount of effort. A request for a 
specific category of records will be regarded as fulfilling this 
requirement if it enables responsive records to be identified by a 
technique or process that is not unreasonably burdensome or disruptive 
of CSB operations.
    (1) Whenever possible, a request should include specific information 
about each record sought, such as the date, title or name, author, 
recipient, and subject matter of the record.
    (2) If the FOIA Officer determines that a request does not 
reasonably describe the records sought, he or she will either advise the 
requester what additional information is needed to locate the record or 
otherwise state why the request is insufficient. The FOIA Officer will 
also extend to the requester an opportunity to confer with CSB personnel 
with the objective of reformulating the request in a manner which will 
meet the requirements of this section.
    (c) Agreement to pay fees. A FOIA request shall be considered an 
agreement by the requester to pay all applicable fees charged under 
Sec. Sec. 1601.30 through 1601.33 up to $25, unless the requester seeks 
a waiver of fees. The CSB ordinarily will confirm this agreement in an 
acknowledgement letter. When making a request, you may specify a 
willingness to pay a greater or lesser amount.
    (d) Types of records not available. The FOIA does not require the 
CSB to:
    (1) Compile or create records solely for the purpose of satisfying a 
request for records;
    (2) Provide records not yet in existence, even if such records may 
be expected to come into existence at some future time; or
    (3) Restore records destroyed or otherwise disposed of, except that 
the FOIA Officer must notify the requester that the requested records 
have been destroyed or otherwise disposed of.



Sec. 1601.21  Responses to requests.

    (a) Response to initial request. The FOIA Officer is authorized to 
grant or deny any request for a record and to determine appropriate 
fees.
    (b) Referral to another agency. When a requester seeks records that 
originated in another Federal government agency, the CSB will refer the 
request to the other agency for response. If the CSB refers the request 
to another agency, it will notify the requester of the referral. A 
request for any records classified by some other agency will be referred 
to that agency for response.
    (c) Creating records. If a person seeks information from the CSB in 
a format that does not currently exist, the CSB will make reasonable 
efforts to provide the information in the format requested. The CSB will 
not create a new record of information to satisfy a request.
    (d) No responsive record. If no records are responsive to the 
request, the FOIA Officer will so notify the requester in writing.



Sec. 1601.22  Form and content of responses.

    (a) Form of notice granting a request. After the FOIA Officer has 
granted a request in whole or in part, the requester will be notified in 
writing. The notice shall describe the manner in which the record will 
be disclosed, whether by providing a copy of the record with the 
response or at a later date, or by making a copy of the record available 
to the requester for inspection at a reasonable time and place. The 
procedure for such an inspection may not unreasonably disrupt the 
operation of the CSB. The response letter will also inform the requester 
of any fees to be charged in accordance with

[[Page 888]]

the provisions of Sec. Sec. 1601.30 through 1601.33.
    (b) Form of notice denying a request. When the FOIA Officer denies a 
request in whole or in part, he or she will so notify the requester in 
writing. The response will be signed by the FOIA Officer and will 
include:
    (1) The name and title or position of the person making the denial;
    (2) A brief statement of the reason or reasons for the denial, 
including the FOIA exemption or exemptions which the FOIA Officer has 
relied upon in denying the request; and
    (3) A statement that the denial may be appealed under Sec. 1601.23 
and a description of the requirements of that section.



Sec. 1601.23  Appeals of denials.

    (a) Right of appeal. If a request has been denied in whole or in 
part, the requester may appeal the denial to: FOIA Appeals Officer, 
United States Chemical Safety and Hazard Investigation Board, 2175 K 
Street, NW, Suite 400, Washington, DC 20037-1809.
    (b) Letter of appeal. The appeal must be in writing and must be sent 
within 30 days of receipt of the denial letter. An appeal should include 
a copy of the initial request, a copy of the letter denying the request 
in whole or in part, and a statement of the circumstances, reasons, or 
arguments advanced in support of disclosure of the requested record. 
Both the envelope and the letter of appeal must be clearly marked FOIA 
Appeal. An appeal improperly addressed shall be deemed not to have been 
received for purposes of the 20-day time period set forth in Sec. 
1601.24(e) until it is received, or would have been received with the 
exercise of due diligence, by the Appeals Officer.
    (c) Action on appeal. The disposition of an appeal will be in 
writing and will constitute the final action of the CSB on a request. A 
decision affirming in whole or in part the denial of a request will 
include a brief statement of the reason or reasons for affirmance, 
including each FOIA exemption relied on. If the denial of a request is 
reversed in whole or in part on appeal, the request will be processed 
promptly in accordance with the decision on appeal.
    (d) Judicial review. If the denial of the request for records is 
upheld in whole or in part, or if a determination on the appeal has not 
been mailed at the end of the 20-day period or the last extension 
thereof, the requester is deemed to have exhausted his or her 
administrative remedies, giving rise to a right of judicial review under 
5 U.S.C. 552(a)(4).



Sec. 1601.24  Timing of responses to requests.

    (a) In general. The CSB ordinarily shall respond to requests 
according to their order of receipt.
    (b) Multitrack processing. (1) The CSB may use two processing tracks 
by distinguishing between simple and more complex requests based on the 
amount of work and/or time needed to process the request, including 
according to limits based on the number of pages involved. If the agency 
does so, it shall advise requesters assigned to its slower track of the 
eligibility limits for its faster track.
    (2) The agency may provide requesters in its slower track with an 
opportunity to limit the scope of their requests in order to qualify for 
faster processing within the specified limits of the agency's faster 
track. If it does so, the agency will contact the requester either by 
telephone or by letter, whichever is most efficient in each case.
    (c) Unusual circumstances. (1) Where the time limits for processing 
a request cannot be met because of unusual circumstances and the CSB 
determines to extend the time limits on that basis, the agency shall as 
soon as practicable notify the requester in writing of the unusual 
circumstances and of the date by which processing of the request can be 
expected to be completed. Where the extension is for more than ten 
working days, the CSB shall provide the requester with an opportunity 
either to modify the request so that it may be processed within the time 
limits or to arrange an alternative time period for processing the 
request or a modified request.
    (2) Where the CSB reasonably believes that multiple requests 
submitted by a requester, or by a group of requesters acting in concert, 
constitute a

[[Page 889]]

single request that would otherwise involve unusual circumstances, and 
the requests involve clearly related matters, they may be aggregated. 
Multiple requests involving unrelated matters will not be aggregated.
    (d) Expedited processing. (1) Requests and appeals will be taken out 
of order and given expedited treatment whenever it is determined that 
they involve:
    (i) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (ii) An urgency to inform the public about an actual or alleged 
Federal government activity, if made by a person primarily engaged in 
disseminating information;
    (iii) The loss of substantial due process rights; or
    (iv) A matter of widespread and exceptional media interest in which 
there exists possible questions about the government's integrity which 
affect public confidence.
    (2) A request for expedited processing may be made at the time of 
the initial request for records or at any later time.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct to the best of that person's 
knowledge and belief, explaining in detail the basis for requesting 
expedited processing. For example, a requester within the category in 
paragraph (d)(1)(ii) of this section, if not a full-time member of the 
news media, must establish that he or she is a person whose main 
professional activity or occupation is information dissemination, though 
it need not be his or her sole occupation. A requester within the 
category in paragraph (d)(1)(ii) of this section also must establish a 
particular urgency to inform the public about the government activity 
involved in the request, beyond the public's right to know about 
government activity generally. The formality of certification may be 
waived as a matter of administrative discretion.
    (4) Within ten calendar days of its receipt of a request for 
expedited processing, the CSB shall decide whether to grant it and shall 
notify the requester of the decision. If a request for expedited 
treatment is granted, the request shall be given priority and shall be 
processed as soon as practicable. If a request for expedited processing 
is denied, any appeal of that decision shall be acted on expeditiously.
    (e) Appeals. A written determination on an appeal submitted in 
accordance with Sec. 1601.23 will be issued within 20 working days 
after receipt of the appeal. This time limit may be extended in unusual 
circumstances up to a total of 10 working days after written notice to 
the requester setting forth the reasons for the extension and the date 
on which a determination is expected to be made. As used in this 
paragraph, unusual circumstances means that there is a need to:
    (1) Search for and collect the requested records from facilities 
that are separate from the office processing the request;
    (2) Search for, collect, and appropriately examine a voluminous 
amount of separate and distinct records which are demanded in a single 
request; or
    (3) Consult with another agency having a substantial interest in the 
determination of the request, or consult with various offices within the 
CSB that have a substantial interest in the records requested.
    (f) When a determination cannot be mailed within the applicable time 
limit, the appeal will nevertheless be processed. In such case, upon the 
expiration of the time limit, the requester will be informed of the 
reason for the delay, of the date on which a determination may be 
expected to be mailed, and of that person's right to seek judicial 
review. The requester may be asked to forego judicial review until 
determination of the appeal.



Sec. 1601.25  Disclosure of requested records.

    (a) The FOIA Officer shall make requested records available to the 
public to the greatest extent possible in keeping with the FOIA, except 
that the following records are exempt from the disclosure requirements:
    (1) Records specifically authorized under criteria established by an 
Executive Order to be kept secret in the interest of national defense or 
foreign policy and which are, in fact, properly

[[Page 890]]

classified pursuant to such Executive Order;
    (2) Records related solely to the internal personnel rules and 
practices of the CSB;
    (3) Records specifically exempted from disclosure by statute (other 
than 5 U.S.C. 552(b)) provided that such statute requires that the 
matters be withheld from the public in such a manner as to leave no 
discretion on the issue or that the statute establishes particular 
criteria for withholding information or refers to particular types of 
matters to be withheld;
    (4) Records containing trade secrets and commercial or financial 
information obtained from a person and privileged or confidential;
    (5) Interagency or intra-agency memoranda or letters which would not 
be available by law to a party other than an agency in litigation with 
the CSB;
    (6) Personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings;
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis, and in the case of a record or information compiled 
by criminal law enforcement authority in the course of a criminal 
investigation or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source;
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (8) Records contained in or related to examination, operating, or 
condition reports prepared by, or on behalf of, or for the use of an 
agency responsible for the regulation or supervision of financial 
institutions;
    (9) Geological or geophysical information and data, including maps, 
concerning wells.
    (b) If a requested record contains exempted material along with 
nonexempted material, all reasonably segregable nonexempt material shall 
be disclosed.
    (c) Even if an exemption described in paragraph (a) of this section 
may be reasonably applicable to a requested record, or portion thereof, 
the CSB may elect under the circumstances of any particular request not 
to apply the exemption to such requested record, or portion thereof, 
subject to the provisions in Sec. 1601.26 for confidential business 
information. The fact that the exemption is not applied by the CSB to 
any requested record, or portion thereof, has no precedential 
significance as to the application or non-application of the exemption 
to any other requested record, or portion thereof, no matter when the 
request is received.



Sec. 1601.26  Special procedures for confidential business information.

    (a) In general. Confidential business information provided to the 
CSB by a business submitter shall not be disclosed pursuant to a FOIA 
request except in accordance with this section.
    (b) Designation of business information. Business submitters should 
use good-faith efforts to designate, by appropriate markings, either at 
the time of submission or at a reasonable time thereafter, those 
portions of their submissions which they deem to be protected under 
Exemption 4 of the FOIA, 5 U.S.C. 552(b)(4). Any such designation will 
expire 10 years after the records

[[Page 891]]

were submitted to the government, unless the submitter requests, and 
provides reasonable justification for, a designation period of longer 
duration.
    (c) Predisclosure notification. (1) Except as is provided for in 
paragraph (h) of this section, the FOIA Officer shall, to the extent 
permitted by law, provide a submitter with prompt written notice of a 
FOIA request or administrative appeal encompassing its confidential 
business information whenever required under paragraph (d) of this 
section. Such notice shall either describe the exact nature of the 
business information requested or provide copies of the records or 
portions thereof containing the business information.
    (2) Whenever the FOIA Officer provides a business submitter with the 
notice set forth in this paragraph, the FOIA Officer shall notify the 
requester that the request includes information that may arguably be 
exempt from disclosure under Exemption 4 of the FOIA and that the person 
or entity who submitted the information to the CSB has been given the 
opportunity to comment on the proposed disclosure of information.
    (d) When notice is required. The CSB shall provide a business 
submitter with notice of a request whenever:
    (1) The business submitter has in good faith designated the 
information as business information deemed protected from disclosure 
under 5 U.S.C. 552(b)(4); or
    (2) The CSB has reason to believe that the request seeks business 
information the disclosure of which may result in substantial commercial 
or financial injury to the business submitter.
    (e) Opportunity to object to disclosure. Through the notice 
described in paragraph (c) of this section, the CSB shall, to the extent 
permitted by law, afford a business submitter at least 10 working days 
within which it can provide the CSB with a detailed written statement of 
any objection to disclosure. Such statement shall demonstrate why the 
information is contended to be a trade secret or commercial or financial 
information that is privileged or confidential and why disclosure would 
cause competitive harm. Whenever possible, the business submitter's 
claim of confidentiality should be supported by a statement or 
certification by an officer or authorized representative of the business 
submitter. Information provided by a submitter pursuant to this 
paragraph may itself be subject to disclosure under the FOIA.
    (f) Notice of intent to disclose. (1) The FOIA Officer shall 
consider carefully a business submitter's objections and specific 
grounds for nondisclosure prior to determining whether to disclose 
confidential commercial business information. Whenever the FOIA Officer 
decides to disclose such information over the objection of a business 
submitter, the FOIA Officer shall forward to the business submitter a 
written notice at least 10 working days before the date of disclosure 
containing:
    (i) A statement of the reasons for which the business submitter's 
disclosure objections were not sustained,
    (ii) A description of the confidential commercial information to be 
disclosed, and
    (iii) A specified disclosure date.
    (2) Such notice of intent to disclose likewise shall be forwarded to 
the requester at least 10 working days prior to the specified disclosure 
date.
    (g) Notice of FOIA lawsuit. Whenever a requester brings suit seeking 
to compel disclosure of confidential business information, the FOIA 
Officer shall promptly notify the business submitter of such action.
    (h) Exceptions to predisclosure notification. The requirements of 
this section shall not apply if:
    (1) The FOIA Officer determines that the information should not be 
disclosed;
    (2) The information lawfully has been published or has been 
officially made available to the public;
    (3) Disclosure of the information is required by law (other than 5 
U.S.C. 552); or
    (4) The designation made by the submitter in accordance with 
paragraph (b) of this section appears obviously frivolous; except that, 
in such a case, the FOIA Officer will provide the submitter with written 
notice of any final decision to disclose confidential business 
information within a reasonable number of days prior to a specified 
disclosure date.

[[Page 892]]



                             Subpart D_Fees



Sec. 1601.30  Fees to be charged--general.

    (a) Policy. Generally, the fees charged for requests for records 
pursuant to 5 U.S.C. 552 shall cover the full allowable direct costs of 
searching for, reproducing, and reviewing records that are responsive to 
a request for information. Fees shall be assessed according to the 
schedule contained in paragraph (b) of this section and the category of 
requesters described in Sec. 1601.31 for services rendered by the CSB 
staff in responding to, and processing requests for, records under this 
part. Fees assessed will be paid by check or money order payable to the 
United States Treasury.
    (b) Types of charges. The types of charges that may be assessed in 
connection with the production of records in response to a FOIA request 
are as follows:
    (1) Searches.
    (i) Manual searches for records. For each quarter hour spent in 
searching for and/or reviewing a requested record, the fees will be: 
$4.00 for clerical personnel; $8.00 for professional personnel; and 
$11.00 for managerial personnel.
    (ii) Computer searches for records. Requesters will be charged at 
the actual direct costs of conducting a search using existing 
programming. These direct costs will include the cost of operating the 
central processing unit for that portion of operating time that is 
directly attributable to searching for records and the operator/
programmer salary, i.e., basic pay plus 16 percent, apportionable to the 
search. A charge shall also be made for any substantial amounts of 
special supplies or materials used to contain, present, or make 
available the output of computers, based upon the prevailing levels of 
costs to the CSB for the type and amount of such supplies or materials 
that are used. Nothing in this paragraph shall be construed to entitle 
any person or entity, as of right, to any services in connection with 
computerized records, other than services to which such person or entity 
may be entitled under the provisions of this section or Sec. 1601.32. 
The CSB will not alter or develop programming to conduct a search.
    (iii) Unproductive searches. The CSB will charge search fees even if 
no records are found which are responsive to the request or if the 
records found are exempt from disclosure.
    (2) Duplication. Records will be reproduced at a rate of $0.25 per 
page. For copies prepared by computer, such as tapes or printouts, the 
requester shall be charged the actual cost, including operator time, of 
production of the tape or printout. For other methods of reproduction, 
the actual direct costs of reproducing the record(s) shall be charged.
    (3) Review. Only commercial-use requesters may be charged for time 
spent reviewing records to determine whether they are exempt from 
mandatory disclosure. Charges may be assessed only for initial review, 
i.e., the review undertaken the first time the CSB analyzes the 
applicability of a specific exemption to a particular record or portion 
of a record. Records or portions of records withheld in full under an 
exemption that is subsequently determined not to apply may be reviewed 
again to determine the applicability of other exemptions not previously 
considered. The costs for such a subsequent review are properly 
assessable.
    (4) Other services and materials. Where the CSB elects, as a matter 
of administrative discretion, to comply with a request for a special 
service or materials, such as certifying that records are true copies or 
sending records by special methods, the actual direct costs of providing 
the service or materials will be charged.



Sec. 1601.31  Fees to be charged--categories of requesters.

    (a) Fees for various requester categories. Paragraphs (b) through 
(e) of this section state, for each category of requester, the types of 
fees generally charged by the CSB. However, for each of these 
categories, the fees may be limited, waived or reduced in accordance 
with the provisions set forth in Sec. 1601.32(c). If the CSB has 
reasonable cause to doubt the purpose specified in the request for which 
a requester will use the records sought, or where the purpose is not 
clear from the request itself, the CSB will seek clarification

[[Page 893]]

before assigning the request a specific category.
    (b) Commercial use requester. The CSB shall charge fees for records 
requested by persons or entities making a commercial use request in an 
amount that equals the full direct costs for searching for, reviewing 
for release, and reproducing the records sought. Commercial use 
requesters are not entitled to 2 hours of free search time nor 100 free 
pages of reproduction of records. In accordance with Sec. 1601.30, 
commercial use requesters may be charged the costs of searching for and 
reviewing records even if there is ultimately no disclosure of records.
    (c) Educational and noncommercial scientific institutions. The CSB 
shall charge fees for records requested by, or on behalf of, educational 
institutions and noncommercial scientific institutions in an amount 
which equals the cost of reproducing the records responsive to the 
request, excluding the cost of reproducing the first 100 pages. No 
search fee shall be charged with respect to requests by educational and 
noncommercial scientific institutions. For a request to be included in 
this category, requesters must show that the request being made is 
authorized by and under the auspices of a qualifying institution, and 
that the records are not sought for commercial use but are sought in 
furtherance of scholarly research (if the request is from an educational 
institution) or scientific research (if the request is from a 
noncommercial scientific institution).
    (d) News media. The CSB shall charge fees for records requested by 
representatives of the news media in an amount which equals the cost of 
reproducing the records responsive to the request, excluding the costs 
of reproducing the first 100 pages. No search fee shall be charged with 
respect to requests by representatives of the news media. For a request 
to be included in this category, the requester must qualify as a 
representative of the news media and the request must not be made for a 
commercial use. A request for records supporting the news dissemination 
function of the requester shall not be considered to be a request that 
is for commercial use.
    (e) All other requesters. The CSB shall charge fees for records 
requested by persons or entities that are not classified in any of the 
categories listed in paragraphs (b), (c), or (d) of this section in an 
amount that equals the full reasonable direct cost of searching for and 
reproducing records that are responsive to the request, excluding the 
first 2 hours of search time and the cost of reproducing the first 100 
pages of records. In accordance with Sec. 1601.30, requesters in this 
category may be charged the cost of searching for records even if there 
is ultimately no disclosure of records, excluding the first 2 hours of 
search time.
    (f) For purposes of the exceptions contained in this section on 
assessment of fees, the word pages refers to paper copies of 8\1/2\ x 11 
inches or 11 x 14 inches. Thus, requesters are not entitled to 100 
microfiche or 100 computer disks, for example. A microfiche containing 
the equivalent of 100 pages or a computer disk containing the equivalent 
of 100 pages of computer printout meets the terms of the exception.
    (g) For purposes of paragraph (e) of this section, the term search 
time has as its basis, manual search. To apply this term to searches 
made by computer, the CSB will determine the hourly cost of operating 
the central processing unit and the operator's hourly salary plus 16 
percent. When the cost of the search (including the operator time and 
the cost of operating the computer to process a request) equals the 
equivalent dollar amount of 2 hours of the salary plus 16 percent of the 
person performing the search, i.e., the operator, the CSB will begin 
assessing charges for the computer.



Sec. 1601.32  Limitations on charging fees.

    (a) In general. Except for requesters seeking records for a 
commercial use as described in Sec. 1601.31(b), the CSB will provide, 
without charge, the first 100 pages of duplication and the first 2 hours 
of search time, or their cost equivalent.
    (b) No fee charged. The CSB will not charge fees to any requester, 
including commercial use requesters, if the cost of collecting a fee 
would be equal to or greater than the fee itself. The elements to be 
considered in determining

[[Page 894]]

the cost of collecting a fee are the administrative costs of receiving 
and recording a requester's remittance and of processing the fee.
    (c) Waiver or reduction of fees. The CSB may grant a waiver or 
reduction of fees if the CSB determines that the disclosure of the 
information is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities of 
the Federal government, and the disclosure of the information is not 
primarily in the commercial interest of the requester. Requests for a 
waiver or reduction of fees will be considered on a case-by-case basis. 
The following factors will be considered by the CSB in determining 
whether a waiver or reduction of fees is in the public interest:
    (i) The subject of the request. Whether the subject of the requested 
records concerns the operations or activities of the government. The 
subject matter of the requested records, in the context of the request, 
must specifically concern identifiable operations or activities of the 
Federal government with a connection that is direct and clear, not 
remote or attenuated. Furthermore, the records must be sought for their 
informative value with respect to those government operations or 
activities; a request for access to records for their intrinsic 
informational content alone will not satisfy this threshold 
consideration.
    (ii) The informative value of the information to be disclosed. 
Whether the disclosure is likely to contribute to an understanding of 
government operations or activities. The disclosable portions of the 
requested records must be meaningfully informative on specific 
government operations or activities in order to hold potential for 
contributing to increased public understanding of those operations and 
activities. The disclosure of information that is already in the public 
domain, in either a duplicative or substantially identical form, would 
not be likely to contribute to such understanding, as nothing new would 
be added to the public record.
    (iii) The contribution to an understanding of the subject by the 
general public. Whether disclosure of the requested information will 
contribute to the public understanding. The disclosure must contribute 
to the understanding of the public at large, as opposed to the 
individual understanding of the requester or a narrow segment of 
interested persons. A requester's identity and qualifications, e.g., 
expertise in the subject area and ability and intention to convey 
information to the general public, will be considered.
    (iv) The significance of the contribution in public understanding. 
Whether the disclosure is likely to significantly enhance the public 
understanding of government operations or activities. The public's 
understanding of the subject matter in question, as compared to the 
level of public understanding existing prior to the disclosure, must be 
likely to be enhanced by the disclosure to a significant extent. The 
FOIA Officer shall not make a separate value judgment as to whether 
information, even though it in fact would contribute significantly to 
public understanding of the operations or activities of the government, 
is ``important'' enough to be made public.
    (2) In order to determine whether the second fee waiver requirement 
is met, i.e., that disclosure of the requested information is not 
primarily in the commercial interest of the requester, the CSB shall 
consider the following two factors in sequence:
    (i) The existence and magnitude of a commercial interest. Whether 
the requester, or any person on whose behalf the requester may be 
acting, has a commercial interest that would be furthered by the 
requested disclosure. In assessing the magnitude of identified 
commercial interests, consideration will be given to the effect that the 
information disclosed would have on those commercial interests, as well 
as to the extent to which FOIA disclosures serve those interests 
overall. Requesters shall be given a reasonable opportunity in the 
administrative process to provide information bearing upon this 
consideration.
    (ii) The primary interest in disclosure. Whether the magnitude of 
the identified commercial interest of the requester is sufficiently 
large in comparison with the public interest in disclosure, that 
disclosure is primarily in the commercial interest of the requester. A 
fee waiver or reduction is

[[Page 895]]

warranted only where, once the public interest standard set out in 
paragraph (c)(1) of this section is satisfied, that public interest can 
fairly be regarded as greater in magnitude than that of the requester's 
commercial interest in disclosure. The CSB will ordinarily presume that, 
where a news media requester has satisfied the public interest standard, 
the public interest will be serviced primarily by disclosure to that 
requester. Disclosure to requesters who compile and market Federal 
government information for direct economic gain will not be presumed to 
primarily serve the public interest.
    (3) Where only a portion of the requested record satisfies the 
requirements for a waiver or reduction of fees under this paragraph, a 
waiver or reduction shall be granted only as to that portion.
    (4) A request for a waiver or reduction of fees must accompany the 
request for disclosure of records and should include:
    (i) A clear statement of the requester's interest in the records;
    (ii) The proposed use of the records and whether the requester will 
derive income or other benefit from such use;
    (iii) A statement of how the public will benefit from release of the 
requested records; and
    (iv) If specialized use of the documents is contemplated, a 
statement of the requester's qualifications that are relevant to the 
specialized use.
    (5) A requester may appeal the denial of a request for a waiver or 
reduction of fees in accordance with the provisions of Sec. 1601.23.



Sec. 1601.33  Miscellaneous fee provisions.

    (a) Notice of anticipated fees in excess of $25. Where the CSB 
determines or estimates that the fees chargeable will amount to more 
than $25, the CSB shall promptly notify the requester of the actual or 
estimated amount of fees or such portion thereof that can be readily 
estimated, unless the requester has indicated his or her willingness to 
pay fees as high as those anticipated. Where a requester has been 
notified that the actual or estimated fees may exceed $25, the request 
will be deemed not to have been received until the requester has agreed 
to pay the anticipated total fee. A notice to the requester pursuant to 
this paragraph will include the opportunity to confer with CSB personnel 
in order to reformulate the request to meet the requester's needs at a 
lower cost.
    (b) Aggregating requests. A requester may not file multiple requests 
at the same time, each seeking portions of a record or records, solely 
in order to avoid the payment of fees. When the CSB reasonably believes 
that a requester, or a group of requesters acting in concert, is 
attempting to break a request into a series of requests for the purpose 
of evading the assessment of fees, the CSB may aggregate such requests 
and charge accordingly. One element to be considered in determining 
whether a belief would be reasonable is the time period over which the 
requests have occurred. The CSB will presume that multiple requests of 
this type made within a 30-day period have been made in order to evade 
fees. Where requests are separated by a longer period, the CSB shall 
aggregate them only where there exists a solid basis for determining 
that such aggregation is warranted, e.g., where the requests involve 
clearly related matters. Multiple requests regarding unrelated matters 
will not be aggregated.
    (c) Advance payment of fees. (1) The CSB does not require an advance 
payment before work is commenced or continued, unless:
    (i) The CSB estimates or determines that the fees are likely to 
exceed $250. If it appears that the fees will exceed $250, the CSB will 
notify the requester of the likely cost and obtain satisfactory 
assurance of full payment where the requester has a history of prompt 
payment of FOIA fees. In the case of requesters with no history of 
payment, the CSB may require an advance payment of fees in an amount up 
to the full estimated charge that will be incurred; or
    (ii) The requester has previously failed to pay a fee in a timely 
fashion, i.e., within 30 days of the date of a billing. In such cases, 
the CSB may require the requester to pay the full amount owed plus any 
applicable interest, as provided in paragraph (d) of this section, or 
demonstrate that the fee owed has been paid, prior to processing any

[[Page 896]]

further record request. Under these circumstances, the CSB may require 
the requester to make an advance payment of the full amount of the fees 
anticipated before processing a new request or finishing processing of a 
pending request from that requester.
    (2) A request for an advance deposit shall ordinarily include an 
offer to the requester to confer with identified CSB personnel to 
attempt to reformulate the request in a manner which will meet the needs 
of the requester at a lower cost.
    (3) When the CSB requests an advance payment of fees, the 
administrative time limits described in 5 U.S.C. 552(a)(6) begin only 
after the CSB has received the advance payment.
    (d) Interest. The CSB may assess interest charges on an unpaid bill 
starting on the 31st day following the day on which the bill was sent. 
Once a fee payment has been received by the CSB, even if not processed, 
the accrual of interest shall be stayed. Interest charges shall be 
assessed at the rate prescribed in 31 U.S.C. 3717 and shall accrue from 
the date of the billing.
    (e) Whenever a total fee calculated under paragraph (d) of this 
section is $14.00 or less for any request, no fee will be charged.



PART 1602_PROTECTION OF PRIVACY AND ACCESS TO INDIVIDUAL RECORDS UNDER 

THE PRIVACY ACT OF 1974--Table of Contents



Sec.
1602.1 General provisions.
1602.2 Requests for access to records.
1602.3 Responsibility for responding to requests for access to records.
1602.4 Responses to requests for access to records.
1602.5 Appeals from denials of requests for access to records.
1602.6 Requests for amendment or correction of records.
1602.7 Requests for accountings of record disclosures.
1602.8 Preservation of records.
1602.9 Fees.
1602.10 Notice of court-ordered and emergency disclosures.

    Authority: 5 U.S.C. 552a, 553; 42 U.S.C. 7412 et seq.

    Source: 66 FR 17080, Mar. 29, 2001, unless otherwise noted.



Sec. 1602.1  General provisions.

    (a) Purpose and scope. This part contains the rules that the 
Chemical Safety and Hazard Investigation Board (``CSB'' or ``Board'') 
follows under the Privacy Act of 1974, 5 U.S.C. 552a. These rules should 
be read together with the Privacy Act, which provides additional 
information about records maintained on individuals. The rules in this 
part apply to all records in systems of records maintained by the CSB 
that are retrieved by an individual's name or personal identifier. They 
describe the procedures by which individuals may request access to 
records about themselves, request amendment or correction of those 
records, and request an accounting of disclosures of those records by 
the CSB. In addition, the CSB processes all Privacy Act requests for 
access to records under the Freedom of Information Act (FOIA), 5 U.S.C. 
552, following the rules contained in part 1601 of this chapter, which 
gives requests the benefit of both statutes.
    (b) Definitions. As used in this part:
    Requester means an individual who makes a request for access, a 
request for amendment or correction, or a request for an accounting 
under the Privacy Act.
    Request for access to a record means a request made as described in 
subsection (d)(1) of the Privacy Act, 5 U.S.C. 552a.
    Request for amendment or correction of a record means a request made 
as described in subsection (d)(2) of the Privacy Act, 5 U.S.C. 552a.
    Request for an accounting means a request made as described in 
subsection (c)(3) of the Privacy Act, 5 U.S.C. 552a.



Sec. 1602.2  Requests for access to records.

    (a) How made and addressed. You may make a request for access to a 
CSB record about yourself by appearing in person or by writing to the 
CSB. Your request should be sent or delivered to the CSB's General 
Counsel, at 2175 K Street, NW., 4th Floor, Washington, DC 20037. For the 
quickest possible handling, you should mark both your request letter and 
the envelope ``Privacy Act Request.''
    (b) Description of records sought. You must describe the records 
that you

[[Page 897]]

want in enough detail to enable CSB personnel to locate the system of 
records containing them with a reasonable amount of effort. Whenever 
possible, your request should describe the records sought, the time 
periods in which you believe they were compiled, and the name or 
identifying number of each system of records in which you believe they 
are kept. The CSB publishes notices in the Federal Register that 
describe its systems of records. A description of the CSB's systems of 
records also may be found as part of the ``Privacy Act Compilation'' 
published by the National Archives and Records Administration's Office 
of the Federal Register. This compilation is available in most large 
reference and university libraries. This compilation also can be 
accessed electronically at the Government Printing Office's World Wide 
Web site (which can be found at http://www.access.gpo.gov/su--docs).
    (c) Agreement to pay fees. If you make a Privacy Act request for 
access to records, it shall be considered an agreement by you to pay all 
applicable fees charged under Sec. 1602.9 up to $25.00. The CSB 
ordinarily will confirm this agreement in an acknowledgment letter. When 
making a request, you may specify a willingness to pay a greater or 
lesser amount.
    (d) Verification of identity. When you make a request for access to 
records about yourself, you must verify your identity. You must state 
your full name, current address, and date and place of birth. You must 
sign your request and your signature must either be notarized or 
submitted by you under 28 U.S.C. 1746, a law that permits statements to 
be made under penalty of perjury as a substitute for notarization. In 
order to help the identification and location of requested records, you 
may also, at your option, include your social security number.
    (e) Verification of guardianship. When making a request as the 
parent or guardian of a minor or as the guardian of someone determined 
by a court to be incompetent, for access to records about that 
individual, you must establish:
    (1) The identity of the individual who is the subject of the record, 
by stating the name, current address, date and place of birth, and, at 
your option, the social security number of the individual;
    (2) Your own identity, as required in paragraph (d) of this section;
    (3) That you are the parent or guardian of that individual, which 
you may prove by providing a copy of the individual's birth certificate 
showing your parentage or by providing a court order establishing your 
guardianship; and
    (4) That you are acting on behalf of that individual in making the 
request.



Sec. 1602.3  Responsibility for responding to requests for access to records.

    (a) In general. In determining which records are responsive to a 
request, the CSB ordinarily will include only those records in its 
possession as of the date the CSB begins its search for them. If any 
other date is used, the CSB will inform the requester of that date.
    (b) Authority to grant or deny requests. The CSB's General Counsel, 
or his/her designee, is authorized to grant or deny any request for 
access to a record of the CSB.
    (c) Consultations and referrals. When the CSB receives a request for 
access to a record in its possession, it will determine whether another 
agency of the Federal Government is better able to determine whether the 
record is exempt from access under the Privacy Act. If the CSB 
determines that it is best able to process the record in response to the 
request, then it will do so. If the CSB determines that it is not best 
able to process the record, then it will either:
    (1) Respond to the request regarding that record, after consulting 
with the agency best able to determine whether the record is exempt from 
access and with any other agency that has a substantial interest in it; 
or
    (2) Refer the responsibility for responding to the request regarding 
that record to another agency that originated the record (but only if 
that agency is subject to the Privacy Act). Ordinarily, the agency that 
originated a record will be presumed to be best able to determine 
whether it is exempt from access.

[[Page 898]]

    (d) Notice of referral. Whenever the CSB refers all or any part of 
the responsibility for responding to your request to another agency, it 
ordinarily will notify you of the referral and inform you of the name of 
each agency to which the request has been referred and of the part of 
the request that has been referred.
    (e) Timing of responses to consultations and referrals. All 
consultations and referrals shall be handled according to the date the 
Privacy Act access request was initially received by the CSB, not any 
later date.



Sec. 1602.4  Responses to requests for access to records.

    (a) Acknowledgments of requests. On receipt of your request, the CSB 
ordinarily will send an acknowledgment letter, which shall confirm your 
agreement to pay fees under Sec. 1602.2(c) and may provide an assigned 
request number for further reference.
    (b) Grants of requests for access. Once the CSB makes a 
determination to grant your request for access in whole or in part, it 
will notify you in writing. The CSB will inform you in the notice of any 
fee charged under Sec. 1602.9 and will disclose records to you promptly 
on payment of any applicable fee. If your request is made in person, the 
CSB may disclose records to you directly, in a manner not unreasonably 
disruptive of its operations, on payment of any applicable fee and with 
a written record made of the grant of the request. If you are 
accompanied by another person when you make a request in person, you 
shall be required to authorize in writing any discussion of the records 
in the presence of the other person.
    (c) Adverse determinations of requests for access. If the CSB makes 
an adverse determination denying your request for access in any respect, 
it will notify you of that determination in writing. Adverse 
determinations, or denials of requests, consist of: a determination to 
withhold any requested record in whole or in part; a determination that 
a requested record does not exist or cannot be located; a determination 
that what has been requested is not a record subject to the Privacy Act; 
a determination on any disputed fee matter; and a denial of a request 
for expedited treatment. The notification letter shall be signed by the 
General Counsel, or his/her designee, and shall include:
    (1) The name and title or position of the person responsible for the 
denial;
    (2) A brief statement of the reason(s) for the denial, including any 
Privacy Act exemption(s) applied by the CSB in denying the request; and
    (3) A statement that the denial may be appealed under Sec. 
1602.5(a) and a description of the requirements of Sec. 1602.5(a).



Sec. 1602.5  Appeals from denials of requests for access to records.

    (a) Appeals. If you are dissatisfied with the CSB's response to your 
request for access to records, you may appeal an adverse determination 
denying your request in any respect to the Privacy Act Appeals Officer 
of the CSB, 2175 K Street, NW., Suite 400, Washington, DC 20037. You 
must make your appeal in writing, and it must be received within 60 days 
of the date of the letter denying your request. Your appeal letter may 
include as much or as little related information as you wish, as long as 
it clearly identifies the determination (including the assigned request 
number, if any) that you are appealing. For the quickest possible 
handling, you should mark both your appeal letter and the envelope 
``Privacy Act Appeal.''
    (b) Responses to appeals. The decision on your appeal will be made 
in writing. A decision affirming an adverse determination in whole or in 
part will include a brief statement of the reason(s) for the affirmance, 
including any Privacy Act exemption applied, and will inform you of the 
Privacy Act provisions for court review of the decision. If the adverse 
determination is reversed or modified on appeal in whole or in part, you 
will be notified in a written decision and your request will be 
reprocessed in accordance with that appeal decision.
    (c) When appeal is required. If you wish to seek review by a court 
of any adverse determination or denial of a request, you must first 
appeal it under this section.

[[Page 899]]



Sec. 1602.6  Requests for amendment or correction of records.

    (a) How made and addressed. You may make a request for amendment or 
correction of a CSB record about yourself by following the procedures in 
Sec. 1602.2. Your request should identify each particular record in 
question, state the amendment or correction that you want, and state why 
you believe that the record is not accurate, relevant, timely, or 
complete. You may submit any documentation that you think would be 
helpful.
    (b) CSB responses. Within ten working days of receiving your request 
for amendment or correction of records, the CSB will send you a written 
acknowledgment of its receipt of your request, and it will promptly 
notify you whether your request is granted or denied. If the CSB grants 
your request in whole or in part, it will describe the amendment or 
correction made and advise you of your right to obtain a copy of the 
corrected or amended record. If the CSB denies your request in whole or 
in part, it will send you a letter stating:
    (1) The reason(s) for the denial; and
    (2) The procedure for appeal of the denial under paragraph (c) of 
this section, including the name and business address of the official 
who will act on your appeal.
    (c) Appeals. You may appeal a denial of a request for amendment or 
correction in the same manner as a denial of a request for access to 
records (see Sec. 1602.5), and the same procedures will be followed. If 
your appeal is denied, you will be advised of your right to file a 
Statement of Disagreement as described in paragraph (d) of this section 
and of your right under the Privacy Act for court review of the 
decision.
    (d) Statements of Disagreement. If your appeal under this section is 
denied in whole or in part, you have the right to file a Statement of 
Disagreement that states your reason(s) for disagreeing with the CSB's 
denial of your request for amendment or correction. Statements of 
Disagreement must be concise, must clearly identify each part of any 
record that is disputed, and should be no longer than one typed page for 
each fact disputed. Your Statement of Disagreement must be sent to the 
CSB, which will place it in the system of records in which the disputed 
record is maintained and will mark the disputed record to indicate that 
a Statement of Disagreement has been filed and where in the system of 
records it may be found.
    (e) Notification of amendment/correction or disagreement. Within 30 
working days of the amendment or correction of a record, the CSB shall 
notify all persons, organizations, or agencies to which it previously 
disclosed the record, if an accounting of that disclosure was made, that 
the record has been amended or corrected. If an individual has filed a 
Statement of Disagreement, the CSB will attach a copy of it to the 
disputed record whenever the record is disclosed and may also attach a 
concise statement of its reason(s) for denying the request to amend or 
correct the record.



Sec. 1602.7  Requests for an accounting of record disclosures.

    (a) How made and addressed. Except where accountings of disclosures 
are not required to be kept (as stated in paragraph (b) of this 
section), you may make a request for an accounting of any disclosure 
that has been made by the CSB to another person, organization, or agency 
of any record about you. This accounting contains the date, nature, and 
purpose of each disclosure, as well as the name and address of the 
person, organization, or agency to which the disclosure was made. Your 
request for an accounting should identify each particular record in 
question and should be made by writing to the CSB, following the 
procedures in Sec. 1602.2.
    (b) Where accountings are not required. The CSB is not required to 
provide accountings to you where they relate to disclosures for which 
accountings are not required to be kept---in other words, disclosures 
that are made to employees within the agency and disclosures that are 
made under the FOIA.
    (c) Appeals. You may appeal a denial of a request for an accounting 
to the CSB Appeals Officer in the same manner as a denial of a request 
for access to records (see Sec. 1602.5) and the same procedures will be 
followed.

[[Page 900]]



Sec. 1602.8  Preservation of records.

    The CSB will preserve all correspondence pertaining to the requests 
that it receives under this part, as well as copies of all requested 
records, until disposition or destruction is authorized by Title 44 of 
the United States Code or the National Archives and Records 
Administration's General Records Schedule 14. Records will not be 
disposed of while they are the subject of a pending request, appeal, or 
lawsuit under the Privacy Act.



Sec. 1602.9  Fees.

    The CSB will charge fees for duplication of records under the 
Privacy Act in the same way in which it charges duplication fees under 
the FOIA (see part 1601, subpart D of this chapter). No search or review 
fee will be charged for any record.



Sec. 1602.10  Notice of court-ordered and emergency disclosures.

    (a) Court-ordered disclosures. When a record pertaining to an 
individual is required to be disclosed by a court order, the CSB will 
make reasonable efforts to provide notice of this to the individual. 
Notice will be given within a reasonable time after the CSB's receipt of 
the order--except that in a case in which the order is not a matter of 
public record, the notice will be given only after the order becomes 
public. This notice will be mailed to the individual's last known 
address and will contain a copy of the order and a description of the 
information disclosed.
    (b) Emergency disclosures. Upon disclosing a record pertaining to an 
individual made under compelling circumstances affecting health or 
safety, the CSB will notify that individual of the disclosure. This 
notice will be mailed to the individual's last known address and will 
state the nature of the information disclosed; the person, organization, 
or agency to which it was disclosed; the date of disclosure; and the 
compelling circumstances justifying the disclosure.



PART 1603_RULES IMPLEMENTING THE GOVERNMENT IN THE SUNSHINE ACT--Table of Contents



Sec.
1603.1 Applicability.
1603.2 Policy.
1603.3 Definitions.
1603.4 Open meetings requirement.
1603.5 Assurance of compliance.
1603.6 Business requiring a meeting.
1603.7 Grounds on which meetings may be closed or information may be 
          withheld.
1603.8 Procedures for closing meetings, or withholding information, and 
          requests by affected persons to close a meeting.
1603.9 Procedures for public announcement of meetings.
1603.10 Changes following public announcement.
1603.11 Transcripts, recordings, or minutes of closed meetings.
1603.12 Availability of transcripts, recordings, and minutes, and 
          applicable fees.
1603.13 Report to Congress.
1603.14 Severability.

    Authority: 5 U.S.C. 552b; 42 U.S.C. 7412(r)(6)(N).

    Source: 67 FR 35445, May 20, 2002, unless otherwise noted.



Sec. 1603.1  Applicability.

    (a) This part implements the provisions of the Government in the 
Sunshine Act, 5 U.S.C. 552b. These procedures apply to meetings, as 
defined herein, of the Members of the Chemical Safety and Hazard 
Investigation Board (``CSB'' or ``Board'').
    (b) This part does not affect the procedures by which CSB records 
are made available to the public, which continue to be governed by part 
1601 of this chapter pursuant to the Freedom of Information Act, 5 
U.S.C. 552, except that the exemptions set forth in Sec. 1603.7 shall 
govern in the case of any requests made for the transcripts, recordings, 
and minutes described in Sec. 1603.11.



Sec. 1603.2  Policy.

    It is the policy of the CSB to provide the public with the fullest 
practicable information regarding the decisionmaking processes of the 
Board, while protecting the rights of individuals and the ability of the 
Board to discharge its statutory functions and responsibilities. The 
public is invited to attend but not to participate in open meetings. For 
any open meeting, the Board,

[[Page 901]]

by majority vote, may decide to allow for a public comment period 
immediately following the close of that meeting.



Sec. 1603.3  Definitions.

    As used in this part:
    (a) Days means calendar days, except where noted otherwise.
    (b) General Counsel means the Board's principal legal officer, or a 
CSB attorney serving as Acting General Counsel.
    (c) Meeting means the deliberations of at least a quorum of Members 
where such deliberations determine or result in the joint conduct or 
disposition of official CSB business, and includes conference telephone 
calls or other exchanges otherwise coming within the definition. A 
meeting does not include:
    (1) Notation voting or similar consideration of business, whether by 
circulation of material to the Members individually in writing or by a 
polling of the Members individually by telephone.
    (2) Action by at least a quorum of Members to:
    (i) Open or to close a meeting or to release or to withhold 
information pursuant to Sec. 1603.7;
    (ii) Set an agenda for a proposed meeting(s);
    (iii) Call a meeting on less than seven days' notice as permitted by 
Sec. 1603.9(b); or
    (iv) Change the subject matter or the determination to open or to 
close a publicly announced meeting under Sec. 1603.10(b).
    (3) A session attended by at least a quorum of Members for the 
purpose of having the Board's staff or expert consultants to the Board 
brief or otherwise provide information to the Board concerning any 
matters within the purview of the Board under its authorizing statute, 
provided that the Board does not engage in deliberations that determine 
or result in the joint conduct or disposition of official CSB business 
on such matters.
    (4) A session attended by at least a quorum of Members for the 
purpose of having the Environmental Protection Agency or Occupational 
Safety and Health Administration (including contractors of those 
agencies) or other persons or organizations brief or otherwise provide 
information to the Board concerning any matters within the purview of 
the Board under its authorizing statute, provided that the Board does 
not engage in deliberations that determine or result in the joint 
conduct or disposition of official CSB business on such matters.
    (5) A gathering of Members for the purpose of holding informal 
preliminary discussions or exchange of views which do not effectively 
predetermine official action.
    (d) Member means an individual duly appointed and confirmed to the 
collegial body known as the Board.
    (e) Reporter means a CSB employee designated by the General Counsel, 
under Sec. 1603.5(c), to attend and prepare a written summary of all 
briefings described in paragraphs (c)(3) and (c)(4) of this section and 
all informal preliminary discussions described in paragraph (c)(5) of 
this section.
    (f) Sunshine Act means the Government in the Sunshine Act, 5 U.S.C. 
552b.



Sec. 1603.4  Open meetings requirement.

    Any meetings of the Board, as defined in Sec. 1603.3, shall be 
conducted in accordance with this part. Except as provided in Sec. 
1603.7, the Board's meetings, or portions thereof, shall be open to 
public observation.



Sec. 1603.5  Assurance of compliance.

    (a) The General Counsel or another attorney designated by the 
General Counsel will attend and monitor all briefings described in Sec. 
1603.3(c)(3) and (c)(4) and all informal preliminary discussions 
described in Sec. 1603.3(c)(5), to assure that those gatherings do not 
proceed to the point of becoming deliberations and meetings for Sunshine 
Act purposes.
    (b) The General Counsel or the designated attorney will inform the 
Board Members if developing discussions at a briefing or gathering 
should be deferred until a notice of an open or closed meeting can be 
published in the Federal Register, and a meeting conducted pursuant to 
the Sunshine Act and this part.
    (c) For each briefing described in Sec. 1603.3(c)(3) or (c)(4) and 
each informal preliminary discussion described in

[[Page 902]]

Sec. 1603.3(c)(5), the General Counsel is hereby authorized to 
designate a CSB employee, other than the attorney referred to in 
paragraph (a) of this section, to serve as a reporter. An employee may 
be designated as reporter for a single briefing or informal discussion 
or for a series of briefings or discussions. The reporter shall attend 
and prepare a written summary of each briefing(s) or informal 
discussion(s) for which he/she has been designated. The reporter must 
prepare the summary of a particular briefing or informal discussion 
within five business days after the date of that briefing or discussion. 
The reporter must then submit the summary to the General Counsel or the 
designated attorney who attended the briefing or informal discussion 
that is the subject of the summary for review and approval as a fair and 
accurate summary of that briefing or discussion. The written summaries 
of briefings and informal discussions shall be maintained in the Office 
of General Counsel.



Sec. 1603.6  Business requiring a meeting.

    The Board may, by majority vote of its Members, determine that 
particular items or classes of Board business cannot be accomplished by 
notation voting, but must instead be decided by a recorded vote at a 
meeting, as defined in Sec. 1603.3(c).



Sec. 1603.7  Grounds on which meetings may be closed or information may be withheld.

    Except in a case where the Board finds that the public interest 
requires otherwise, a meeting may be closed and information pertinent to 
such meeting otherwise required by Sec. Sec. 1603.8, 1603.9, and 
1603.10 to be disclosed to the public may be withheld if the Board 
properly determines that such meeting or portion thereof or the 
disclosure of such information is likely to:
    (a) Disclose matters that are:
    (1) Specifically authorized under criteria established by an 
Executive Order to be kept secret in the interests of national defense 
or foreign policy; and
    (2) In fact, properly classified pursuant to such Executive Order. 
In making the determination that this exemption applies, the Board shall 
rely upon the classification assigned to a document by the Environmental 
Protection Agency, Occupational Safety and Health Administration, or 
other originating agency;
    (b) Relate solely to the internal personnel rules and practices of 
the CSB;
    (c) Disclose matters specifically exempted from disclosure by 
statute (other than 5 U.S.C. 552), provided that such statute:
    (1) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue; or
    (2) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (d) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential;
    (e) Involve accusing any person of a crime, or formally censuring 
any person;
    (f) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (g) Disclose investigatory records compiled for law enforcement 
purposes, or information which if written would be contained in such 
records, but only to the extent that the production of such records or 
information would:
    (1) Interfere with enforcement proceedings;
    (2) Deprive a person of a right to a fair trial or an impartial 
adjudication;
    (3) Constitute an unwarranted invasion of personal privacy;
    (4) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source;
    (5) Disclose investigative techniques and procedures; or
    (6) Endanger the life or physical safety of law enforcement 
personnel;
    (h) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed action of 
the CSB, except that this paragraph shall not apply in any instance 
where the

[[Page 903]]

Board has already disclosed to the public the content or nature of its 
proposed action or is required by law to make such disclosure on its own 
initiative prior to taking final action on such proposal;
    (i) Specifically concern the Board's issuance of a subpoena, or the 
CSB's participation in a civil action or proceeding, an action in a 
foreign court or international tribunal, or an arbitration, or the 
initiation, conduct, or disposition by the CSB of a particular case of 
formal agency adjudication pursuant to the procedures in 5 U.S.C. 554 or 
otherwise involving a determination on the record after opportunity for 
a hearing; or
    (j) Disclose other information for which the Government in the 
Sunshine Act provides an exemption to the open meeting requirements of 
that Act.



Sec. 1603.8  Procedures for closing meetings, or withholding

information, and requests by affected persons to close a meeting.

    (a) A meeting shall not be closed, or information pertaining thereto 
withheld, unless a majority of all Members votes to take such action. A 
majority of the Board may act by taking a single vote with respect to 
any action under Sec. 1603.7. A single vote is permitted with respect 
to a series of meetings, a portion or portions of which are proposed to 
be closed to the public, or with respect to any information concerning 
such series of meetings, so long as each meeting in such series involves 
the same particular subject matters and is scheduled to be held no more 
than thirty days after the initial meeting in such series. Each Member's 
vote under this paragraph shall be recorded and proxies are not 
permitted.
    (b) Any person whose interest may be directly affected if a portion 
of a meeting is open may request the Board to close that portion on any 
of the grounds referred to in Sec. 1603.7(e) through (g). Requests, 
with reasons in support thereof, should be submitted in writing, no 
later than two days before the meeting in question, to the General 
Counsel, Chemical Safety and Hazard Investigation Board, 2175 K Street, 
NW., Suite 400, Washington, DC 20037. In motion of any Member, the Board 
shall determine by recorded vote whether to grant the request.
    (c) Within one working day of any vote taken pursuant to this 
section, the CSB shall make available a written copy of such vote 
reflecting the vote of each Member on the question and, if a portion of 
a meeting is to be closed to the public, a full written explanation of 
its action closing the meeting and a list of all persons expected to 
attend and their affiliation.
    (d) Before every closed meeting, the General Counsel of the CSB 
shall publicly certify that, in his/her opinion, the meeting may be 
closed to the public and shall state each relevant exemption provision. 
If the General Counsel invokes the exemption for classified or sensitive 
unclassified information under Sec. 1603.7(a), he/shall rely upon the 
classification or designation assigned to the document containing such 
information by the Environmental Protection Agency, Occupational Safety 
and Health Administration, or other originating agency. A copy of such 
certification, together with a statement setting forth the time and 
place of the meeting and the persons present, shall be retained by the 
Board as part of the transcript, recording, or minutes required by Sec. 
1603.11.



Sec. 1603.9  Procedures for public announcement of meetings.

    (a) For each meeting, the CSB shall make public announcement, at 
least one week before the meeting, of:
    (1) The time of the meeting;
    (2) The place of the meeting;
    (3) The subject matter of the meeting;
    (4) Whether the meeting is to be open or closed; and
    (5) The name and business telephone number of the offical designated 
by the CSB to respond to requests for information about the meeting.
    (b) The one week advance notice required by paragraph (a) of this 
section may be reduced only if:
    (1) A majority of all Members determines by recorded vote that CSB 
business requires that such meeting be scheduled in less than seven 
days; and
    (2) The public announcement required by paragraph (a) of this 
section

[[Page 904]]

is made at the earliest practicable time.
    (c) Immediately following each public announcement required by this 
section, or by Sec. 1603.10, the CSB shall submit a notice of public 
announcement for publication in the Federal Register.



Sec. 1603.10  Changes following public announcement.

    (a) The time or place of a meeting may be changed following the 
public announcement only if the CSB publicly announces such change at 
the earliest practicable time. Members need not approve such change.
    (b) A meeting may be cancelled, or the subject matter of a meeting 
or the determination of the Board to open or to close a meeting, or a 
portion thereof, to the public may be changed following public 
announcement only if:
    (1) A majority of all Members determines by recorded vote that CSB 
business so requires and that no earlier announcement of the 
cancellation or change was possible; and
    (2) The CSB publicly announces such cancellation or change and the 
vote of each Member thereon at the earliest practicable time.
    (c) The deletion of any subject matter announced for a meeting is 
not a change requiring the approval of the Board under paragraph (b) of 
this section.



Sec. 1603.11  Transcripts, recordings, or minutes of closed meetings.

    (a) Along with the General Counsel's certification referred to in 
Sec. 1603.8(d), the CSB shall maintain a complete transcript or 
electronic recording adequate to record fully the proceedings of each 
meeting, or a portion thereof, closed to the public. The CSB may 
maintain a set of minutes in lieu of such transcript or recording for 
meetings closed pursuant to Sec. 1603.7(i). Such minutes shall fully 
and clearly describe all matters discussed and shall provide a full and 
accurate summary of any actions taken, and the reasons therefor, 
including a description of each of the views expressed on any item and 
the record of any rollcall vote. All documents considered in connection 
with any actions shall be identified in such minutes.
    (b) The CSB shall maintain a complete verbatim copy of the 
transcript, a complete copy of the minutes, or a complete electronic 
recording of each meeting, or a portion thereof, closed to the public 
for at least two years after such meeting, or until one year after the 
conclusion of any CSB proceeding with respect to which the meeting, or a 
portion thereof, was held, whichever occurs later.



Sec. 1603.12  Availability of transcripts, recordings, and minutes, and applicable fees.

    The CSB shall make promptly available to the public the transcript, 
electronic recording, or minutes of the discussion of any item on the 
agenda or of any testimony received at a meeting, except for such item, 
or items, of discussion or testimony as determined by the CSB to contain 
matters which may be withheld under the exemptive provisions of Sec. 
1603.7. Copies of the nonexempt portions of the transcript or minutes, 
or transcription of such recordings disclosing the identity of each 
speaker, shall be furnished to any person at the actual cost of 
transcription or duplication. Requests for transcripts, recordings, or 
minutes shall be made in writing to the General Counsel of the CSB, 2175 
K Street, NW., Suite 400, Washington, DC 20037.



Sec. 1603.13  Report to Congress.

    The CSB General Counsel shall annually report to the Congress 
regarding the Board's compliance with the Government in the Sunshine 
Act, including a tabulation of the total number of open meetings, the 
total number of closed meetings, the reasons for closing such meetings 
and a description of any litigation brought against the Board pursuant 
to the Government in the Sunshine Act, including any cost assessed 
against the Board in such litigation (whether or not paid by the Board).



Sec. 1603.14  Severability.

    If any provision of this part or the application of such provision 
to any person or circumstances, is held invalid, the remainder of this 
part or the

[[Page 905]]

application of such provision to persons or circumstances other than 
those as to which it is held invalid, shall not be affected thereby.



PART 1610_ADMINISTRATIVE INVESTIGATIONS--Table of Contents



Sec.
1610.1 Representation of witnesses in investigations.
1610.2 Repeated attorney misconduct, sanctions, hearings.
1610.3 Sequestration of witnesses and exclusion of Counsel.
1610.4 Deposition Transcripts.

    Authority: 42 U.S.C. 7412(r)(6)(C)(i), 7412(r)(6)(L), 7412(r)(6)(N).
    Section 1610.4 also issued under 5 U.S.C. 555.

    Source: 66 FR 1050, Jan. 5, 2001, unless otherwise noted.



Sec. 1610.1  Representation of witnesses in investigations.

    (a) Witnesses who are compelled to appear. Witnesses who are 
compelled to appear for a deposition (i.e., by subpoena) are entitled to 
be accompanied, represented, and advised by an attorney as follows:
    (1) Counsel for a witness may advise the witness with respect to any 
question asked where it is claimed that the testimony or other evidence 
sought from a witness is outside the scope of the investigation, or that 
the witness is privileged to refuse to answer a question or to produce 
other evidence. For these allowable objections, the witness or counsel 
for the witness may object on the record to the question or requirement 
and may state briefly and precisely the ground therefor. If the witness 
refuses to answer a question, then counsel may briefly state on the 
record that counsel has advised the witness not to answer the question 
and the legal grounds for such refusal. The witness and his or her 
counsel shall not otherwise object to or refuse to answer any question, 
and they shall not otherwise interrupt the oral examination.
    (2) Any objections made will be treated as continuing objections and 
preserved throughout the further course of the deposition without the 
necessity for repeating them as to any similar line of inquiry. 
Cumulative objections are unnecessary. Repetition of the grounds for any 
objection will not be allowed.
    (3) Counsel for a witness may not, for any purpose or to any extent 
not allowed by paragraphs (a)(1) and (2) of this section, interrupt the 
examination of the witness by making any objections or statements on the 
record.
    (4) Following completion of the examination of a witness, counsel 
for the witness may on the record request the person conducting the 
deposition to permit the witness to clarify any of his or her answers. 
The grant or denial of such request shall be within the sole discretion 
of the person conducting the deposition.
    (5) The person conducting the deposition shall take all necessary 
action to regulate the course of the deposition, to avoid delay, and to 
prevent or restrain disorderly, dilatory, obstructionist, or 
contumacious conduct, or contemptuous language. Such person shall, for 
reasons stated on the record, immediately report to the Board any 
instances where an attorney has allegedly refused to comply with his or 
her directions, or has allegedly engaged in disorderly, dilatory, 
obstructionist, or contumacious conduct, or contemptuous language in the 
course of the deposition. The Board may thereupon take such further 
action, if any, as the circumstances warrant, including exclusion of 
that attorney from further participation in the particular 
investigation.
    (b) Voluntary interviews. Witnesses appearing voluntarily do not 
have a right to have an attorney present during questioning. The 
Investigator-in-Charge (IIC), in consultation with the General Counsel, 
may permit a witness to be accompanied by an attorney or non-attorney 
representative. If so accompanied, the role of the attorney or non-
attorney representative is limited to raising objections to questions 
that are outside the scope of the investigation and to advising the 
witness with respect to any legal privilege such as, for example, under 
the Fifth Amendment to the U. S. Constitution. Attorney and non-attorney 
representatives

[[Page 906]]

may not represent more than one witness in each investigation in this 
fashion, absent the consent of the IIC and the General Counsel.



Sec. 1610.2  Repeated attorney misconduct, sanctions, hearings.

    (a) If an attorney who has been sanctioned by the Board for 
disorderly, dilatory, obstructionist, or contumacious conduct, or 
contemptuous language in the course of a deposition under Sec. 
1610.1(a)(5) is sanctioned again by the Board in a subsequent deposition 
or investigation, the Board, after offering the attorney an opportunity 
to be heard, may reprimand, censure the attorney, or suspend the 
attorney from further practice before the Board for such period of time 
as the Board deems advisable.
    (b) A reprimand or a censure shall be ordered with grounds stated on 
the record of the proceeding. A suspension shall be in writing, shall 
state the grounds on which it is based, and shall advise the person 
suspended of the right to appeal.
    (c) An attorney suspended pursuant to this section may within ten 
(10) days after issuance of the order file an appeal with the Board. The 
appeal shall be in writing and state concisely, with supporting 
argument, why the appellant believes the order was erroneous, either as 
a matter of fact or law. If necessary for a full and fair consideration 
of the facts, the Board as a whole may conduct further evidentiary 
hearings, or may refer the matter to another presiding officer for 
development of a record. Such presiding officer may be an attorney who 
is a Member of the Board or is employed in the Office of General 
Counsel, or an administrative law judge detailed from another agency 
pursuant to 5 U.S.C. 3344. If the Board refers the matter to a presiding 
officer, unless the Board provides specific directions to the presiding 
officer, that officer shall determine the procedure to be followed and 
who shall present evidence, subject to applicable provisions of law. 
Such hearing shall commence as soon as possible. If no appeal is taken 
of a suspension, or, if the suspension is upheld at the conclusion of 
the appeal, the presiding officer, or the Board, as appropriate, shall 
notify the state bar(s) to which the attorney is admitted. Such 
notification shall include copies of the order of suspension, and, if an 
appeal was taken, briefs of the parties, and the decision of the Board.

[66 FR 17363, Mar. 30, 2001]



Sec. 1610.3  Sequestration of witnesses and exclusion of Counsel.

    (a) All witnesses compelled by subpoena to submit to CSB depositions 
shall be sequestered unless the official conducting the depositions 
permits otherwise.
    (b) Any witness compelled by subpoena to appear at a deposition 
during a CSB investigation may be accompanied, represented, and advised 
by an attorney in good standing of his or her choice, pursuant to Sec. 
1610.1. However, when the CSB official conducting the investigation 
determines, after consultation with the Office of General Counsel, that 
the CSB has concrete evidence that the presence of an attorney 
representing multiple interests would obstruct and impede the 
investigation or inspection, the CSB official may prohibit that counsel 
from being present during the deposition.
    (c) The deposing official is to provide a witness whose counsel has 
been excluded under paragraph (b) of this section, and the witness' 
counsel, a written statement of the reasons supporting the decision to 
exclude. This statement, which must be provided no later than five 
working days after exclusion, must explain the basis for the counsel's 
exclusion. This statement must also advise the witness of the witness' 
right to appeal the exclusion decision and obtain an automatic stay of 
the effectiveness of the subpoena by filing a motion to quash the 
subpoena with the Board within five days of receipt of this written 
statement.
    (d) Within five days after receipt of the written notification 
required in paragraph (c) of this section, a witness whose counsel has 
been excluded may appeal the exclusion decision by filing a motion to 
quash the subpoena with the Board. The filing of the motion to quash 
will stay the effectiveness of the subpoena pending the Board's decision 
on the motion.

[[Page 907]]

    (e) If a witness' counsel is excluded under paragraph (b) of this 
section, the deposition may, at the witness' request, either proceed 
without counsel or be delayed for a reasonable period of time to permit 
the retention of new counsel. The deposition may also be rescheduled to 
a subsequent date established by the CSB, although the deposition shall 
not be rescheduled by the CSB to a date that precedes the expiration of 
the time provided in paragraph (d) of this section for appeal of the 
exclusion of counsel, unless the witness consents to an earlier date.

[66 FR 17363, Mar. 30, 2001]



Sec. 1610.4  Deposition Transcripts.

    (a) Transcripts of depositions of witnesses compelled by subpoena to 
appear during a Board investigation, shall be recorded solely by an 
official reporter designated by the person conducting the deposition.
    (b) Such a witness, after completing the compelled testimony, may 
file a petition with the Board's General Counsel to procure a copy of 
the official transcript of such testimony. The General Counsel shall 
rule on the petition, and may deny it for good cause. Whether or not 
such a petition is filed, the witness (and his or her attorney), upon 
proper identification, shall have the right to inspect the official 
transcript of the witness' own testimony. If such a petition is denied 
by the General Counsel, he shall inform the petitioner of the right to 
inspect the transcript.
    (c) Good cause for denying a witness' petition to procure a 
transcript of his or her testimony may include, but shall not be limited 
to, the protection of: trade secrets and confidential business 
information contained in the testimony, security-sensitive operational 
and vulnerability information, and the integrity of Board 
investigations.

[68 FR 4393, Jan. 29, 2003]



PART 1611_TESTIMONY BY EMPLOYEES IN LEGAL PROCEEDINGS--Table of Contents



Sec.
1611.1 General.
1611.2 Definitions.
1611.3 Scope of permissible testimony.
1611.4 Manner in which testimony is given in civil litigation.
1611.5 Request for testimony in civil litigation.
1611.6 Testimony of former CSB employees.
1611.7 Testimony by current CSB employees regarding prior activity.
1611.8 Procedure in the event of a subpoena in civil litigation.
1611.9 Testimony in Federal, State, or local criminal investigations and 
          other proceedings.
1611.10 Obtaining CSB investigation reports and supporting information.

    Authority: 5 U.S.C. 301, 42 U.S.C. 7412(r)(6)(G).

    Source: 66 FR 17366, Mar. 30, 2001, unless otherwise noted.



Sec. 1611.1  General.

    (a) This part prescribes policies and procedures regarding the 
testimony of employees of the Chemical Safety and Hazard Investigation 
Board (CSB) in suits or actions for damages and criminal proceedings 
arising out of chemical incidents when such testimony is in an official 
capacity and arises out of or is related to an incident investigation. 
The purpose of this part is to ensure that the time of CSB employees is 
used only for official purposes, to avoid embroiling the CSB in 
controversial issues that are not related to its duties, to avoid 
spending public funds for non-CSB purposes, to preserve the impartiality 
of the CSB, and to prohibit the discovery of opinion testimony.
    (b) This part does not apply to:
    (1) Congressional requests or subpoenas for testimony or records;
    (2) Federal court civil proceedings in which the United States is a 
party;
    (3) Federal administrative proceedings;
    (4) Employees who voluntarily testify, while on their own time or in 
approved leave status, as private citizens as to facts or events that 
are not related to the official business of the CSB. The employee must 
state for the record that the testimony represents the employee's own 
views and is not necessarily the official position of the CSB.
    (c) This part only provides guidance for the internal operations of 
the CSB, and neither creates nor is intended to

[[Page 908]]

create any enforceable right or benefit against the United States.



Sec. 1611.2  Definitions.

    CSB incident report means the report containing the CSB's 
determinations, including the probable cause of an incident, issued 
either as a narrative report or in a computer format. Pursuant to 42 
U.S.C. 7412(r)(6)(G), no part of the conclusions, findings or 
recommendations of the CSB relating to an accidental release or the 
investigation thereof, may be admitted as evidence or used in any suit 
or action for damages growing out of any matter mentioned in such 
report.
    Employee, for the purpose of this part and part 1612 of this 
chapter, refers to current or former CSB Board Members or employees, 
including student interns, and contractors, contract employees, or 
consultants (and their employees). This definition does not include 
persons who are no longer employed by or under contract to the CSB, and 
who are retained or hired as expert witnesses or agree to testify about 
matters that do not involve their work for the CSB.

[66 FR 17366, Mar. 30, 2001, as amended at 66 FR 23854, May 10, 2001]



Sec. 1611.3  Scope of permissible testimony.

    (a) The statute creating the CSB, 42 U.S.C. 7412(r)(6)(G), precludes 
the use or admission into evidence of CSB investigative reports in any 
suit or action for damages arising from such incidents. This provision 
would be undermined if expert opinion testimony of CSB employees, which 
may be reflected in the views of the CSB expressed in its reports, were 
admitted in evidence or used in litigation arising out of an incident. 
The CSB relies heavily upon its investigators' opinions in its 
deliberations. Furthermore, the use of CSB employees as experts to give 
opinion testimony would impose a significant administrative burden on 
the CSB's investigative staff.
    (b) For the reasons stated in paragraph (a) of this section and 
Sec. 1611.1, CSB employees may only testify as to the factual 
information they obtained during the course of an investigation. 
However, they shall decline to testify regarding matters beyond the 
scope of their investigation, and they shall not give any expert or 
opinion testimony.
    (c) CSB employees may testify about the firsthand information they 
obtained during an investigation that is not reasonably available 
elsewhere, including their own factual observations. Consistent with the 
principles cited in Sec. 1611.1 and this section, current CSB employees 
are not authorized to testify regarding other employee's observations or 
reports, or other types of CSB documents, including but not limited to 
safety recommendations, safety studies, safety proposals, safety 
accomplishments, reports labeled studies, and analysis reports, as they 
contain staff analysis and/or CSB conclusions.
    (d) Consistent with 42 U.S.C. 7412(r)(6)(G), a CSB employee may not 
use the CSB's investigation report for any purpose during his testimony.
    (e) No employee may testify in any matter absent advance approval by 
the General Counsel as provided in this part.



Sec. 1611.4  Manner in which testimony is given in civil litigation.

    (a) Testimony of CSB employees with unique, firsthand information 
may be made available for use in civil actions or civil suits for 
damages arising out of incidents through depositions or written 
interrogatories. CSB employees are not permitted to appear and testify 
in court in such actions.
    (b) Normally, depositions will be taken and interrogatories answered 
at the CSB's headquarters in Washington, DC, and at a time arranged with 
the employee reasonably fixed to avoid substantial interference with the 
performance of his or her duties.
    (c) CSB employees are authorized to testify only once in connection 
with any investigation they have made of an incident. Consequently, when 
more than one civil lawsuit arises as a result of an incident, it shall 
be the duty of counsel seeking the employee's deposition to ascertain 
the identity of all parties to the multiple lawsuits and their counsel, 
and to advise them of the fact that a deposition has been granted, so 
that all interested parties may be afforded the opportunity to 
participate therein.

[[Page 909]]

    (d) Upon completion of the deposition of a CSB employee, the 
original of the transcript will be provided to the deponent for 
signature and correction, which the CSB does not waive. A copy of the 
transcript of the testimony and any videotape shall be furnished, at the 
expense of the party requesting the deposition, to the CSB's General 
Counsel at Washington, DC headquarters for the CSB's files.
    (e) If CSB employees are required to travel to testify, under the 
relevant substantive and procedural laws and regulations the party 
requesting the testimony must pay for the costs, including travel 
expenses. Costs must be paid by check or money order payable to the 
Chemical Safety and Hazard Investigation Board.



Sec. 1611.5  Request for testimony in civil litigation.

    (a) A written request for testimony by deposition or interrogatories 
of a CSB employee relating to an incident shall be addressed to the 
General Counsel, who may approve or deny the request consistent with 
this part. Such request shall set forth the title of the civil case, the 
court, the date and place of the incident, the reasons for desiring the 
testimony, and a showing that the information desired is not reasonably 
available from other sources.
    (b) Where testimony is sought in connection with civil litigation, 
the General Counsel shall not approve it until the CSB's investigation 
report is issued.
    (c) The General Counsel shall attach to the approval of any 
deposition such reasonable conditions as may be deemed appropriate in 
order that the testimony will be consistent with Sec. 1611.1, will be 
limited to the matters delineated in Sec. 1611.3, will not interfere 
with the performance of the duties of the employee as set forth in Sec. 
1611.4, and will otherwise conform to the policies of this part.
    (d) A subpoena shall not be served upon a CSB employee in connection 
with the taking of a deposition in civil litigation.



Sec. 1611.6  Testimony of former CSB employees.

    (a) It is not necessary to request CSB approval for testimony of a 
former CSB employee, nor is such testimony limited to depositions. 
However, the scope of permissible testimony continues to be constrained 
by all the limitations set forth in Sec. 1611.3 and Sec. 1611.4.
    (b) Any former employee who is served with a subpoena to appear and 
testify in connection with civil litigation that relates to his or her 
work with the CSB, shall immediately notify the CSB General Counsel and 
provide all information requested by the General Counsel.

[66 FR 17366, Mar. 30, 2001, as amended at 66 FR 23854, May 10, 2001]



Sec. 1611.7  Testimony by current CSB employees regarding prior activity.

    Any testimony regarding any incident within the CSB's jurisdiction, 
or any expert testimony arising from employment prior to CSB service is 
prohibited absent approval by the General Counsel. Approval shall only 
be given if testimony will not violate Sec. 1611.1 and Sec. 1611.3, 
and is subject to whatever conditions the General Counsel finds 
necessary to promote the purposes of this part as set forth in Sec. 
1611.1 and Sec. 1611.3.



Sec. 1611.8  Procedure in the event of a subpoena in civil litigation.

    (a) If the CSB employee has received a subpoena to appear and 
testify in connection with civil litigation, a request for his 
deposition shall not be approved until the subpoena has been withdrawn.
    (b) Upon receipt of a subpoena, the employee shall immediately 
notify the General Counsel and provide all information requested by the 
General Counsel.
    (c) The General Counsel shall determine the course of action to be 
taken and will so advise the employee.



Sec. 1611.9  Testimony in Federal, State, or local criminal investigations and other proceedings.

    (a) As with civil litigation, the CSB prefers that testimony be 
taken by deposition if court rules permit, and that testimony await the 
issuance of

[[Page 910]]

the investigation report. The CSB recognizes, however, that in the case 
of coroner's inquests and grand jury proceedings this may not be 
possible. The CSB encourages those seeking testimony of CSB employees to 
contact the General Counsel as soon as such testimony is being 
considered. Whenever the intent to seek such testimony is communicated 
to the employee, he shall immediately notify the General Counsel.
    (b) In any case, CSB employees are prohibited from testifying in any 
civil, criminal, or other matter, either in person or by deposition or 
interrogatories, absent advance approval of the General Counsel.
    (c) If permission to testify by deposition or in person is granted, 
testimony shall be limited as set forth in Sec. 1611.3. Only factual 
testimony is authorized; no expert or opinion testimony shall be given.



Sec. 1611.10  Obtaining CSB investigation reports and supporting information.

    It is the responsibility of the individual requesting testimony to 
obtain desired documents. There are a number of ways to obtain CSB 
investigation reports, and accompanying investigation docket files. The 
rules at part 1612 of this chapter explain CSB procedures for production 
of records in legal proceedings, and the CSB's Freedom of Information 
Act rules at part 1601 of this chapter explain CSB procedures for 
producing documents more generally. See also the information available 
on the CSB web site, at www.csb.gov. You may also call the CSB Office of 
General Counsel, at (202) 261-7600. Documents will not be supplied by 
witnesses at depositions, nor will copying services be provided by 
deponents.



PART 1612_PRODUCTION OF RECORDS IN LEGAL PROCEEDINGS--Table of Contents



Sec.
1612.1 Purpose and scope.
1612.2 Applicability.
1612.3 Published reports and material contained in the public incident 
          investigation dockets.
1612.4 Requests for authentication or certification of records.
1612.5 Other material.

    Authority: 5 U.S.C. 301, 42 U.S.C. 7412(r)(6)(G).

    Source: 66 FR 17366, Mar. 30, 2001, unless otherwise noted.



Sec. 1612.1  Purpose and scope.

    (a) This part sets forth procedures to be followed when requesting 
material for use in legal proceedings (including administrative 
proceedings) in which the Chemical Safety and Hazard Investigation Board 
(CSB) is not a party, and procedures to be followed by the employee upon 
receipt of a subpoena, order, or other demand (collectively referred to 
here as a demand) for such material by a court or other competent 
authority or by a private litigant. Material, as used in this part, 
means any type of physical or documentary evidence, including but not 
limited to paper documents, electronic media, videotapes, audiotapes, 
etc.
    (b) The purposes of this part are to:
    (1) Conserve the time of employees for conducting official business;
    (2) Minimize the possibility of involving the CSB in controversial 
issues not related to its mission;
    (3) Maintain the impartiality of the CSB among private litigants;
    (4) Avoid spending the time and money of the United States for 
private purposes; and
    (5) To protect confidential, sensitive information, and the 
deliberative processes of the CSB.



Sec. 1612.2  Applicability.

    This part applies to requests to produce material concerning 
information acquired in the course of performing official duties or 
because of the employee's official status. Specifically, this part 
applies to requests for: material contained in CSB files; and any 
information or material acquired by an employee of the CSB in the 
performance of official duties or as a result of the employee's status. 
Two sets of procedures are here established, dependent on the type of 
material sought. Rules governing requests for employee testimony, as 
opposed to material production, can be found at part 1611 of this 
chapter. Document production shall not accompany employee testimony, 
absent compliance with this part and General Counsel approval.

[[Page 911]]



Sec. 1612.3  Published reports and material contained in the public incident investigation dockets.

    (a) Demands for published investigation reports should be directed 
to the Office of Congressional and Public Affairs, U.S. Chemical Safety 
and Hazard Investigation Board, 2175 K Street, NW, Suite 400, 
Washington, DC 20037. Demands for material contained in the CSB's 
official public docket files of its incident investigations shall be 
submitted, in writing, to CSB Records Officer, U.S. Chemical Safety and 
Hazard Investigation Board, 2175 K Street, NW, Suite 400, Washington, DC 
20037. For information regarding the types of documents routinely issued 
by the CSB, see part 1601 of this chapter.
    (b) No subpoena shall be issued to obtain materials subject to this 
section, and any subpoena issued shall be required to be withdrawn prior 
to release of the requested information. Payment of reproduction fees 
may be required in advance.



Sec. 1612.4  Requests for authentication or certification of records.

    The CSB may authenticate or certify records to facilitate their use 
as evidence. Requests for certified copies should be made to the General 
Counsel at least 30 days before the date they will be needed. The CSB 
may charge a certification fee of $5.00 per document.



Sec. 1612.5  Other material.

    (a) Production prohibited unless approved. Except in the case of the 
material referenced in Sec. 1612.3, no employee or former employee of 
the CSB shall, in response to a demand of a private litigant, court, or 
other authority, produce any material contained in the files of the CSB 
(whether or not agency records under 5 U.S.C. 552) or produce any 
material acquired as part of the performance of the person's official 
duties or because of the person's official status, without the prior 
written approval of the General Counsel.
    (b) Procedures to be followed for the production of material under 
this section. (1) All demands for material shall be submitted to the 
General Counsel at CSB headquarters, 2175 K Street, NW., Suite 400, 
Washington, DC 20037. If an employee receives a demand, he shall forward 
it immediately to the General Counsel.
    (2) Each demand must contain an affidavit by the party seeking the 
material or his attorney setting forth the material sought and its 
relevance to the proceeding, and containing a certification, with 
support, that the information is not available from other sources, 
including CSB materials described in Sec. 1612.3 and part 1601 of this 
chapter.
    (3) In the absence of General Counsel approval of a demand, the 
employee is not authorized to comply with the demand.
    (4) The General Counsel shall advise the requester of approval or 
denial of the demand, and may attach whatever conditions to approval 
considered appropriate or necessary to promote the purposes of this 
part. The General Counsel may also permit exceptions to any requirement 
in this part when necessary to prevent a miscarriage of justice, or when 
the exception is in the best interests of the CSB and/or the United 
States.

                       PARTS 1613	1619 [RESERVED]



PART 1620_ADMINISTRATIVE CLAIMS ARISING UNDER THE FEDERAL TORT CLAIMS ACT--Table of Contents



Sec.
1620.1 Purpose and scope of regulations.
1620.2 Administrative claim; when presented.
1620.3 Administrative claim; who may file.
1620.4 Investigations.
1620.5 Administrative claim; evidence and information to be submitted.
1620.6 Authority to adjust, determine, compromise, and settle.
1620.7 Limitations on authority.
1620.8 Referral to Department of Justice.
1620.9 Final denial of claim.
1620.10 Action on approved claim.

    Authority: 28 U.S.C. 2672; 42 U.S.C. 7412(r)(6)(N); 28 CFR 14.11.

    Source: At 69 FR 55513, Sept. 15, 2004, unless otherwise noted.



Sec. 1620.1  Purpose and scope of regulations.

    The regulations in this part apply only to administrative claims 
presented or filed with the Chemical Safety and Hazard Investigation 
Board

[[Page 912]]

(CSB), under the Federal Tort Claims Act (FTCA), 28 U.S.C. 1346(b), 
2401(b), 2671-2680, as amended, for money damages against the United 
States for damage to or loss of property, personal injury, death, or 
other damages caused by the negligent or wrongful act or omission of an 
officer or employee of CSB while acting within the scope of his or her 
office or employment, but only under circumstances where the United 
States, if a private person, would be liable to the claimant in 
accordance with the law of the place where the act or omission occurred.



Sec. 1620.2  Administrative claim; when presented.

    (a) For purposes of the provisions of 28 U.S.C. 2401(b), 2672, and 
2675, a claim is deemed to have been presented when the CSB receives 
from a claimant, and/or his or her authorized agent, attorney, or other 
legal representative, an executed Standard Form 95 (Claim for Damage, 
Injury or Death), or other written notification of an incident, 
accompanied by a claim for money damages stating a sum certain (a 
specific dollar amount) for specified damage to or loss of property, 
personal injury, death, or other compensable damages alleged to have 
occurred as a result of the incident. A claimant must present a claim 
within 2 years of the date of accrual of the claim. The date of accrual 
generally is determined to be the time of death, injury, or other 
alleged damages, or if the alleged damages are not immediately apparent, 
when the claimant discovered (or reasonably should have discovered) the 
alleged damages and its cause, though the actual date of accrual will 
always depend on the facts of each case. Claimants should be advised 
that mailing a claim by the 2-year time limit is not sufficient if the 
CSB does not receive the claim through the mail by that date. 
Additionally, claimants should be advised that a claim is not considered 
presented by the CSB until the CSB receives all information requested in 
this paragraph. Incomplete claims will be returned to the claimant.
    (b) All claims filed under the FTCA as a result of the alleged 
negligence or wrongful act or omission of the CSB or its employees must 
be mailed or delivered to the Office of the General Counsel, 2175 K 
Street NW., Suite 650, Washington, DC 20037.
    (c) The FTCA requires that a claim must be presented to the Federal 
agency whose activities gave rise to the claim. A claim that should have 
been presented to CSB, but was mistakenly addressed to or filed with 
another Federal agency, is presented to the CSB, as required by 28 
U.S.C. 2401(b), as of the date the claim is received by the CSB. When a 
claim is mistakenly presented to the CSB, the CSB will transfer the 
claim to the appropriate Federal agency, if ascertainable, and advise 
the claimant of the transfer, or return the claim to the claimant if the 
appropriate Federal agency cannot be determined.
    (d) A claimant whose claim arises from an incident involving the CSB 
and one or more other Federal agencies will identify each agency to 
which the claim has been submitted at the time the claim is presented to 
the CSB. The CSB will contact all other affected Federal agencies in 
order to designate a single agency that will investigate and decide the 
merits of the claim. In the event a designation cannot be agreed upon by 
the affected agencies, the Department of Justice will be consulted and 
that agency will designate a specific agency to investigate and 
determine the merits of the claim. The designated agency will then 
notify the claimant that all future correspondence concerning the claim 
must be directed to the designated Federal agency. All involved Federal 
agencies may agree to conduct their own administrative reviews and to 
coordinate the results, or to have the investigation conducted solely by 
the designated Federal agency. However, in any event, the designated 
agency will be responsible for the final determination of the claim.
    (e) A claim presented in compliance with paragraph (a) of this 
section may be amended by the claimant at any time prior to final agency 
action or prior to the exercise of the claimant's option under 28 U.S.C. 
2675(a). Amendments must be in writing and signed by the claimant or his 
or her authorized agent, attorney, or other legal representative. Upon 
the timely filing of an amendment to a pending claim, the

[[Page 913]]

CSB will have an additional 6 months in which to investigate the claim 
and to make a final disposition of the claim as amended. A claimant's 
option under 28 U.S.C. 2675(a) will not accrue until 6 months after the 
filing of an amendment.



Sec. 1620.3  Administrative claim; who may file.

    (a) A claim for damage to or loss of property may be presented by 
the owner of the property, or his or her authorized agent, attorney, or 
other legal representative.
    (b) A claim for personal injury may be presented by the injured 
person, or his or her authorized agent, attorney or other legal 
representative.
    (c) A claim based on death may be presented by the executor or 
administrator of the decedent's estate, or by any other person legally 
entitled to assert a claim under the applicable State law, provided that 
the basis for the representation is documented in writing.
    (d) A claim for loss totally compensated by an insurer with the 
rights to subrogate may be presented by the insurer. A claim for loss 
partially compensated by an insurer with the rights to subrogate may be 
presented by the insurer or the insured individually as their respective 
interests appear, or jointly. When an insurer presents a claim asserting 
the rights to subrogate the insurer must present appropriate evidence 
that it has the rights to subrogate.
    (e) A claim presented by an agent or legal representative must be 
presented in the name of the claimant, be signed by the agent, attorney, 
or other legal representative, show the title or legal capacity of the 
person signing, and be accompanied by evidence of his or her authority 
to present a claim on behalf of the claimant as agent, attorney, 
executor, administrator, parent, guardian, conservator, or other legal 
representative.



Sec. 1620.4  Investigations.

    CSB may investigate, or may request any other Federal agency to 
investigate, a claim filed under this part.



Sec. 1620.5  Administrative claim; evidence and information to be submitted.

    (a) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of the decedent.
    (2) Decedent's employment or occupation at time of death, including 
his or her monthly or yearly salary or earnings (if any), and the 
duration of his or her last employment or occupation.
    (3) Full names, addresses, birth date, kinship and marital status of 
the decedent's survivors, including identification of those survivors 
who were dependent on support provided by the decedent at the time of 
death.
    (4) Degree of support afforded by the decedent to each survivor 
dependent on him or her for support at the time of death.
    (5) Decedent's general physical and mental condition before death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the incident causing death, or itemized receipts of payment 
for such expenses.
    (7) If damages for pain and suffering before death are claimed, a 
physician's detailed statement specifying the injuries suffered, 
duration of pain and suffering, any drugs administered for pain, and the 
decedent's physical condition in the interval between injuries and 
death.
    (8) True and correct copies of relevant medical treatment records, 
laboratory and other tests, including X-Rays, MRI, CT scans and other 
objective evidence of medical evaluation and diagnosis, treatment of 
injury/illness, and prognosis, if any had been made.
    (9) Any other evidence or information that may have a bearing on 
either the responsibility of the United States for the death or the 
amount of damages claimed.
    (b) Personal injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:

[[Page 914]]

    (1) A written report by the attending physician or dentist setting 
forth the nature and extent of the injury, nature and extent of 
treatment, any degree of temporary or permanent disability, the 
prognosis, period of hospitalization, and any diminished earning 
capacity. If damages for pain and suffering are claimed, a physician's 
detailed statement specifying the duration of pain and suffering, a 
listing of drugs administered for pain, and the claimant's general 
physical condition.
    (2) True and correct copies of relevant medical treatment records, 
laboratory and other tests including X-Rays, MRI, CT scans and other 
objective evidence of medical evaluation and diagnosis, treatment 
injury/illness and prognosis.
    (3) The claimant may be required to submit to a physical or mental 
examination by a physician employed by CSB or another Federal agency. On 
written request, CSB will make available to the claimant a copy of the 
report of the examining physician employed by the United States, 
provided the claimant has furnished CSB with the information noted in 
paragraphs (b)(1) and (b)(2) of this section. In addition, the claimant 
must have made or agrees to make available to CSB all other physicians' 
reports previously or thereafter made of the physical or mental 
condition that is subject matter of his or her claim.
    (4) Itemized bills for medical, dental, and hospital expenses 
incurred, and/or itemized receipts of payment for such expenses.
    (5) If the prognosis reveals the necessity for future treatment, a 
statement of the expected treatment and the expected expense for such 
treatment.
    (6) If a claim is made for loss of time from employment, a written 
statement from his or her employer showing actual time lost from 
employment, whether he or she is a full-time or part-time employee, and 
wages or salary actually lost.
    (7) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amount of earnings actually 
lost.
    (8) Any other evidence or information that may have a bearing on 
either the responsibility of the United States for the personal injury 
or the damages claimed.
    (c) Property damage. In support of a claim for damage to or loss of 
property, real or personal, the claimant may be required to submit the 
following evidence or information:
    (1) Proof of ownership of the property.
    (2) A detailed statement of the amount claimed with respect to each 
item of property.
    (3) An itemized receipt of payment for necessary repairs or itemized 
written estimates of the cost of such repairs.
    (4) A statement listing date of purchase, purchase price, and 
salvage value.
    (5) Photographs or video footage documenting the damage, including 
photographs showing the condition of the property at issue both before 
and after the alleged negligence or wrongful act or omission.
    (6) Any other evidence or information that may have a bearing on 
either the responsibility of the United States for the damage to or loss 
of property or the damages claimed.



Sec. 1620.6  Authority to adjust, determine, compromise, and settle.

    The General Counsel of CSB, or his or her designee, is delegated 
authority to consider, ascertain, adjust, determine, compromise and 
settle claims under the provision of 28 U.S.C. 2672, and this part. The 
General Counsel, in his or her discretion, has the authority to further 
delegate the responsibility for adjudicating, considering, adjusting, 
compromising and settling any claim submitted under the provision of 28 
U.S.C. 2672, and this part, that is based on the alleged negligence or 
wrongful act or omission of a CSB employee acting in the scope of his or 
her employment. However, in any case, any offer of compromise or 
settlement in excess of $5,000 exercised by the CSB Chairperson or any 
other lawful designee can only be made after a legal review is conducted 
by an attorney within the CSB Office of General Counsel.



Sec. 1620.7  Limitations on authority.

    (a) An award, compromise, or settlement of a claim under 28 U.S.C. 
2672,

[[Page 915]]

and this part, in excess of $25,000 can be made only with the prior 
written approval of the CSB General Counsel and Chairperson, after 
consultation and approval by the Department of Justice. For purposes of 
this paragraph a principal claim and any derivative or subrogated claim 
will be treated as a single claim.
    (b) An administrative claim may be adjusted, determined, compromised 
or settled under this part only after consultation with the Department 
of Justice when, in the opinion of the General Counsel of CSB, or his or 
her designee:
    (1) A new precedent or a new point of law is involved; or
    (2) A question of policy is or may be involved; or
    (3) The United States is or may be entitled to indemnity or 
contribution from a third party and CSB is unable to adjust the third 
party claim; or
    (4) The compromise of a particular claim, as a practical matter, 
will or may control the disposition of a related claim in which the 
amount to be paid may exceed $25,000.
    (c) An administrative claim may be adjusted, determined, compromised 
or settled under 28 U.S.C. 2672 and this part only after consultation 
with the Department of Justice when CSB is informed or is otherwise 
aware that the United States or an employee, agent or contractor of the 
United States is involved in litigation based on a claim arising out of 
the same incident or transaction.



Sec. 1620.8  Referral to Department of Justice.

    When Department of Justice approval or consultation is required, or 
the advice of the Department of Justice is otherwise to be requested, 
under this regulation, the written referral or request will be 
transmitted to the Department of Justice by the General Counsel of CSB, 
or his or her designee.



Sec. 1620.9  Final denial of claim.

    Final denial of an administrative claim must be in writing and sent 
to the claimant, his or her agent, attorney, or other legal 
representative by certified or registered mail. The notification of 
final denial may include a statement of the reasons for the denial. 
However, it must include a statement that, if the claimant is 
dissatisfied with the CSB action, he or she may file suit in an 
appropriate United States District Court not later than 6 months after 
the date of mailing of the notifications, along with the admonition that 
failure to file within this 6 month timeframe could result in the suit 
being time-barred by the controlling statute of limitations. In the 
event that a claimant does not hear from the CSB after 6 months have 
passed from the date that the claim was presented, a claimant should 
consider the claim denied and, if desired, should proceed with filing a 
civil action in the appropriate U.S. District Court.



Sec. 1620.10  Action on approved claim.

    (a) Payment of a claim approved under this part is contingent on 
claimant's execution of a Standard Form 95 (Claim for Damage, Injury or 
Death); a claims settlement agreement; and a Standard Form 1145 (Voucher 
for Payment), as well as any other forms as may be required. When a 
claimant is represented by an attorney, the Voucher for Payment will 
designate both the claimant and his or her attorney as payees, and the 
check will be delivered to the attorney, whose address is to appear on 
the Voucher for payment.
    (b) Acceptance by the claimant, his or her agent, attorney, or legal 
representative, of an award, compromise or settlement made under 28 
U.S.C. 2672 or 28 U.S.C. 2677 is final and conclusive on the claimant, 
his or her agent, attorney, or legal representative, and any other 
person on whose behalf or for whose benefit the claim has been 
presented, and constitutes a complete release of any and all claims 
against the United States and against any employee of the Federal 
Government whose act(s) or omission(s) gave rise to the claim, by reason 
of the same subject matter. To that end, as noted above, the claimant, 
as well as any agent, attorney or other legal representative that 
represented the claimant during any phase of the process (if applicable) 
must execute a settlement agreement with the CSB prior to payment of any 
funds.

[[Page 916]]

                       PARTS 1621	1699 [RESERVED]

[[Page 917]]



CHAPTER VII--ENVIRONMENTAL PROTECTION AGENCY AND DEPARTMENT OF DEFENSE; 
  UNIFORM NATIONAL DISCHARGE STANDARDS FOR VESSELS OF THE ARMED FORCES




  --------------------------------------------------------------------
Part                                                                Page
1700            Uniform National Discharge Standards for 
                    vessels of the Armed Forces.............         919


PART 1700_UNIFORM NATIONAL DISCHARGE STANDARDS FOR VESSELS OF THE ARMED FORCES--Table of Contents



[[Page 919]]

                             Subpart A_Scope

Sec.
1700.1 Applicability.
1700.2 Effect.
1700.3 Definitions.

                   Subpart B_Discharge Determinations

1700.4 Discharges requiring control.
1700.5 Discharges not requiring control.

                       Subpart C_Effect on States

1700.6 Effect on State and local statutes and regulations.

                           No-Discharge Zones

1700.7 No-discharge zones.
1700.8 Discharges for which no-discharge zones can be established.
1700.9 No-discharge zones by State prohibition.
1700.10 No-discharge zones by EPA prohibition.

                        State Petition for Review

1700.11 State petition for review of determinations or standards.
1700.12 Petition requirements.
1700.13 Petition decisions.

 Subpart D_Marine Pollution Control Device (MPCD) Performance Standards

1700.14 Marine Pollution Control Device (MPCD) Performance Standards. 
          [Reserved]

    Authority: 33 U.S.C. 1322, 1361.

    Source: 64 FR 25134, May 10, 1999, unless otherwise noted.



                             Subpart A_Scope



Sec. 1700.1  Applicability.

    (a) This part applies to the owners and operators of Armed Forces 
vessels, except where the Secretary of Defense finds that compliance 
with this part is not in the interest of the national security of the 
United States. This part does not apply to vessels while they are under 
construction, vessels in drydock, amphibious vehicles, or vessels under 
the jurisdiction of the Department of Transportation other than those of 
the Coast Guard.
    (b) This part also applies to States and political subdivisions of 
States.



Sec. 1700.2  Effect.

    (a) This part identifies those discharges, other than sewage, 
incidental to the normal operation of Armed Forces vessels that require 
control within the navigable waters of the United States and the waters 
of the contiguous zone, and those discharges that do not require 
control. Discharges requiring control are identified in Sec. 1700.4. 
Discharges not requiring control are identified in Sec. 1700.5. Federal 
standards of performance for each required Marine Pollution Control 
Device are listed in Sec. 1700.14. This part is not applicable beyond 
the contiguous zone.
    (b) This part prohibits States and their political subdivisions from 
adopting or enforcing State or local statutes or regulations controlling 
the discharges from Armed Forces vessels listed in Sec. Sec. 1700.4 and 
1700.5 according to the timing provisions in Sec. 1700.6, except to 
establish a no-discharge zone by State prohibition in accordance with 
Sec. 1700.9, or to apply for a no-discharge zone by EPA prohibition in 
accordance with Sec. 1700.10. This part also provides a mechanism for 
States to petition the Administrator and the Secretary to review a 
determination of whether a discharge requires control, or to review a 
Federal standard of performance for a Marine Pollution Control Device, 
in accordance with Sec. Sec. 1700.11 through 1700.13.



Sec. 1700.3  Definitions.

    Administrator means the Administrator of the United States 
Environmental Protection Agency or that person's authorized 
representative.
    Armed Forces vessel means a vessel owned or operated by the United 
States Department of Defense or the United States Coast Guard, other 
than vessels that are time or voyage chartered by the Armed Forces, 
vessels of the U.S. Army Corps of Engineers, or vessels that are 
memorials or museums.
    Discharge incidental to the normal operation of a vessel means a 
discharge, including, but not limited to: graywater, bilgewater, cooling 
water, weather deck runoff, ballast water, oil water

[[Page 920]]

separator effluent, and any other pollutant discharge from the operation 
of a marine propulsion system, shipboard maneuvering system, crew 
habitability system, or installed major equipment, such as an aircraft 
carrier elevator or a catapult, or from a protective, preservative, or 
absorptive application to the hull of a vessel; and a discharge in 
connection with the testing, maintenance, and repair of any of the 
aforementioned systems whenever the vessel is waterborne, including 
pierside. A discharge incidental to normal operation does not include:
    (1) Sewage;
    (2) A discharge of rubbish, trash, or garbage;
    (3) A discharge of air emissions resulting from the operation of a 
vessel propulsion system, motor driven equipment, or incinerator;
    (4) A discharge that requires a National Pollutant Discharge 
Elimination System (NPDES) permit under the Clean Water Act; or
    (5) A discharge containing source, special nuclear, or byproduct 
materials regulated by the Atomic Energy Act.
    Environmental Protection Agency, abbreviated EPA, means the United 
States Environmental Protection Agency.
    Marine Pollution Control Device, abbreviated MPCD, means any 
equipment or management practice installed or used on an Armed Forces 
vessel that is designed to receive, retain, treat, control, or discharge 
a discharge incidental to the normal operation of a vessel, and that is 
determined by the Administrator and Secretary to be the most effective 
equipment or management practice to reduce the environmental impacts of 
the discharge consistent with the considerations in Clean Water Act 
section 312(n)(2)(B).
    No-discharge zone means an area of specified waters established 
pursuant to this regulation into which one or more specified discharges 
incidental to the normal operation of Armed Forces vessels, whether 
treated or untreated, are prohibited.
    Secretary means the Secretary of the United States Department of 
Defense or that person's authorized representative.
    United States includes the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, 
the Canal Zone, and the Trust Territory of the Pacific Islands.
    Vessel includes every description of watercraft or other artificial 
contrivance used, or capable of being used, as a means of transportation 
on navigable waters of the United States or waters of the contiguous 
zone, but does not include amphibious vehicles.



                   Subpart B_Discharge Determinations



Sec. 1700.4  Discharges requiring control.

    For the following discharges incidental to the normal operation of 
Armed Forces vessels, the Administrator and the Secretary have 
determined that it is reasonable and practicable to require use of a 
Marine Pollution Control Device for at least one class of vessel to 
mitigate adverse impacts on the marine environment:
    (a) Aqueous Film-Forming Foam: the firefighting foam and seawater 
mixture discharged during training, testing, or maintenance operations.
    (b) Catapult Water Brake Tank & Post-Launch Retraction Exhaust: the 
oily water skimmed from the water tank used to stop the forward motion 
of an aircraft carrier catapult, and the condensed steam discharged when 
the catapult is retracted.
    (c) Chain Locker Effluent: the accumulated precipitation and 
seawater that is emptied from the compartment used to store the vessel's 
anchor chain.
    (d) Clean Ballast: the seawater taken into, and discharged from, 
dedicated ballast tanks to maintain the stability of the vessel and to 
adjust the buoyancy of submarines.
    (e) Compensated Fuel Ballast: the seawater taken into, and 
discharged from, ballast tanks designed to hold both ballast water and 
fuel to maintain the stability of the vessel.
    (f) Controllable Pitch Propeller Hydraulic Fluid: the hydraulic 
fluid that discharges into the surrounding seawater from propeller seals 
as part of normal operation, and the hydraulic fluid released during 
routine maintenance of the propellers.

[[Page 921]]

    (g) Deck Runoff: the precipitation, washdowns, and seawater falling 
on the weather deck of a vessel and discharged overboard through deck 
openings.
    (h) Dirty Ballast: the seawater taken into, and discharged from, 
empty fuel tanks to maintain the stability of the vessel.
    (i) Distillation and Reverse Osmosis Brine: the concentrated 
seawater (brine) produced as a byproduct of the processes used to 
generate freshwater from seawater.
    (j) Elevator Pit Effluent: the liquid that accumulates in, and is 
discharged from, the sumps of elevator wells on vessels.
    (k) Firemain Systems: the seawater pumped through the firemain 
system for firemain testing, maintenance, and training, and to supply 
water for the operation of certain vessel systems.
    (l) Gas Turbine Water Wash: the water released from washing gas 
turbine components.
    (m) Graywater: galley, bath, and shower water, as well as wastewater 
from lavatory sinks, laundry, interior deck drains, water fountains, and 
shop sinks.
    (n) Hull Coating Leachate: the constituents that leach, dissolve, 
ablate, or erode from the paint on the hull into the surrounding 
seawater.
    (o) Motor Gasoline and Compensating Discharge: the seawater taken 
into, and discharged from, motor gasoline tanks to eliminate free space 
where vapors could accumulate.
    (p) Non-Oily machinery wastewater: the combined wastewater from the 
operation of distilling plants, water chillers, valve packings, water 
piping, low- and high-pressure air compressors, and propulsion engine 
jacket coolers.
    (q) Photographic Laboratory Drains: the laboratory wastewater 
resulting from processing of photographic film.
    (r) Seawater Cooling Overboard Discharge: the discharge of seawater 
from a dedicated system that provides noncontact cooling water for other 
vessel systems.
    (s) Seawater Piping Biofouling Prevention: the discharge of seawater 
containing additives used to prevent the growth and attachment of 
biofouling organisms in dedicated seawater cooling systems on selected 
vessels.
    (t) Small Boat Engine Wet Exhaust: the seawater that is mixed and 
discharged with small boat propulsion engine exhaust to cool the exhaust 
and quiet the engine.
    (u) Sonar Dome Discharge: the leaching of antifoulant materials into 
the surrounding seawater and the release of seawater or freshwater 
retained within the sonar dome.
    (v) Submarine Bilgewater: the wastewater from a variety of sources 
that accumulates in the lowest part of the submarine (i.e., bilge).
    (w) Surface Vessel Bilgewater/Oil-Water Separator Effluent: the 
wastewater from a variety of sources that accumulates in the lowest part 
of the vessel (the bilge), and the effluent produced when the wastewater 
is processed by an oil water separator.
    (x) Underwater Ship Husbandry: the materials discharged during the 
inspection, maintenance, cleaning, and repair of hulls performed while 
the vessel is waterborne.
    (y) Welldeck Discharges: the water that accumulates from seawater 
flooding of the docking well (welldeck) of a vessel used to transport, 
load, and unload amphibious vessels, and from maintenance and freshwater 
washings of the welldeck and equipment and vessels stored in the 
welldeck.



Sec. 1700.5  Discharges not requiring control.

    For the following discharges incidental to the normal operation of 
Armed Forces vessels, the Administrator and the Secretary have 
determined that it is not reasonable or practicable to require use of a 
Marine Pollution Control Device to mitigate adverse impacts on the 
marine environment:
    (a) Boiler Blowdown: the water and steam discharged when a steam 
boiler is blown down, or when a steam safety valve is tested.
    (b) Catapult Wet Accumulator Discharge: the water discharged from a 
catapult wet accumulator, which stores a steam/water mixture for 
launching aircraft from an aircraft carrier.
    (c) Cathodic Protection: the constituents released into surrounding 
water from sacrificial anode or impressed

[[Page 922]]

current cathodic hull corrosion protection systems.
    (d) Freshwater Lay-up: the potable water that is discharged from the 
seawater cooling system while the vessel is in port, and the cooling 
system is in lay-up mode (a standby mode where seawater in the system is 
replaced with potable water for corrosion protection).
    (e) Mine Countermeasures Equipment Lubrication: the constituents 
released into the surrounding seawater by erosion or dissolution from 
lubricated mine countermeasures equipment when the equipment is deployed 
and towed.
    (f) Portable Damage Control Drain Pump Discharge: the seawater 
pumped through the portable damage control drain pump and discharged 
overboard during testing, maintenance, and training activities.
    (g) Portable Damage Control Drain Pump Wet Exhaust: the seawater 
mixed and discharged with portable damage control drain pump exhaust to 
cool the exhaust and quiet the engine.
    (h) Refrigeration and Air Conditioning Condensate: the drainage of 
condensed moisture from air conditioning units, refrigerators, freezers, 
and refrigerated spaces.
    (i) Rudder Bearing Lubrication: the oil or grease released by the 
erosion or dissolution from lubricated bearings that support the rudder 
and allow it to turn freely.
    (j) Steam Condensate: the condensed steam discharged from a vessel 
in port, where the steam originates from port facilities.
    (k) Stern Tube Seals and Underwater Bearing Lubrication: the 
seawater pumped through stern tube seals and underwater bearings to 
lubricate and cool them during normal operation.
    (l) Submarine Acoustic Countermeasures Launcher Discharge: the 
seawater that is mixed with acoustic countermeasure device propulsion 
gas following a countermeasure launch that is then exchanged with 
surrounding seawater, or partially drained when the launch assembly is 
removed from the submarine for maintenance.
    (m) Submarine Emergency Diesel Engine Wet Exhaust: the seawater that 
is mixed and discharged with submarine emergency diesel engine exhaust 
to cool the exhaust and quiet the engine.
    (n) Submarine Outboard Equipment Grease and External Hydraulics: the 
grease released into the surrounding seawater by erosion or dissolution 
from submarine equipment exposed to seawater.



                       Subpart C_Effect on States



Sec. 1700.6  Effect on State and local statutes and regulations.

    (a) After the effective date of a final rule determining that it is 
not reasonable and practicable to require use of a Marine Pollution 
Control Device regarding a particular discharge incidental to the normal 
operation of an Armed Forces vessel, States or political subdivisions of 
States may not adopt or enforce any State or local statute or 
regulation, including issuance or enforcement of permits under the 
National Pollutant Discharge Elimination System, controlling that 
discharge, except that States may establish a no-discharge zone by State 
prohibition (as provided in Sec. 1700.9), or apply for a no-discharge 
zone by EPA prohibition (as provided in Sec. 1700.10).
    (b)(1) After the effective date of a final rule determining that it 
is reasonable and practicable to require use of a Marine Pollution 
Control Device regarding a particular discharge incidental to the normal 
operation of an Armed Forces vessel, States may apply for a no-discharge 
zone by EPA prohibition (as provided in Sec. 1700.10) for that 
discharge.
    (2) After the effective date of a final rule promulgated by the 
Secretary governing the design, construction, installation, and use of a 
Marine Pollution Control Device for a discharge listed in Sec. 1700.4, 
States or political subdivisions of States may not adopt or enforce any 
State or local statute or regulation, including issuance or enforcement 
of permits under the National Pollutant Discharge Elimination System, 
controlling that discharge except that States may establish a no-
discharge zone by State prohibition (as provided in Sec. 1700.9), or 
apply for a no-discharge zone by EPA prohibition (as provided in Sec. 
1700.10).
    (c) The Governor of any State may submit a petition requesting that 
the

[[Page 923]]

Administrator and Secretary review a determination of whether a Marine 
Pollution Control Device is required for any discharge listed in Sec. 
1700.4 or Sec. 1700.5, or review a Federal standard of performance for 
a Marine Pollution Control Device.

                           No-Discharge Zones



Sec. 1700.7  No-discharge zones.

    For this part, a no-discharge zone is a waterbody, or portion 
thereof, where one or more discharges incidental to the normal operation 
of Armed Forces vessels, whether treated or not, are prohibited. A no-
discharge zone is established either by State prohibition using the 
procedures in Sec. 1700.9, or by EPA prohibition, upon application of a 
State, using the procedures in Sec. 1700.10.



Sec. 1700.8  Discharges for which no-discharge zones can be established.

    (a) A no-discharge zone may be established by State prohibition for 
any discharge listed in Sec. 1700.4 or Sec. 1700.5 following the 
procedures in Sec. 1700.9. A no-discharge zone established by a State 
using these procedures may apply only to those discharges that have been 
preempted from other State or local regulation pursuant to Sec. 1700.6.
    (b) A no-discharge zone may be established by EPA prohibition for 
any discharge listed in Sec. 1700.4 or Sec. 1700.5 following the 
procedures in Sec. 1700.10.



Sec. 1700.9  No-discharge zones by State prohibition.

    (a) A State seeking to establish a no-discharge zone by State 
prohibition must send to the Administrator the following information:
    (1) The discharge from Sec. 1700.4 or Sec. 1700.5 to be prohibited 
within the no-discharge zone.
    (2) A detailed description of the waterbody, or portions thereof, to 
be included in the prohibition. The description must include a map, 
preferably a USGS topographic quadrant map, clearly marking the zone 
boundaries by latitude and longitude.
    (3) A determination that the protection and enhancement of the 
waters described in paragraph (a)(2) of this section require greater 
environmental protection than provided by existing Federal standards.
    (4) A complete description of the facilities reasonably available 
for collecting the discharge including:
    (i) A map showing their location(s) and a written location 
description.
    (ii) A demonstration that the facilities have the capacity and 
capability to provide safe and sanitary removal of the volume of 
discharge being prohibited in terms of both vessel berthing and 
discharge reception.
    (iii) The schedule of operating hours of the facilities.
    (iv) The draft requirements of the vessel(s) that will be required 
to use the facilities and the available water depth at the facilities.
    (v) Information showing that handling of the discharge at the 
facilities is in conformance with Federal law.
    (5) Information on whether vessels other than those of the Armed 
Forces are subject to the same type of prohibition. If the State is not 
applying the prohibition to all vessels in the area, the State must 
demonstrate the technical or environmental basis for applying the 
prohibition only to Armed Forces vessels. The following information must 
be included in the technical or environmental basis for treating Armed 
Forces vessels differently:
    (i) An analysis showing the relative contributions of the discharge 
from Armed Forces and non-Armed Forces vessels.
    (ii) A description of State efforts to control the discharge from 
non-Armed Forces vessels.
    (b) The information provided under paragraph (a) of this section 
must be sufficient to enable EPA to make the two determinations listed 
below. Prior to making these determinations, EPA will consult with the 
Secretary on the adequacy of the facilities and the operational impact 
of any prohibition on Armed Forces vessels.
    (1) Adequate facilities for the safe and sanitary removal of the 
discharge are reasonably available for the specified waters.
    (2) The prohibition will not have the effect of discriminating 
against vessels of the Armed Forces by reason of the ownership or 
operation by the Federal

[[Page 924]]

Government, or the military function, of the vessels.
    (c) EPA will notify the State in writing of the result of the 
determinations under paragraph (b) of this section, and will provide a 
written explanation of any negative determinations. A no-discharge zone 
established by State prohibition will not go into effect until EPA 
determines that the conditions of paragraph (b) of this section have 
been met.



Sec. 1700.10  No-discharge zones by EPA prohibition.

    (a) A State requesting EPA to establish a no-discharge zone must 
send to the Administrator an application containing the following 
information:
    (1) The discharge from Sec. 1700.4 or Sec. 1700.5 to be prohibited 
within the no-discharge zone.
    (2) A detailed description of the waterbody, or portions thereof, to 
be included in the prohibition. The description must include a map, 
preferably a USGS topographic quadrant map, clearly marking the zone 
boundaries by latitude and longitude.
    (3) A technical analysis showing why protection and enhancement of 
the waters described in paragraph (a)(2) of this section require a 
prohibition of the discharge. The analysis must provide specific 
information on why the discharge adversely impacts the zone and how 
prohibition will protect the zone. In addition, the analysis should 
characterize any sensitive areas, such as aquatic sanctuaries, fish-
spawning and nursery areas, pristine areas, areas not meeting water 
quality standards, drinking water intakes, and recreational areas.
    (4) A complete description of the facilities reasonably available 
for collecting the discharge including:
    (i) A map showing their location(s) and a written location 
description.
    (ii) A demonstration that the facilities have the capacity and 
capability to provide safe and sanitary removal of the volume of 
discharge being prohibited in terms of both vessel berthing and 
discharge reception.
    (iii) The schedule of operating hours of the facilities.
    (iv) The draft requirements of the vessel(s) that will be required 
to use the facilities and the available water depth at the facilities.
    (v) Information showing that handling of the discharge at the 
facilities is in conformance with Federal law.
    (5) Information on whether vessels other than those of the Armed 
Forces are subject to the same type of prohibition. If the State is not 
applying a prohibition to other vessels in the area, the State must 
demonstrate the technical or environmental basis for applying a 
prohibition only to Armed Forces vessels. The following information must 
be included in the technical or environmental basis for treating Armed 
Forces vessels differently:
    (i) An analysis showing the relative contributions of the discharge 
from Armed Forces and non-Armed Forces vessels.
    (ii) A description of State efforts to control the discharge from 
non-Armed Forces vessels.
    (b) The information provided under paragraph (a) of this section 
must be sufficient to enable EPA to make the three determinations listed 
below. Prior to making these determinations, EPA will consult with the 
Secretary on the adequacy of the facilities and the operational impact 
of the prohibition on Armed Forces vessels.
    (1) The protection and enhancement of the specified waters require a 
prohibition of the discharge.
    (2) Adequate facilities for the safe and sanitary removal of the 
discharge are reasonably available for the specified waters.
    (3) The prohibition will not have the effect of discriminating 
against vessels of the Armed Forces by reason of the ownership or 
operation by the Federal Government, or the military function, or the 
vessels.
    (c) If the three conditions in paragraph (b) of this section are 
met, EPA will by regulation establish the no-discharge zone. If the 
conditions in paragraphs (b) (1) and (3) of this section are met, but 
the condition in paragraph (b)(2) of this section is not met, EPA may 
establish the no-discharge zone if it determines that the significance 
of the waters and the potential impact of the discharge are of 
sufficient magnitude to warrant any resulting constraints on Armed 
Forces vessels.

[[Page 925]]

    (d) EPA will notify the State of its decision on the no-discharge 
zone application in writing. If EPA approves the no-discharge zone 
application, EPA will by regulation establish the no-discharge zone by 
modification to this part. A no-discharge zone established by EPA 
prohibition will not go into effect until the effective date of the 
regulation.

                        State Petition for Review



Sec. 1700.11  State petition for review of determinations or standards.

    The Governor of any State may submit a petition requesting that the 
Administrator and Secretary review a determination of whether a Marine 
Pollution Control Device is required for any discharge listed in Sec. 
1700.4 or Sec. 1700.5, or review a Federal standard of performance for 
a Marine Pollution Control Device. A State may submit a petition only 
where there is new, significant information not considered previously by 
the Administrator and Secretary.



Sec. 1700.12  Petition requirements.

    A petition for review of a determination or standard must include:
    (a) The discharge from Sec. 1700.4 or Sec. 1700.5 for which a 
change in determination is requested, or the performance standard from 
Sec. 1700.14 for which review is requested.
    (b) The scientific and technical information on which the petition 
is based.
    (c) A detailed explanation of why the State believes that 
consideration of the new information should result in a change to the 
determination or the standard on a nationwide basis, and an explanation 
of how the new information is relevant to one or more of the following 
factors:
    (1) The nature of the discharge.
    (2) The environmental effects of the discharge.
    (3) The practicability of using a Marine Pollution Control Device.
    (4) The effect that installation or use of the Marine Pollution 
Control Device would have on the operation or operational capability of 
the vessel.
    (5) Applicable United States law.
    (6) Applicable international standards.
    (7) The economic costs of the installation and use of the Marine 
Pollution Control Device.



Sec. 1700.13  Petition decisions.

    The Administrator and the Secretary will evaluate the petition and 
grant or deny the petition no later than two years after the date of 
receipt of the petition. If the Administrator and Secretary grant the 
petition, they will undertake rulemaking to amend this part. If the 
Administrator and Secretary deny the petition, they will provide the 
State with a written explanation of why they denied it.



 Subpart D_Marine Pollution Control Device (MPCD) Performance Standards



Sec. 1700.14  Marine Pollution Control Device (MPCD) Performance Standards. [Reserved]

[[Page 927]]



                              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.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 929]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2011)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--500)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 100--
                199)
        II  Office of Management and Budget Circulars and Guidance 
                (200--299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300-- 
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1880--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)

[[Page 930]]

       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--99)
        II  Recovery Accountability and Transparency Board (Parts 
                200--299)

                   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 (Parts 2100--2199)
       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 (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600-- 3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      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 (Parts 4300--
                4399)

[[Page 931]]

     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
     LXXII  Special Inspector General for Iraq Reconstruction 
                (Parts 8200--8299)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 8700--8799)
    LXXXII  Special Inspector General for Iraq Reconstruction 
                (Parts 9200--9299)

[[Page 932]]

     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
      XCIX  Department of Defense Human Resources Management and 
                Labor Relations Systems (Department of Defense--
                Office of Personnel Management) (Parts 9900--9999)

                      Title 6--Domestic 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
         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)

[[Page 933]]

     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 Policy and New Uses, 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)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and 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)
         L  Rural Business-Cooperative Service, Rurual Housing 
                Service, and Rural Utilities Service, Department 
                of Agriculture (Parts 5000--5099)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 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)

[[Page 934]]

       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)
      XIII  Nuclear Waste Technical Review Board (Parts 1303--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      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)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
       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)

[[Page 935]]

        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)
        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)

[[Page 936]]

                    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  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599)

                     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  Office of Workers' Compensation Programs, 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 Service, Department of 
                Labor (Parts 1000--1099)

[[Page 937]]

                       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)
      XIII  Millenium Challenge Corporation (Parts 1300--1399)
       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)
        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)

[[Page 938]]

        II  Office of Assistant Secretary for Housing-Federal 
                HousingCommissioner, 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)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099)
       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)

[[Page 939]]

        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 (Parts 1200--1299)

                      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--399)
        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)
        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)

[[Page 940]]

      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  Bureau of Ocean Energy Management, Regulation, and 
                Enforcement, Department of the Interior (Parts 
                200--299)
        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)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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)
        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)
         X  Financial Crimes Enforcement Network, Departmnent of 
                the Treasury (Parts 1000--1099)

                      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)

[[Page 941]]

       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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     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 Homeland Security (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)
        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)
       VII  Office of Educational Research and Improvmeent, 
                Department of Education [Reserved]
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

[[Page 942]]

                          Title 35 [Reserved]

             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)
        VI  [Reserved]
       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 (Parts 1500--
                1599)
       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)
       III  Copyright Royalty Board, Library of Congress (Parts 
                301--399)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)
        II  Armed Forces Retirement Home

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)

[[Page 943]]

        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)
   62--100  [Reserved]
            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)
  103--104  [Reserved]
       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)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [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)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       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)

[[Page 944]]

         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--10099)

             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)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899) 
                [Reserved]
         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)

[[Page 945]]

       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 Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (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)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  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)
         7  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)

[[Page 946]]

        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)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        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 [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (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)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Pipeline and Hazardous Materials Safety 
                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 Homeland Security (Parts 
                400--499)

[[Page 947]]

         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  Research and Innovative Technology Administration, 
                Department of Transportation [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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 949]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2011)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
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              22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 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
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 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
  National Institute of Food and Agriculture.     7, XXXIV
  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, L
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV, L
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII, L
  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 950]]

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
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
Bureau of Ocean Energy Management, Regulation,    30, II
     and Enforcement
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                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV; 50, VI
  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
  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
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       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
Copyright Office                                  37, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 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 and Border Protection Bureau              19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 951]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Human Resources Management and Labor Relations  5, XCIX
       Systems
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 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
Election Assistance Commission                    2, LVIII; 11, II
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                   2, XV; 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

[[Page 952]]

  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
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 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 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 Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
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
Financial Crimes Enforcement Network              31, X
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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 Services Administration                   5, LVII; 41, 105

[[Page 953]]

  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  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 Accountability Office                  4, I
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          2, III; 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
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 6, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection Bureau            19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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 Customs Enforcement Bureau        19, IV
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

[[Page 954]]

Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
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
  American Indians, Office of the Special         25, VII
       Trustee
  MBureau of Ocean Energy Management,             30, II
       Regulation, and Enforcement
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 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
Investment Security, Office of                    31, VIII
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                                2, XXVII; 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
  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

[[Page 955]]

  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
  Office of Workers' Compensation Programs        20, VII
  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
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
  Copyright Royalty Board                         37, III
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, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Millenium Challenge Corporation                   22, XIII
Mine Safety and Health Administration             30, I
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
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 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      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
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 Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Food and Agriculture.       7, XXXIV
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
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                       2, XXV; 5, XLIII; 45, VI

[[Page 956]]

  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, IV
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
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                     2, XX; 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
Office of Workers' Compensation Programs          20, VII
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
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
  Human Resources Management and Labor Relations  5, XCIX
       Systems, Department of Defense
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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
Recovery Accountability and Transparency Board    4, II
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII, L
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV, L
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII, L
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV

[[Page 957]]

Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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
Special Inspector General for Iraq                5, LXXXVII
     Reconstruction
State Department                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
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                     2, XII; 5, L
  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; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  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 and Border Protection Bureau            19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, 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
[[Page 958]]

Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       2, VIII; 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 959]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations that 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 VI
1602 Added.........................................................17080
1610 Added..........................................................1050
1610.2 Added.......................................................17363
1610.3 Added.......................................................17363
1611 Added.........................................................17366
1611.2 Amended.....................................................23854
1611.6 Existing text designated as (a); (b) added..................23854
1612 Added.........................................................17366

                                  2002

40 CFR
                                                                   67 FR
                                                                    Page
Chapter I
1048--1068 (Subchapter U) Added....................................68347
1065.210 Corrected.................................................72724
Chapter V
1518 Added.........................................................62189
Chapter VI
1603 Added.........................................................35445

                                  2003

40 CFR
                                                                   68 FR
                                                                    Page
Chapter VI
1600 Added.........................................................65403
1610 Authority citation revised.....................................4393
1610.4 Added........................................................4393

                                  2004

40 CFR
                                                                   69 FR
                                                                    Page
Chapter I
1039 Added; eff. 8-30-04...........................................39213
1048.125 (a) introductory text and (d) revised; eff. 8-30-04.......39259
1048.801 Amended; eff. 8-30-04.....................................39259
1051.1 (g) and (h) added............................................2442
1051.125 (a) introductory text and (d) revised; eff. 8-30-04.......39259
1051.245 (c)(1)(i) and (e)(2) revised...............................2442
1051.501 (d)(2) and (3) revised.....................................2442
1051.515 (a) introductory text, (b) introductory text, (8), (c) 
        and (d) revised; (e) and Figure 1051.515-1 added............2442
1051.640 Added......................................................2445
1051.801 Amended; eff. 8-30-04.....................................39259
1065.1 (a) revised; (b)(6) removed; eff. 8-30-04...................39260
1065.10 (c)(3) revised; eff. 8-30-04...............................39260
1065.115 Added; eff. 8-30-04.......................................39260
1065.205 Added; eff. 8-30-04.......................................39260
1065.310 Added; eff. 8-30-04.......................................39261
1065.405 (b) revised; eff. 8-30-04.................................39261
1065.530 (b)(3)(iii) revised; (d) and (e) added; eff. 8-30-04......39261
1065.615 (c), (d) and (e) revised; eff. 8-30-04....................39262
1065.620 Added; eff. 8-30-04.......................................39262
1065.701 Added; eff. 8-30-04.......................................39262
1065.910 Revised; eff. 8-30-04.....................................39262
1065.1001 Amended; eff. 8-30-04....................................39263
1065.1010 Table 1 amended; eff. 8-30-04............................39263

[[Page 960]]

1068.1 (a), (b)(5) and (d) revised; (e) added; eff. 8-30-04........39263
1068.5 (a) and (e) revised; eff. 8-30-04...........................39263
1068.10 Heading revised; eff. 8-30-04..............................39264
1068.25 (b) revised; eff. 8-30-04..................................39264
1068.27 Added; eff. 8-30-04........................................39264
1068.30 Amended; eff. 8-30-04......................................39264
1068.101 (a) and (b) revised; eff. 8-30-04.........................39265
1068.105 Introductory text added; (c) revised; eff. 8-30-04........39265
1068.110 (b) through (e) revised; eff. 8-30-04.....................39266
1068.120 (b)(2), (c), (d), (f) and (h) revised; eff. 8-30-04.......39266
1068.125 (a)(1)(iv), (b)(3) and (e)(2) revised; eff. 8-30-04.......39266
1068.201 Introductory text and (i) revised; eff. 8-30-04...........39266
1068.210 (d)(5)(iv) and (e)(3)(iv) revised; eff. 8-30-04...........39267
1068.215 (b), (c)(3)(iii) and (iv) revised; eff. 8-30-04...........39267
1068.220 (b) and (e)(3) revised; eff. 8-30-04......................39267
1068.225 (d) added; eff. 8-30-04...................................39267
1068.230 (c) revised; eff. 8-30-04.................................39267
1068.235 (c) revised; eff. 8-30-04.................................39267
1068.240 Revised; eff. 8-30-04.....................................39267
1068.245 (a) introductory text and (e) revised; eff. 8-30-04.......39268
1068.250 (d)(2), (4) and (j) revised; eff. 8-30-04.................39268
1068.255 (c) introductory text revised; eff. 8-30-04...............39268
1068.260 Added; eff. 8-30-04.......................................39268
1068.305 (a) and (e) revised; eff. 8-30-04.........................39269
1068.310 Revised; eff. 8-30-04.....................................39269
1068.315 Introductory text and (a) revised; (f)(1)(iii) added; 
        eff. 8-30-04...............................................39269
1068.320 Heading, (a) introductory text and (b) revised; eff. 8-
        30-04......................................................39269
1068.325 Introductory text, (a) and (b) revised; (f) added; eff. 
        8-30-04....................................................39269
1068.335 (a) revised; eff. 8-30-04.................................39270
1068.401 Revised; eff. 8-30-04.....................................39270
1068.410 (e)(1), (g) and (i) revised; eff. 8-30-04.................39270
1068.415 (d) and (e) revised; eff. 8-30-04.........................39270
1068.445 (a)(1) revised; eff. 8-30-04..............................39270
1068.450 (e) revised; eff. 8-30-04.................................39270
1068.501 Revised; eff. 8-30-04.....................................39270
1068.505 (a) and (e) revised; (f) added; eff. 8-30-04..............39272
1068.510 (a)(7) revised; eff. 8-30-04..............................39273
1068.530 Introductory text revised; eff. 8-30-04...................39273
1068 Appendix I amended; eff. 8-30-04..............................39273
Chapter VI
1620 Added.........................................................55513

                                  2005

40 CFR
                                                                   70 FR
                                                                    Page
Chapter I
1039 Authority citation revised....................................40462
1039.1 (c) revised.................................................40462
1039.5 (b)(1)(iii) and (2) revised.................................40462
1039.10 Introductory text revised..................................40462
1039.101 (g)(2) revised............................................40462
1039.104 (a)(4)(iii) revised.......................................40462
1039.120 (b) revised...............................................40463
1039.125 (g) introductory text revised.............................40463
1039.130 (b)(3) revised............................................40463
1039.225 Heading revised; (a)(3) and (f) added.....................40463
1039.240 (a) and (b) revised.......................................40463
1039.260 Removed...................................................40463
1039.501 (a) revised...............................................40463
1039.510 (c) and (d) removed.......................................40463
1039.605 Heading revised; (g) added................................40463
1039.610 Heading revised; (g) added................................40463
1039.625 (a)(1) Table 1 amended; (j) revised.......................40464
1039.655 (a)(3) revised............................................40464
1039.740 (b)(4) added..............................................40464
1039.801 Amended...................................................40464
1039 Appendix VI amended...........................................40465
1048 Authority citation revised....................................40465
1048.1--1048.20 (Subpart A) Heading revised........................40465
1048.1 Revised.....................................................40465
1048.5 Revised.....................................................40465
1048.10 Revised....................................................40465
1048.15 Revised....................................................40465

[[Page 961]]

1048.20 Revised....................................................40466
1048.101 Introductory text, (a), (b), (c), (e), (g) and (h) 
        revised....................................................40466
1048.105 Heading revised; introductory text added..................40467
1048.115 Introductory text, (a), (b), (e) and (g) revised; (d) 
        removed....................................................40467
1048.120 Revised...................................................40467
1048.125 Revised...................................................40468
1048.130 (a), (b)(3), (7) and (8) revised; (d) added...............40469
1048.135 Revised...................................................40469
1048.140 (c) revised...............................................40470
1048.145 Heading and (a) revised; (c) removed......................40470
1048.201 Revised...................................................40470
1048.205 Revised...................................................40470
1048.210 Revised...................................................40472
1048.215 Removed...................................................40472
1048.220 Revised...................................................40472
1048.225 Revised...................................................40472
1048.230 Revised...................................................40473
1048.235 Revised...................................................40473
1048.240 Revised...................................................40474
1048.245 (e)(1)(i) revised.........................................40474
1048.250 (a) and (c) revised.......................................40474
1048.255 Revised...................................................40474
1048.301 (a) and (f) revised.......................................40475
1048.305 (d)(1), (f) and (g) revised...............................40475
1048.310 (c) introductory text, (2), (g), (h) and (i) revised......40475
1048.315 Introductory text revised.................................40475
1048.325 (d) revised...............................................40475
1048.345 (d) revised...............................................40476
1048.350 (a) revised...............................................40476
1048.420 (b) revised...............................................40476
1048.425 (a) revised...............................................40476
1048.501 Revised...................................................40476
1048.505 Revised...................................................40476
1048.510 Heading, (a) and (c)(1) revised...........................40478
1048.515 Heading, (a)(1) and (2) revised...........................40478
1048.601 Revised...................................................40479
1048.605 Revised...................................................40479
1048.610 Revised...................................................40480
1048.615 (a)(2), (3), (c) and (d) revised..........................40480
1048.620 Revised...................................................40481
1048.625 Revised...................................................40481
1048.630 Added.....................................................40481
1048.635 Added.....................................................40481
1048.801 Revised...................................................40482
1048.805 Table amended.............................................40485
1048.810 Revised...................................................40485
1048.815 Revised...................................................40486
1048.820 Revised...................................................40486
1048 Appendix I amended............................................40486
1051 Authority citation revised....................................40486
1051.1--1051.25 (Subpart A) Heading revised........................40486
1051.1 Revised.....................................................40486
1051.5 Revised.....................................................40486
1051.10 Revised....................................................40486
1051.15 Revised....................................................40487
1051.101 (a)(1), (2), (c) and (f) revised..........................40487
1051.103 (a)(1) amended; (b) introductory text and (c) 
        introductory text revised..................................40487
1051.105 (a)(1) amended; (a)(3), (b) introductory text and (c) 
        introductory text revised..................................40487
1051.107 (a), (b) introductory text and (c) introductory text 
        revised....................................................40488
1051.110 Introductory text and (a) revised.........................40488
1051.115 (b) removed; (a), (c), (f) and (g) revised; (d)(3)(vi) 
        added......................................................40488
1051.120 Revised...................................................40489
1051.125 Revised...................................................40489
1051.130 Revised...................................................40490
1051.135 Revised...................................................40490
1051.137 Added.....................................................40491
1051.145 (a)(3)(iv), (4), (b)(3), (e) and (g) revised; (a)(3)(v), 
        (vi) and (h) added; (b)(1) amended; (c) removed............40491
1051.201 Revised...................................................40492
1051.205 Revised...................................................40493
1051.210 Revised...................................................40494
1051.215 Removed...................................................40494
1051.220 Revised...................................................40494
1051.225 Revised...................................................40494
1051.230 Revised...................................................40495
1051.235 Revised...................................................40495
1051.240 Revised...................................................40496
1051.243 Added.....................................................40496
1051.245 (a) introductory text, (b), (c) and (d) revised...........40497
1051.250 Revised...................................................40497
1051.255 Revised...................................................40497
1051.301--1051.350 (Subpart D) Heading revised.....................40498
1051.301 (a) revised; (h) added....................................40498

[[Page 962]]

1051.305 (d)(1), (e), (f) and (g) revised..........................40498
1051.310 (c) introductory text, (2), (f), (g) and (i) revised......40498
1051.315 Introductory text revised.................................40499
1051.325 (d) revised...............................................40499
1051.345 (a) introductory text, (5), (10) and (d) revised..........40499
1051.350 (a) revised...............................................40499
1051.501 Introductory text, (a), (b), (c)(2) and (d) revised; 
        (e)(3) added...............................................40499
1051.505 (a), (b)(3), (d), (e), (f) introductory text, (5) and (6) 
        revised....................................................40500
1051.515 (a)(5), (b) and (d)(2) revised............................40501
1051.520 Revised...................................................40501
1051.605 Revised...................................................40501
1051.610 Revised...................................................40502
1051.615 (a) introductory text, (b) introductory text and (d) 
        revised....................................................40503
1051.620 (b)(1)(vi) revised........................................40504
1051.645 Added.....................................................40504
1051.701 (a), (c) and (d) revised; (e), (f) and (g) added..........40504
1051.705 (a), (b) and (c) revised; (e) added.......................40505
1051.710 Revised...................................................40505
1051.715 Revised...................................................40505
1051.720 (a)(2) and (3) revised; (a)(4) added......................40505
1051.725 Revised...................................................40506
1051.730 Revised...................................................40506
1051.735 Revised...................................................40506
1051.740 Added.....................................................40507
1051.745 Added.....................................................40507
1051.801 Revised...................................................40507
1051.805 Amended...................................................40510
1051.810 Revised...................................................40510
1051.815 Revised...................................................40511
1051.820 Revised...................................................40511
1065 Revised.......................................................40516
1068 Authority citation revised....................................40511
1068.10 Revised....................................................40511
1068.30 Amended....................................................40511
1068.101 Introductory text, (a) and (b) revised....................40512
1068.105 (a) revised; (c)(1)(iii) redesignated as (c)(1)(iv).......40513
1068.110 (e) revised...............................................40513
1068.115 (a) revised...............................................40513
1068.125 (b) introductory text revised.............................40513
1068.201 (c) and (i) revised.......................................40513
1068.240 (d) revised...............................................40513
1068.245 (a)(4) and (f)(4) revised.................................40513
1068.250 (k)(4) revised............................................40514
1068.255 (a) introductory text and (b)(4) revised..................40514
1068.260 (a)(5), (6) and (f) revised; (g) and (h) added............40514
1068.265 Added.....................................................40515
1068.305 (a) revised...............................................40515
1068.315 (e), (f) and (g) revised; (i) and (j) added...............40515
1068.325 Introductory text revised.................................40515
1068.330 Heading and (c) revised; (a)(4) added.....................40516
1068.335 (b) revised...............................................40516
1068.410 (j) revised...............................................40516
1068.505 (g) added.................................................40516
1068.510 (a)(10) revised...........................................40516
1068.540 Removed...................................................40516
Chapter V
1506.9 Revised.....................................................41148

                                  2006

40 CFR
                                                                   71 FR
                                                                    Page
Chapter I
1039.1 (c) revised.................................................39184
1039.20 (a) and (b) revised; (c) added.............................39185
1039.205 (v) revised...............................................39185
1039.705 (c) revised...............................................39185
1051.720 (a)(2) corrected..........................................35004
1065.1 (a)(5) added................................................39185
1068.1 (a)(4) added................................................39185
1068.310 (b) revised...............................................39185

                                  2007

40 CFR
                                                                   72 FR
                                                                    Page
Chapter I
1039.2 Added.......................................................53129
1039.10 Introductory text revised..................................53129
1039.102 (g)(2) revised............................................53129
1039.104 (g)(4) Table 1 revised....................................53130
1039.115 Heading, introductory text and (a) introductory text 
        revised....................................................53130
1039.125 (f) introductory text revised.............................53130

[[Page 963]]

1039.135 (g) revised...............................................53130
1039.205 (o) and (x) revised; (aa) added...........................53131
1039.210 Revised...................................................53131
1039.225 (a), (b)(3), (d) and (e) revised..........................53131
1039.230 (a) revised...............................................53131
1039.235 (d)(1) revised............................................53131
1039.245 Introductory text revised.................................53131
1039.255 (d) revised...............................................53132
1039.501 (a) and (b) revised.......................................53132
1039.505 (a)(1) introductory text and (ii) revised.................53132
1039.605 (a) through (d) introductory text, (8)(ii) and (iii) 
        revised....................................................53132
1039.610 (a), (b), (c), (d)(7)(ii) and (iii) revised...............53132
1039.625 (e)(3) revised............................................53133
1039.705 (a) removed; (b) revised..................................53133
1039.730 (c)(1) revised............................................53133
1039.735 (b) revised...............................................53133
1039.801 Amended...................................................53133
1039.810 (a) revised; (b) removed..................................53133
1039.825 Added.....................................................53134
1051.145 (b) introductory text and (e)(2) revised..................20735

                                  2008

40 CFR
                                                                   73 FR
                                                                    Page
Chapter I
1027 Added.........................................................59184
1033 Added; eff. 7-7-08.....................................25199, 37197
1033.101 (b) revised...............................................59188
1033.115 (g) revised...............................................59189
1033.120 (b) revised...............................................59189
1033.135 (b)(2)(i) revised.........................................59189
1033.150 (b) revised; (m) added....................................59189
1033.205 (b) removed...............................................59190
1033.230 (f) revised...............................................59190
1033.335 (g) introductory text revised.............................59190
1033.510 Introductory text revised.................................59190
1033.515 (c)(5) revised; (f) and (g) redesignated as (d) and (e) 
                                                                   59190
1033.530 (e) revised...............................................59190
1033.601 (c)(1) and (3) revised....................................59190
1033.630 (b) introductory text revised.............................59190
1033.640 (b) revised...............................................59190
1033.645 (a) revised...............................................59190
1033.810 (c) introductory text revised.............................59191
1033.901 Amended...................................................59191
1039.5 (d) revised; (e) added......................................59191
1039.102 (g)(4) revised............................................59191
1039.125 (a)(2)(i) and (3)(i) revised..............................59191
1039.135 (c)(4) revised............................................59191
1039.505 (a)(1) introductory text, (c) and (d) revised; (g) added; 
        eff. 7-7-08.........................................25242, 37241
1039.625 (d)(1), (e) introductory text, (1), (3), (f)(4), (g)(1) 
        introductory text, (ii), (iv), (2), (j) and (m)(2) 
        introductory text revised..................................59191
1039.626 (a)(2), (9)(ii)(B), (iv), (b)(1) introductory text and 
        (2) revised................................................59192
1039.645 (b)(1) revised; eff. 7-7-08........................25242, 37241
1039.801 Amended...................................................59192
1039 Appendix II revised; eff. 7-7-08.......................25243, 37241
    Appendices III and IV removed; eff. 7-7-08..............25245, 37243
1042 Added; eff. 7-7-08.....................................25245, 37243
1042.5 (b) revised.................................................59192
1042.101 (a)(3) Table 1 revised....................................59192
1042.107 Revised...................................................59193
1042.115 (f)(1) revised............................................59193
1042.145 (f) Table 2 revised.......................................59194
1042.601 (g) removed...............................................59194
1042.615 (a) introductory text revised.............................59194
1042.801 (f) revised...............................................59194
1042.836 (a) introductory text revised.............................59194
1045 Added.........................................................59194
1045.205 (q) corrected.............................................73789
1045.315 (b) and (f) corrected.....................................73789
1048.1 (c) revised..................................................3613
    (d) revised....................................................59231
1048.2 Added.......................................................59231
1048.5 (b) revised; (c) added......................................59232
1048.10 Introductory text revised..................................59232
1048.15 Heading revised; (a), (b) and (c) redesignated as (b), (c) 
        and (d); new (a) added.....................................59232
1048.20 (a) introductory text and (b)(4) revised; (d) added.........3613
1048.101 (a)(2)(iv) added; (a)(4) removed; (e)(1), (2), (3), (f) 
        and (h) revised............................................59232
    (a)(4) added....................................................3613

[[Page 964]]

1048.105 Revised...................................................59232
1048.110 Introductory text added; (b) introductory text, (c), (d) 
        and (g) introductory text revised..........................59232
1048.115 Heading, introductory text and (e) revised................59233
1048.120 (c) revised...............................................59233
1048.125 (a)(1)(iii) and (d) revised...............................59233
1048.135 (c) and (f) revised.......................................59233
1048.140 Revised...................................................59234
1048.145 (j) and (k) added.........................................59234
1048.201 (a) revised...............................................59234
1048.205 (p)(1), (q), (r) introductory text, (s), (y) and (aa) 
        revised....................................................59234
    (b) and (w) revised.............................................3613
1048.220 Introductory text and (a) revised.........................59235
1048.225 Revised...................................................59235
1048.230 (a), (b)(3) and (d) revised; (b)(7) removed...............59235
1048.235 (a), (c)(4), (d) introductory text, (1) and (e) revised 
                                                                   59235
1048.240 (a), (b) and (c) revised..................................59236
1048.245 (c) and (e) revised.......................................59236
1048.250 (d) removed; (a), (b) and (c) redesignated as (b), (c) 
        and new (d); new (a) added; new (c) revised................59236
1048.255 Heading and (d) revised...................................59236
1048.301 Revised...................................................59236
1048.305 Introductory text added; (a), (d) and (g) revised.........59237
1048.310 (a), (c) introductory text, (2), (f), (g) and (h) revised
                                                                   59237
1048.315 (a) and (b) revised.......................................59238
1048.320 (b) revised...............................................59238
1048.325 Heading and (c) revised...................................59238
1048.345 Introductory text removed; (a)(4), (5), (6), (8), (b) and 
        (c) revised................................................59238
1048.350 (b), (e) and (f) revised..................................59239
1048.405 (d) added.................................................59239
1048.410 (e) revised...............................................59239
1048.415 (c) and (d) revised.......................................59239
1048.501 (c) and (e) revised; (h) removed..........................59239
1048.505 Revised...................................................59239
1048.510 Heading, (a), (c) introductory text and (1) revised; (b) 
        removed....................................................59241
1048.515 (b)(1)(i) revised.........................................59241
1048.601 Revised...................................................59241
1048.605 Heading and (d)(7)(ii) revised............................59241
1048.610 Heading, (d)(7)(ii) and (g) revised.......................59241
1048.612 Added.....................................................59242
1048.615 Revised...................................................59242
1048.620 Heading revised...........................................59242
1048.630 Revised...................................................59242
1048.635 (b) revised...............................................59242
1048.640 Added.....................................................59242
1048.801 Amended...................................................59242
1048.810 Revised...................................................59244
1048.825 Added.....................................................59245
1048 Appendix I removed............................................59245
1051.1 (a)(4) revised..............................................59245
1051.2 Added.......................................................59245
1051.5 (a) revised.................................................59245
1051.10 Introductory text revised..................................59245
1051.15 (b) and (c) redesignated as (c) and (d); new (b) added.....59245
1051.25 (a) and (c) revised........................................59245
1051.103 (b)(1), (2) and (3) revised...............................59246
    (a)(1) and (2) revised; eff. 8-25-08...........................35951
1051.105 (b)(1), (2) and (3) revised...............................59246
1051.107 (b)(1), (2) and (3) revised...............................59246
1051.110 Introductory text revised; (c) added......................59246
1051.115 Heading and introductory text revised.....................59246
1051.120 (c) revised...............................................59246
1051.125 (a)(1)(iii) and (d) revised...............................59246
1051.135 (c)(6), (7) and (8) revised; (c)(13) added; (f) removed 
                                                                   59246
1051.137 Introductory text revised.................................59246
1051.140 Added.....................................................59247
1051.145 (b) and (e)(1) revised; (i) added.........................59247
1051.201 (a) revised...............................................59248
1051.205 (b), (o)(1), (p), (t) and (w) revised.....................59248
1051.220 Introductory text and (a) revised.........................59248
1051.225 Revised...................................................59249
1051.230 (a), (b)(8) and (e)(1) revised............................59249
1051.235 (c)(4), (d)(1) introductory text and (i) revised..........59249

[[Page 965]]

1051.240 (a), (b) and (c)(1) revised...............................59250
1051.243 introductory text, (b)(6) and (c)(1) revised..............59250
1051.245 (e) revised...............................................59250
1051.250 (d) removed; (a), (b) and (c) redesignated as new (b), 
        (c) and (d); new (a) added; new (c) revised................59250
1051.301 (a), (c), (d), (e) and (h) introductory text revised......59250
1051.305 Introductory text added; (d) and (g) revised..............59251
1051.310 (a), (b), (c) introductory text, (2), (f), (g) and (h) 
        revised....................................................59251
1051.315 (a), (b) and (g) revised..................................59252
    (a) introductory text reinstated; CFR correction...............62444
1051.320 (a)(2) revised............................................59252
1051.325 Heading, (c) and (e) revised..............................59252
1051.345 Introductory text removed; (a)(4), (6), (8), (b) and (c) 
        revised....................................................59253
1051.350 (b), (e) and (f) revised..................................59253
1051.501 (c)(2) and (d) revised; (e) and (f) redesignated as (g) 
        and (h); new (e) added.....................................59253
1051.505 (a) and (b) revised.......................................59253
1051.605 Heading and (d)(7)(ii) revised............................59254
1051.610 Heading, (d)(7)(ii) and (g) revised.......................59254
1051.615 (d) introductory text, (3) and (4) revised................59254
1051.635 (a) revised...............................................59255
1051.645 (b) revised...............................................59255
1051.650 Added.....................................................59255
1051.701 (a) revised...............................................59256
1051.710 (d) and (e) revised; (f) removed..........................59256
1051.715 (b) revised; (c) removed..................................59256
1051.720 (a)(2) revised............................................59256
1051.725 (b)(2) revised............................................59256
1051.730 (b)(3), (4), (5), (c)(2) and (f) revised..................59256
1051.735 (b), (d) and (e) revised..................................59257
1051.740 (b)(4)(ii) revised........................................59257
    ;(b)(4) revised; eff. 8-2508...................................35952
1051.801 Amended...................................................59257
1051.810 Removed...................................................59258
1051.825 Added.....................................................59258
1054 Added.........................................................59259
1054.112 (b)(2) corrected..........................................73789
1060 Added.........................................................59298
1065.1 (a)(6) added.................................................3613
    Revised; eff. 7-7-08....................................25290, 37288
    (a)(5) and (8) revised.........................................59321
1065.2 Revised; eff. 7-7-08.................................25291, 37289
1065.5 Revised; eff. 7-7-08.................................25291, 37289
1065.10 (c)(1), (2), (6) and (7) introductory text revised; eff. 
        7-7-08..............................................25291, 37289
1065.12 (a) and (d)(1) revised; eff. 7-7-08.................25292, 37290
1065.15 (c)(1) and (e) revised; (f) added; eff. 7-7-08......25292, 37290
1065.20 (a)(2), (b)(2), (f) and (g) revised; eff. 7-7-08....25294, 37292
1065.101 (a) revised; (e) added; eff. 7-7-08................25294, 37292
1065.110 (a) introductory text and (e) revised; (a)(1)(iv) and (f) 
        added; eff. 7-7-08..................................25294, 37292
1065.120 (a) revised; eff. 7-7-08...........................25295, 37293
1065.122 (a) introductory text, (1) and (c) revised; eff. 7-7-08 
                                                            25295, 37293
1065.125 (c) and (d) revised; (e) added; eff. 7-7-08........25295, 37293
1065.125 (b) and (c) revised.......................................59321
1065.130 Revised; eff. 7-7-08...............................25295, 37293
1065.140 Revised; eff. 7-7-08...............................25296, 37294
1065.145 Revised; eff. 7-7-08...............................25298, 37296
1065.170 Introductory text, (a) and (c)(1) revised; eff. 7-7-08...25300, 
                                                                   37298
1065.170 (a)(2), (c)(1) and Figure 1 revised.......................59321
1065.190 (c) through (g) revised; eff. 7-7-08...............25301, 37299
1065.190 (d)(2) revised............................................59323
1065.195 (a) and (c)(4) revised; eff. 7-7-08................25301, 37299
1065.201 (a) and (b) revised; (h) added; eff. 7-7-08........25301, 37299
1065.205 Table I revised...........................................59323
1065.210 (a) revised; eff. 7-7-08...........................25302, 37300
1065.215 (e) revised; eff. 7-7-08...........................25302, 37300
1065.220 (d) revised; eff. 7-7-08...........................25302, 37300
1065.265 (c) revised; eff. 7-7-08...........................25302, 37300
1065.270 (c) and (d) introductory text revised; eff. 7-7-08.......25302, 
                                                                   37300
1065.272 (a) revised...............................................59323
1065.280 Revised; eff. 7-7-08...............................25302, 37300

[[Page 966]]

1065.290 (c)(1) revised; eff. 7-7-08........................25302, 37300
1065.303 Revised; eff. 7-7-08...............................25302, 37300
1065.303 Revised...................................................59323
1065.305 (d)(4), (8) and (9)(iii) revised; eff. 7-7-08......25303, 37301
1065.307 (b), (c)(6), (13) and Table 1 revised; (d)(8) and (e) 
        added; eff. 7-7-08..................................25304, 37302
1065.307 (e)(2) and (3) revised....................................59325
1065.308 Revised; eff. 7-7-08...............................25305, 37303
1065.308 Revised...................................................59325
1065.309 Revised; eff. 7-7-08...............................25306, 37304
1065.309 Revised...................................................59326
1065.310 (d) revised; eff. 7-7-08...........................25307, 37305
1065.315 (a)(2) revised; eff. 7-7-08........................25307, 37305
1065.340 (f)(5), (6)(ii), (7), (9), (10), (g)(6)(i) and Figure 1 
        revised; eff. 7-7-08................................25307, 37305
1065.341 (d) introductory text, (7) and (g) introductory text 
        revised; eff. 7-7-08................................25308, 37307
1065.341 (d)(4) revised............................................59328
1065.342 Added; eff. 7-7-08.................................25309, 37307
1065.342 (d) and (e) revised.......................................59328
1065.345 Revised; eff. 7-7-08...............................25309, 37307
1065.345 (d)(3) revised............................................59328
1065.350 (c) and (d) revised; eff. 7-7-08...................25310, 37308
1065.350 (d)(4) and (5) revised....................................59328
1065.355 (d) revised; eff. 7-7-08...........................25310, 37308
1065.355 (d)(4) and (5) revised....................................59328
1065.360 Revised; eff. 7-7-08...............................25310, 37308
1065.362 (d) revised; eff. 7-7-08...........................25311, 37309
1065.365 Revised; eff. 7-7-08...............................25312, 37310
1065.370 (d), (e) and (g)(1) revised; eff. 7-7-08...........25313, 37311
1065.370 Revised...................................................59328
    (c) corrected..................................................73789
1065.372 (d)(7) and (e)(1) revised; eff. 7-7-08.............25314, 37312
1065.376 Revised; eff. 7-7-08...............................25314, 37312
1065.378 (d) and (e)(1) revised; eff. 7-7-08................25314, 37313
1065.378 (d)(4) revised............................................59330
1065.390 Revised; eff. 7-7-08...............................25315, 37313
1065.405 Revised; eff. 7-7-08...............................25316, 37314
1065.410 (c) and (d) revised; eff. 7-7-08...................25316, 37314
1065.415 Introductory text revised; (a)(3) removed; eff. 7-7-08...25316, 
                                                                   37315
1065.501--1065.595 (Subpart F) Heading revised; eff. 7-7-08.......25317, 
                                                                   37315
1065.501 (a) introductory text, (1) and (b) revised; eff. 7-7-08 
                                                            25317, 37315
1065.510 Revised; eff. 7-7-08...............................25317, 37315
1065.510 (b)(3) and (6) revised....................................59330
1065.512 Revised; eff. 7-7-08...............................25319, 37317
1065.514 Revised; eff. 7-7-08...............................25320, 37318
1065.514 (f)(3) revised............................................59330
1065.520 Revised; eff. 7-7-08...............................25321, 37320
1065.520 (g)(4) and (5)(ii) revised................................59330
1065.525 Revised; eff. 7-7-08...............................25322, 37320
1065.530 Revised; eff. 7-7-08...............................25322, 37321
1065.545 Revised; eff. 7-7-08...............................25324, 37322
1065.550 Revised; eff. 7-7-08...............................25324, 37322
1065.590 Revised; eff. 7-7-08...............................25325, 37323
1065.595 Revised; eff. 7-7-08...............................25325, 37323
1065.601 (c)(1) revised; eff. 7-7-08........................25326, 37324
1065.602 (f)(3) and (l) introductory text revised; eff. 7-7-08....25326, 
                                                                   37324
1065.610 Revised; eff. 7-7-08...............................25326, 37324
1065.610 (a) and (b) revised.......................................59330
1065.640 (a) and (e) revised; Table 3 redesignated as Table 4; 
        eff. 7-7-08.........................................25328, 37326
1065.640 (a) revised...............................................59331
1065.642 (b) revised; eff. 7-7-08...........................25329, 37327
1065.644 Added; eff. 7-7-08.................................25329, 37327
1065.645 Revised; eff. 7-7-08...............................25329, 37327
1065.645 (a) and (b) revised.......................................59331
1065.650 Revised; eff. 7-7-08...............................25331, 37328
1065.650 (b)(3), (c)(2)(i), (d)(8), (e)(4), (f)(2) and (g) 
        revised; (h) added.........................................59332
1065.655 Revised; eff. 7-7-08...............................25333, 37331
1065.655 (c) and (d) revised; (e) added............................59334
1065.659 Revised; eff. 7-7-08...............................25338, 37335
1065.660 Revised; eff. 7-7-08...............................25338, 37336
1065.660 (b)(2)(i) and (3) revised.................................59339
1065.665 Revised; eff. 7-7-08...............................25339, 37337
1065.667 (b) revised; eff. 7-7-08...........................25340, 37338
1065.667 Revised...................................................59339
1065.670 Introductory text revised; eff. 7-7-08.............25340, 37338
1065.675 Revised; eff. 7-7-08...............................25340, 37338
1065.675 Revised...................................................59340
1065.690 (e) revised; eff. 7-7-08...........................25341, 37339

[[Page 967]]

1065.695 (c)(7)(ix) revised; eff. 7-7-08....................25342, 37339
1065.701 (b), (c) and (e) revised; eff. 7-7-08..............25342, 37339
1065.701 (e) redesignated as (f); new (e) added....................59341
1065.703 Table 1 revised; eff. 7-7-08.......................25342, 37340
1065.703 Table I revised...........................................59341
1065.705 Added; eff. 7-7-08.................................25343, 37340
1065.710 Table 1 revised; eff. 7-7-08.......................25343, 37341
1065.715 Revised; eff. 7-7-08...............................25344, 37342
1065.720 Revised; eff. 7-7-08...............................25344, 37342
1065.750 (a) revised; eff. 7-7-08...........................25345, 37343
1065.805 (a), (b) and (c) revised; eff. 7-7-08..............25346, 37343
1065.845 Introductory text revised; eff. 7-7-08.............25346, 37343
1065.901 (b) introductory text and (2) revised; eff. 7-7-08.......25346, 
                                                                   37344
1065.905 (c)(14) and (e) introductory text revised; eff. 7-7-08...25346, 
                                                                   37344
1065.910 Revised; eff. 7-7-08...............................25346, 37344
1065.915 (a), (c), (d)(1) and (5)(iii)(B) revised; eff. 7-7-08....25347, 
                                                                   37344
1065.915 (a) revised...............................................59342
1065.920 (a), (b)(4)(iii) and (7) introductory text revised; eff. 
        7-7-08..............................................25347, 37345
1065.925 (h) revised; eff. 7-7-08...........................25347, 37345
1065.925 (h)(4) revised............................................59342
1065.935 (e)(1) and (g)(5) revised; eff. 7-7-08.............25348, 37345
1065.1001 Amended; eff. 7-7-08..............................25348, 37346
1065.1001 Amended..................................................59342
1065.1005 (a) and (g) revised; eff. 7-7-08..................25348, 37346
1065.1005 (a) revised..............................................59342
1065.1010 Revised; eff. 7-7-08..............................25349, 37347
1065.1010 (d) revised..............................................59343
1068.1 (a)(5) added.................................................3613
    (a)(6) and (7) added; (b)(4) and (6) revised; eff. 7-7-08.....25352, 
                                                                   37349
1068 Revised.......................................................59344
1074 Added.........................................................59379

                                  2009

40 CFR
                                                                   74 FR
                                                                    Page
Chapter I
1027.105 (c)(1)(i) and (ii) amended.................................8423
1033.150 (f) Table 1 amended........................................8423
1033.205 (d)(8) revised............................................56508
1033.235 (i) added.................................................56508
1033.501 (a) introductory text revised.............................56508
1033.515 (c)(5) revised.............................................8424
1033.520 (e)(7) Tables 1 and 2 removed; (g) added...................8424
1033.640 (a)(2) revised.............................................8425
1033.645 (a) revised................................................8425
1033.905 Amended...................................................56508
1039.205 (r) revised...............................................56508
1039.235 (g) added.................................................56509
1039.501 (a) revised...............................................56509
1039.805 Amended...................................................56509
1042.101 (a)(3) Table 1 revised.....................................8425
1042.205 (r) revised...............................................56509
1042.235 (g) added.................................................56509
1042.501 (a) revised...............................................56509
1042.635 (a) and (b) revised; (c) removed...........................8426
1042.850 (d) added..................................................8426
1042.905 Amended...................................................56509
1045.205 (q) revised...............................................56509
1045.235 (g) added.................................................56510
1045.501 (b) revised...............................................56510
1048.15 (a) revised.................................................8426
1048.205 (s) revised...............................................56510
1048.235 (g) added.................................................56510
1048.501 (a) revised...............................................56510
1048.801 Amended....................................................8426
1048.805 Amended...................................................56510
1051.205 (p) revised...............................................56510
1051.235 (i) added.................................................56510
1051.501 (a) and (b) revised.......................................56511
1051.805 Amended...................................................56511
1054.205 (p) revised...............................................56511
1054.235 (g) added.................................................56511
1054.501 (b)(1) revised............................................56511
1054.690 (a) revised................................................8426
1060.102 (d)(1) revised.............................................8426
1060.103 (d) revised................................................8427
1060.105 (c)(2) revised.............................................8427
1060.501 (e) revised................................................8427
1060.510 Revised....................................................8427
1060.515 (a)(1) and (c) revised.....................................8427
1065.5 (a)(3) revised..............................................56511
1065.270 Undesignated center heading revised.......................56512
1065.275 Added.....................................................56512
1065.303 Revised...................................................56512
1065.307 (c)(6) revised............................................56513

[[Page 968]]

1065.365 (d), (e) and (f) revised..................................56513
1065.370 Undesignated center heading revised.......................56515
1065.375 Added.....................................................56515
1065.550 (b) introductory text and (1) revised; (b)(4) added.......56515
1065.601 (a)(1) revised............................................56516
1065.660 (a), (b) introductory text, (1), (2) and (3) introductory 
        text revised; (c) added....................................56516
1065.672 (d)(2) revised.............................................8427
1065.750 (a)(1)(ii) revised; (a)(3)(xi) added......................56518
1065.1001 Amended............................................8428, 56518
1065.1005 (b), (f)(2) and (g) revised..............................56518
1068.201 (h) revised................................................8428
1068.225 (a) and (b) revised; (c) removed...........................8428
1068.325 (g) revised; (i) redesignated as (j); new (i) added........8428

                                  2010

40 CFR
                                                                   75 FR
                                                                    Page
Chapter I
1027.101 (a)(2)(iii) and (d) revised; (a)(4) added.................22981
1027.105 (b)(3) revised............................................22981
1027.115 (g) revised...............................................22982
1027.150 Heading revised; amended..................................22982
1033.15 (a) revised................................................22982
1033.30 Added......................................................22982
1033.101 (d) revised...............................................22982
1033.115 (f) revised...............................................22982
1033.120 (c) revised...............................................22983
1033.150 (a)(4) revised; (k)(1) redesignated as (l)................22983
    (e)(1) revised.................................................68460
1033.220 Introductory text and (a) revised.........................22983
1033.225 Introductory text, (b) introductory text, (2), (e) and 
        (f) revised................................................22983
1033.235 (c) and (d) introductory text revised.....................22984
1033.240 (a) introductory text and (b) introductory text revised 
                                                                   22984
1033.255 (b) revised...............................................22984
1033.325 (d) revised...............................................22984
1033.501 (i) revised...............................................22984
1033.505 (a) revised...............................................22984
1033.515 Heading, (d) and (e) revised..............................22985
1033.530 (e) and (h) revised.......................................22985
1033.601 (a) revised...............................................22986
1033.625 (a)(1), (b) and (c) revised...............................22986
1033.652 Added.....................................................22986
1033.705 (b) introductory text revised.............................22987
1033.715 Revised...................................................22987
1033.725 (b)(2) revised............................................22987
1033.730 (b)(3) and (5) revised....................................22987
1033.735 (b), (d) and (e) revised..................................22987
1033.901 Amended...................................................22987
1033.905 Amended...................................................22987
1033.925 Added.....................................................22987
1039.2 Revised.....................................................22988
1039.5 (a) revised.................................................22988
1039.15 (a) revised................................................22988
1039.30 Added......................................................22988
1039.102 Tables 2 through 6 headings corrected; CFR correction.....37310
    (e) revised....................................................68461
1039.104 (h) added.................................................22988
    (g)(5) added...................................................68461
1039.120 (c) revised...............................................22989
1039.125 (a)(1)(iii), (2)(ii), (3)(ii), (c), (d) and (g) 
        introductory text revised; (a)(4) redesignated as (a)(6); 
        new (a)(4) and (5) added...................................22989
1039.135 (c)(6) and (8) revised....................................22989
1039.201 (h) added.................................................22990
1039.220 Revised...................................................22990
1039.225 Heading, introductory text, (b) introductory text, (2), 
        (e) and (f) revised........................................22990
1039.230 (b) and (d) revised.......................................22990
1039.235 Heading, (c) and (d) introductory text revised............22991
1039.240 (a), (b) and (c)(1) revised...............................22991
1039.245 Introductory text revised.................................22991
1039.250 (a) introductory text and (c) revised; (e) removed........22991
1039.255 (b) revised...............................................22991
1039.510 (b) revised; (c) added....................................22991
1039.605 (d)(3) introductory text revised..........................22992
1039.610 (d)(3) introductory text revised..........................22992
1039.625 (b)(2)(iii) added.........................................68461
1039.627 (a)(3)(ii) and (iii) revised..............................22992
1039.705 (b) introductory text revised.............................22992

[[Page 969]]

1039.715 Revised...................................................22992
1039.720 (b) revised...............................................22992
1039.725 (b)(2) revised............................................22992
1039.730 (b)(3), (4), (5) and (f) revised..........................22992
1039.735 (b), (d) and (e) revised..................................22993
1039.801 Amended...................................................22993
1039.810 Removed...................................................22994
1042.1 Revised.....................................................22994
1042.2 Revised.....................................................22995
1042.5 (a) revised; (c) added......................................22995
1042.15 Revised....................................................22995
1042.30 Added......................................................22996
1042.101 Heading, (a)(3) Table 1 and (d)(1)(iii) revised...........22996
1042.104 Added.....................................................22997
1042.110 (a)(2) revised; (a)(3) and (d) added......................22998
1042.115 (d)(2) introductory text and (f) introductory text 
        revised; (f)(4) and (g) added..............................22998
1042.120 (b)(2) added; (c) revised.................................22999
1042.125 Heading, introductory text, (a)(1)(iii) and (d) revised 
                                                                   22999
1042.135 (c)(5), (8), (9) and (11) revised; (c)(12) and (13) added
                                                                   22999
1042.140 Heading and introductory text revised; (g) added..........23000
1042.145 (a) and (c) introductory text heading revised; (h) and 
        (i) added..................................................23000
1042.201 (h) revised...............................................23000
1042.205 (b)(12) added; (i), (o) and (s)(5) revised................23000
1042.220 Revised...................................................23001
1042.225 Introductory text, (b) introductory text, (2), (e) and 
        (f) revised................................................23001
1042.230 (a), (b), (f) introductory text and (g) revised; (d) 
        added......................................................23001
1042.235 Heading, introductory text, (a), (c) and (d) introductory 
        text revised...............................................23002
1042.240 (a), (b) and (c) introductory text revised; (e) and (f) 
        added......................................................23002
1042.245 Introductory text and (a) revised.........................23003
1042.250 (a) and (c) revised; (e) removed..........................23003
1042.255 (b) revised...............................................23003
1042.301 (a)(3), (c), (e) and (f) revised..........................23003
1042.302 Added.....................................................23003
1042.305 (a), (d) introductory text, (2), (e)(2) and (g) revised 
                                                                   23004
1042.310 Heading revised...........................................23004
1042.315 (a) and (b) revised.......................................23004
1042.320 (a)(2) revised............................................23004
1042.325 (e) revised...............................................23004
1042.345 (a)(6) and (b) revised....................................23004
1042.350 (b), (e) and (f) revised..................................23004
1042.501 (a) and (c) revised; (g) added............................23005
1042.505 (b) introductory text revised.............................23005
1042.525 (b) revised; (g) added....................................23005
1042.601 (b) revised; (g), (h) and (i) added.......................23005
1042.605 (a) revised...............................................23005
1042.610 Introductory text revised.................................23006
1042.615 Introductory text and (a)(4) revised; (d) added...........23006
1042.620 Revised...................................................23006
1042.625 Introductory text added...................................23006
1042.630 Introductory text revised.................................23006
1042.635 (a) revised...............................................23006
1042.650 Heading and introductory text revised; (d) added..........23007
1042.655 Added.....................................................23007
1042.660 Revised...................................................23007
1042.670 Added.....................................................23008
1042.701 Introductory text added...................................23008
1042.705 (a) introductory text revised.............................23008
1042.715 Revised...................................................23009
1042.720 (b) revised...............................................23009
1042.725 (b)(2) revised............................................23009
1042.730 (b)(3), (4) and (5) revised...............................23009
1042.735 (b), (d) and (e) revised..................................23009
1042.801 Introductory text and (a) revised.........................23009
1042.836 Introductory text, (a) introductory text and (c) revised 
                                                                   23009
1042.850 (c) revised...............................................23009
1042.901 Amended...................................................23010
1042.905 Amended...................................................23012
1042.910 Revised...................................................23012
1042 Appendix I amended............................................23012
    Appendix II amended............................................68461
1043 Added.........................................................23013
1045.103 (b) introductory text revised.............................23019

[[Page 970]]

1045.125 (a)(2) and (c) revised; (a)(3) added......................23019
1045.140 (a) revised...............................................23019
1045.145 (o) added.................................................23019
    (a) introductory text revised..................................68462
1045.201 (h) added.................................................23019
1045.220 (a) revised...............................................23019
1045.230 (b)(4) revised............................................23019
1045.240 (a) and (b) revised; (e) added............................23019
1045.405 (c) and (e) revised.......................................23020
1045.515 (c)(5) introductory text revised..........................23020
1045.701 (d), (g), (j)(4) and (5) revised..........................23020
1045.705 (a) revised...............................................23020
1045.801 Amended...................................................23020
1048.15 (b) revised................................................23021
1048.30 Added......................................................23021
1048.120 (b) revised...............................................23021
1048.125 (a)(4) added; (c) revised.................................23021
1048.201 (h) added.................................................23022
1048.220 (a) and (c) revised.......................................23022
1048.230 (b)(6) revised............................................23022
1048.240 (a) and (b) revised; (e) added............................23022
1048.245 (e) revised...............................................23022
1048.255 (b) revised...............................................23022
1048.405 (b) and (d) revised.......................................23022
1048.505 Heading, (b)(5)(i) and Table 3 revised....................23022
1048.510 (b) added.................................................23023
1048.801 Amended...................................................23023
1051.15 (a) revised................................................23023
1051.20 (g) added..................................................23023
1051.30 Added......................................................23023
1051.125 (a)(3) added; (c) revised.................................23023
1051.135 (c)(12) revised...........................................23024
1051.201 (h) added.................................................23024
1051.220 (a) and (c) revised.......................................23024
1051.230 (b)(7) revised............................................23024
1051.255 (b) revised...............................................23024
1051.801 Amended...................................................23024
1054.1 (a)(4) revised..............................................23024
1054.101 (e) revised...............................................68462
1054.125 (a)(4) added; (c) revised.................................23024
1054.145 (o) added.................................................23025
1054.201 (h) added.................................................23025
1054.205 (b) revised...............................................23025
1054.220 (a) revised...............................................23025
1054.230 (b)(6) revised............................................23025
1054.601 Heading revised; (c) added................................23025
1054.690 (d), (f) and (j) revised..................................23025
1054.730 (b)(4) revised............................................23026
1054.801 Amended...................................................23026
1060.103 (e) revised...............................................23026
1060.105 (c)(1) and (d) revised; (f)(3) added......................56482
1060.135 (a)(5) revised............................................23026
1060.137 (a) introductory text and (4) revised.....................23026
1060.515 (c) revised...............................................23027
1060.520 (a)(4) added; (b)(3) removed; (b)(5)(ii)(B), (d)(8), (9) 
        and (10) revised...........................................23027
1060.601 (h) added.................................................23027
1060.801 Amended...................................................23027
1060.810 (d) added.................................................56482
1065.1 (d) and (g) revised.........................................23028
1065.2 (a) and (b) revised.........................................23028
1065.10 (c)(2) and (7) introductory text revised...................23028
1065.15 (c) revised................................................23028
1065.125 (c) and (e) revised.......................................23029
1065.140 (c)(6), (e) introductory text and (4) revised.............23029
    (d) introductory text and (1) revised..........................68462
1065.145 Revised...................................................23030
1065.201 (h) revised...............................................23033
1065.205 Revised...................................................23033
1065.240 (d) introductory text revised.............................23035
1065.260 (c) revised...............................................23035
    (e) revised....................................................68462
1065.290 (b) revised...............................................68462
1065.295 (c) and (d) added.........................................68462
1065.303 Revised...................................................23035
1065.305 (d)(4), (5) and (7) revised...............................23037
1065.307 (c)(6), (11), (d), (e) and Table 1 revised................23037
    (d)(9) added...................................................68462
1065.309 (d)(2) revised............................................23039
1065.315 (a)(2) revised............................................23040
1065.340 (f)(6)(iii) correctly reinstated..........................34653
    (e)(8) revised.................................................68463
1065.342 (a), (c), (d)(4) and (7) revised..........................23040
1065.345 (a) and (e)(1)(iii) revised...............................23040
1065.350 (d) revised...............................................23040
1065.355 (d) and (e)(1) revised....................................23041
1065.360 (e)(2) revised............................................23041
1065.370 (e)(5) and (g)(1) revised.................................23041
1065.390 (d)(9) revised............................................23042
    (c)(2) revised.................................................68463

[[Page 971]]

1065.501 (b)(2) revised............................................23042
1065.510 (b)(5) and (d)(5) revised.................................23042
1065.514 (d) and Table 1 revised...................................23042
1065.520 (b) and (g) introductory text revised.....................23043
1065.525 Heading, (c)(3) and (d) revised; (e) removed..............68463
1065.526 Added.....................................................68463
1065.530 (g)(3)(iv), (4)(i) and (j) revised........................23043
1065.545 Heading revised; (d) removed..............................23043
1065.546 Added.....................................................23043
1065.550 (b)(2) revised; (b)(3) added..............................23044
    (b)(1)(ii), (2) and (4) revised................................68463
1065.601 (b) revised...............................................23044
1065.602 (b), (e) and (l)(1)(iii) revised..........................23044
1065.610 (c)(3) introductory text revised..........................23045
1065.640 (b)(1), (5), Table 1, (c)(3), (4) introductory text, (i), 
        (5), (d)(1), Table 4 and (e)(3) revised....................23045
    (c)(5) revised.................................................68464
1065.642 Revised...................................................23047
    (c) revised....................................................68464
1065.645 (a)(2), (b) and (c) revised...............................23048
1065.650 (a), (b), (c) introductory text, (d) introductory text, 
        (7), (e)(2), (f)(4), (g) and (h) revised...................23048
1065.655 (c), (d), Table 1 and (e)(3) revised......................23051
1065.660 Heading and (b)(2) revised................................68464
1065.667 (d) and (e) revised.......................................23055
1065.670 Revised...................................................23056
1065.672 (d)(7) revised............................................23056
1065.690 (c) and (e) revised.......................................23056
1065.701 (f) and Table 1 revised...................................23057
1065.703 Table 1 revised...........................................23057
1065.710 Table 1 corrected; CFR correction.........................37310
1065.750 (a)(3)(xi) revised........................................68465
1065.845 (b) revised...............................................23058
1065.905 (c)(6), (d)(2) and Table 1 revised........................68465
1065.910 (a)(3) and (c) revised....................................23058
1065.915 (a), (d)(5) introductory text and (iv) revised; (d)(5)(v) 
        added......................................................68466
1065.920 Heading and (a) revised...................................68467
1065.925 (h) introductory text revised.............................68467
1065.940 Revised...................................................68467
1065.1001 Amended..................................................23058
1068 Heading revised...............................................23058
1068.1 (a)(4), (b)(4), (8) and (d)(1) revised......................23058
1068.25 (c) added..................................................23058
1068.30 Amended....................................................23059
1068.31 (d) revised................................................23059
1068.40 Revised....................................................23059
1068.45 (c) introductory text revised..............................23059
1068.101 Revised...................................................23059
1068.103 (a) revised...............................................23061
1068.105 (a) revised...............................................23062
1068.120 (e) revised...............................................23062
1068.125 (b) introductory text revised.............................23062
1068.215 (a) and (b) revised.......................................23062
1068.225 (b) revised...............................................23062
1068.240 (a), (b)(6), (c) introductory text, (2)(ii), (4), (d), 
        (e) and (g)(2) revised; (b)(7) added.......................23062
1068.260 (a), (b), (c) and (e) revised.............................23064
1068.261 (c)(5) removed............................................23064
1068.325 (g) revised...............................................23064
1068.410 (e)(1) removed............................................23064
1068.440 (b) revised...............................................23064
1068.501 (a)(5), (e) and (f) revised...............................23064
Chapter V
1500 Policy statement..............................................75628
1501 Policy statement..............................................75628
1502 Policy statement..............................................75628
1503 Policy statement..............................................75628
1504 Policy statement..............................................75628
1505 Policy statement..............................................75628
1506 Policy statement..............................................75628
1507 Policy statement..............................................75628
1508 Policy statement..............................................75628
1515 Revised.......................................................48590

                                  2011

   (Regulations published from January 1, 2011, through July 1, 2011)

40 CFR
                                                                   76 FR
                                                                    Page
Chapter I
1039.20 (a) introductory text and (c) revised; eff. 8-29-11........37977
1042.1 (h) added; eff. 8-29-11.....................................37977
1042.901 Corrected; CFR correction.................................20550

[[Page 972]]

    Corrected...............................................25246, 26620
1065.1 (a)(3) and (4) revised; eff. 8-29-11........................37977
1068.1 (a)(3) revised; eff. 8-29-11................................37977
Chapter V
1500 Policy statement...............................................3843
1501 Policy statement...............................................3843
1502 Policy statement...............................................3843
1505 Policy statement...............................................3843
1506 Policy statement...............................................3843
1507 Policy statement...............................................3843
1508 Policy statement...............................................3843


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