[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2016 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          
          
          Title 40

Protection of Environment


________________________

Parts 1000 to 1059

                         Revised as of July 1, 2016

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2016
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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[[Page iii]]







As of July 1, 2016

Title 40, Part 1000 to End

Revised as of July 1, 2016

Is Replaced by

Title 40, Parts 1000 to 1059

and

Title 40, Part 1060 to End



[[Page v]]





                            Table of Contents



                                                                    Page
  Explanation.................................................     vii

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Table of CFR Titles and Chapters........................     631
      Alphabetical List of Agencies Appearing in the CFR......     651
      List of CFR Sections Affected...........................     661

[[Page vi]]





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

                     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 vii]]



                               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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EFFECTIVE AND EXPIRATION DATES

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OMB CONTROL NUMBERS

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

[[Page viii]]

Many agencies have begun publishing numerous OMB control numbers as 
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PAST PROVISIONS OF THE CODE

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``[RESERVED]'' TERMINOLOGY

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this volume.

[[Page ix]]

    An index to the text of ``Title 3--The President'' is carried within 
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    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    July 1, 2016.







[[Page xi]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-seven 
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-
52.2019), part 52 (52.2020-end of part 52), parts 53-59, part 60 (60.1-
60.499), part 60 (60.500-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 
72-79, part 80, part 81, parts 82-86, 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-
722, parts 723-789, parts 790-999, parts 1000-1059, and part 1060 to 
end. The contents of these volumes represent all current regulations 
codified under this title of the CFR as of July 1, 2016.

    Chapter I--Environmental Protection Agency appears in all thirty-
seven volumes. Regulations issued by the Council on Environmental 
Quality, including an Index to Parts 1500 through 1508, appear in the 
volume containing parts 1060 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 John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page i]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                 (This book contains parts 1000 to 1059)

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

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

[[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
1000-1026

 [Reserved]

1027            Fees for engine, vehicle, and equipment 
                    compliance programs.....................           4
1033            Control of emissions from locomotives.......          11
1036            Control of emissions from new and in-use 
                    heavy-duty highway engines..............          90
1037            Control of emissions from new heavy-duty 
                    motor vehicles..........................         122
1039            Control of emissions from new and in-use 
                    nonroad compression-ignition engines....         189
1042            Control of emissions from new and in-use 
                    marine compression-ignition engines and 
                    vessels.................................         271
1043            Control of NOX, SOX, 
                    and PM emissions from marine engines and 
                    vessels subject to the MARPOL protocol..         358
1045            Control of emissions from spark-ignition 
                    propulsion marine engines and vessels...         369
1048            Control of emissions from new, large nonroad 
                    spark-ignition engines..................         434
1051            Control of emissions from recreational 
                    engines and vehicles....................         492
1054            Control of emissions from new, small nonroad 
                    spark-ignition engines and equipment....         558

[[Page 4]]



                   SUBCHAPTER U_AIR POLLUTION CONTROLS



                       PARTS 1000	1026 [RESERVED]



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

[[Page 5]]

emissions separate from exhaust emissions. In this case, 40 CFR part 
1060 is 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.
certMY-2 = the total number of certificates issued for a fee 
          category in the model year two years before the calendar year 
          for the applicable fees as described in paragraph (d)(3) of 
          this section.
certMY-3 = the total number of certificates issued for a fee 
          category in the model year three years before the calendar 
          year for the applicable fees as described in paragraph (d)(3) 
          of this section.

    (ii) Use the following equation for all other certificates for 2006 
and later:
[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
    cert2003 = 95
    Fee06 = [$1,106,224 + $1,625,680 . (191.0/180.9)] . 
1.169/[(131 + 95) . 0.5] = $29,200.88
    Assessed Fee = $29,201

[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 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 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 (no   weighting
                                                                             factors      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:


[[Page 61]]


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 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.

[[Page 62]]

    (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 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

[[Page 63]]

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 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

[[Page 64]]

consider completion of the underframe weldment to be a substantial part 
of the manufacturing process.
    (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 PM, NOX, and 
hydrocarbon 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.

[[Page 65]]

    (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.
    (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; 
76 FR 53780, Sept. 15, 2011]



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

[[Page 66]]

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 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

[[Page 67]]

total value of the locomotive. Its date of original manufacture would be 
the date on which you complete its assembly.
    (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:

[[Page 68]]

    (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 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.

[[Page 69]]

    (4) Unless we approve different test procedures, you must test the 
locomotive according to the procedures specified in subpart F of this 
part.
    (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

[[Page 70]]

family may be exported without restriction. Note that Sec.  1033.705 
requires that exported locomotives be excluded from emission credit 
calculations in certain circumstances.
    (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

[[Page 71]]

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:
    (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.

[[Page 72]]

This label must include the notification specified in paragraph (i) of 
this section.



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

[[Page 73]]

 
8.......................................................            0.69
9.......................................................            0.65
10......................................................            0.61
11......................................................            0.57
12......................................................            0.54
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.

[[Page 74]]



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 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

[[Page 75]]

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.  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

[[Page 76]]

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).
    (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

[[Page 77]]

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.
    (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

[[Page 78]]

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.
    (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

[[Page 79]]

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 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]

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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 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

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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. 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.

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    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 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

[[Page 83]]

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 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.

[[Page 84]]

    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 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

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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 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

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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.
    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.

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    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, 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.

[[Page 88]]

    (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 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

[[Page 89]]

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.
    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

[[Page 90]]

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.
    (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 1036_CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVY-DUTY
HIGHWAY ENGINES--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1036.1 Does this part apply for my engines?
1036.2 Who is responsible for compliance?
1036.5 Which engines are excluded from this part's requirements?
1036.10 How is this part organized?
1036.15 Do any other regulation parts apply to me?
1036.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1036.100 Overview of exhaust emission standards.
1036.108 Greenhouse gas emission standards.
1036.115 Other requirements.
1036.130 Installation instructions for vehicle manufacturers.
1036.135 Labeling.
1036.140 Primary intended service class.
1036.150 Interim provisions.

[[Page 91]]

                  Subpart C_Certifying Engine Families

1036.205 What must I include in my application?
1036.210 Preliminary approval before certification.
1036.225 Amending my application for certification.
1036.230 Selecting engine families.
1036.235 Testing requirements for certification.
1036.241 Demonstrating compliance with greenhouse gas pollutant 
          standards.
1036.250 Reporting and recordkeeping for certification.
1036.255 What decisions may EPA make regarding my certificate of 
          conformity?

Subpart D [Reserved]

                        Subpart E_In-use Testing

1036.401 In-use testing.

                        Subpart F_Test Procedures

1036.501 How do I run a valid emission test?
1036.525 Hybrid engines.
1036.530 Calculating greenhouse gas emission rates.

                 Subpart G_Special Compliance Provisions

1036.601 What compliance provisions apply to these engines?
1036.610 Innovative technology credits and adjustments for reducing 
          greenhouse gas emissions.
1036.615 Engines with Rankine cycle waste heat recovery and hybrid 
          powertrains.
1036.620 Alternate CO2 standards based on model year 2011 
          compression-ignition engines.
1036.625 In-use compliance with family emission limits (FELs).

       Subpart H_Averaging, Banking, and Trading for Certification

1036.701 General provisions.
1036.705 Generating and calculating emission credits.
1036.710 Averaging.
1036.715 Banking.
1036.720 Trading.
1036.725 What must I include in my application for certification?
1036.730 ABT reports.
1036.735 Recordkeeping.
1036.740 Restrictions for using emission credits.
1036.745 End-of-year CO2 credit deficits.
1036.750 What can happen if I do not comply with the provisions of this 
          subpart?
1036.755 Information provided to the Department of Transportation.

          Subpart I_Definitions and Other Reference Information

1036.801 Definitions.
1036.805 Symbols, acronyms, and abbreviations.
1036.810 Incorporation by reference.
1036.815 Confidential information.
1036.820 Requesting a hearing.
1036.825 Reporting and recordkeeping requirements.

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

    Source: 76 FR 57381, Sept. 15, 2011, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec.  1036.1  Does this part apply for my engines?

    (a) Except as specified in Sec.  1036.5, the provisions of this part 
apply to all new 2014 model year and later heavy-duty engines. This 
includes engines fueled by conventional and alternative fuels.
    (b) This part does not apply with respect to exhaust emission 
standards for HC, CO, NOX, or PM except that the provisions 
of Sec.  1036.601 apply.



Sec.  1036.2  Who is responsible for compliance?

    The regulations in this part 1036 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, especially for issues 
related to certification.



Sec.  1036.5  Which engines are excluded from this part's requirements?

    (a) The provisions of this part do not apply to engines used in 
medium-duty passenger vehicles that are subject to regulation under 40 
CFR part 86, subpart S, except as specified in 40 CFR part 86, subpart 
S, and Sec.  1036.108(a)(4). For example, this exclusion applies for 
engines used in vehicles certified to the standards of 40 CFR 1037.104.
    (b) Engines installed in heavy-duty vehicles that do not provide 
motive power are nonroad engines. The provisions of this part therefore 
do not apply to these engines. See 40 CFR part 1039, 1048, or 1054 for 
other requirements that apply for these auxiliary

[[Page 92]]

engines. See 40 CFR part 1037 for requirements that may apply for 
vehicles using these engines.
    (c) The provisions of this part do not apply to aircraft or aircraft 
engines. Standards apply separately to certain aircraft engines, as 
described in 40 CFR part 87.
    (d) The provisions of this part do not apply to engines that are not 
internal combustion engines. For example, the provisions of this part do 
not apply to fuel cells.
    (e) The provisions of this part do not apply to engines used in 
heavy-duty vehicles that are subject to light-duty greenhouse gas 
standards under 40 CFR part 86, subpart S, except as specified in 40 CFR 
part 86, subpart S, and Sec.  1036.108(a)(4).

[76 FR 57381, Sept. 15, 2011, as amended at 78 FR 36389, June 17, 2013]



Sec.  1036.10  How is this part organized?

    This part 1036 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of this part 
1036 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.  1036.150 describes 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 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 describes requirements, prohibitions, and 
other provisions that apply to engine manufacturers, vehicle 
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.



Sec.  1036.15  Do any other regulation parts apply to me?

    (a) Part 86 of this chapter describes additional requirements that 
apply to engines that are subject to this part 1036. This part 
extensively references portions of 40 CFR part 86. For example, the 
regulations of part 86 specify emission standards and certification 
procedures related to criteria pollutants.
    (b) Part 1037 of this chapter describes requirements for controlling 
evaporative emissions and greenhouse gas emissions from heavy-duty 
vehicles, whether or not they use engines certified under this part. It 
also includes standards and requirements that apply instead of the 
standards and requirements of this part in some cases.
    (c) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1036 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) Certain provisions of part 1068 of this chapter apply as 
specified in Sec.  1036.601 to everyone, including anyone who 
manufactures, imports, installs, owns, operates, or rebuilds any of the 
engines subject to this part 1036, or vehicles containing these engines. 
Part 1068 of this chapter describes general provisions that apply 
broadly, but do not necessarily apply for all engines or all persons. 
The issues addressed by these provisions include these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, vehicle 
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) Recall.
    (7) Procedures for hearings.
    (e) Other parts of this chapter apply if referenced in this part.



Sec.  1036.30  Submission of information.

    Send all reports and requests for approval to the Designated 
Compliance

[[Page 93]]

Officer (see Sec.  1036.801). See Sec.  1036.825 for additional 
reporting and recordkeeping provisions.



          Subpart B_Emission Standards and Related Requirements



Sec.  1036.100  Overview of exhaust emission standards.

    Engines used in vehicles certified to the applicable chassis 
standards for greenhouse gas pollutants described in 40 CFR 1037.104 are 
not subject to the standards specified in this part. All other engines 
subject to this part must meet the greenhouse gas standards in Sec.  
1036.108 in addition to the criteria pollutant standards of 40 CFR part 
86.



Sec.  1036.108  Greenhouse gas emission standards.

    This section contains standards and other regulations applicable to 
the emission of the air pollutant defined as the aggregate group of six 
greenhouse gases: carbon dioxide, nitrous oxide, methane, 
hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. This 
section describes the applicable CO2, N2O, and 
CH4 standards for engines. Except as specified in paragraph 
(a)(4) of this section, these standards do not apply for engines used in 
vehicles subject to (or voluntarily certified to) the CO2, 
N2O, and CH4 standards for vehicles specified in 
40 CFR 1037.104.
    (a) Emission standards. Emission standards apply for engines 
measured using the test procedures specified in subpart F of this part 
as follows:
    (1) CO2 emission standards apply as specified in this 
paragraph (a)(1). The applicable test cycle for measuring CO2 
emissions differs depending on the engine family's primary intended 
service class and the extent to which the engines will be (or were 
designed to be) used in tractors. For medium and heavy heavy-duty 
engines certified as tractor engines, measure CO2 emissions 
using the steady-state duty cycle specified in 40 CFR 86.1362 (referred 
to as the SET cycle). This is intended for engines designed to be used 
primarily in tractors and other line-haul applications. Note that the 
use of some SET-certified tractor engines in vocational applications 
does not affect your certification obligation under this paragraph 
(a)(1); see other provisions of this part and 40 CFR part 1037 for 
limits on using engines certified to only one cycle. For medium and 
heavy heavy-duty engines certified as both tractor and vocational 
engines, measure CO2 emissions using the steady-state duty 
cycle and the transient duty cycle (sometimes referred to as the FTP 
engine cycle), both of which are specified in 40 CFR part 86, subpart N. 
This is intended for engines that are designed for use in both tractor 
and vocational applications. For all other engines (including all spark-
ignition engines), measure CO2 emissions using the transient 
duty cycle specified in 40 CFR part 86, subpart N.
    (i) The CO2 standard for model year 2016 and later spark-
ignition engines is 627 g/hp-hr.
    (ii) The following CO2 standards apply for compression-
ignition engines and all other engines (in g/hp-hr):

----------------------------------------------------------------------------------------------------------------
                                                                 Medium                    Medium
                                                 Light heavy- heavy-duty-- Heavy heavy- heavy-duty-- Heavy heavy-
                  Model years                        duty      vocational     duty--       tractor      duty--
                                                                            vocational                 tractor
----------------------------------------------------------------------------------------------------------------
2014-2016......................................          600          600          567          502          475
2017 and later.................................          576          576          555          487          460
----------------------------------------------------------------------------------------------------------------

    (2) The CH4 emission standard is 0.10 g/hp-hr when 
measured over the transient duty cycle specified in 40 CFR part 86, 
subpart N. This standard begins in model year 2014 for compression 
ignition engines and in model year 2016 for spark-ignition engines. Note 
that this standard applies for all fuel types just as the other 
standards of this section do.
    (3) The N2O emission standard for all model year 2014 and 
later engines is 0.10 g/hp-hr when measured over the transient duty 
cycle specified in 40 CFR part 86, subpart N. This standard

[[Page 94]]

begins in model year 2014 for compression ignition engines and in model 
year 2016 for spark-ignition engines.
    (4) This paragraph (a)(4) describes alternate emission standards for 
engines certified under 40 CFR 1037.150(m). The standards of paragraphs 
(a)(1) through (3) of this section do not apply for these engines. The 
standards in this paragraph (a)(4) apply for emissions measured with the 
engine installed in a complete vehicle consistent with the provisions of 
40 CFR 1037.150(m)(6). The CO2 standard for the engines 
equals the test result specified in 40 CFR 1037.150(m)(6) multiplied by 
1.10 and rounded to the nearest 0.1 g/mile. The N2O and 
CH4 standards are both 0.05 g/mile (or any alternate 
standards that apply to the corresponding vehicle test group). The only 
requirements of this part that apply to these engines are those in this 
paragraph (a)(4) and those in Sec. Sec.  1036.115 through 1036.135.
    (b) Family certification levels. You must specify a CO2 
Family Certification Level (FCL) for each engine family. The FCL may not 
be less than the certified emission level for the engine family. The 
CO2 Family Emission Limit (FEL) for the engine family is 
equal to the FCL multiplied by 1.03.
    (c) 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 
CO2 emission standards. Credits (positive and negative) are 
calculated from the difference between the FCL and the applicable 
emission standard. As described in Sec.  1036.705, you may use 
CO2 credits to certify your engine families to FELs for 
N2O and/or CH4, instead of the N2O/
CH4 standards of this section that otherwise apply. Except as 
specified in Sec. Sec.  1036.150 and 1036.705, you may not generate or 
use credits for N2O or CH4 emissions.
    (d) Useful life. Your engines must meet the exhaust emission 
standards of this section throughout their full useful life, expressed 
in service miles or calendar years, whichever comes first. The useful 
life values applicable to the criteria pollutant standards of 40 CFR 
part 86 apply for the standards of this section.
    (e) Applicability for testing. The emission standards in this 
subpart apply as specified in this paragraph (e) to all duty-cycle 
testing (according to the applicable test cycles) of testable 
configurations, including certification, selective enforcement audits, 
and in-use testing. The CO2 FCLs serve as the CO2 
emission standards for the engine family with respect to certification 
and confirmatory testing instead of the standards specified in paragraph 
(a)(1) of this section. The FELs serve as the emission standards for the 
engine family with respect to all other testing. See Sec. Sec.  1036.235 
and 1036.241 to determine which engine configurations within the engine 
family are subject to testing.
    (f) Multi-fuel engines. For dual-fuel, multi-fuel, and flexible-fuel 
engines, perform exhaust testing on each fuel type (for example, 
gasoline and E85).
    (1) This paragraph (f)(1) applies where you demonstrate the relative 
amount of each fuel type that your engines consume in actual use. Based 
on your demonstration, we will specify a weighting factor and allow you 
to submit the weighted average of your emission results. For example, if 
you certify an E85 flexible-fuel engine and we determine the engine will 
produce one-half of its work from E85 and one-half of its work from 
gasoline, you may average your E85 and gasoline emission results.
    (2) If you certify your engine family to N2O and/or 
CH4 FELs the FELs apply for testing on all fuel types for 
which your engine is designed, to the same extent as criteria emission 
standards apply.



Sec.  1036.115  Other requirements.

    (a) The warranty and maintenance requirements, adjustable parameter 
provisions, and defeat device prohibition of 40 CFR part 86 apply with 
respect to the standards of this part.
    (b) You must design and produce your engines to comply with 
evaporative emission standards as follows:
    (1) For complete heavy-duty vehicles you produce, you must certify 
the vehicles to emission standards as specified in 40 CFR 1037.103.
    (2) For incomplete heavy-duty vehicles, and for engines used in 
vehicles you do not produce, you do not need to

[[Page 95]]

certify your engines to evaporative emission standards or otherwise meet 
those standards. However, vehicle manufacturers certifying their 
vehicles with your engines may depend on you to produce your engines 
according to their specifications. Also, your engines must meet 
applicable exhaust emission standards in the installed configuration.

[76 FR 57381, Sept. 15, 2011, as amended at 79 FR 23748, Apr. 28, 2014]



Sec.  1036.130  Installation instructions for vehicle manufacturers.

    (a) If you sell an engine for someone else to install in a vehicle, 
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 heavy-duty motor vehicle violates federal law, 
subject to fines or other penalties as described in the Clean Air Act.''
    (3) Provide all instructions needed to properly install the exhaust 
system and any other components.
    (4) Describe any necessary steps for installing any diagnostic 
system required under 40 CFR part 86.
    (5) Describe how your certification is limited for any type of 
application. For example, if you certify heavy heavy-duty engines to the 
CO2 standards using only steady-state testing, you must make 
clear that the engine may be installed only in tractors.
    (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 vehicle, as 
described in 40 CFR 1068.105.''
    (c) You do not need installation instructions for engines that 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.



Sec.  1036.135  Labeling.

    Label your engines as described in 40 CFR 86.007-35(a)(3), with the 
following additional information:
    (a) [Reserved]
    (b) Identify the emission control system. Use terms and 
abbreviations as described in 40 CFR 1068.45 or other applicable 
conventions.
    (c) Identify any limitations on your certification. For example, if 
you certify heavy heavy-duty engines to the CO2 standards 
using only transient cycle testing, include the statement ``VOCATIONAL 
VEHICLES ONLY''.
    (d) You may ask us to approve modified labeling requirements in this 
part 1036 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. We may also specify modified labeling 
requirement to be consistent with the intent of 40 CFR part 1037.



Sec.  1036.140  Primary intended service class.

    You must identify a single primary intended service class for each 
compression-ignition engine family. Select the class that best describes 
vehicles for which you design and market the engine. The three primary 
intended service classes are light heavy-duty, medium heavy-duty, and 
heavy heavy-duty. Note that provisions that apply based on primary 
intended service class often treat spark-ignition engines as if they 
were a separate service class.
    (a) Light heavy-duty engines usually are not designed for rebuild 
and do not have cylinder liners. Vehicle body types in this group might 
include any

[[Page 96]]

heavy-duty vehicle built for a light-duty truck chassis, van trucks, 
multi-stop vans, motor homes and other recreational vehicles, and some 
straight trucks with a single rear axle. Typical applications would 
include personal transportation, light-load commercial delivery, 
passenger service, agriculture, and construction. The GVWR of these 
vehicles is normally below 19,500 pounds.
    (b) Medium heavy-duty engines may be designed for rebuild and may 
have cylinder liners. Vehicle body types in this group would typically 
include school buses, straight trucks with dual rear axles, city 
tractors, and a variety of special purpose vehicles such as small dump 
trucks, and refuse trucks. Typical applications would include commercial 
short haul and intra-city delivery and pickup. Engines in this group are 
normally used in vehicles whose GVWR ranges from 19,500 to 33,000 
pounds.
    (c) Heavy heavy-duty engines are designed for multiple rebuilds and 
have cylinder liners. Vehicles in this group are normally tractors, 
trucks, and buses used in inter-city, long-haul applications. These 
vehicles normally exceed 33,000 pounds GVWR.



Sec.  1036.150  Interim provisions.

    The provisions in this section apply instead of other provisions in 
this part.
    (a) Early banking of greenhouse gas emissions. You may generate 
CO2 emission credits for engines you certify in model year 
2013 (2015 for spark-ignition engines) to the standards of Sec.  
1036.108.
    (1) Except as specified in paragraph (a)(2) of this section, to 
generate early credits, you must certify your entire U.S.-directed 
production volume within that averaging set to these standards. This 
means that you may not generate early credits while you produce engines 
in the averaging set that are certified to the criteria pollutant 
standards but not to the greenhouse gas standards. Calculate emission 
credits as described in subpart H of this part relative to the standard 
that would apply for model year 2014 (2016 for spark-ignition engines).
    (2) You may generate early credits for an individual compression-
ignition engine family where you demonstrate that you have improved a 
model year 2013 engine model's CO2 emissions relative to its 
2012 baseline level and certify it to an FCL below the applicable 
standard. Calculate emission credits as described in subpart H of this 
part relative to the lesser of the standard that would apply for model 
year 2014 engines or the baseline engine's CO2 emission rate. 
Use the smaller U.S.-directed production volume of the 2013 engine 
family or the 2012 baseline engine family. We will not allow you to 
generate emission credits under this paragraph (a)(2) unless we 
determine that your 2013 engine is the same engine as the 2012 baseline 
or that it replaces it.
    (3) You may bank credits equal to the surplus credits you generate 
under this paragraph (a) multiplied by 1.50. For example, if you have 10 
Mg of surplus credits for model year 2013, you may bank 15 Mg of 
credits. Credit deficits for an averaging set prior to model year 2014 
(2016 for spark-ignition engines) do not carry over to model year 2014 
(2016 for spark-ignition engines). We recommend that you notify us of 
your intent to use this provision before submitting your applications.
    (b) Model year 2014 N2O standards. In model year 2014 and 
earlier, manufacturers may show compliance with the N2O 
standards using an engineering analysis. This allowance also applies for 
later families certified using carryover CO2 data from model 
2014 consistent with Sec.  1036.235(d).
    (c) Engine cycle classification. Engines meeting the definition of 
spark-ignition, but regulated as diesel engines under 40 CFR part 86, 
must be certified to the requirements applicable to compression-ignition 
engines under this part. Such engines are deemed to be compression-
ignition engines for purposes of this part. Similarly, engines meeting 
the definition of compression-ignition, but regulated as Otto-cycle 
under 40 CFR part 86 must be certified to the requirements applicable to 
spark-ignition engines under this part. Such engines are deemed to be 
spark-ignition engines for purposes of this part.
    (d) Small manufacturers. Manufacturers meeting the small business 
criteria specified for ``Gasoline Engine and Engine Parts 
Manufacturing'' or ``Other

[[Page 97]]

Engine Equipment Manufacturers'' in 13 CFR 121.201 are not subject to 
the greenhouse gas emission standards in Sec.  1036.108. Qualifying 
manufacturers must notify the Designated Compliance Officer before 
importing or introducing into U.S. commerce excluded engines. This 
notification must include a description of the manufacturer's 
qualification as a small business under 13 CFR 121.201. You must label 
your excluded engines with the statement: ``THIS ENGINE IS EXCLUDED 
UNDER 40 CFR 1036.150(d).''
    (e) Alternate phase-in standards. Where a manufacturer certifies all 
of its model year 2013 compression-ignition engines within a given 
primary intended service class to the applicable alternate standards of 
this paragraph (e), its compression-ignition engines within that primary 
intended service class are subject to the standards of this paragraph 
(e) for model years 2013 through 2016. This means that once a 
manufacturer chooses to certify a primary intended service class to the 
standards of this paragraph (e), it is not allowed to opt out of these 
standards. Engines certified to these standards are not eligible for 
early credits under paragraph (a) of this section.

----------------------------------------------------------------------------------------------------------------
               Tractors                      LHD Engines              MHD Engines              HHD Engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013-2015................  NA.....................  512 g/hp-hr............  485 g/hp-hr.
Model Years 2016 and later \a\.......  NA.....................  487 g/hp-hr............  460 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
Vocational                                   LHD Engines              MHD Engines              HHD Engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013-2015................  618 g/hp-hr............  618 g/hp-hr............  577 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
Model Years 2016 and later \a\.......  576 g/hp-hr............  576 g/hp-hr............  555 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
\a\ Note: These alternate standards for 2016 and later are the same as the otherwise applicable standards for
  2017 and later.

    (f) Separate OBD families. This paragraph (f) applies where you 
separately certify engines for the purpose of applying OBD requirements 
(for engines used in vehicles under 14,000 pounds GVWR) from non-OBD 
engines that could be certified as a single engine family. You may treat 
the two engine families as a single engine family in certain respects 
for the purpose of this part, as follows:
    (1) This paragraph applies only where the two families are identical 
in all respects except for the engine ratings offered and the inclusion 
of OBD.
    (2) For purposes of this part and 40 CFR part 86, the two families 
remain two separate families except for the following:
    (i) Specify the testable configurations of the non-OBD engine family 
as the testable configurations for the OBD family.
    (ii) Submit the same CO2, N2O, and 
CH4 emission data for both engine families.
    (g) Assigned deterioration factors. You may use assigned 
deterioration factors (DFs) without performing your own durability 
emission tests or engineering analysis as follows:
    (1) You may use an assigned additive DF of 0.0 g/hp-hr for 
CO2 emissions from engines that do not use advanced or 
innovative technologies. If we determine it to be consistent with good 
engineering judgment, we may allow you to use an assigned additive DF of 
0.0 g/hp-hr for CO2 emissions from your engines with advanced 
or innovative technologies.
    (2) You may use an assigned additive DF of 0.020 g/hp-hr for 
N2O emissions from any engine.
    (3) You may use an assigned additive DF of 0.020 g/hp-hr for 
CH4 emissions from any engine.
    (h) Advanced technology credits. If you generate credits from 
engines certified for advanced technology you may multiply these credits 
by 1.5, except that you may not apply this multiplier and the early-
credit multiplier of paragraph (a) of this section.
    (i) CO2 credits for low N2O emissions. If you 
certify your model year 2014, 2015, or 2016 engines to an N2O 
FEL less than 0.04 g/hp-hr (provided you measure N2O 
emissions from your emission-data engines), you may generate additional 
CO2 credits under this paragraph (i). Calculate the 
additional CO2 credits from the following equation instead of 
the equation in Sec.  1036.705:

CO2 Credits (Mg) = (0.04 - FELN2O) [middot] (CF) 
[middot] (Volume) [middot] (UL) [middot] (10-6) [middot] 
(298)

[76 FR 57381, Sept. 15, 2011, as amended at 78 FR 36389, June 17, 2013]

[[Page 98]]



                  Subpart C_Certifying Engine Families



Sec.  1036.205  What must I include in my application?

    Submit an application for certification as described in 40 CFR 
86.007-21, with the following additional information:
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls with respect to 
compliance with the requirements of this part. Describe in detail all 
system components for controlling greenhouse gas 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 (a), 
treat as separate AECDs any devices that modulate or activate 
differently from each other.
    (b) Describe any test equipment and procedures that you used if you 
performed any tests that did not also involve measurement of criteria 
pollutants. Describe any special or alternate test procedures you used 
(see 40 CFR 1065.10(c)).
    (c) Include the emission-related installation instructions you will 
provide if someone else installs your engines in their vehicles (see 
Sec.  1036.130).
    (d) Describe the label information specified in Sec.  1036.135. We 
may require you to include a copy of the label.
    (e) Identify the CO2 FCLs with which you are certifying 
engines in the engine family; also identify any FELs that apply for 
CH4 and N2O. The actual U.S.-directed production 
volume of configurations that have CO2 emission rates at or 
below the FCL and CH4 and N2O emission rates at or 
below the applicable standards or FELs must be at least one percent of 
your actual (not projected) U.S.-directed production volume for the 
engine family. Identify configurations within the family that have 
emission rates at or below the FCL and meet the one percent requirement. 
For example, if your U.S.-directed production volume for the engine 
family is 10,583 and the U.S.-directed production volume for the tested 
rating is 75 engines, then you can comply with this provision by setting 
your FCL so that one more rating with a U.S.-directed production volume 
of at least 31 engines meets the FCL. Where applicable, also identify 
other testable configurations required under Sec.  1036.230(b)(2).
    (f) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec.  1036.241). Present any test data you 
used for this.
    (g) Present emission data to show that you meet emission standards, 
as follows:
    (1) Present exhaust emission data for CO2, 
CH4, and N2O on an emission-data engine to show 
that your engines meet the applicable emission standards we specify in 
Sec.  1036.108. Show emission figures before and after applying 
deterioration factors for each engine. In addition to the composite 
results, show individual measurements for cold-start testing and hot-
start testing over the transient test cycle.
    (2) Note that Sec.  1036.235 allows you to submit an application in 
certain cases without new emission data.
    (h) State whether your certification is limited for certain engines. 
For example, if you certify heavy heavy-duty engines to the 
CO2 standards using only transient testing, the engines may 
be installed only in vocational vehicles.
    (i) 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. Note that Sec.  1036.235 specifies 
which engines to test to show that engines in the entire family comply 
with the requirements of this part.
    (j) Include the information required by other subparts of this part. 
For example, include the information required by Sec.  1036.725 if you 
participate in the ABT program.
    (k) Include the warranty statement and maintenance instructions if 
we request them.
    (l) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (m) For imported engines or equipment, identify the following:
    (1) Describe your normal practice for importing engines. For 
example, this

[[Page 99]]

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) 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.

[76 FR 57381, Sept. 15, 2011, as amended at 78 FR 36389, June 17, 2013]



Sec.  1036.210  Preliminary approval before certification.

    If you send us information before you finish the application, we may 
review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission 
control devices, adjustable parameters, 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.



Sec.  1036.225  Amending 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, but before the end of the model year, 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.  1036.230.
    (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 and FCL 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.  1036.820).
    (e) For engine families already covered by a certificate of 
conformity, you

[[Page 100]]

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, but before the end of the model year. If 
you change an FEL for CO2, your FCL for CO2 is 
automatically set to your new FEL divided by 1.03. The changed FEL may 
not apply to engines you have already introduced into U.S. commerce, 
except as described in this paragraph (f). 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. 
Use the appropriate FELs/FCLs with corresponding production volumes to 
calculate emission credits for the model year, as described in 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 (or below the proposed FCL for CO2). 
The lower FEL/FCL applies only to engines you produce after we approve 
the new FEL/FCL. Use the appropriate FELs/FCLs with corresponding 
production volumes to calculate emission credits for the model year, as 
described in subpart H of this part.

[76 FR 57381, Sept. 15, 2011, as amended at 78 FR 36389, June 17, 2013]



Sec.  1036.230  Selecting engine families.

    See 40 CFR 86.001-24 for instructions on how to divide your product 
line into families of engines that are expected to have similar emission 
characteristics throughout the useful life. You must certify your 
engines to the standards of Sec.  1036.108 using the same engine 
families you use for criteria pollutants under 40 CFR part 86. The 
following provisions also apply:
    (a) Engines certified as hybrid engines or power packs may not be 
included in an engine family with engines with conventional powertrains. 
Note that this does not prevent you from including engines in a 
conventional family if they are used in hybrid vehicles, as long as you 
certify them conventionally.
    (b) If you certify engines in the family for use as both vocational 
and tractor engines, you must split your family into two separate 
subfamilies. Indicate in the application for certification that the 
engine family is to be split.
    (1) Calculate emission credits relative to the vocational engine 
standard for the number of engines sold into vocational applications and 
relative to the tractor engine standard for the number of engines sold 
into non-vocational tractor applications. You may assign the numbers and 
configurations of engines within the respective subfamilies at any time 
before submitting the end-of-year report required by Sec.  1036.730. If 
the family participates in averaging, banking, or trading, you must 
identify the type of vehicle in which each engine is installed; we may 
alternatively allow you to use statistical methods to determine this for 
a fraction of your engines. Keep records to document this determination.
    (2) If you restrict use of the test configuration for your split 
family to only tractors, or only vocational vehicles, you must identify 
a second testable configuration for the other type of vehicle (or an 
unrestricted configuration). Identify this configuration in your 
application for certification. The FCL for the engine family applies for

[[Page 101]]

this configuration as well as the primary test configuration.
    (c) If you certify in separate engine families engines that could 
have been certified in vocational and tractor engine subfamilies in the 
same engine family, count the two families as one family for purposes of 
determining your obligations with respect to the OBD requirements and 
in-use testing requirements of 40 CFR part 86. Indicate in the 
applications for certification that the two engine families are covered 
by this paragraph (c).
    (d) Engine configurations within an engine family must use 
equivalent greenhouse gas emission controls. Unless we approve it, you 
may not produce nontested configurations without the same emission 
control hardware included on the tested configuration. We will only 
approve it if you demonstrate that the exclusion of the hardware does 
not increase greenhouse gas emissions.



Sec.  1036.235  Testing requirements for certification.

    This section describes the emission testing you must perform to show 
compliance with the greenhouse gas emission standards in Sec.  1036.108.
    (a) Select a single emission-data engine from each engine family as 
specified in 40 CFR part 86. The standards of this part apply only with 
respect to emissions measured from this tested configuration and other 
configurations identified in Sec.  1036.205(e). Note that configurations 
identified in Sec.  1036.205(e) are considered to be ``tested 
configurations'' whether or not you actually tested them for 
certification. However, you must apply the same (or equivalent) emission 
controls to all other engine configurations in the engine family.
    (b) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part. In the case of dual-fuel 
and flexible-fuel engines, measure emissions when operating with each 
type of fuel for which you intend to certify the engine. Measure 
CO2, CH4, and N2O emissions using the 
specified duty cycle(s), including cold-start and hot-start testing as 
specified in 40 CFR part 86, subpart N. If you are certifying the engine 
for use in tractors, you must measure CO2 emissions using the 
SET cycle and measure CH4, and N2O emissions using 
the transient cycle. If you are certifying the engine for use in 
vocational applications, you must measure CO2, 
CH4, and N2O emissions using the specified 
transient duty cycle, including cold-start and hot-start testing as 
specified in 40 CFR part 86, subpart N. Engines certified for use in 
tractors may also be used in vocational vehicles; however, you may not 
knowingly circumvent the intent of this part (to reduce in-use emissions 
of CO2) by certifying engines designed for vocational 
vehicles (and rarely used in tractors) to the SET and not the transient 
cycle. For example, we would generally not allow you to certify all your 
engines to the SET without certifying any to the transient cycle. You 
may certify your engine family for both tractor and vocational use by 
submitting CO2 emission data from both SET and transient 
cycle testing and specifying FCLs for both.
    (c) We may measure emissions from any of your emission-data engines.
    (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 your engine, 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.
    (4) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything

[[Page 102]]

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.  1036.801) 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 
configuration in addition to the engine tested under paragraph (a) of 
this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.



Sec.  1036.241  Demonstrating compliance with greenhouse gas
pollutant standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the emission standards in Sec.  1036.108 if all 
emission-data engines representing the tested configuration of that 
engine family have test results showing official emission results and 
deteriorated emission levels at or below the standards. Note that your 
FCLs are considered to be the applicable emission standards with which 
you must comply for certification.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing the tested configuration of that engine family has 
test results showing an official emission result or a deteriorated 
emission level for any pollutant that is above an applicable emission 
standard (generally the FCL). Note that you may increase your FCL if any 
certification test results exceed your initial FCL.
    (c) Apply deterioration factors to the measured emission levels for 
each pollutant to show compliance with the applicable emission 
standards. Your deterioration factors must take into account any 
available data from in-use testing with similar engines. Apply 
deterioration factors as follows:
    (1) Additive deterioration factor for greenhouse gas 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 greenhouse gas 
emissions. Use a multiplicative deterioration factor for a pollutant if 
good engineering judgment calls for the deterioration factor for that 
pollutant to be the ratio of exhaust emissions at the end of the 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. 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) Sawtooth deterioration patterns. The deterioration factors 
described in paragraphs (c)(1) and (2) of this section assume that the 
highest useful life emissions occur either at the end of useful life or 
at the low-hour test point. The provisions of this paragraph

[[Page 103]]

(c)(3) apply where good engineering judgment indicates that the highest 
useful life emissions will occur between these two points. For example, 
emissions may increase with service accumulation until a certain 
maintenance step is performed, then return to the low-hour emission 
levels and begin increasing again. Such a pattern may occur with 
battery-based electric hybrid engines. Base deterioration factors for 
engines with such emission patterns on the difference between (or ratio 
of) the point at which the highest emissions occur and the low-hour test 
point. Note that this applies for maintenance-related deterioration only 
where we allow such critical emission-related maintenance.
    (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.
    (e) If you identify more than one configuration in Sec.  
1036.205(e), we may test (or require you to test) any of the identified 
configurations. We may also require you to provide an engineering 
analysis that demonstrates that untested configurations listed in Sec.  
1036.205(e) comply with their FCL.



Sec.  1036.250  Reporting and recordkeeping for certification.

    (a) Within 90 days after the end of the model year, send the 
Designated Compliance Officer a report including the total U.S.-directed 
production volume of engines you produced in each engine family during 
the model year (based on information available at the time of the 
report). Report the production by serial number and engine 
configuration. Small manufacturers may omit this requirement. You may 
combine this report with reports required under subpart H of this part.
    (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.  1036.205 that you 
were not required to include in your application.
    (c) Keep routine data from emission tests required by this part 
(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.  1036.255  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). This includes doing anything 
after submission of your application to render any of the submitted 
information false or incomplete.
    (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. However,

[[Page 104]]

you may ask us to reconsider our decision by showing that your failure 
under this paragraph (c)(4) did not involve engines related to the 
certificate or application in question to a degree that would justify 
our decision.
    (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, with respect to your engine family.
    (d) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information as 
required under this part or the Act. Note that these are also violations 
of 40 CFR 1068.101(a)(2).
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information. This includes rendering 
submitted information false or incomplete after submission.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1036.820).

Subpart D [Reserved]



                        Subpart E_In-use Testing



Sec.  1036.401  In-use testing.

    We may perform in-use testing of any engine family subject to the 
standards of this part, consistent with the provisions of Sec.  
1036.235. Note that this provisions does not affect your obligation to 
test your in-use engines as described in 40 CFR part 86, subpart T.



                        Subpart F_Test Procedures



Sec.  1036.501  How do I run a valid emission test?

    (a) Use the equipment and procedures specified in 40 CFR 86.1305 to 
determine whether engines meet the emission standards in Sec.  1036.108.
    (b) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (c) 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.
    (d) For engines that use aftertreatment technology with infrequent 
regeneration events, invalidate any test interval in which such a 
regeneration event occurs with respect to CO2, 
N2O, and CH4 measurements.
    (e) Test hybrid engines as described in 40 CFR part 1065 and Sec.  
1036.525.
    (f) [Reserved]
    (g) If your engine requires special components for proper testing, 
you must provide any such components to us if we ask for them.



Sec.  1036.525  Hybrid engines.

    (a) If your engine system includes features that recover and store 
energy during engine motoring operation test the engine as described in 
paragraph (d) of this section. For purposes of this section, features 
that recover energy between the engine and transmission are considered 
related to engine motoring.
    (b) If you produce a hybrid engine designed with power take-off 
capability and sell the engine coupled with a transmission, you may 
calculate a reduction in CO2 emissions resulting from the 
power take-off operation as described in 40 CFR 1037.525. Use good 
engineering judgment to use the vehicle-based procedures to quantify the 
CO2 reduction for your engines.
    (c) The hardware that must be included in these tests is the engine, 
the hybrid electric motor, the rechargeable energy storage system (RESS) 
and the power electronics between the hybrid electric motor and the 
RESS. You may ask us to modify the provisions of this section to allow 
testing non-electric hybrid vehicles, consistent with good engineering 
judgment.
    (d) Measure emissions using the same procedures that apply for 
testing non-hybrid engines under this part, except as specified 
otherwise in this part and/or 40 CFR part 1065. If you test hybrid 
engines using the SET, deactivate the

[[Page 105]]

hybrid features unless we have specified otherwise. The five differences 
that apply under this section are related to engine mapping, engine 
shutdown during the test cycle, calculating work, limits on braking 
energy, and state of charge constraints.
    (1) Map the engine as specified in 40 CFR 1065.510. This requires 
separate torque maps for the engine with and without the hybrid features 
active. For transient testing, denormalize the test cycle using the map 
generated with the hybrid feature active. For steady-state testing, 
denormalize the test cycle using the map generated with the hybrid 
feature inactive.
    (2) If the engine will be configured in actual use to shut down 
automatically during idle operation, you may let the engine shut down 
during the idle portions of the test cycle.
    (3) Follow 40 CFR 1065.650(d) to calculate the work done over the 
cycle except as specified in this paragraph (d)(3). For the positive 
work over the cycle set negative power from hybrid to zero. For the 
negative work over the cycle set the positive power to zero and set the 
non-hybrid power to zero.
    (4)(i) Calculate brake energy fraction, xb, as the 
integrated negative work over the cycle divided by the integrated 
positive work over the cycle according to Equation 1036.525-1. Calculate 
the brake energy limit for the engine, xbl, according to 
Equation 1036.525-2. If xb is less than xbl, use 
the integrated positive work for your emission calculations. If the 
xb is greater than xbl use Equation 1036.525-3 to 
calculate the positive work done over the cycle. Use Wcycle 
as the integrated positive work when calculating brake-specific 
emissions. To avoid the need to delete extra brake work from positive 
work you may set an instantaneous brake target that will prevent 
xb from being larger than xbl,
[GRAPHIC] [TIFF OMITTED] TR15SE11.007

    (ii) The following definitions of terms apply for this paragraph 
(d)(4):
    xb = the brake energy fraction.
    Wneg = the negative work over the cycle.
    Wpos = the positive work over the cycle.
    xbl = the brake energy fraction limit.
    Pmax = the maximum power of the engine with the hybrid 
system engaged (kW).
    Wcycle = the work over the cycle when xb is 
greater than xbl.
    (iii) Note that these calculations are specified with SI units (such 
as kW),

[[Page 106]]

consistent with 40 CFR part 1065. Emission results are converted to g/
hp-hr at the end of the calculations.
    (5) Correct for the net energy change of the energy storage device 
as described in 40 CFR 1066.501.

[76 FR 57381, Sept. 15, 2011, as amended at 78 FR 36389, June 17, 2013]



Sec.  1036.530  Calculating greenhouse gas emission rates.

    This section describes how to calculate official emission results 
for CO2, CH4, and N2O.
    (a) Calculate brake-specific emission rates for each applicable duty 
cycle as specified in 40 CFR 1065.650. Do not apply infrequent 
regeneration adjustment factors to your results.
    (b) Adjust CO2 emission rates calculated under paragraph 
(a) of this section for measured test fuel properties as specified in 
this paragraph (b) to obtain the official emission results. You are not 
required to apply this adjustment for fuels containing at least 75 
percent pure alcohol, such as E85. The purpose of this adjustment is to 
make official emission results independent of differences in test fuels 
within a fuel type. Use good engineering judgment to develop and apply 
testing protocols to minimize the impact of variations in test fuels.
    (1) For liquid fuels, determine the net energy content (Btu per 
pound of fuel) according to ASTM D4809 or ASTM D240 (both incorporated 
by reference in Sec.  1036.810) and carbon weight fraction 
(dimensionless) of your test fuel according to ASTM D5291 (incorporated 
by reference in Sec.  1036.810). (Note that we recommend using ASTM 
D4809.) For gaseous fuels, use good engineering judgment to determine 
the fuel's net energy content and carbon weight fraction. (Note: Net 
energy content is also sometimes known as lower heating value.) 
Calculate the test fuel's carbon-specific net energy content (Btu/lbC) 
by dividing the net energy content by the carbon fraction, expressed to 
at least five significant figures. You may perform these calculations 
using SI units with the following conversion factors: one Btu equals 
1055.06 Joules and one Btu/lb equals 0.0023260 MJ/kg.
    (2) If you control test fuel properties so that variations in the 
actual carbon-specific energy content are the same as or smaller than 
the repeatability of measuring carbon-specific energy content, you may 
use a constant value equal to the average carbon-specific energy content 
of your test fuel. Otherwise, use the measured value for the specific 
test fuel used for a given test. If you use a constant value, you must 
update or verify the value at least once per year, or after changes in 
test fuel suppliers or specifications.
    (3) Calculate the adjustment factor for carbon-specific net energy 
content by dividing the carbon-specific net energy content of your test 
fuel by the reference level in the following table, expressed to at 
least five decimal places. Note that as used in this section, the unit 
lbC means pound of carbon and kgC means kilogram of carbon.

------------------------------------------------------------------------
                                             Reference       Reference
                                              carbon-         carbon-
                Fuel type                  specific net    specific net
                                          energy content  energy content
                                             (Btu/lbC)       (MJ/kgC)
------------------------------------------------------------------------
Diesel fuel.............................          21,200         49.3112
Gasoline................................          21,700         50.4742
Natural Gas.............................          28,500         66.2910
LPG.....................................          24,300         56.5218
------------------------------------------------------------------------

    (4) Your official emission result equals your calculated brake-
specific emission rate multiplied by the adjustment factor specified in 
paragraph (b)(2) of this section. For example, if the net energy content 
and carbon fraction of your diesel test fuel are 18,400 Btu/lb and 
0.870, the carbon-specific net energy content of the test fuel would be 
21,149 Btu/lbC. The adjustment factor in the example above would be 
0.99759 (21,149/21,200). If your brake-specific CO2 emission 
rate was 630.0 g/hp-hr, your official emission result would be 628.5 g/
hp-hr.



                 Subpart G_Special Compliance Provisions



Sec.  1036.601  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 provisions of the Clean Air Act, and the following provisions of 40 
CFR part 1068:

[[Page 107]]

    (1) The exemption and importation provisions of 40 CFR part 1068, 
subparts C and D, apply for engines subject to this part 1036, except 
that the hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 
1068.255 do not apply for motor vehicle engines.
    (2) Manufacturers may comply with the defect reporting requirements 
of 40 CFR 1068.501 instead of the defect reporting requirements of 40 
CFR part 85.
    (b) Engines exempted from the applicable standards of 40 CFR part 86 
are exempt from the standards of this part without request.



Sec.  1036.610  Innovative technology credits and adjustments for 
reducing greenhouse gas emissions.

    (a) You may ask us to apply the provisions of this section for 
CO2 emission reductions resulting from powertrain 
technologies that were not in common use with heavy-duty vehicles before 
model year 2010 that are not reflected in the specified test procedure. 
We will apply these provisions only for technologies that will result in 
a measurable, demonstrable, and verifiable real-world CO2 
reduction.
    (b) The provisions of this section may be applied as either an 
improvement factor (used to adjust emission results) or as a separate 
credit, consistent with good engineering judgment. We recommend that you 
base your credit/adjustment on A to B testing of pairs of engines/
vehicles differing only with respect to the technology in question.
    (1) Calculate improvement factors as the ratio of in-use emissions 
with the technology divided by the in-use emissions without the 
technology. Adjust the emission results by multiplying by the 
improvement factor. Use the improvement-factor approach where good 
engineering judgment indicates that the actual benefit will be 
proportional to emissions measured over the test procedures specified in 
this part. For example, the benefits from technologies that reduce 
engine operation would generally be proportional to the engine's 
emission rate.
    (2) Calculate separate credits based on the difference between the 
in-use emission rate (g/ton-mile) with the technology and the in-use 
emission rate without the technology. Multiply this difference by the 
number of engines, standard payload, and useful life. We may also allow 
you to calculate the credits based on g/hp-hr emission rates. Use the 
separate-credit approach where good engineering judgment indicates that 
the actual benefit will not be proportional to emissions measured over 
the test procedures specified in this part.
    (3) We may require you to discount or otherwise adjust your 
improvement factor or credit to account for uncertainty or other 
relevant factors.
    (c) Send your request to the Designated Compliance Officer. Include 
a detailed description of the technology and a recommended test plan. 
Also state whether you recommend applying these provisions using the 
improvement-factor method or the separate-credit method. We recommend 
that you do not begin collecting test data (for submission to EPA) 
before contacting us. For technologies for which the vehicle 
manufacturer could also claim credits (such as transmissions in certain 
circumstances), we may require you to include a letter from the vehicle 
manufacturer stating that it will not seek credits for the same 
technology.
    (d) We may seek public comment on your request, consistent with the 
provisions of 40 CFR 86.1866-12(d)(3). However, we will generally not 
seek public comment on credits/adjustments based on A to B engine 
dynamometer testing, chassis testing, or in-use testing.



Sec.  1036.615  Engines with Rankine cycle waste heat recovery
and hybrid powertrains.

    This section specifies how to generate advanced technology-specific 
emission credits for hybrid powertrains that include energy storage 
systems and regenerative braking (including regenerative engine braking) 
and for engines that include Rankine-cycle (or other bottoming cycle) 
exhaust energy recovery systems.
    (a) Pre-transmission hybrid powertrains. Test pre-transmission 
hybrid powertrains with the hybrid engine test procedures of 40 CFR part 
1065 or with the post-transmission test procedures in 40 CFR 1037.550. 
Pre-transmission hybrid powertrains are those engine systems that 
include features to

[[Page 108]]

recover and store energy during engine motoring operation but not from 
the vehicle's wheels.
    (1) Pre-transmission hybrid powertrains are those engine systems 
that include features that recover and store energy during engine 
motoring operation but not from the vehicle wheels. These powertrains 
are tested using the hybrid engine test procedures of 40 CFR part 1065 
or using the post-transmission test procedures in 40 CFR 1037.550.
    (2) Post-transmission hybrid powertrains are those powertrains that 
include features that recover and store energy from braking but that 
cannot function as hybrids without the transmission. These powertrains 
must have a single output shaft to the final drive and are tested by 
simulating the chassis test procedure applicable for hybrid vehicles 
under 40 CFR 1037.550. You need our approval before you begin testing.
    (b) Rankine engines. Test engines that include Rankine-cycle exhaust 
energy recovery systems according to the test procedures specified in 
subpart F of this part unless we approve alternate procedures.
    (c) Calculating credits. Calculate credits as specified in subpart H 
of this part. Credits generated from engines and powertrains certified 
under this section may be used in other averaging sets as described in 
Sec.  1036.740(c).
    (d) Innovative technologies. You may certify using both provisions 
of this section and the innovative technology provisions of Sec.  
1036.610, provided you do not double count emission benefits.

[76 FR 57381, Sept. 15, 2011, as amended at 78 FR 36389, June 17, 2013]



Sec.  1036.620  Alternate CO[bdi2] standards based on model
year 2011 compression-ignition engines.

    For model years 2014 through 2016, you may certify your compression-
ignition engines to the CO2 standards of this section instead 
of the CO2 standards in Sec.  1036.108. However, you may not 
certify engines to these alternate standards if they are part of an 
averaging set in which you carry a balance of banked credits. You may 
submit applications for certifications before using up banked credits in 
the averaging set, but such certificates will not become effective until 
you have used up (or retired) your banked credits in the averaging set. 
For purposes of this section, you are deemed to carry credits in an 
averaging set if you carry credits from advanced technology that are 
allowed to be used in that averaging set.
    (a) The standards of this section are determined from the measured 
emission rate of the test engine of the applicable baseline 2011 engine 
family(ies) as described in paragraphs (b) and (c) of this section. 
Calculate the CO2 emission rate of the baseline test engine 
using the same equations used for showing compliance with the otherwise 
applicable standard. The alternate CO2 standard for light and 
medium heavy-duty vocational-certified engines (certified for 
CO2 using the transient cycle) is equal to the baseline 
emission rate multiplied by 0.975. The alternate CO2 standard 
for tractor-certified engines (certified for CO2 using the 
SET cycle) and all other heavy heavy-duty engines is equal to the 
baseline emission rate multiplied by 0.970. The in-use FEL for these 
engines is equal to the alternate standard multiplied by 1.03.
    (b) This paragraph (b) applies if you do not certify all your engine 
families in the averaging set to the alternate standards of this 
section. Identify separate baseline engine families for each engine 
family that you are certifying to the alternate standards of this 
section. For an engine family to be considered the baseline engine 
family, it must meet the following criteria:
    (1) It must have been certified to all applicable emission standards 
in model year 2011. If the baseline engine was certified to a 
NOX FEL above the standard and incorporated the same emission 
control technologies as the new engine family, you may adjust the 
baseline CO2 emission rate to be equivalent to an engine 
meeting the 0.20 g/hp-hr NOX standard (or your higher FEL as 
specified in this paragraph (b)(1)), using certification results from 
model years 2009 through 2011, consistent with good engineering 
judgment.
    (i) Use the following equation to relate model year 2009-2011 
NOX and CO2

[[Page 109]]

emission rates (g/hp-hr): CO2 = a x log(NOX) + b.
    (ii) For model year 2014-2016 engines certified to NOX 
FELs above 0.20 g/hp-hr, correct the baseline CO2 emissions 
to the actual NOX FELs of the 2014-2016 engines.
    (iii) Calculate separate adjustments for transient and SET 
emissions.
    (2) The baseline configuration tested for certification must have 
the same engine displacement as the engines in the engine family being 
certified to the alternate standards, and its rated power must be within 
five percent of the highest rated power in the engine family being 
certified to the alternate standards.
    (3) The model year 2011 U.S.-directed production volume of the 
configuration tested must be at least one percent of the total 2011 
U.S.-directed production volume for the engine family.
    (4) The tested configuration must have cycle-weighted BSFC 
equivalent to or better than all other configurations in the engine 
family.
    (c) This paragraph (c) applies if you certify all your engine 
families in the primary intended service class to the alternate 
standards of this section. For purposes of this section, you may combine 
light heavy-duty and medium heavy-duty engines into a single averaging 
set. Determine your baseline CO2 emission rate as the 
production-weighted emission rate of the certified engine families you 
produced in the 2011 model year. If you produce engines for both 
tractors and vocational vehicles, treat them as separate averaging sets. 
Adjust the CO2 emission rates to be equivalent to an engine 
meeting the average NOX FEL of new engines (assuming engines 
certified to the 0.20 g/hp-hr NOX standard have a 
NOX FEL equal to 0.20 g/hp-hr), as described in paragraph 
(b)(1) of this section.
    (d) Include the following statement on the emission control 
information label: ``THIS ENGINE WAS CERTIFIED TO AN ALTERNATE 
CO2 STANDARD UNDER Sec.  1036.620.''
    (e) You may not bank CO2 emission credits for any engine 
family in the same averaging set and model year in which you certify 
engines to the standards of this section. You may not bank any advanced 
technology credits in any averaging set for the model year you certify 
under this section (since such credits would be available for use in 
this averaging set). Note that the provisions of Sec.  1036.745 apply 
for deficits generated with respect to the standards of this section.
    (f) You need our approval before you may certify engines under this 
section, especially with respect to the numerical value of the alternate 
standards. We will not approve your request if we determine that you 
manipulated your engine families or test engine configurations to 
certify to less stringent standards, or that you otherwise have not 
acted in good faith. You must keep and provide to us any information we 
need to determine that your engine families meet the requirements of 
this section. Keep these records for at least five years after you stop 
producing engines certified under this section.



Sec.  1036.625  In-use compliance with family emission limits (FELs).

    You may ask us to apply a higher in-use FEL for certain in-use 
engines, subject to the provisions of this section. Note that Sec.  
1036.225 contains provisions related to changing FELs during a model 
year.
    (a) Purpose. This section is intended to address circumstances in 
which it is in the public interest to apply a higher in-use FEL based on 
forfeiting an appropriate number of emission credits.
    (b) FELs. When applying higher in-use FELs to your engines, we would 
intend to accurately reflect the actual in-use performance of your 
engines, consistent with the specified testing provisions of this part.
    (c) Equivalent families. We may apply the higher FELs to other 
families in other model years if they used equivalent emission controls.
    (d) Credit forfeiture. Where we specify higher in-use FELs under 
this section, you must forfeit CO2 emission credits based on 
the difference between the in-use FEL and the otherwise applicable FEL. 
Calculate the amount of credits to be forfeited using the applicable 
equation in Sec.  1036.705, by substituting the otherwise applicable FEL 
for the standard and the in-use FEL for the otherwise applicable FEL.

[[Page 110]]

    (e) Requests. Submit your request to the Designated Compliance 
Officer. Include the following in your request:
    (1) The engine family name and model year of the engines affected.
    (2) A list of other engine families/model years that may be 
affected.
    (3) The otherwise applicable FEL for the engine families along with 
your recommendations for higher in-use FELs.
    (4) Your source of credits for forfeiture.
    (f) Relation to recall. You may not request higher in-use FELs for 
any engine families for which we have made a determination of 
nonconformance and ordered a recall. You may, however, make such 
requests for engine families for which you are performing a voluntary 
emission recall.
    (g) Approval. We may approve your request if we determine that you 
meet the requirements of this section and such approval is in the public 
interest. We may include appropriate conditions with our approval or we 
may approve your request with modifications.



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1036.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart and in subpart B 
of this part to show compliance with the standards of Sec.  1036.108. 
Participation in this program is voluntary. (Note: As described in 
subpart B of this part, you must assign an FCL to all engine families, 
whether or not they participate in the ABT provisions of this subpart.)
    (b) [Reserved]
    (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. Credits generated by one engine may only be used by 
other engines in the same averaging set. See Sec.  1036.740.
    (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) Emission credits may be exchanged only within an averaging set 
as specified in Sec.  1036.740.
    (e) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FCL 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 FCL or standard (for example, during 
a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FCL that applies only to 
future production.
    (f) Emission credits may be used in the model year they are 
generated. Surplus emission credits may be banked for future model 
years. Surplus emission credits may sometimes be used for past model 
years, as described in Sec.  1036.745.
    (g) You may increase or decrease an FCL during the model year by 
amending your application for certification under Sec.  1036.225. The 
new FCL may apply only to engines you have not already introduced into 
commerce.
    (h) You may trade emission credits generated from any number of your 
engines to the engine purchasers or other parties to retire the credits. 
Identify any such credits in the reports described in Sec.  1036.730. 
Engines must comply with the applicable FELs even if you donate or sell 
the corresponding emission credits under this paragraph (h). Those 
credits may no longer be

[[Page 111]]

used by anyone to demonstrate compliance with any EPA emission 
standards.
    (i) See Sec.  1036.740 for special credit provisions that apply for 
credits generated under Sec.  1036.615 or 40 CFR 1037.104(d)(7) or 
1037.615.
    (j) Unless the regulations explicitly allow it, you may not 
calculate credits more than once for any emission reduction. For 
example, if you generate CO2 emission credits for a hybrid 
engine under this part for a given vehicle, no one may generate 
CO2 emission credits for that same hybrid engine and vehicle 
under 40 CFR part 1037. However, credits could be generated for 
identical vehicles using engines that did not generate credits under 
this part.



Sec.  1036.705  Generating and calculating emission credits.

    (a) The provisions of this section apply separately for calculating 
emission credits for each pollutant.
    (b) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard 
based on the engine family's FCL for greenhouse gases. If your engine 
family is certified to both the vocational and tractor engine standards, 
calculate credits separately for the vocational engines and the tractor 
engines (as specified in paragraph (b)(3) of this section). Calculate 
positive emission credits for a family that has an FCL below the 
standard. Calculate negative emission credits for a family that has an 
FCL above the standard.
    Sum your positive and negative credits for the model year before 
rounding. Round the sum of emission credits to the nearest megagram 
(Mg), using consistent units throughout the following equations:
    (1) For vocational engines:
    Emission credits (Mg) = (Std-FCL) [middot] (CF) [middot] (Volume) 
[middot] (UL) [middot] (10-6)

Where:

    Std = the emission standard, in g/hp-hr, that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart (the ``otherwise applicable standard'').
    FCL = the Family Certification Level for the engine family, in g/hp-
hr, measured over the transient duty cycle, rounded to the same number 
of decimal places as the emission standard.
    CF = a transient cycle conversion factor (hp-hr/mile), calculated by 
dividing the total (integrated) horsepower-hour over the duty cycle 
(average of vocational engine configurations weighted by their 
production volumes) by 6.3 miles for spark-ignition engines and 6.5 
miles for compression-ignition engines. This represents the average work 
performed by vocational engines in the family over the mileage 
represented by operation over the duty cycle.
    Volume = the number of vocational 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.
    UL = the useful life for the given engine family, in miles.

    (2) For tractor engines:
    Emission credits (Mg) = (Std-FCL) [middot] (CF) [middot] (Volume) 
[middot] (UL) [middot] (10-6)

Where:

    Std = the emission standard, in g/hp-hr, that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart (the ``otherwise applicable standard'').
    FCL = the Family Certification Level for the engine family, in g/hp-
hr, measured over the SET duty cycle rounded to the same number of 
decimal places as the emission standard.
    CF = a transient cycle conversion factor (hp-hr/mile), calculated by 
dividing the total (integrated) horsepower-hour over the duty cycle 
(average of tractor-engine configurations weighted by their production 
volumes) by 6.3 miles for spark-ignition engines and 6.5 miles for 
compression-ignition engines. This represents the average work performed 
by tractor engines in the family over the mileage represented by 
operation over the duty cycle. Note that this calculation requires you 
to use the transient cycle conversion factor even for engines certified 
to SET-based standards. Volume = the number of tractor 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.
    UL = the useful life for the given engine family, in miles.

    (3) For engine families certified to both the vocational and tractor 
engine standards, we may allow you to use statistical methods to 
estimate the total production volumes where a small fraction of the 
engines cannot be tracked precisely.
    (4) You may not generate emission credits for tractor engines (i.e., 
engines not certified to the transient cycle for

[[Page 112]]

CO2) installed in vocational vehicles (including vocational 
tractors certified pursuant to 40 CFR 1037.630 or exempted pursuant to 
40 CFR 1037.631). We will waive this requirement where you demonstrate 
that less than five percent of the engines in your tractor family were 
installed in vocational vehicles. For example, if you know that 96 
percent of your tractor engines were installed in non-vocational 
tractors, but cannot determine the vehicle type for the remaining four 
percent, you may generate credits for all the engines in the family.
    (c) As described in Sec.  1036.730, compliance with the requirements 
of this subpart is determined at the end of the model year based on 
actual U.S.-directed production volumes. Keep appropriate records to 
document these production volumes. Do not include any of the following 
engines to calculate emission credits:
    (1) Engines that you do not certify to the CO2 standards 
of this part because they are 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.  1036.5. For example, do not include engines 
used in vehicles certified to the greenhouse gas standards of 40 CFR 
1037.104.
    (4) [Reserved]
    (5) Any other engines if we indicate elsewhere in this part 1036 
that they are not to be included in the calculations of this subpart.
    (d) You may use CO2 emission credits to show compliance 
with CH4 and/or N2O FELs instead of the otherwise 
applicable emission standards. To do this, calculate the CH4 
and/or N2O emission credits needed (negative credits) using 
the equation in paragraph (b) of this section, using the FEL(s) you 
specify for your engines during certification instead of the FCL. You 
must use 25 Mg of positive CO2 credits to offset 1 Mg of 
negative CH4 credits. You must use 298 Mg of positive 
CO2 credits to offset 1 Mg of negative N2O 
credits.



Sec.  1036.710  Averaging.

    (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 FCL above the 
applicable standard, subject to any applicable FEL caps and other the 
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, or 
that a negative balance is allowed under Sec.  1036.745.
    (c) If you certify an engine family to an FCL 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.  1036.730. The emission credits used to address 
the deficit may come from your other engine families that generate 
emission credits in the same model year (or from later model years as 
specified in Sec.  1036.745), from emission credits you have banked, or 
from emission credits you obtain through trading.



Sec.  1036.715  Banking.

    (a) Banking is the retention of surplus 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.  1036.730 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.
    (d) Banked credits retain the designation of the averaging set in 
which they were generated.



Sec.  1036.720  Trading.

    (a) Trading is the exchange of emission credits between 
manufacturers, or the transfer of credits to another party to retire 
them. You may use traded

[[Page 113]]

emission credits for averaging, banking, or further trading 
transactions. Traded emission credits remain subject to the averaging-
set restrictions based on 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.  1036.255(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.  1036.745.



Sec.  1036.725  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/
FCL 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/FCL 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; or a statement 
that you will have a negative balance of emission credits for one or 
more averaging sets, but that it is allowed under Sec.  1036.745.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected U.S.-directed production volumes. We may 
require you to include similar calculations from your other engine 
families to project your net credit balances 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.  1036.730  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.
    (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 and averaging set.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FCL for each pollutant. If you change the FCL after the 
start of production, identify the date that you started using the new 
FCL and/or give the engine identification number for the first engine 
covered by the new FCL. In this case, identify each applicable FCL and 
calculate the positive or negative emission credits as specified in 
Sec.  1036.225.
    (4) The projected and actual U.S.-directed production volumes for 
the model year. If you changed an FCL during the model year, identify 
the actual production volume associated with each FCL.
    (5) The transient cycle conversion factor for each engine 
configuration as described in Sec.  1036.705.
    (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, except as allowed under Sec.  1036.745.

[[Page 114]]

    (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.
    (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.



Sec.  1036.735  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. Sec.  1036.725 and 
1036.730.
    (d) Keep records of the engine identification number (usually the 
serial 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 FCL and the range of engine 
identification numbers associated with each FCL. 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.



Sec.  1036.740  Restrictions for using emission credits.

    The following restrictions apply for using emission credits:
    (a) Averaging sets. Except as specified in paragraph (c) of this 
section, emission credits may be exchanged only within an following 
averaging sets There are four principal averaging sets for engines 
subject to this subpart:
    (1) Spark-ignition engines.
    (2) Compression-ignition light heavy-duty engines.
    (3) Compression-ignition medium heavy-duty engines.
    (4) Compression-ignition heavy heavy-duty engines.
    (b) Applying credits to prior year deficits. Where your credit 
balance for the

[[Page 115]]

previous year is negative, you may apply credits to that credit deficit 
only after meeting your credit obligations for the current year.
    (c) Credits from hybrid engines and other advanced technologies. The 
averaging set restrictions of paragraph (a) of this section do not apply 
for credits generated under Sec.  1036.615 or 40 CFR 1037.104(d)(7) or 
1037.615 from hybrid power systems with regenerative braking, or from 
other advanced technologies. Such credits may also be used under 40 CFR 
part 1037.
    (1) The maximum amount of credits you may bring into the following 
service class groups is 60,000 Mg per model year:
    (i) Spark-ignition engines, light heavy-duty compression-ignition 
engines, and light heavy-duty vehicles. This group comprises the 
averaging sets listed in paragraphs (a)(1) and (2) of this section and 
the averaging set listed in 40 CFR 1037.740(a)(1).
    (ii) Medium heavy-duty compression-ignition engines and medium 
heavy-duty vehicles. This group comprises the averaging sets listed in 
paragraph (a)(3) of this section and 40 CFR 1037.740(a)(2).
    (iii) Heavy heavy-duty compression-ignition engines and heavy heavy-
duty vehicles. This group comprises the averaging sets listed in 
paragraph (a)(4) of this section and 40 CFR 1037.740(a)(3).
    (2) The limit specified in paragraph (c)(1) of this section does not 
limit the amount of advanced technology credits that can be used within 
a service class group if they were generated in that same service class 
group.
    (d) Credit life. Credits expire after five years.
    (e) Other restrictions. Other sections of this part specify 
additional restrictions for using emission credits under certain special 
provisions.



Sec.  1036.745  End-of-year CO[bdi2] credit deficits.

    Except as allowed by this section, we may void the certificate of 
any engine family certified to an FCL above the applicable standard for 
which you do not have sufficient credits by the deadline for submitting 
the final report.
    (a) Your certificate for an engine family for which you do not have 
sufficient CO2 credits will not be void if you remedy the 
deficit with surplus credits within three model years. For example, if 
you have a credit deficit of 500 Mg for an engine family at the end of 
model year 2015, you must generate (or otherwise obtain) a surplus of at 
least 500 Mg in that same averaging set by the end of model year 2018.
    (b) You may not bank or trade away CO2 credits in the 
averaging set in any model year in which you have a deficit.
    (c) You may apply only surplus credits to your deficit. You may not 
apply credits to a deficit from an earlier model year if they were 
generated in a model year for which any of your engine families for that 
averaging set had an end-of-year credit deficit.
    (d) If you do not remedy the deficit with surplus credits within 
three model years, we may void your certificate for that engine family. 
We may void the certificate based on your end-of-year report. Note that 
voiding a certificate applies ab initio. Where the net deficit is less 
than the total amount of negative credits originally generated by the 
family, we will void the certificate only with respect to the number of 
engines needed to reach the amount of the net deficit. For example, if 
the original engine family generated 500 Mg of negative credits, and the 
manufacturer's net deficit after three years was 250 Mg, we would void 
the certificate with respect to half of the engines in the family.



Sec.  1036.750  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 conditioned 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 FCL above an applicable 
standard based on a projection that you will have enough emission 
credits

[[Page 116]]

to offset the deficit for the engine family. See Sec.  1036.745 for 
provisions specifying what happens 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. Note that failing to keep records, send reports, or give us 
information we request is also a violation of 42 U.S.C. 7522(a)(2).
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec.  1036.820).



Sec.  1036.755  Information provided to the Department of Transportation.

    After receipt of each manufacturer's final report as specified in 
Sec.  1036.730 and completion of any verification testing required to 
validate the manufacturer's submitted final data, we will issue a report 
to the Department of Transportation with CO2 emission 
information and will verify the accuracy of each manufacturer's 
equivalent fuel consumption data that required by NHTSA under 49 CFR 
535.8. We will send a report to DOT for each engine manufacturer based 
on each regulatory category and subcategory, including sufficient 
information for NHTSA to determine fuel consumption and associated 
credit values. See 49 CFR 535.8 to determine if NHTSA deems submission 
of this information to EPA to also be a submission to NHTSA.



          Subpart I_Definitions and Other Reference Information



Sec.  1036.801  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 Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter has the meaning given in 40 CFR part 86.
    Advanced technology means technology certified under Sec.  1036.615, 
40 CFR 1037.104(d)(7) or 1037.615.
    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 mean 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.
    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.
    Averaging set has the meaning given in Sec.  1036.740.
    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.  1036.235(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 the applicable 
transient and/or steady-state testing, rounded to the same number of 
decimal places as the applicable standard. Note that you may have two 
certified emission levels for CO2 if you certify a family for 
both vocational and tractor use.
    Complete vehicle means a vehicle meeting the definition of complete 
vehicle in 40 CFR 1037.801 when it is first sold as a vehicle. For 
example, where a

[[Page 117]]

vehicle manufacturer sells an incomplete vehicle to a secondary 
manufacturer, the vehicle is not a complete vehicle under this part, 
even after its final assembly.
    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.
    Criteria pollutants means emissions of NOX, HC, PM, and 
CO. Note that these pollutants are also sometimes described collectively 
as ``non-greenhouse gas pollutants'', although they do not necessarily 
have negligible global warming potentials.
    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. Note that where no 
deterioration factor applies, references in this part to the 
deteriorated emission level mean the official emission result.
    Deterioration factor means the relationship between emissions at the 
end of useful life (or point of highest emissions if it occurs before 
the end of useful life) and emissions at the low-hour/low-mileage test 
point, expressed in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life (or point of highest emissions) to emissions 
at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life (or point of highest emissions) and 
emissions at the low-hour test point.
    Dual-fuel means relating to an engine designed for operation on two 
different types of fuel 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 configuration means a unique combination of engine hardware 
and calibration (related to the emission standards) within an engine 
family. Engines within a single engine configuration differ only with 
respect to normal production variability or factors unrelated to 
compliance with emission standards.
    Engine family has the meaning given in Sec.  1036.230.
    Excluded means relating to engines that are not subject to some or 
all of the requirements of this part as follows:
    (1) An engine that has been determined not to be a heavy-duty engine 
is excluded from this part.
    (2) Certain heavy-duty engines are excluded from the requirements of 
this part under Sec.  1036.5.
    (3) Specific regulatory provisions of this part may exclude a heavy-
duty engine generally subject to this part from one or more specific 
standards or requirements of this part.
    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.

[[Page 118]]

    Family certification level (FCL) means a CO2 emission 
level declared by the manufacturer that is at or above emission test 
results for all emission-data engines. The FCL serves as the emission 
standard for the engine family with respect to certification testing if 
it is different than the otherwise applicable standard. The FCL must be 
expressed to the same number of decimal places as the emission standard 
it replaces.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard (other than CO2 standards) under the ABT program in 
subpart H of this part. The FEL must be expressed to the same number of 
decimal places as the emission standard it replaces. The FEL serves as 
the emission standard for the engine family with respect to all required 
testing except certification testing for CO2. The 
CO2 FEL is equal to the CO2 FCL multiplied by 1.03 
and rounded to the same number of decimal places as the standard (e.g., 
the nearest whole g/hp-hr for the 2016 CO2 standards).
    Flexible-fuel means relating to an engine designed for operation on 
any mixture of two or more different types of fuels.
    Fuel type means a general category of fuels such as diesel fuel, 
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.
    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.
    Greenhouse gas pollutants and greenhouse gases means compounds 
regulated under this part based primarily on their impact on the 
climate. This includes CO2, CH4, and 
N2O.
    Gross vehicle weight rating (GVWR) means the value specified by the 
vehicle manufacturer as the maximum design loaded weight of a single 
vehicle, consistent with good engineering judgment.
    Heavy-duty engine means any engine which the engine manufacturer 
could reasonably expect to be used for motive power in a heavy-duty 
vehicle. For purposes of this definition in this part, the term 
``engine'' includes internal combustion engines and other devices that 
convert chemical fuel into motive power. For example, a fuel cell used 
in a heavy-duty vehicle is a heavy-duty engine.
    Heavy-duty vehicle means any motor vehicle above 8,500 pounds GVWR 
or that has a vehicle curb weight above 6,000 pounds or that has a basic 
vehicle frontal area greater than 45 square feet. Curb weight has the 
meaning given in 40 CFR 86.1803, consistent with the provisions of 40 
CFR 1037.140. Basic vehicle frontal area has the meaning given in 40 CFR 
86.1803.
    Hybrid engine or hybrid powertrain means an engine or powertrain 
that includes energy storage features other than a conventional battery 
system or conventional flywheel. Supplemental electrical batteries and 
hydraulic accumulators are examples of hybrid energy storage systems. 
Note that certain provisions in this part treat hybrid engines and 
powertrains intended for vehicles that include regenerative braking 
differently than those intended for vehicles that do not include 
regenerative braking.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type. For alcohol-fueled engines, HC 
means nonmethane hydrocarbon equivalent (NMHCE). 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.
    Incomplete vehicle means a vehicle meeting the definition of 
incomplete vehicle in 40 CFR 1037.801 when it is first sold as a 
vehicle.
    Innovative technology means technology certified under Sec.  
1036.610.
    Liquefied petroleum gas (LPG) means a liquid hydrocarbon fuel that 
is stored under pressure and is composed primarily of nonmethane 
compounds that are gases at atmospheric conditions.

[[Page 119]]

    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.
    Manufacture means the physical and engineering process of designing, 
constructing, and/or assembling a heavy-duty engine or a heavy-duty 
vehicle.
    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 engine into commerce in the United States. 
This includes importers who import engines or vehicles for resale.
    Medium-duty passenger vehicle has the meaning given in 40 CFR 
86.1803.
    Model year means the manufacturer's annual new model production 
period, except as restricted under this definition. It must include 
January 1 of the calendar year for which the model year is named, may 
not begin before January 2 of the previous calendar year, and it must 
end by December 31 of the named calendar year. Manufacturers may not 
adjust model years to circumvent or delay compliance with emission 
standards or to avoid the obligation to certify annually.
    Motor vehicle has the meaning given in 40 CFR 85.1703.
    Natural gas means a fuel whose primary constituent is methane.
    New motor vehicle engine means a motor vehicle engine meeting the 
criteria of either paragraph (1) or (2) of this definition.
    (1) A motor vehicle engine for which the ultimate purchaser has 
never received the equitable or legal title is a new motor vehicle 
engine. This kind of engine might commonly be thought of as ``brand 
new'' although a new motor vehicle engine may include previously used 
parts. Under this definition, the engine is new from the time it is 
produced until the ultimate purchaser receives the title or places it 
into service, whichever comes first.
    (2) An imported motor vehicle engine is a new motor vehicle engine 
if it was originally built on or after January 1, 1970.
    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, as measured according to 40 CFR part 1065.
    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 any required 
regeneration adjustment factors.
    Owner's manual means a document or collection of documents prepared 
by the engine or vehicle 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 
owner's 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.
    Percent has the meaning given in 40 CFR 1065.1001. Note that this 
means percentages identified in this part are assumed to be infinitely 
precise without regard to the number of significant figures. For 
example, one percent of 1,493 is 14.93.
    Petroleum means gasoline or diesel fuel or other fuels normally 
derived from crude oil. This does not include methane or LPG.
    Placed into service means put into initial use for its intended 
purpose.
    Preliminary approval means approval granted by an authorized EPA 
representative prior to submission of an application for certification, 
consistent with the provisions of Sec.  1036.210.
    Primary intended service class has the meaning given in Sec.  
1036.140.
    Rated power has the meaning given in 40 CFR part 86.
    Rechargeable Energy Storage System (RESS) means the component(s) of 
a hybrid engine or vehicle that store recovered energy for later use, 
such as

[[Page 120]]

the battery system in an electric hybrid vehicle.
    Revoke has the meaning given 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 manufacturer means a manufacturer meeting the criteria 
specified in 13 CFR 121.201. For manufacturers owned by a parent 
company, the employee and revenue limits apply to the total number of 
employees and total revenue 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.
    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.
    Tractor means a vehicle meeting the definition of ``tractor'' in 40 
CFR 1037.801, but not classified as a ``vocational tractor'' under 40 
CFR 1037.630, or relating to such a vehicle.
    Tractor engine means an engine certified for use in tractors. Where 
an engine family is certified for use in both tractors and vocational 
vehicles, ``tractor engine'' means an engine that the engine 
manufacturer reasonably believes will be (or has been) installed in a 
tractor. Note that the provisions of this part may require a 
manufacturer to document how it determines that an engine is a tractor 
engine.
    Ultimate purchaser means, with respect to any new engine or vehicle, 
the first person who in good faith purchases such new engine or vehicle 
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 engines, 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 does not include 
engines certified to state emission standards that are different than 
the emission standards in this part.
    Vehicle has the meaning given in 40 CFR 1037.801.
    Vocational engine means an engine certified for use in vocational 
vehicles. Where an engine family is certified for use in both tractors 
and vocational vehicles, ``vocational engine'' means an engine that the 
engine manufacturer reasonably believes will be (or has been) installed 
in a vocational vehicle. Note that the provisions of this part may 
require a manufacturer to document how it determines that an engine is a 
vocational engine.
    Vocational vehicle means a vehicle meeting the definition of 
``vocational'' vehicle in 40 CFR 1037.801.
    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.

[76 FR 57381, Sept. 15, 2011, as amended at 78 FR 36390, June 17, 2013]



Sec.  1036.805  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:
    ABT averaging, banking, and trading.
    AECD auxiliary emission control device.

[[Page 121]]

    ASTM American Society for Testing and Materials.
    BTU British thermal units.
    CFR Code of Federal Regulations.
    CH4 methane.
    CO carbon monoxide.
    CO2 carbon dioxide.
    DF deterioration factor.
    DOT Department of Transportation.
    E85 gasoline blend including nominally 85 percent ethanol.
    EPA Environmental Protection Agency.
    FCL Family Certification Level.
    FEL Family Emission Limit.
    g/hp-hr grams per brake horsepower-hour.
    GVWR gross vehicle weight rating.
    HC hydrocarbon.
    kg kilogram.
    kgC kilogram carbon.
    kW kilowatts.
    lb pound.
    lbC pound carbon.
    LPG liquefied petroleum gas.
    Mg megagrams (10 \6\ grams, or one metric ton).
    MJ megajoules.
    N2O nitrous oxide.
    NARA National Archives and Records Administration.
    NHTSA National Highway Traffic Safety Administration.
    NOx oxides of nitrogen (NO and NO2).
    NTE not-to-exceed.
    PM particulate matter.
    RESS rechargeable energy storage system.
    RPM revolutions per minute.
    SET Supplemental Emission Test (see 40 CFR 86.1362).
    U.S. United States.
    U.S.C. United States Code.



Sec.  1036.810  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Environmental Protection Agency must 
publish a notice of the change in the Federal Register and the material 
must be available to the public. All approved material is available for 
inspection at U.S. EPA, Air and Radiation Docket and Information Center, 
1301 Constitution Ave., NW., Room B102, EPA West Building, Washington, 
DC 20460, (202) 202-1744, and is available from the sources listed 
below. It is also available for inspection 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.
    (b) American Society for Testing and Materials, 100 Barr Harbor 
Drive, P.O. Box C700, West Conshohocken, PA, 19428-2959, (610) 832-9585, 
http://www.astm.org/.
    (1) ASTM D 240-09 Standard Test Method for Heat of Combustion of 
Liquid Hydrocarbon Fuels by Bomb Calorimeter, approved July 1, 2009, IBR 
approved for Sec.  1036.530(b).
    (2) ASTM D4809-09a Standard Test Method for Heat of Combustion of 
Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method), 
approved September 1, 2009, IBR approved for Sec.  1036.530(b).
    (3) ASTM D5291-10 Standard Test Methods for Instrumental 
Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products 
and Lubricants, approved May 1, 2010, IBR approved for Sec.  
1036.530(b).



Sec.  1036.815  Confidential information.

    The provisions of 40 CFR 1068.10 apply for information you consider 
confidential.



Sec.  1036.820  Requesting 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.

[[Page 122]]



Sec.  1036.825  Reporting and recordkeeping requirements.

    (a) This part includes various requirements to submit and record 
data or other information. Unless we specify otherwise, store required 
records in any format and on any media and keep them readily available 
for eight years after you send an associated application for 
certification, or eight years after you generate the data if they do not 
support an application for certification. You may not rely on anyone 
else to meet recordkeeping requirements on your behalf unless we 
specifically authorize it. We may review these records at any time. You 
must promptly send us organized, written records in English if we ask 
for them. We may require you to submit written records in an electronic 
format.
    (b) The regulations in Sec.  1036.255 and 40 CFR 1068.25 and 
1068.101 describe your obligation to report truthful and complete 
information. This includes information not related to certification. 
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.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec.  1036.801).
    (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. Keep 
these records for eight years unless the regulations specify a different 
period. We may require you to send us these records whether or not you 
are a certificate holder.
    (e) 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:
    (1) We specify the following requirements related to engine 
certification in this part 1036:
    (i) In Sec.  1036.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to equipment 
manufacturers.
    (ii) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (iii) 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.
    (iv) In Sec. Sec.  1036.725, 1036.730, and 1036.735 we specify 
certain records related to averaging, banking, and trading.
    (2) We specify the following requirements related to testing in 40 
CFR part 1066:
    (i) In 40 CFR 1066.2 we give an overview of principles for reporting 
information.
    (ii) [Reserved]



PART 1037_CONTROL OF EMISSIONS FROM NEW HEAVY-DUTY MOTOR
VEHICLES--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1037.1 Applicability
1037.5 Excluded vehicles.
1037.10 How is this part organized?
1037.15 Do any other regulation parts apply to me?
1037.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1037.101 Overview of emission standards for heavy-duty vehicles.
1037.102 Exhaust emission standards for NOX, HC, PM, and CO.
1037.103 Evaporative and refueling emission standards.
1037.104 Exhaust emission standards for CO2, CH4, 
          and N2O for heavy-duty vehicles at or below 14,000 
          pounds GVWR.
1037.105 Exhaust emission standards for CO2 for vocational 
          vehicles.
1037.106 Exhaust emission standards for CO2 for tractors 
          above 26,000 pounds GVWR.
1037.115 Other requirements.
1037.120 Emission-related warranty requirements.
1037.125 Maintenance instructions and allowable maintenance.
1037.135 Labeling.
1037.140 Curb weight and roof height.
1037.150 Interim provisions.

                  Subpart C_Certifying Vehicle families

1037.201 General requirements for obtaining a certificate of conformity.

[[Page 123]]

1037.205 What must I include in my application?
1037.210 Preliminary approval before certification.
1037.220 Amending maintenance instructions.
1037.225 Amending applications for certification.
1037.230 Vehicle families, sub-families, and configurations.
1037.241 Demonstrating compliance with exhaust emission standards for 
          greenhouse gas pollutants.
1037.243 Demonstrating compliance with evaporative emission standards.
1037.250 Reporting and recordkeeping.
1037.255 What decisions may EPA make regarding my certificate of 
          conformity?

Subpart D [Reserved]

                        Subpart E_In-Use Testing

1037.401 General provisions.

                 Subpart F_Test and Modeling Procedures

1037.501 General testing and modeling provisions.
1037.510 Duty-cycle exhaust testing.
1037.520 Modeling CO2 emissions to show compliance.
1037.521 Aerodynamic measurements.
1037.525 Special procedures for testing hybrid vehicles with power take-
          off.
1037.550 Special procedures for testing hybrid systems.

                 Subpart G_Special Compliance Provisions

1037.601 What compliance provisions apply to these vehicles?
1037.610 Vehicles with innovative technologies.
1037.615 Hybrid vehicles and other advanced technologies.
1037.620 Shipment of incomplete vehicles to secondary vehicle 
          manufacturers.
1037.630 Special purpose tractors.
1037.631 Exemption for vocational vehicles intended for off-road use.
1037.640 Variable vehicle speed limiters.
1037.645 In-use compliance with family emission limits (FELs).
1037.650 Tire manufacturers.
1037.655 Post-useful life vehicle modifications.
1037.660 Automatic engine shutdown systems.

       Subpart H_Averaging, Banking, and Trading for Certification

1037.701 General provisions.
1037.705 Generating and calculating emission credits.
1037.710 Averaging.
1037.715 Banking.
1037.720 Trading.
1037.725 What must I include in my application for certification?
1037.730 ABT reports.
1037.735 Recordkeeping.
1037.740 Restrictions for using emission credits.
1037.745 End-of-year CO2 credit deficits.
1037.750 What can happen if I do not comply with the provisions of this 
          subpart?
1037.755 Information provided to the Department of Transportation.

          Subpart I_Definitions and Other Reference Information

1037.801 Definitions.
1037.805 Symbols, acronyms, and abbreviations.
1037.810 Incorporation by reference.
1037.815 Confidential information.
1037.820 Requesting a hearing.
1037.825 Reporting and recordkeeping requirements.

Appendix I to Part 1037--Heavy-duty Transient Chassis Test Cycle
Appendix II to Part 1037--Power Take-Off Test Cycle
Appendix III to Part 1037--Emission Control Identifiers

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

    Source: 76 FR 57398, Sept. 15, 2011, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec.  1037.1  Applicability

    This part contains standards and other regulations applicable to the 
emission of the air pollutant defined as the aggregate group of six 
greenhouse gases: carbon dioxide, nitrous oxide, methane, 
hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. The 
regulations in this part 1037 apply for all new heavy-duty vehicles, 
except as provided in Sec.  1037.5. This includes electric vehicles and 
vehicles fueled by conventional and alternative fuels.



Sec.  1037.5  Excluded vehicles.

    Except for the definitions specified in Sec.  1037.801, this part 
does not apply to the following vehicles:
    (a) Vehicles not meeting the definition of ``motor vehicle''.
    (b) Vehicles excluded from the definition of ``heavy-duty vehicle'' 
in Sec.  1037.801 because of vehicle weight, weight rating, and frontal 
area (such as

[[Page 124]]

light-duty vehicles and light-duty trucks).
    (c) Medium-duty passenger vehicles.
    (d) Vehicles produced in model years before 2014, unless they are 
certified under Sec.  1037.150.
    (e) Vehicles subject to the light-duty greenhouse gas standards of 
40 CFR part 86. See 40 CFR 86.1818 for greenhouse gas standards that 
apply for these vehicles. An example of such a vehicle would be a 
vehicle meeting the definition of ``heavy-duty vehicle'' in Sec.  
1037.801 and 40 CFR 86.1803, but also meeting the definition of ``light 
truck'' in 40 CFR 86.1818-12(b)(2).



Sec.  1037.10  How is this part organized?

    This part 1037 is divided into subparts as described in this 
section. Note that only subparts A, B, and I of this part apply for 
vehicles subject to the standards of Sec.  1037.104, as described in 
that section.
    (a) Subpart A of this part defines the applicability of part 1037 
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 vehicles under this part. 
Note that Sec.  1037.150 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 for vehicles subject to the standards of Sec.  1037.105 or 
Sec.  1037.106.
    (d) [Reserved]
    (e) Subpart E of this part addresses testing of in-use vehicles.
    (f) Subpart F of this part describes how to test your vehicles and 
perform emission modeling (including references to other parts of the 
Code of Federal Regulations) for vehicles subject to the standards of 
Sec.  1037.105 or Sec.  1037.106.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to 
manufacturers, owners, operators, rebuilders, and all others. Section 
1037.601 describes how 40 CFR part 1068 applies for heavy-duty vehicles.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify vehicles that are subject to the standards 
of Sec.  1037.105 or Sec.  1037.106.
    (i) Subpart I of this part contains definitions and other reference 
information.



Sec.  1037.15  Do any other regulation parts apply to me?

    (a) Parts 1065 and 1066 of this chapter describe procedures and 
equipment specifications for testing engines and vehicles to measure 
exhaust emissions. Subpart F of this part 1037 describes how to apply 
the provisions of part 1065 and part 1066 of this chapter to determine 
whether vehicles meet the exhaust emission standards in this part.
    (b) As described in Sec.  1037.601, certain 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 1037. Part 1068 of this chapter 
describes general provisions that apply broadly, but do not necessarily 
apply for all vehicles or all persons. The issues addressed by these 
provisions include these seven areas:
    (1) Prohibited acts and penalties for manufacturers and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain vehicles.
    (4) Importing vehicles.
    (5) Selective enforcement audits of your production.
    (6) Recall.
    (7) Procedures for hearings.
    (c) Part 86 of this chapter applies for certain vehicles as 
specified in this part. For example, the test procedures and most of 
part 86, subpart S, apply for vehicles subject to Sec.  1037.104; 
including the following paragraphs of 40 CFR 86.1865-12 apply: (a), 
(h)(1), (h)(3), (j)(1), (j)(4), (k)(1) through (4), (k)(7)(ii), (k)(8), 
(k)(9), (l)(1), (l)(2)(i), (l)(2)(ii), (l)(2)(vi) through (viii), and 
(l)(3).
    (d) Other parts of this chapter apply if referenced in this part.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36390, June 17, 2013]



Sec.  1037.30  Submission of information.

    Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec.  1037.801). See Sec.  1037.825 for

[[Page 125]]

additional reporting and recordkeeping provisions.



          Subpart B_Emission Standards and Related Requirements



Sec.  1037.101  Overview of emission standards for heavy-duty vehicles.

    (a) This part specifies emission standards for certain vehicles and 
for certain pollutants. It also summarizes other standards that apply 
under 40 CFR part 86. This part contains standards and other regulations 
applicable to the emission of the air pollutant defined as the aggregate 
group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, 
hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride.
    (b) The regulated emissions are addressed in four groups:
    (1) Exhaust emissions of NOX, HC, PM, and CO. These 
pollutants are sometimes described collectively as ``criteria 
pollutants'' because they are either criteria pollutants under the Clean 
Air Act or precursors to the criteria pollutant ozone. These pollutants 
are also sometimes described collectively as ``non-greenhouse gas 
pollutants'', although they do not necessarily have negligible global 
warming potential. As described in Sec.  1037.102, standards for these 
pollutants are provided in 40 CFR part 86.
    (2) Exhaust emissions of CO2, CH4, and 
N2O. These pollutants are described collectively in this part 
as ``greenhouse gas pollutants'' because they are regulated primarily 
based on their impact on the climate. These standards are provided in 
Sec. Sec.  1037.104 through 1037.106.
    (3) Hydrofluorocarbons. These pollutants are also ``greenhouse gas 
pollutants'' but are treated separately from exhaust greenhouse gas 
pollutants listed in paragraph (b)(2) of this section. These standards 
are provided in Sec.  1037.115.
    (4) Fuel evaporative emissions. These requirements are described in 
40 CFR part 86 and Sec.  1037.103.
    (c) The regulated heavy-duty vehicles are addressed in different 
groups as follows:
    (1) For criteria pollutants, vehicles are regulated based on gross 
vehicle weight rating (GVWR), whether they are considered ``spark-
ignition'' or ``compression-ignition,'' and whether they are first sold 
as complete or incomplete vehicles. These groupings apply as described 
in 40 CFR part 86.
    (2) For greenhouse gas pollutants, vehicles are regulated in the 
following groups:
    (i) Complete and certain incomplete vehicles at or below 14,000 
pounds GVWR (see Sec.  1037.104 for further specification). Certain 
provisions of 40 CFR part 86 apply for these vehicles; see Sec.  
1037.104(h) for a list of provisions in this part 1037 that also apply 
for these vehicles. These provisions may also be optionally applied to 
certain other vehicles, as described in Sec.  1037.104.
    (ii) Tractors above 26,000 pounds GVWR.
    (iii) All other vehicles subject to standards under this part. These 
other vehicles are referred to as ``vocational'' vehicles.
    (3) For evaporative and refueling emissions, vehicles are regulated 
based on the type of fuel they use. Vehicles fueled with volatile liquid 
fuels or gaseous fuels are subject to evaporative emission standards. 
Vehicles up to a certain size that are fueled with gasoline, diesel 
fuel, ethanol, methanol, or LPG are subject to refueling emission 
standards.

[76 FR 57398, Sept. 15, 2011, as amended at 79 FR 23749, Apr. 28, 2014]



Sec.  1037.102  Exhaust emission standards for NOX, HC, PM, and CO.

    See 40 CFR part 86 for the exhaust emission standards for 
NOX, HC, PM, and CO that apply for heavy-duty vehicles.



Sec.  1037.103  Evaporative and refueling emission standards.

    (a) Applicability. Evaporative and refueling emission standards 
apply to heavy-duty vehicles as follows:
    (1) Complete and incomplete heavy-duty vehicles at or below 14,000 
pounds GVWR must meet evaporative and refueling emission standards as 
specified in 40 CFR part 86, subpart S, instead of the requirements 
specified in this section.

[[Page 126]]

    (2) Heavy-duty vehicles above 14,000 pounds GVWR that run on 
volatile liquid fuel (such as gasoline or ethanol) or gaseous fuel (such 
as natural gas or LPG) must meet evaporative and refueling emission 
standards as specified in this section.
    (b) Emission standards. The evaporative and refueling emission 
standards and measurement procedures specified in 40 CFR 86.1813 apply 
for vehicles above 14,000 pounds GVWR, except as described in this 
section. The evaporative emission standards phase in over model years 
2018 through 2022, with provisions allowing for voluntary compliance 
with the standards as early as model year 2015. Count vehicles subject 
to standards under this section the same as heavy-duty vehicles at or 
below 14,000 pounds GVWR to comply with the phase-in requirements 
specified in 40 CFR 86.1813. These vehicles may generate and use 
emission credits as described in 40 CFR part 86, subpart S, but only for 
vehicles that are tested for certification instead of relying on the 
provisions of paragraph (c) of this section. The following provisions 
apply instead of what is specified in 40 CFR 86.1813:
    (1) The refueling standards in 40 CFR 86.1813(b) apply to complete 
vehicles starting in model year 2022; they are optional for incomplete 
vehicles.
    (2) The leak standard in 40 CFR 86.1813(a)(4) does not apply.
    (3) The FEL cap relative to the diurnal plus hot soak standard for 
low-altitude testing is 1.9 grams per test.
    (4) The diurnal plus hot soak standard for high-altitude testing is 
2.3 grams per test.
    (5) Testing does not require measurement of exhaust emissions. 
Disregard references in subpart B of this part to procedures, equipment 
specifications, and recordkeeping related to measuring exhaust 
emissions. All references to the exhaust test under 40 CFR part 86, 
subpart B, are considered the ``dynamometer run'' as part of the 
evaporative testing sequence under this subpart.
    (6) Vehicles not yet subject to the Tier 3 standards in 40 CFR 
86.1813 must meet evaporative emission standards as specified in 
Sec. Sec.  86.008-10(b)(1) and (2) for Otto-cycle applications and 
86.007-11(b)(3)(ii) and (b)(4)(ii) for diesel-cycle applications.
    (c) Compliance demonstration. You may provide a statement in the 
application for certification that vehicles above 14,000 pounds GVWR 
comply with evaporative and refueling emission standards instead of 
submitting test data if you include an engineering analysis describing 
how vehicles include design parameters, equipment, operating controls, 
or other elements of design that adequately demonstrate that vehicles 
comply with the standards. We would expect emission control components 
and systems to exhibit a comparable degree of control relative to 
vehicles that comply based on testing. For example, vehicles that comply 
under this paragraph (c) should rely on comparable material 
specifications to limit fuel permeation, and components should be sized 
and calibrated to correspond with the appropriate fuel capacities, fuel 
flow rates, purge strategies, and other vehicle operating 
characteristics. You may alternatively show that design parameters are 
comparable to those for vehicles at or below 14,000 pounds GVWR 
certified under 40 CFR part 86, subpart S.
    (d) CNG refueling requirement. Compressed natural gas vehicles must 
meet the requirements for fueling connection devices as specified in 40 
CFR 86.1813-17(f)(1). Vehicles meeting these requirements are deemed to 
comply with evaporative and refueling emission standards.
    (e) Incomplete vehicles. If you sell incomplete vehicles, you must 
identify the maximum fuel tank capacity for which you designed the 
vehicle's evaporative emission control system.
    (f) Useful life. Your vehicles must meet the evaporative emission 
standards of this section throughout their useful life, expressed in 
service miles or calendar years, whichever comes first. The useful life 
values for the standards of this section are described in 40 CFR 
86.1805.
    (g) Auxiliary engines and separate fuel systems. The provisions of 
this paragraph (g) apply for vehicles with auxiliary engines. This 
includes any engines installed in the final vehicle configuration that 
contribute no motive power through the vehicle's transmission.

[[Page 127]]

    (1) Auxiliary engines and associated fuel-system components must be 
installed when testing complete vehicles. If the auxiliary engine draws 
fuel from a separate fuel tank, you must fill the extra fuel tank before 
the start of diurnal testing as described for the vehicle's main fuel 
tank. Use good engineering judgment to ensure that any nonmetal portions 
of the fuel system related to the auxiliary engine have reached 
stabilized levels of permeation emissions. The auxiliary engine must not 
operate during the running loss test or any other portion of testing 
under this section.
    (2) For testing with incomplete vehicles, you may omit installation 
of auxiliary engines and associated fuel-system components as long as 
those components installed in the final configuration are certified to 
meet the applicable emission standards for Small SI equipment described 
in 40 CFR 1054.112 or for Large SI engines in 40 CFR 1048.105. For any 
fuel-system components that you do not install, your installation 
instructions must describe this certification requirement.

[79 FR 23749, Apr. 28, 2014, as amended at 80 FR 9111, Feb. 19, 2015]



Sec.  1037.104  Exhaust emission standards for CO[bdi2], CH[bdi4],
and N[bdi2]O for heavy-duty vehicles at or below 14,000 pounds GVWR.

    This section applies for heavy-duty vehicles at or below 14,000 
pounds GVWR. See paragraph (f) of this section and Sec.  1037.150 of 
this section for provisions excluding certain vehicles from this 
section, and allowing other vehicles to be certified under this section.
    (a) Fleet-average CO2 emission standards. Fleet-average 
CO2 emission standards apply for each manufacturer as 
follows:
    (1) Calculate a work factor, WF, for each vehicle subconfiguration 
(or group of subconfigurations allowed under paragraph (a)(4) of this 
section), rounded to the nearest pound, using the following equation:

WF = 0.75 x (GVWR - Curb Weight + xwd) + 0.25 x (GCWR - GVWR)
Where:

xwd = 500 pounds if the vehicle has four-wheel drive or all-wheel drive; 
          xwd = 0 pounds for all other vehicles.

    (2) Using the appropriate work factor, calculate a target value for 
each vehicle subconfiguration (or group of subconfigurations allowed 
under paragraph (a)(4) of this section) you produce using one of the 
following equations, or the phase-in provisions in Sec.  1037.150(b), 
rounding to the nearest 0.1 g/mile:
    (i) For spark-ignition vehicles: CO2 Target (g/mile) = 
0.0440 x WF + 339
    (ii) For compression-ignition vehicles and vehicles that operate 
without engines (such as electric vehicles and fuel cell vehicles): 
CO2 Target (g/mile) = 0.0416 x WF + 320
    (3) Calculate a production-weighted average of the target values and 
round it to the nearest 0.1 g/mile. This is your fleet-average standard. 
All vehicles subject to the standards of this section form a single 
averaging set. Use the following equation to calculate your fleet-
average standard from the target value for each vehicle subconfiguration 
(Targeti) and U.S.-directed production volume of each vehicle 
subconfiguration for the given model year (Volumei):
[GRAPHIC] [TIFF OMITTED] TR15SE11.008

    (4) You may group subconfigurations within a configuration together 
for purposes of calculating your fleet-average standard as follows:
    (i) You may group together subconfigurations that have the same 
equivalent test weight (ETW), GVWR, and GCWR. Calculate your work factor 
and target value assuming a curb

[[Page 128]]

weight equal to two times ETW minus GVWR.
    (ii) You may group together other subconfigurations if you use the 
lowest target value calculated for any of the subconfigurations.
    (b) Production and in-use CO2 standards. Each vehicle you produce 
that is subject to the standards of this section has an ``in-use'' 
CO2 standard that is calculated from your test result and 
that applies for selective enforcement audits and in-use testing. This 
in-use CO2 standard for each vehicle is equal to the 
applicable deteriorated emission level multiplied by 1.10 and rounded to 
the nearest 0.1 g/mile.
    (c) N2O and CH4 standards. Except as allowed under this paragraph 
(c), all vehicles subject to the standards of this section must comply 
with an N2O standard of 0.05 g/mile and a CH4 
standard of 0.05 g/mile. You may specify CH4 and/or 
N2O alternate standards using CO2 emission credits 
instead of these otherwise applicable emission standards for one or more 
test groups, consistent with the provisions of 40 CFR 86.1818. To do 
this, calculate the CH4 and/or N2O emission 
credits needed (negative credits) using the equation in this paragraph 
(c) based on the FEL(s) you specify for your vehicles during 
certification. You must adjust the calculated emissions by the global 
warming potential (GWP): GWP equals 25 for CH4 and 298 for 
N2O. This means you must use 25 Mg of positive CO2 
credits to offset 1 Mg of negative CH4 credits and 298 Mg of 
positive CO2 credits to offset 1 Mg of negative 
N2O credits. Note that 40 CFR 86.1818-12(f) does not apply 
for vehicles subject to the standards of this section. Calculate credits 
using the following equation:

CO2 Credits Needed (Mg) = [(FEL--Std) x (U.S.-directed 
production volume) x (Useful Life)] x (GWP) / 1,000,000

    (d) Compliance provisions. Except as specified in this paragraph (d) 
or elsewhere in this section, the provisions of 40 CFR part 86, 
describing compliance with the greenhouse gas standards of 40 CFR part 
86, subpart S, apply with respect to the standards of paragraphs (a) 
through (c) of this section.
    (1) The CO2 standards of this section apply with respect 
to CO2 emissions, not with respect to carbon-related exhaust 
emissions (CREE).
    (2) The following general credit provisions apply:
    (i) Credits you generate under this section may be used only to 
offset credit deficits under this section. You may bank credits for use 
in a future model year in which your average CO2 level 
exceeds the standard. You may trade credits to another manufacturer 
according to 40 CFR 86.1865-12(k)(8). Before you bank or trade credits, 
you must apply any available credits to offset a deficit if the deadline 
to offset that credit deficit has not yet passed.
    (ii) Vehicles subject to the standards of this section are included 
in a single greenhouse gas averaging set separate from any averaging set 
otherwise included in 40 CFR part 86.
    (iii) Banked CO2 credits keep their full value for five 
model years after the year in which they were generated. Unused credits 
expire at the end of this fifth model year.
    (3) Special credit and incentive provisions related to flexible fuel 
vehicles and air conditioning in 40 CFR part 86 do not apply for 
vehicles subject to the standards of this section.
    (4) The CO2, N2O, and CH4 standards 
apply for a weighted average of the city (55%) and highway (45%) test 
cycle results. Note that this differs from the way the criteria 
pollutant standards apply for heavy-duty vehicles.
    (5) Apply an additive deterioration factor of zero to measured 
CO2 emissions unless good engineering judgment indicates that 
emissions are likely to deteriorate in use. Use good engineering 
judgment to develop separate deterioration factors for N2O 
and CH4.
    (6) Credits are calculated using the useful life value (in miles) in 
place of ``vehicle lifetime miles'' specified in 40 CFR part 86, subpart 
S. Calculate a total credit or debit balance in a model year by adding 
credits and debits from 40 CFR 86.1865-12(k)(4), subtracting any 
CO2-equivalent debits for N2O or CH4 
calculated according to Sec.  1037.104(c), and adding any of the 
following credits:
    (i) Advanced technology credits according to paragraph (d)(7) of 
this section and Sec.  1037.150(i).

[[Page 129]]

    (ii) Innovative technology credits according to paragraph (d)(13) of 
this section.
    (iii) Early credits according to Sec.  1037.150(a)(2).
    (7) Credits generated from hybrid vehicles with regenerative braking 
or from vehicles with other advanced technologies may be used to show 
compliance with any standards of this part or 40 CFR part 1036, subject 
to the service class restrictions in Sec.  1037.740. Include these 
vehicles in a separate fleet-average calculation (and exclude them from 
your conventional fleet-average calculation). You must first apply these 
advanced technology vehicle credits to any deficits for other vehicles 
in the averaging set before applying them to other averaging sets.
    (8) The provisions of 40 CFR 86.1818 do not apply.
    (9) Calculate your fleet-average emission rate consistent with good 
engineering judgment and the provisions of 40 CFR 86.1865. The following 
additional provisions apply:
    (i) Unless we approve a lower number, you must test at least ten 
subconfigurations. If you produce more than 100 subconfigurations in a 
given model year, you must test at least ten percent of your 
subconfigurations. For purposes of this paragraph (d)(9)(i), count 
carryover tests, but do not include analytically derived CO2 
emission rates, data substitutions, or other untested allowances. We may 
approve a lower number of tests for manufacturers that have limited 
product offerings, or low sales volumes. Note that good engineering 
judgment and other provisions of this part may require you to test more 
subconfigurations than these minimum values.
    (ii) The provisions of paragraph (g) of this section specify how you 
may use analytically derived CO2 emission rates.
    (iii) At least 90 percent of final production volume at the 
configuration level must be represented by test data (real, data 
substituted, or analytical).
    (iv) Perform fleet-average CO2 calculations as described 
in 40 CFR 86.1865 and 40 CFR part 600, with the following exceptions:
    (A) Use CO2 emissions values for all test results, 
intermediate calculations, and fleet average calculations instead of the 
carbon-related exhaust emission (CREE) values specified in 40 CFR parts 
86 and 600.
    (B) Perform intermediate CO2 calculations for 
subconfigurations within each configuration using the subconfiguration 
and configuration definitions in paragraph (d)(12) of this section.
    (C) Perform intermediate CO2 calculations for 
configurations within each test group and transmission type (instead of 
configurations within each base level and base levels within each model 
type). Use the configuration definition in paragraph (d)(12)(i) of this 
section.
    (D) Do not perform intermediate CO2 calculations for each 
base level or for each model type. Base level and model type 
CO2 calculations are not applicable to heavy-duty vehicles 
subject to standards in this section.
    (E) Determine fleet average CO2 emissions for heavy-duty 
vehicles subject to standards in this section as described in 40 CFR 
600.510-12(j), except that the calculations must be performed on the 
basis of test group and transmission type (instead of the model-type 
basis specified in the light-duty vehicle regulations), and the 
calculations for dual fuel, multi-fuel, and flexible fuel vehicles must 
be consistent with the provisions of paragraph (d)(10)(i) of this 
section.
    (10) For dual fuel, multi-fuel, and flexible fuel vehicles, perform 
exhaust testing on each fuel type (for example, gasoline and E85).
    (i) For your fleet-average calculations, use either the 
conventional-fueled CO2 emission rate or a weighted average 
of your emission results as specified in 40 CFR 600.510-12(k) for light-
duty trucks.
    (ii) If you certify to an alternate standard for N2O or 
CH4 emissions, you may not exceed the alternate standard when 
tested on either fuel.
    (11) Test your vehicles with an equivalent test weight based on its 
Adjusted Loaded Vehicle Weight (ALVW). Determine equivalent test weight 
from the ALVW as specified in 40 CFR 86.129, except that you may round 
values to the nearest 500 pound increment for ALVW above 14,000 pounds).

[[Page 130]]

    (12) The following definitions apply for the purposes of this 
section:
    (i) Configuration means a subclassification within a test group 
based on engine code, transmission type and gear ratios, final drive 
ratio, and other parameters we designate. Transmission type means the 
basic type of the transmission (e.g., automatic, manual, automated 
manual, semi-automatic, or continuously variable) and does not include 
the drive system of the vehicle (e.g., front-wheel drive, rear- wheel 
drive, or four-wheel drive). Engine code means the combination of both 
``engine code'' and ``basic engine'' as defined in 40 CFR 600.002. Note 
that this definition differs from the one in 40 CFR 86.1803.
    (ii) Subconfiguration means a unique combination within a vehicle 
configuration (as defined in this paragraph (d)(12)) of equivalent test 
weight, road-load horsepower, and any other operational characteristics 
or parameters that we determine may significantly affect CO2 
emissions within a vehicle configuration. Note that for vehicles subject 
to standards of this section, equivalent test weight (ETW) is based on 
the ALVW of the vehicle as outlined in paragraph (d)(11) of this 
section.
    (iii) The terms ``complete vehicle'' and ``incomplete vehicle'' have 
the meanings given for ``complete heavy-duty vehicle'' and ``incomplete 
heavy-duty vehicle'', respectively, in 40 CFR 86.1803.
    (13) This paragraph (d)(13) applies for CO2 reductions 
resulting from technologies that were not in common use before 2010 that 
are not reflected in the specified test procedures. We may allow you to 
generate emission credits consistent with the provisions of 40 CFR 
86.1869-12(c) and (d). You do not need to provide justification for not 
using the 5-cycle methodology.
    (14) You must submit pre-model year reports before you submit your 
applications for certification for a given model year. Unless we specify 
otherwise, include the information specified for pre-model year reports 
in 49 CFR 535.8.
    (15) You must submit a final report within 90 days after the end of 
the model year. Unless we specify otherwise, include applicable 
information identified in 40 CFR 86.1865-12(l), 40 CFR 600.512, and 49 
CFR 535.8(e). The final report must include at least the following 
information:
    (i) Model year.
    (ii) Applicable fleet-average CO2 standard.
    (iii) Calculated fleet-average CO2 value and all the 
values required to calculate the CO2 value.
    (iv) Number of credits or debits incurred and all values required to 
calculate those values.
    (v) Resulting balance of credits or debits.
    (vi) N2O emissions.
    (vii) CH4 emissions.
    (viii) HFC leakage score.
    (e) Useful life. Your vehicles must meet the exhaust emission 
standards of this section throughout their full useful life, expressed 
in service miles or calendar years, whichever comes first. The useful 
life values for the standards of this section are those that apply to 
model year 2014 vehicles for criteria pollutants under 40 CFR part 
86.1805-12.
    (f) Exclusion of vehicles not certified as complete vehicles. The 
standards of this section apply for each vehicle that is chassis-
certified with respect to criteria pollutants under 40 CFR part 86, 
subpart S. The standards of this section do not apply for other 
vehicles, except as noted in Sec.  1037.150. Note that vehicles excluded 
under this paragraph (f) are not considered to be ``subject to the 
standards of this section.'' The vehicle standards and requirements of 
Sec.  1037.105 apply for the excluded vehicles. The GHG standards of 40 
CFR part 1036 also apply for engines used in these excluded vehicles. If 
you are not the engine manufacturer, you must notify the engine 
manufacturer that its engines are subject to 40 CFR part 1036 because 
you intend to use their engines in your excluded vehicles.
    (g) Analytically derived CO2 emission rates (ADCs). This 
paragraph (g) describes an allowance to use estimated (i.e., 
analytically derived) CO2 emission rates based on baseline 
test data instead of measured emission rates for calculating fleet-
average emissions. Note that these ADCs are similar to ADFEs used for 
light-duty vehicles. Note also that F terms used in this

[[Page 131]]

paragraph (g) represent coefficients from the following road load 
equation:

Force - (mass x acceleration) = F0 + F1 [middot] (velocity) + F2 
[middot] (velocity)\2\

    (1) Except as specified in paragraph (g)(2) of this section, use the 
following equation to calculate the ADC of a new vehicle from road load 
force coefficients (F0, F1, F2), axle ratio, and test weight:

ADC = CO2base + 2.18 [middot] [Delta]F0 + 37.4 [middot] 
[Delta]F1 + 2257 [middot] [Delta]F2 + 189 [middot] [Delta]AR + 0.0222 
[middot] [Delta]ETW

Where:

ADC = Analytically derived combined city/highway CO2 emission 
          rate (g/mile) for a new vehicle.
CO2base = Combined city/highway CO2 emission rate 
          (g/mile) of a baseline vehicle.
[Delta]F0 = F0 of the new vehicle - F0 of the baseline vehicle.
[Delta]F1 = F1 of the new vehicle - F1 of the baseline vehicle.
[Delta]F2 = F2 of the new vehicle - F2 of the baseline vehicle.
[Delta]AR = Axle ratio of the new vehicle - axle ratio of the baseline 
          vehicle.
[Delta]ETW = ETW of the new vehicle - ETW of the baseline vehicle.

    (2) The purpose of this section is to accurately estimate 
CO2 emission rates.
    (i) You must apply the provisions of this section consistent with 
good engineering judgment. For example, do not use the equation in 
paragraph (g)(1) of this section where good engineering judgment 
indicates that it will not accurately estimate emissions. You may ask us 
to approve alternate equations that allow you to estimate emissions more 
accurately.
    (ii) The analytically derived CO2 equation in paragraph 
(g)(1) of this section may be periodically updated through publication 
of an EPA guidance document to more accurately characterize 
CO2 emission levels for example, changes may be appropriate 
based on new test data, future technology changes, or to changes in 
future CO2 emission levels. Any EPA guidance document will 
determine the model year that the updated equation takes effect. We will 
issue guidance no later than eight months before the effective model 
year. For example, for 2014 models, the model year may start January 2, 
2013, so guidance would be issued by May 1, 2012 for model year 2014.
    (3) You may select, without our advance approval, baseline test data 
if they meet all the following criteria:
    (i) Vehicles considered for the baseline test must comply with all 
applicable emission standards in the model year associated with the ADC.
    (ii) You must include in the pool of tests considered for baseline 
selection all official tests of the same or equivalent basic engine, 
transmission class, engine code, transmission code, engine horsepower, 
dynamometer drive wheels, and compression ratio as the ADC 
subconfiguration. Do not include tests in which emissions exceed any 
applicable standard.
    (iii) Where necessary to minimize the CO2 adjustment, you 
may supplement the pool with tests associated with worst-case engine or 
transmission codes and carryover or carry-across engine families. If you 
do, all the data that qualify for inclusion using the elected worst-case 
substitution (or carryover or carry-across) must be included in the pool 
as supplemental data (i.e., individual test vehicles may not be selected 
for inclusion). You must also include the supplemental data in all 
subsequent pools, where applicable.
    (iv) Tests previously used during the subject model year as baseline 
tests in ten other ADC subconfigurations must be eliminated from the 
pool.
    (v) Select the tested subconfiguration with the smallest absolute 
difference between the ADC and the test CO2 emission rate for 
combined emissions. Use this as the baseline test for the target ADC 
subconfiguration.
    (4) You may ask us to allow you to use baseline test data not fully 
meeting the provisions of paragraph (g)(3) of this section.
    (5) Calculate the ADC rounded to the nearest 0.1 g/mile. Except with 
our advance approval, the downward adjustment of ADC from the baseline 
is limited to ADC values 20 percent below the baseline emission rate. 
The upward adjustment is not limited.
    (6) You may not submit an ADC if an actual test has been run on the 
target

[[Page 132]]

subconfiguration during the certification process or on a development 
vehicle that is eligible to be declared as an emission-data vehicle.
    (7) No more than 40 percent of the subconfigurations tested in your 
final CO2 submission may be represented by ADCs.
    (8) Keep the following records for at least five years, and show 
them to us if we ask to see them:
    (i) The pool of tests.
    (ii) The vehicle description and tests chosen as the baseline and 
the basis for the selection.
    (iii) The target ADC subconfiguration.
    (iv) The calculated emission rates.
    (9) We may perform or order a confirmatory test of any 
subconfiguration covered by an ADC.
    (10) Where we determine that you did not fully comply with the 
provisions of this paragraph (g), we may require that you comply based 
on actual test data and that you recalculate your fleet- average 
emission rate.
    (h) Applicability of part 1037 provisions. Except as specified in 
this section, the requirements of this part do not apply to vehicles 
certified to the standards of this section. The following provisions are 
the only provisions of this part that apply to vehicles certified under 
this section:
    (1) The provisions of this section.
    (2) The evaporative and refueling emission standards in Sec.  
1037.103.
    (3) The air conditioning standards in Sec.  1037.115.
    (4) The interim provisions of Sec.  1037.150(a), (b), (c), (e)-(i), 
(l), and (m).
    (5) The definitions of Sec.  1037.801, to the extent such terms are 
used relative to vehicles subject to standards under this section.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 49964, Aug. 16, 2013; 
78 FR 56171, Sept. 12, 2013; 79 FR 23750, Apr. 28, 2014; 80 FR 9111, 
Feb. 19, 2015]



Sec.  1037.105  Exhaust emission standards for CO[bdi2] for vocational vehicles.

    (a) The standards of this section apply for the following vehicles:
    (1) Vehicles above 14,000 pounds GVWR and at or below 26,000 pounds 
GVWR, but not certified to the vehicle standards Sec.  1037.104.
    (2) Vehicles above 26,000 pounds GVWR that are not tractors.
    (3) Vocational tractors.
    (4) Vehicles at or below 14,000 pounds GVWR that are excluded from 
the standards in Sec.  1037.104 under Sec.  1037.104 (f) or use engines 
certified under Sec.  1037.150(m).
    (b) The CO2 standards of this section are given in Table 
1 to this section. The provisions of Sec.  1037.241 specify how to 
comply with these standards.

    Table 1 to Sec.   1037.105--CO2 Standards for Vocational Vehicles
------------------------------------------------------------------------
                                           CO2 standard
                                           (g/ton-mile)    CO2 standard
              GVWR (pounds)                  for model     (g/ton-mile)
                                            years 2014-   for model year
                                               2016       2017 and later
------------------------------------------------------------------------
GVWR <=19,500...........................             388             373
19,500 4 or N2O standards apply under this 
section. See 40 CFR part 1036 for CH4 or N2O 
standards that apply to engines used in these vehicles.
    (d) You may generate or use emission credits under the ABT program 
as described in subpart H of this part. This requires that you specify a 
Family Emission Limit (FEL) for CO2 for each vehicle 
subfamily. The FEL may not be less than the result of emission modeling 
from Sec.  1037.520. These FELs serve as the emission standards for the 
vehicle subfamily instead of the standards specified in paragraph (b) of 
this section.
    (e) Your vehicles must meet the exhaust emission standards of this 
section throughout their full useful life, expressed in service miles or 
calendar years, whichever comes first. The following useful life values 
apply for the standards of this section:
    (1) 110,000 miles or 10 years, whichever comes first, for vehicles 
at or below 19,500 pounds GVWR.
    (2) 185,000 miles or 10 years, whichever comes first, for vehicles 
above 19,500 pounds GVWR and at or below 33,000 pounds GVWR.
    (3) 435,000 miles or 10 years, whichever comes first, for vehicles 
above 33,000 pounds GVWR.
    (f) See Sec.  1037.631 for provisions that exempt certain vehicles 
used in off-road operation from the standards of this section.

[[Page 133]]

    (g) You may optionally certify a vocational vehicle to the standards 
and useful life applicable to a higher vehicle service class (such as 
medium heavy-duty instead of light heavy-duty), provided you do not 
generate credits with the vehicle. If you include smaller vehicles in a 
credit-generating subfamily (with an FEL below the standard), exclude 
its production volume from the credit calculation.



Sec.  1037.106  Exhaust emission standards for CO[bdi2] for 
tractors above 26,000 pounds GVWR.

    (a) The CO2 standards of this section apply for tractors 
above 26,000 pounds GVWR. Note that the standards of this section do not 
apply for vehicles classified as ``vocational tractors'' under Sec.  
1037.630,
    (b) The CO2 standards for tractors above 26,000 pounds 
GVWR are given in Table 1 to this section. The provisions of Sec.  
1037.241 specify how to comply with these standards.

                 Table 1 to Sec.   1037.106--CO2 Standards for Tractors Above 26,000 Pounds GVWR
----------------------------------------------------------------------------------------------------------------
                                                                                   CO2 standard
                                                                                   (g/ton-mile)    CO2 standard
                 GVWR (pounds)                            Sub-category               for model     (g/ton-mile)
                                                                                    years 2014-   for model year
                                                                                       2016       2017 and later
----------------------------------------------------------------------------------------------------------------
26,000 33,000........................  Low-Roof Day Cab................              81              80
                                                Low-Roof Sleeper Cab............              68              66
                                                Mid-Roof Day Cab................              88              86
                                                Mid-Roof Sleeper Cab............              76              73
                                                High-Roof Day Cab...............              92              89
                                                High-Roof Sleeper Cab...........              75              72
----------------------------------------------------------------------------------------------------------------

    (c) No CH4 or N2O standards apply under this 
section. See 40 CFR part 1036 for CH4 or N2O 
standards that apply to engines used in these vehicles.
    (d) You may generate or use emission credits under the 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 vehicle subfamily. The FEL may not be less than the 
result of emission modeling from Sec.  1037.520. These FELs serve as the 
emission standards for the specific vehicle subfamily instead of the 
standards specified in paragraph (a) of this section.
    (e) Your vehicles must meet the exhaust emission standards of this 
section throughout their full useful life, expressed in service miles or 
calendar years, whichever comes first. The following useful life values 
apply for the standards of this section:
    (1) 185,000 miles or 10 years, whichever comes first, for vehicles 
at or below 33,000 pounds GVWR.
    (2) 435,000 miles or 10 years, whichever comes first, for vehicles 
above 33,000 pounds GVWR.
    (f) You may optionally certify a tractor to the standards and useful 
life applicable to a higher vehicle service class (such as heavy heavy-
duty instead of medium heavy-duty), provided you do not generate credits 
with the vehicle. If you include smaller vehicles in a credit-generating 
subfamily (with an FEL below the standard), exclude its production 
volume from the credit calculation.



Sec.  1037.115  Other requirements.

    Vehicles required to meet the emission standards of this part must 
meet the following additional requirements, except as noted elsewhere in 
this part:
    (a) Adjustable parameters. Vehicles 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. See 40 CFR

[[Page 134]]

part 86 for information related to determining whether or not an 
operating parameter is considered adjustable. You must ensure safe 
vehicle operation throughout the physically adjustable range of each 
adjustable parameter, including consideration of production tolerances. 
Note that adjustable roof fairings are deemed not to be adjustable 
parameters.
    (b) Prohibited controls. You may not design your vehicles 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 vehicle emits a 
noxious or toxic substance it would otherwise not emit that contributes 
to such an unreasonable risk.
    (c) Air conditioning leakage. Loss of refrigerant from your air 
conditioning systems may not exceed 1.50 percent per year, except as 
allowed by paragraph (c)(3) of this section. Calculate the total leakage 
rate in g/year as specified in 40 CFR 86.1867-12(a). Calculate the 
percent leakage rate as: [total leakage rate (g/yr)] / [total 
refrigerant capacity (g)] x 100. Round your leakage rate to the nearest 
one-hundredth of a percent. See Sec.  1037.150 for vocational vehicles.
    (1) For purpose of this requirement, ``refrigerant capacity'' is the 
total mass of refrigerant recommended by the vehicle manufacturer as 
representing a full charge. Where full charge is specified as a 
pressure, use good engineering judgment to convert the pressure and 
system volume to a mass.
    (2) [Reserved]
    (3) If your total refrigerant capacity is less than 734 grams, your 
leakage rate may exceed 1.50 percent, as long as the total leakage rate 
does not exceed 11.0 g/yr. If your system uses a refrigerant other than 
HFC-134a, you may adjust your leakage rate as specified in paragraph 
(c)(2) of this section.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36392, June 17, 2013]



Sec.  1037.120  Emission-related warranty requirements.

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new vehicle, 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 cause 
the vehicle to fail to conform to the requirements of this part during 
the applicable warranty period.
    (b) Warranty period. (1) Your emission-related warranty must be 
valid for at least:
    (i) 5 years or 50,000 miles for spark-ignition vehicles and light 
heavy-duty vehicles.
    (ii) 5 years or 100,000 miles for medium and heavy heavy-duty 
vehicles.
    (iii) 2 years or 24,000 miles for tires.
    (2) You may offer an emission-related warranty more generous than we 
require. The emission-related warranty for the vehicle may not be 
shorter than any basic mechanical warranty you provide to that owner 
without charge for the vehicle. Similarly, the emission-related warranty 
for any component may not be shorter than any warranty you provide to 
that owner without charge for that component. This means that your 
warranty for a given vehicle may not treat emission-related and non-
emission-related defects differently for any component. The warranty 
period begins when the vehicle is placed into service.
    (c) Components covered. The emission-related warranty covers vehicle 
speed limiters, idle shutdown systems, fairings, and hybrid system 
components, to the extent such emission-related components are included 
in the certified emission controls. The emission-related warranty covers 
all components whose failure would increase a vehicle's emissions of air 
conditioning refrigerants for vehicles subject to air conditioning 
leakage standards. The emission-related warranty covers tires and all 
components whose failure would increase a vehicle's evaporative 
emissions (for vehicles subject to evaporative emission standards). The 
emission-related warranty covers these components even if another 
company produces the component. Your emission-related warranty does not 
need to

[[Page 135]]

cover components whose failure would not increase a vehicle'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) Owner's manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the vehicle.



Sec.  1037.125  Maintenance instructions and allowable maintenance.

    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 any of your emission-data vehicles. See paragraph (i) of 
this section for requirements related to tire replacement.
    (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 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:
    (1) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the vehicle's 
performance.
    (2) You present survey data showing that at least 80 percent of 
vehicles in the field get the maintenance you specify at the recommended 
intervals.
    (3) You provide the maintenance free of charge and clearly say so in 
your maintenance instructions.
    (4) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (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 
vehicle 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 vehicle 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). 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 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.

[[Page 136]]

    (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. 
You may perform this non-emission-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).
    (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) [Reserved]
    (h) Owner's manual. Explain the owner's responsibility for proper 
maintenance in the owner's manual.
    (i) Tire maintenance and replacement. Include instructions that will 
enable the owner to replace tires so that the vehicle conforms to the 
original certified vehicle configuration.



Sec.  1037.135  Labeling.

    (a) Assign each vehicle a unique identification number and 
permanently affix, engrave, or stamp it on the vehicle in a legible way. 
The vehicle identification number (VIN) serves this purpose.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each vehicle. 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 vehicle 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 ``VEHICLE 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 branding provisions of 40 CFR 1068.45.
    (3) Include EPA's standardized designation for the vehicle family.
    (4) State the regulatory sub-category that determines the applicable 
emission standards for the vehicle family (see definition in Sec.  
1037.801).
    (5) State the date of manufacture [DAY (optional), MONTH, and YEAR]. 
You may omit this from the label if you stamp, engrave, or otherwise 
permanently identify it elsewhere on the vehicle, in which case you must 
also describe in your application for certification where you will 
identify the date on the vehicle.
    (6) Identify the emission control system. Use terms and 
abbreviations as described in appendix III to this part or other 
applicable conventions.
    (7) Identify any requirements for fuel and lubricants that do not 
involve fuel-sulfur levels.
    (8) State: ``THIS VEHICLE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[MODEL YEAR] HEAVY-DUTY VEHICLES.''
    (9) If you rely on another company to design and install fuel tanks 
in incomplete vehicles that use an evaporative canister for controlling 
diurnal emissions, include the following statement: ``THIS VEHICLE IS 
DESIGNED TO COMPLY WITH EVAPORATIVE EMISSION STANDARDS WITH UP TO x 
GALLONS OF FUEL TANK CAPACITY.'' Complete this statement by identifying 
the maximum specified fuel

[[Page 137]]

tank capacity associated with your certification.
    (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 European standards). You may also add other 
information to ensure that the vehicle will be properly maintained and 
used.
    (e) You may ask us to approve modified labeling requirements in this 
part 1037 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.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36392, June 17, 2013; 
80 FR 9111, Feb. 19, 2015]



Sec.  1037.140  Curb weight and roof height.

    (a) Where applicable, a vehicle's curb weight and roof height are 
determined from nominal design specifications, as provided in this 
section. Round the weight to the nearest pound and height to the nearest 
inch. Base roof height on fully inflated tires having a static loaded 
radius equal to the arithmetic mean of the largest and smallest static 
loaded radius of tires you offer or a standard tire we approve.
    (b) The nominal design specifications must be within the range of 
the actual weights and roof heights of production vehicles considering 
normal production variability. If after production begins it is 
determined that your nominal design specifications do not represent 
production vehicles, we may require you to amend your application for 
certification under Sec.  1037.225.
    (c) If your vehicle is equipped with an adjustable roof fairing, 
measure the roof height with the fairing in its lowest setting.



Sec.  1037.150  Interim provisions.

    The provisions in this section apply instead of other provisions in 
this part.
    (a) Incentives for early introduction. The provisions of this 
paragraph (a) apply with respect to vehicles produced in model years 
before 2014. Manufacturers may voluntarily certify in model year 2013 
(or earlier model years for electric vehicles) to the greenhouse gas 
standards of this part.
    (1) This paragraph (a)(1) applies for regulatory sub-categories 
subject to the standards of Sec.  1037.105 or Sec.  1037.106. Except as 
specified in paragraph (a)(3) of this section, to generate early credits 
under this paragraph for any vehicles other than electric vehicles, you 
must certify your entire U.S.-directed production volume within the 
regulatory sub-category to these standards. Except as specified in 
paragraph (a)(4) of this section, if some vehicle families within a 
regulatory sub-category are certified after the start of the model year, 
you may generate credits only for production that occurs after all 
families are certified. For example, if you produce three vehicle 
families in an averaging set and you receive your certificates for those 
families on January 4, 2013, March 15, 2013, and April 24, 2013, you may 
not generate credits for model year 2013 production in any of the 
families that occurs before April 24, 2013. Calculate credits relative 
to the standard that would apply in model year 2014 using the equations 
in subpart H of this part. You may bank credits equal to the surplus 
credits you generate under this paragraph (a) multiplied by 1.50. For 
example, if you have 1.0 Mg of surplus credits for model year 2013, you 
may bank 1.5 Mg of credits. Credit deficits for an averaging set prior 
to model year 2014 do not carry over to model year 2014. These credits 
may be used to show compliance with the standards of this part for 2014 
and later model years. We recommend that you notify EPA of your intent 
to use this provision before submitting your applications.
    (2) This paragraph (a)(2) applies for regulatory sub-categories 
subject to the standards of Sec.  1037.104. To generate early credits 
under this paragraph (a)(2) for any vehicles other than electric 
vehicles, you must certify your entire U.S.-directed fleet to these 
standards. If you calculate a separate fleet average for advanced-
technology vehicles under Sec.  1037.104(c)(7), you must certify your 
entire U.S.-directed production volume of both advanced and conventional 
vehicles within the fleet. Except as specified in paragraph (a)(4) of 
this section, if some test groups are

[[Page 138]]

certified after the start of the model year, you may generate credits 
only for production that occurs after all test groups are certified. For 
example, if you produce three test groups in an averaging set and you 
receive your certificates for those test groups on January 4, 2013, 
March 15, 2013, and April 24, 2013, you may not generate credits for 
model year 2013 for vehicles from any of the test groups produced before 
April 24, 2013. Calculate credits relative to the standard that would 
apply in model year 2014 using the applicable equations in 40 CFR part 
86 and your model year 2013 U.S.-directed production volumes. These 
credits may be used to show compliance with the standards of this part 
for 2014 and later model years. We recommend that you notify us of your 
intent to use this provision before submitting your applications.
    (3) You may generate emission credits for the number of additional 
SmartWay designated tractors (relative to your 2012 production), 
provided you do not generate credits for those vehicles under paragraph 
(a)(1) of this section. Calculate credits for each regulatory sub-
category relative to the standard that would apply in model year 2014 
using the equations in subpart H of this part. Use a production volume 
equal to the number of designated model year 2013 SmartWay tractors 
minus the number of designated model year 2012 SmartWay tractors. You 
may bank credits equal to the surplus credits you generate under this 
paragraph (a)(3) multiplied by 1.50. Your 2012 and 2013 model years must 
be equivalent in length.
    (4) This paragraph (a)(4) applies where you do not receive your 
final certificate in a regulatory sub-category within 30 days of 
submitting your final application for that sub-category. Calculate your 
credits for all production that occurs 30 days or more after you submit 
your final application for the sub-category.
    (b) Phase-in provisions. Each manufacturer must choose one of the 
following options for phasing in the standards of Sec.  1037.104:
    (1) To implement the phase-in under this paragraph (b)(1), the 
standards in Sec.  1037.104 apply as specified for model year 2018, with 
compliance for vehicles in model years 2014 through 2017 based on the 
CO2 target values specified in the following table:

                       Table 1 to Sec.   1037.150
------------------------------------------------------------------------
    Model year and engine cycle         Alternate CO2 target (g/mile)
------------------------------------------------------------------------
2014 Spark-Ignition................  [0.0482 x (WF)] + 371
2015 Spark-Ignition................  [0.0479 x (WF)] + 369
2016 Spark-Ignition................  [0.0469 x (WF)] + 362
2017 Spark-Ignition................  [0.0460 x (WF)] + 354
2014 Compression-Ignition..........  [0.0478 x (WF)] + 368
2015 Compression-Ignition..........  [0.0474 x (WF)] + 366
2016 Compression-Ignition..........  [0.0460 x (WF)] + 354
2017 Compression-Ignition..........  [0.0445 x (WF)] + 343
------------------------------------------------------------------------

    (2) To implement the phase-in under this paragraph (b)(2), the 
standards in Sec.  1037.104 apply as specified for model year 2019, with 
compliance for vehicles in model years 2014 through 2018 based on the 
CO2 target values specified in the following table:

                       Table 2 to Sec.   1037.150
------------------------------------------------------------------------
    Model year and engine cycle         Alternate CO2 target (g/mile)
------------------------------------------------------------------------
2014 Spark-Ignition................  [0.0482 x (WF)] + 371
2015 Spark-Ignition................  [0.0479 x (WF)] + 369
2016-2018 Spark-Ignition...........  [0.0456 x (WF)] + 352
2014 Compression-Ignition..........  [0.0478 x (WF)] + 368
2015 Compression-Ignition..........  [0.0474 x (WF)] + 366
2016-2018 Compression-Ignition.....  [0.0440 x (WF)] + 339
------------------------------------------------------------------------


[[Page 139]]

    (c) Provisions for small manufacturers. Manufacturers meeting the 
small business criteria specified in 13 CFR 121.201 for ``Heavy Duty 
Truck Manufacturing'' are not subject to the greenhouse gas standards of 
Sec. Sec.  1037.104 through 1037.106, as specified in this paragraph 
(c). Qualifying manufacturers must notify the Designated Compliance 
Officer each model year before introducing these excluded vehicles into 
U.S. commerce. This notification must include a description of the 
manufacturer's qualification as a small business under 13 CFR 121.201. 
You must label your excluded vehicles with the following statement: 
``THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(c).''.
    (d) Air conditioning leakage for vocational vehicles. The air 
conditioning leakage standard of Sec.  1037.115 does not apply for 
vocational vehicles.
    (e) Model year 2014 N2O standards. In model year 2014 and 
earlier, manufacturers may show compliance with the N2O 
standards using an engineering analysis. This allowance also applies for 
later test groups families carried over from model 2014 consistent with 
the provisions of 40 CFR 86.1839. You may not certify to an 
N2O FEL different than the standard without measuring 
N2O emissions.
    (f) Electric vehicles. All electric vehicles are deemed to have zero 
emissions of CO2, CH4, and N2O. No 
emission testing is required for electric vehicles.
    (g) Compliance date. Compliance with the standards of this part is 
optional prior to January 1, 2014. This means that if your 2014 model 
year begins before January 1, 2014, you may certify for a partial model 
year that begins on January 1, 2014 and ends on the day your model year 
would normally end. You must label model year 2014 vehicles excluded 
under this paragraph (g) with the following statement: ``THIS VEHICLE IS 
EXCLUDED UNDER 40 CFR 1037.150(g).''
    (h) Off-road vehicle exemption. In unusual circumstances, vehicle 
manufacturers may ask us to exempt vehicles under Sec.  1037.631 based 
on other criteria that are equivalent to those specified in Sec.  
1037.631(a). For example, we would normally not grant relief in cases 
where the vehicle manufacturer had credits or other compliant tires were 
available.
    (i) Credit multiplier for advanced technology. If you generate 
credits from vehicles certified with advanced technology, you may 
multiply these credits by 1.50, except that you may not apply this 
multiplier in addition to the early-credit multiplier of paragraph (a) 
of this section.
    (j) Limited prohibition related to early model year engines. The 
prohibition in Sec.  1037.601 against introducing into U.S. commerce a 
vehicle containing an engine not certified to the standards of this part 
does not apply for vehicles using model year 2014 or 2015 spark-ignition 
engines, or any model year 2013 or earlier engines.
    (k) Verifying drag areas from in-use vehicles. We may measure the 
drag area of your vehicles after they have been placed into service. 
Your vehicle conforms to the regulations of this part with respect to 
aerodynamic performance if we measure its drag area to be at or below 
the maximum drag area allowed for the bin to which that configuration 
was certified. To account for measurement variability, your vehicle is 
also deemed to conform to the regulations of this part with respect to 
aerodynamic performance if we measure its drag area to at or below the 
maximum drag area allowed for the bin above the bin to which you 
certified (for example, Bin II if you certified the vehicle to Bin III), 
unless we determine that you knowingly produced the vehicle to have a 
higher drag area than is allowed for the bin to which it was certified.
    (l) Optional certification under Sec.  1037.104. You may certify 
certain complete or cab-complete vehicles to the standards of Sec.  
1037.104. All vehicles optionally certified under this paragraph (l) are 
deemed to be subject to the standards of Sec.  1037.104. Note that 
certification under this paragraph (l) does not affect how you may or 
may not certify with respect to criteria pollutants. For example, 
certifying a Class 4 vehicle under this paragraph does not allow you to 
chassis-certify these vehicles with respect to criteria emissions.
    (1) You may certify complete or cab-complete spark-ignition vehicles 
to the standards of Sec.  1037.104.

[[Page 140]]

    (2) You may apply the provisions of Sec.  1037.104 to cab-complete 
vehicles based on a complete sister vehicle. In unusual circumstances, 
you may ask us to apply these provisions to Class 2b or 3 incomplete 
vehicles that do not meet the definition of cab-complete. Except as 
specified in paragraph (l)(3) of this section, for purposes of Sec.  
1037.104, a complete sister vehicle is a complete vehicle of the same 
vehicle configuration (as defined in Sec.  1037.104) as the cab-complete 
vehicle. Calculate the target value under Sec.  1037.104(a) based on the 
same work factor value that applies for the complete sister vehicle. 
Test these cab-complete vehicles using the same equivalent test weight 
and other dynamometer settings that apply for the complete vehicle from 
which you used the work factor value. For certification, you may submit 
the test data from that complete sister vehicle instead of performing 
the test on the cab-complete vehicle. You are not required to produce 
the complete sister vehicle for sale to use the provisions of this 
paragraph (l)(2). This means the complete sister vehicle may be a 
carryover vehicle from a prior model year or a vehicle created solely 
for the purpose of testing.
    (3) You may use as complete sister vehicle a complete vehicle that 
is not of the same vehicle configuration as the cab-complete vehicle as 
specified in this paragraph (l)(3). This allowance applies where the 
complete vehicle is not of the same vehicle configuration as the cab-
complete vehicle only because of factors unrelated to coastdown 
performance. If your complete sister vehicle is covered by this 
paragraph (l)(3), you may not submit the test data from that complete 
sister vehicle and must perform the test on the cab-complete vehicle.
    (m) Loose engine sales. This paragraph (m) applies for spark-
ignition engines identical to engines used in vehicles certified to the 
standards of Sec.  1037.104, where you sell such engines as loose 
engines or as engines installed in incomplete vehicles that are not cab-
complete vehicles. For purposes of this paragraph (m), engines would not 
be considered to be identical if they used different engine hardware. 
You may include such engines in a test group certified to the standards 
of Sec.  1037.104, subject to the following provisions:
    (1) Engines certified under this paragraph (m) are deemed to be 
certified to the standards of 40 CFR 1036.108 as specified in 40 CFR 
1036.108(a)(4).
    (2) The U.S.-directed production volume of engines you sell as loose 
engines or installed in incomplete heavy-duty vehicles that are not cab-
complete vehicles in any given model year may not exceed ten percent of 
the total U.S.-directed production volume of engines of that design that 
you produce for heavy-duty applications for that model year, including 
engines you produce for complete vehicles, cab-complete vehicles, and 
other incomplete vehicles. The total number of engines you may certify 
under this paragraph (m), of all engine designs, may not exceed 15,000 
in any model year. Engines produced in excess of either of these limits 
are not covered by your certificate. For example, if you produce 80,000 
complete model year 2017 Class 2b pickup trucks with a certain engine 
and 10,000 incomplete model year 2017 Class 3 vehicles with that same 
engine, and you do not apply the provisions of this paragraph (m) to any 
other engine designs, you may produce up to 10,000 engines of that 
design for sale as loose engines under this paragraph (m). If you 
produced 11,000 engines of that design for sale as loose engines, the 
last 1,000 of them that you produced in that model year 2017 would be 
considered uncertified.
    (3) This paragraph (m) does not apply for engines certified to the 
standards of 40 CFR 1036.108(a)(1).
    (4) Label the engines as specified in 40 CFR 1036.135 including the 
following compliance statement: ``THIS ENGINE WAS CERTIFIED TO THE 
ALTERNATE GREENHOUSE GAS EMISSION STANDARDS OF 40 CFR 1036.108(a)(4).'' 
List the test group name instead of an engine family name.
    (5) Vehicles using engines certified under this paragraph (m) are 
subject to the emission standards of Sec.  1037.105.
    (6) For certification purposes, your engines are deemed to have a 
CO2 target value and test result equal to the CO2 
target value and test result for the complete vehicle in the applicable 
test group with the highest equivalent test

[[Page 141]]

weight, except as specified in paragraph (m)(6)(ii) of this section. Use 
these values to calculate your target value, fleet-average emission 
rate, and in-use emission standard. Where there are multiple complete 
vehicles with the same highest equivalent test weight, select the 
CO2 target value and test result as specified in paragraphs 
(m)(6)(i) and (ii) of this section:
    (i) If one or more of the CO2 test results exceed the 
applicable target value, use the CO2 target value and test 
result of the vehicle that exceeds its target value by the greatest 
amount.
    (ii) If none of the CO2 test results exceed the 
applicable target value, select the highest target value and set the 
test result equal to it. This means that you may not generate emission 
credits from vehicles certified under this paragraph (m).
    (7) State in your applications for certification that your test 
group and engine family will include engines certified under this 
paragraph (m). This applies for your greenhouse gas vehicle test group 
and your criteria pollutant engine family. List in each application the 
name of the corresponding test group/engine family.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 49966, Aug. 16, 2013]



                  Subpart C_Certifying Vehicle families



Sec.  1037.201  General requirements for obtaining a certificate of conformity.

    (a) You must send us a separate application for a certificate of 
conformity for each vehicle family. A certificate of conformity is valid 
from the indicated effective date until the end of the model year for 
which it is issued, which may not extend beyond December 31 of that 
year. You must renew your certification annually for any vehicles you 
continue to produce.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec.  1037.255).
    (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.  1037.250.
    (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.  1037.255 for provisions describing how we will process 
your application.
    (g) We may perform confirmatory testing on your vehicles; for 
example, we may test vehicles to verify drag areas or other GEM inputs. 
This includes vehicles used to determine Falt-aero under 
Sec.  1037.521. We may require you to deliver your test vehicles to a 
facility we designate for our testing. Alternatively, you may choose to 
deliver another vehicle that is identical in all material respects to 
the test vehicle. Where certification is based on testing components 
such as tires, we may require you to deliver test components to a 
facility we designate for our testing.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36392, June 17, 2013]



Sec.  1037.205  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.  
1037.201(c). We may require you to provide additional information to 
evaluate your application. Note that references to testing and emission-
data vehicles refer to testing vehicles to measure aerodynamic drag, 
assess hybrid vehicle performance, and/or measure evaporative emissions.
    (a) Describe the vehicle family's specifications and other basic 
parameters of the vehicle's design and emission controls. List the fuel 
type on which your vehicles are designed to operate (for example, ultra 
low-sulfur diesel fuel).
    (b) Explain how the emission control system operates. As applicable, 
describe in detail all system components for controlling greenhouse gas 
and evaporative emissions, including all auxiliary emission control 
devices (AECDs) and all fuel-system components you will install on any 
production vehicle. Identify the part number of each component you 
describe. For this paragraph (b), treat as separate

[[Page 142]]

AECDs any devices that modulate or activate differently from each other.
    (c) For vehicles subject to air conditioning standards, include:
    (1) The refrigerant leakage rates (leak scores).
    (2) The refrigerant capacity of the air conditioning systems.
    (3) The corporate name of the final installer of the air 
conditioning system.
    (d) Describe any vehicles you selected for testing and the reasons 
for selecting them.
    (e) Describe any test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec.  
1037.501).
    (f) Describe how you operated any emission-data vehicle before 
testing, including the duty cycle and the number of vehicle operating 
miles 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 any test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the vehicle family's useful life.
    (i) Include the maintenance instructions and warranty statement you 
will give to the ultimate purchaser of each new vehicle (see Sec. Sec.  
1037.120 and 1037.125).
    (j) Describe your emission control information label (see Sec.  
1037.135).
    (k) Identify the emission standards or FELs to which you are 
certifying vehicles in the vehicle family. For families containing 
multiple subfamilies, this means that you must identify multiple 
CO2 FELs. For example, you may identify the highest and 
lowest FELs to which any of your subfamilies will be certified and also 
list all possible FELs in between (which will be in 1 g/ton-mile 
increments).
    (l) Where applicable, identify the vehicle family's deterioration 
factors and describe how you developed them. Present any emission test 
data you used for this (see Sec.  1037.241(c)).
    (m) Where applicable, 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.
    (n) Present evaporative test data to show your vehicles meet the 
evaporative emission standards we specify in subpart B of this part, if 
applicable. Report all valid test results from emission-data vehicles 
and indicate whether there are test results from invalid tests or from 
any other tests of the emission-data vehicle, whether or not they were 
conducted according to the test procedures of subpart F of this part. We 
may require you to report these additional test results. 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 86.
    (o) Report modeling results for ten configurations. Include modeling 
inputs and detailed descriptions of how they were derived. Unless we 
specify otherwise, include the configuration with the highest modeling 
result, the lowest modeling result, and the configurations with the 
highest projected sales.
    (p) Describe all adjustable operating parameters (see Sec.  
1037.115), including production tolerances. You do not need to include 
parameters that do not affect emissions covered by your application. 
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 vehicles to settings outside your intended 
physically adjustable ranges.
    (q) [Reserved]
    (r) Unconditionally certify that all the vehicles in the vehicle 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (s) Include good-faith estimates of U.S.-directed production volumes 
by subfamily. We may require you to describe the basis of your 
estimates.

[[Page 143]]

    (t) Include the information required by other subparts of this part. 
For example, include the information required by Sec.  1037.725 if you 
participate in the ABT program.
    (u) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (v) 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.  1037.210  Preliminary approval before certification.

    If you send us information before you finish the application, we may 
review it and make any appropriate determinations. 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.  1037.220  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.  1037.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for a vehicle 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 vehicles 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 
vehicles in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).



Sec.  1037.225  Amending applications for certification.

    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 
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 a vehicle configuration to a vehicle family. In this case, 
the vehicle configuration added must be consistent with other vehicle 
configurations in the vehicle family with respect to the criteria listed 
in Sec.  1037.230.
    (2) Change a vehicle configuration already included in a vehicle 
family in a

[[Page 144]]

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 vehicle's lifetime.
    (3) Modify an FEL for a vehicle 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 vehicle model 
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
vehicle 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 or emission modeling for 
the vehicle family is not appropriate to show compliance for the new or 
modified vehicle configuration, include new test data or emission 
modeling 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 vehicle families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified vehicle. You may ask for 
a hearing if we deny your request (see Sec.  1037.820).
    (e) For vehicle 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 and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected vehicles do not meet applicable 
requirements, we will notify you to cease production of the vehicles and 
may require you to recall the vehicles at no expense to the owner. 
Choosing to produce vehicles under this paragraph (e) is deemed to be 
consent to recall all vehicles that we determine do not meet applicable 
emission standards or other requirements and to remedy the nonconformity 
at no expense to the owner. If you do not provide information required 
under paragraph (c) of this section within 30 days after we request it, 
you must stop producing the new or modified vehicles.
    (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 U.S. commerce, except as described in 
this paragraph (f). 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 vehicle subfamily 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. 
Use the appropriate FELs with corresponding production volumes to 
calculate emission credits for the model year, as described in subpart H 
of this part.
    (2) Where testing applies, you may ask to lower the FEL for your 
vehicle subfamily only if you have test data from production vehicles 
showing that emissions are below the proposed lower FEL. Otherwise, you 
may ask to lower your FEL for your vehicle subfamily at any time. The 
lower FEL applies only to vehicles 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.
    (3) You may ask to add an FEL for your vehicle family at any time.



Sec.  1037.230  Vehicle families, sub-families, and configurations.

    (a) For purposes of certifying your vehicles to greenhouse gas 
standards, divide your product line into families of vehicles as 
specified in this section. Your vehicle family is limited to a single 
model year. Group vehicles in the same vehicle family if they are the 
same in all the following aspects:
    (1) The regulatory sub-category (or equivalent in the case of 
vocational tractors), as follows:

[[Page 145]]

    (i) Vocational vehicles at or below 19,500 pounds GVWR.
    (ii) Vocational vehicles (other than vocational tractors) above 
19,500 pounds GVWR and at or below 33,000 pounds GVWR.
    (iii) Vocational vehicles (other than vocational tractors) above 
33,000 pounds GVWR.
    (iv) Low-roof tractors above 26,000 pounds GVWR and at or below 
33,000 pounds GVWR.
    (v) Mid-roof tractors above 26,000 pounds GVWR and at or below 
33,000 pounds GVWR.
    (vi) High-roof tractors above 26,000 pounds GVWR and at or below 
33,000 pounds GVWR.
    (vii) Low-roof day cab tractors above 33,000 pounds GVWR.
    (viii) Low-roof sleeper cab tractors above 33,000 pounds GVWR.
    (ix) Mid-roof day cab tractors above 33,000 pounds GVWR.
    (x) Mid-roof sleeper cab tractors above 33,000 pounds GVWR.
    (xi) High-roof day cab tractors above 33,000 pounds GVWR.
    (xii) High-roof sleeper cab tractors above 33,000 pounds GVWR.
    (xiii) Vocational tractors above 26,000 pounds GVWR and at or below 
33,000 pounds GVWR. Note that vocational tractor provisions do not apply 
for vehicles at or below 26,000 pounds GVWR.
    (xiv) Vocational tractors above 33,000 pounds GVWR.
    (2) Vehicle technology as follows:
    (i) Group together vehicles that do not contain advanced or 
innovative technologies.
    (ii) Group together vehicles that contain the same advanced/
innovative technologies.
    (b) If the vehicles in your family are being certified to more than 
one FEL, subdivide your greenhouse gas vehicle families into subfamilies 
that include vehicles with identical FELs. Note that you may add 
subfamilies at any time during the model year.
    (c) Group vehicles into configurations consistent with the 
definition of ``vehicle configuration'' in Sec.  1037.801. Note that 
vehicles with hardware or software differences that are related to 
measured or modeled emissions are considered to be different vehicle 
configurations even if they have the same GEM inputs and FEL. Note also, 
that you are not required to separately identify all configurations for 
certification. See paragraph (g) of this section for provisions allowing 
you to group certain hardware differences into the same configuration. 
Note that you are not required to identify all possible configurations 
for certification; also, you are required to include in your end-of year 
report only those configurations you produced.
    (d) For a vehicle model that straddles a roof-height, cab type, or 
GVWR division, you may include all the vehicles in the same vehicle 
family if you certify the vehicle family to the more stringent 
standards. For roof height, this means you must certify to the taller 
roof standards. For cab-type and GVWR, this means you must certify to 
the numerically lower standards.
    (e) Divide your vehicles that are subject to evaporative emission 
standards into groups of vehicles with similar physical features 
expected to affect evaporative emissions. Group vehicles in the same 
evaporative emission family if they are the same in all the following 
aspects, unless we approve a better way of grouping vehicles into 
families that have similar emission control characteristics:
    (1) Method of vapor storage, including the number of vapor storage 
devices, the working material, and the total working capacity of vapor 
storage (as determined under 40 CFR 86.132-96(h)(1)(iv)). You may 
consider the working capacity to be the same if the values differ by 20 
grams or less.
    (2) Method of purging stored vapors.
    (3) Material for liquid and vapor fuel lines.
    (f) You may divide your families into more families than specified 
in this section.
    (g) You may ask us to allow you to group into the same configuration 
vehicles that have very small body hardware differences that do not 
significantly affect drag areas. Note that this allowance does not apply 
for substantial differences, even if the vehicles have the same measured 
drag areas.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36392, June 17, 2013; 
79 FR 23750, Apr. 28, 2014]

[[Page 146]]



Sec.  1037.241  Demonstrating compliance with exhaust emission
standards for greenhouse gas pollutants.

    (a) For purposes of certification, your vehicle family is considered 
in compliance with the emission standards in Sec.  1037.105 or Sec.  
1037.106 if all vehicle configurations in that family have modeled 
CO2 emission rates (as specified in subpart F of this part) 
at or below the applicable standards. See 40 CFR part 86, subpart S, for 
showing compliance with the standards of Sec.  1037.104. 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 vehicle family is deemed not to comply if any vehicle 
configuration in that family has a modeled CO2 emission rate 
that is above its FEL.
    (c) We may require you to provide an engineering analysis showing 
that the performance of your emission controls will not deteriorate 
during the useful life with proper maintenance. If we determine that 
your emission controls are likely to deteriorate during the useful life, 
we may require you to develop and apply deterioration factors consistent 
with good engineering judgment. For example, you may need to apply a 
deterioration factor to address deterioration of battery performance for 
an electric hybrid vehicle. Where the highest useful life emissions 
occur between the end of useful life and at the low-hour test point, 
base deterioration factors for the vehicles on the difference between 
(or ratio of) the point at which the highest emissions occur and the 
low-hour test point.



Sec.  1037.243  Demonstrating compliance with evaporative
emission standards.

    (a) For purposes of certification, your vehicle family is considered 
in compliance with the evaporative emission standards in subpart B of 
this part if you prepare an engineering analysis showing that your 
vehicles in the family will comply with applicable standards throughout 
the useful life, and there are no test results from an emission-data 
vehicle representing the family that exceed an emission standard.
    (b) Your evaporative emission family is deemed not to comply if your 
engineering analysis is not adequate to show that all the vehicles in 
the family will comply with applicable emission standards throughout the 
useful life, or if a test result from an emission-data vehicle 
representing the family exceeds an emission standard.
    (c) To compare emission levels with emission standards, apply 
deterioration factors to the measured emission levels. Establish an 
additive deterioration factor based on an engineering analysis that 
takes into account the expected aging from in-use vehicles.
    (d) 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) Your analysis to demonstrate compliance with emission standards 
must take into account your design strategy for vehicles that require 
testing. Specifically, vehicles above 14,000 pounds GVWR are presumed to 
need the same technologies that are required for heavy-duty vehicles at 
or below 14,000 pounds GVWR. Similarly, your analysis to establish a 
deterioration factor must take into account your testing to establish 
deterioration factors for smaller vehicles.

[79 FR 23750, Apr. 28, 2014]



Sec.  1037.250  Reporting and recordkeeping.

    (a) Within 90 days after the end of the model year, send the 
Designated Compliance Officer a report including the total U.S.-directed 
production volume of vehicles you produced in each vehicle family during 
the model year(based on information available at the time of the 
report). Report by vehicle identification number and vehicle 
configuration and identify the subfamily identifier. Report uncertified 
vehicles sold to secondary vehicle manufacturers. Small manufacturers 
may omit the reporting requirements of this paragraph (a).
    (b) Organize and maintain the following records:

[[Page 147]]

    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec.  1037.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data vehicle, if applicable.
    (4) Production figures for each vehicle family divided by assembly 
plant.
    (5) Keep a list of vehicle identification numbers for all the 
vehicles you produce under each certificate of conformity.
    (c) Keep routine data from emission tests required by this part 
(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.  1037.255  What decisions may EPA make regarding my 
certificate of conformity?

    (a) If we determine your application is complete and shows that the 
vehicle family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your vehicle 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 vehicle 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). This includes doing anything 
after submission of your application to render any of the submitted 
information false or incomplete.
    (3) Render any test data inaccurate.
    (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 vehicles 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 vehicles being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part, with respect to your engine family.
    (d) We may void the certificate of conformity for a vehicle family 
if you fail to keep records, send reports, or give us information as 
required under this part or the Act. Note that these are also violations 
of 40 CFR 1068.101(a)(2).
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information. This includes rendering 
submitted information false or incomplete after submission.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1037.820).

Subpart D [Reserved]



                        Subpart E_In-Use Testing



Sec.  1037.401  General provisions.

    We may perform in-use testing of any vehicle subject to the 
standards of this part. For example, we may test vehicles to verify drag 
areas or other GEM inputs.



                 Subpart F_Test and Modeling Procedures



Sec.  1037.501  General testing and modeling provisions.

    This subpart specifies how to perform emission testing and emission 
modeling required elsewhere in this part.

[[Page 148]]

    (a) Use the equipment and procedures specified in 40 CFR part 1066 
to determine whether vehicles meet the evaporative and refueling 
emission standards specified in Sec.  1037.103.
    (b) Where exhaust emission testing is required, use the equipment 
and procedures in 40 CFR part 1066 to determine whether your vehicles 
meet the duty-cycle emission standards in subpart B of this part. 
Measure the emissions of all the exhaust constituents subject to 
emission standards as specified in 40 CFR part 1066. Use the applicable 
duty cycles specified in Sec.  1037.510.
    (c) [Reserved]
    (d) Use the applicable fuels specified 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 vehicles 
will use.
    (2) For diesel-fueled vehicles, use the appropriate diesel fuel 
specified for emission testing. Unless we specify otherwise, the 
appropriate diesel test fuel is ultra low-sulfur diesel fuel.
    (3) For gasoline-fueled vehicles, use the gasoline specified for 
``General Testing''.
    (e) You may use special or alternate procedures as specified in 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 vehicles meet emission standards.
    (g) Apply this paragraph (g) whenever we specify use of standard 
trailers. Unless otherwise specified, a tolerance of 2 inches applies for all nominal trailer dimensions.
    (1) The standard trailer for high-roof tractors must meet the 
following criteria:
    (i) It is an unloaded two-axle dry van box trailer 53.0 feet long, 
102 inches wide, and 162 inches high (measured from the ground with the 
trailer level).
    (ii) It has a king pin located with its center 360.5 inches from the front of the trailer and a minimized 
trailer gap (no greater than 45 inches).
    (iii) It has a smooth surface with nominally flush rivets and does 
not include any aerodynamic features such as side fairings, boat tails, 
or gap reducers. It may have a scuff band of no more than 0.13 inches in 
thickness.
    (iv) It includes dual 22.5 inch wheels, standard mudflaps, and 
standard landing gear. The centerline of the rear tandem axle must be 
146 4 inches from the rear of the trailer.
    (2) The standard trailer for mid-roof tractors is an empty two-axle 
tanker trailer 421 feet long by 140 inches high.
    (i) It has a 401 feet long cylindrical tank 
with a 70007 gallon capacity, smooth surface, and 
rounded ends.
    (ii) The standard tanker trailer does not include any aerodynamic 
features such as side fairings, but does include a centered 20 inch 
manhole, side-centered ladder, and lengthwise walkway. It includes dual 
24.5 inch wheels.
    (3) The standard trailer for low-roof tractors is an unloaded two-
axle flat bed trailer 531 feet long and 102 inches 
wide.
    (i) The deck height is 60.00.5 inches in the 
front and 55.00.5 inches in the rear. The standard 
trailer does not include any aerodynamic features such as side fairings.
    (ii) It includes an air suspension and dual 22.5 inch wheels on 
tandem axles spread up to 122 inches apart between axle centerlines, 
measured along the length of the trailer.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36392, June 17, 2013; 
79 FR 23750, Apr. 28, 2014]



Sec.  1037.510  Duty-cycle exhaust testing.

    This section applies where exhaust emission testing is required, 
such as when applying the provisions of Sec.  1037.615. Note that for 
most vehicles, testing under this section is not required.
    (a) Where applicable, measure emissions by testing the vehicle on a 
chassis dynamometer with the applicable test cycles. Each test cycle 
consists of a series of speed commands over time: variable speeds for 
the transient test and constant speeds for the cruise tests. None of 
these cycles include vehicle starting or warmup; each test cycle begins 
with a running, warmed-up vehicle. Start sampling emissions at the start 
of each cycle. The transient cycle is specified in appendix I to this 
part. For the 55 mph and 65 mph cruise cycles, sample emissions for 300 
second

[[Page 149]]

cycles with constant vehicle speeds of 55.0 mph and 65.0 mph, 
respectively. The tolerance around these speed setpoints is 1.0 mph.
    (b) Calculate the official emission result from the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.011

Where:

payload = the standard payload, in tons, as specified in Sec.  1037.705.
w = weighting factor for the appropriate test cycle, as described in 
          paragraph (c) of this section.
m = grams of CO2 emitted over the appropriate test cycle.
D = miles driven over the appropriate test cycle.

    (c) Apply weighting factors specific to each type of vehicle and for 
each duty cycle as described in the following table:

                          Table 1 to Sec.   1037.510--Weighting Factors for Duty Cycles
----------------------------------------------------------------------------------------------------------------
                                                                                55 mph cruise     65 mph cruise
                                                              Transient (%)          (%)               (%)
----------------------------------------------------------------------------------------------------------------
Vocational................................................                42                21                37
Vocational Hybrid Vehicles................................                75                 9                16
Day Cabs..................................................                19                17                64
Sleeper Cabs..............................................                 5                 9                86
----------------------------------------------------------------------------------------------------------------

    (d) For transient testing, compare actual second-by-second vehicle 
speed with the speed specified in the test cycle and ensure any 
differences are consistent with the criteria as specified in 40 CFR part 
1066. If the speeds do not conform to these criteria, the test is not 
valid and must be repeated.
    (e) Run test cycles as specified in 40 CFR part 86. For cruise cycle 
testing of vehicles equipped with cruise control, use the vehicle's 
cruise control to control the vehicle speed. For vehicles equipped with 
adjustable VSLs, test the vehicle with the VSL at its highest setting.
    (f) Test the vehicle using its adjusted loaded vehicle weight, 
unless we determine this would be unrepresentative of in-use operation 
as specified in 40 CFR 1065.10(c)(1).
    (g) For hybrid vehicles, correct for the net energy change of the 
energy storage device as described in 40 CFR 1066.501.



Sec.  1037.520  Modeling CO[bdi2] emissions to show compliance.

    This section describes how to use the Greenhouse gas Emissions Model 
(GEM) simulation tool (incorporated by reference in Sec.  1037.810) to 
show compliance with the CO2 standards of Sec. Sec.  1037.105 
and 1037.106. Use good engineering judgment when demonstrating 
compliance using the GEM.
    (a) General modeling provisions. To run the GEM, enter all 
applicable inputs as specified by the model. All seven of the following 
inputs apply for sleeper cab tractors, while some do not apply for other 
regulatory subcategories:
    (1) Regulatory subcategory (such as ``Class 8 Combination--Sleeper 
Cab--High Roof'').
    (2) Coefficient of aerodynamic drag, as described in paragraph (b) 
of this section. Leave this field blank for vocational vehicles.
    (3) Steer tire rolling resistance, as described in paragraph (c) of 
this section.
    (4) Drive tire rolling resistance, as described in paragraph (c) of 
this section.
    (5) Vehicle speed limit, as described in paragraph (d) of this 
section. Leave this field blank for vocational vehicles.
    (6) Vehicle weight reduction, as described in paragraph (e) of this 
section.

[[Page 150]]

Leave this field blank for vocational vehicles.
    (7) Extended idle reduction credit, as described in paragraph (f) of 
this section. Leave this field blank for vehicles other than Class 8 
sleeper cabs.
    (b) Coefficient of aerodynamic drag and drag area. Determine the 
appropriate drag area as follows:
    (1) Use the recommended method or an alternate method to establish a 
value for the vehicle's drag area, expressed in m\2\ and rounded to two 
decimal places. Where we allow you to group multiple configurations 
together, measure the drag area of the worst-case configuration. Measure 
drag areas specified in Sec.  1037.521.
    (2) Determine the bin level for your vehicle based on the drag area 
from paragraph (b)(1) of this section as shown in the following tables:

       Table 1 to Sec.   1037.520--High-Roof Day and Sleeper Cabs
------------------------------------------------------------------------
                                              If your
                                           measured CDA    Then your CD
                Bin level                  (m\2\) is . .  input is . . .
                                                 .
------------------------------------------------------------------------
                           High-Roof Day Cabs
------------------------------------------------------------------------
Bin I...................................  =8.            0.79
                                                       0
Bin II..................................         7.1-7.9            0.72
Bin III.................................         6.2-7.0            0.63
Bin IV..................................         5.6-6.1            0.56
Bin V...................................           <=5.5            0.51
------------------------------------------------------------------------
                         High-Roof Sleeper Cabs
------------------------------------------------------------------------
Bin I...................................  =7.            0.75
                                                       6
Bin II..................................         6.8-7.5            0.68
Bin III.................................         6.3-6.7            0.60
Bin IV..................................         5.6-6.2            0.52
Bin V...................................           <=5.5            0.47
------------------------------------------------------------------------


                           Table 2 to Sec.   1037.520-- Low-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
                                                               If your measured CDA    Then your CD input is . .
                         Bin level                               (m\2\) is . . .                   .
----------------------------------------------------------------------------------------------------------------
                                          Low-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................            =5.1                       0.77
Bin II....................................................                      <=5.0                       0.71
----------------------------------------------------------------------------------------------------------------
                                          Mid-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................            =5.6                       0.87
Bin II....................................................                      <=5.5                       0.82
----------------------------------------------------------------------------------------------------------------

    (3) For low- and mid-roof tractors, you may determine your drag area 
bin based on the drag area bin of an equivalent high-roof tractor. If 
the high-roof tractor is in Bin I or Bin II, then you may assume your 
equivalent low- and mid-roof tractors are in Bin I. If the high-roof 
tractor is in Bin III, Bin IV, or Bin V, then you may assume your 
equivalent low- and mid-roof tractors are in Bin II.
    (c) Steer and drive tire rolling resistance. You must have a tire 
rolling resistance level (TRRL) for each tire configuration. For 
purposes of this section, you may consider tires with the same SKU 
number to be the same configuration.
    (1) Measure tire rolling resistance in kg per metric ton as 
specified in ISO 28580 (incorporated by reference in Sec.  1037.810), 
except as specified in this paragraph (c). Use good engineering judgment 
to ensure that your test results are not biased low. You may ask us to 
identify a reference test laboratory to which you may correlate your 
test results. Prior to beginning the test procedure in Section 7 of ISO 
28580 for a new bias-ply tire, perform a break-in procedure by running 
the tire at the specified test speed, load, and pressure for 602 minutes.
    (2) For each tire design tested, measure rolling resistance of at 
least three different tires of that specific design and size. Perform 
the test at least once for each tire. Use the arithmetic mean of these 
results as your test result. You may use this value as your GEM input or 
select a higher TRRL. You must test at least one tire size for each tire 
model, and may use engineering analysis to determine the rolling 
resistance of other tire sizes of that model. Note that for tire sizes 
that you do not test, we will treat your analytically derived rolling 
resistances the same as test results, and we may perform our own testing 
to verify your values. We may

[[Page 151]]

require you to test a small sub-sample of untested tire sizes that we 
select.
    (3) If you obtain your test results from the tire manufacturer or 
another third party, you must obtain a signed statement from them 
verifying the tests were conducted according to the requirements of this 
part. Such statements are deemed to be submissions to EPA.
    (4) For tires marketed as light truck tires and that have load 
ranges C, D, or E, use as the GEM input TRRL at or above the measured 
rolling resistance multiplied by 0.87.
    (d) Vehicle speed limit. If the vehicles will be equipped with a 
vehicle speed limiter, input the maximum vehicle speed to which the 
vehicle will be limited (in miles per hour rounded to the nearest 0.1 
mile per hour) as specified in Sec.  1037.640. Otherwise leave this 
field blank. Use good engineering judgment to ensure the limiter is 
tamper resistant. We may require you to obtain preliminary approval for 
your designs.
    (e) Vehicle weight reduction. For purposes of this paragraph (e), 
high-strength steel is steel with tensile strength at or above 350 MPa.
    (1) Vehicle weight reduction inputs for wheels are specified 
relative to dual-wide tires with conventional steel wheels. For purposes 
of this paragraph (e)(1), a light-weight aluminum wheel is one that 
weighs at least 21 pounds less than a comparable conventional steel 
wheel. The inputs are listed in Table 3 to this section. For example, a 
tractor with aluminum steer wheels and eight (4 x 2) dual-wide aluminum 
drive wheels would have an input of 210 pounds (2 x 21 + 8 x 21).

       Table 3 to Sec.   1037.520--Wheel-Related Weight Reductions
------------------------------------------------------------------------
                                                              Weight
                                                           reduction (lb
               Weight reduction technology                  per tire or
                                                              wheel)
------------------------------------------------------------------------
Single-Wide Drive Tire with
    Steel Wheel.........................................              84
    Aluminum Wheel......................................             139
    Light-Weight Aluminum Wheel.........................             147
Steer Tire or Dual-wide Drive Tire with . . .
    High-Strength Steel Wheel...........................               8
    Aluminum Wheel......................................              21
    Light-Weight Aluminum Wheel.........................              30
------------------------------------------------------------------------

    (2) Vehicle weight reduction inputs for components other than wheels 
are specified relative to mild steel components as specified in the 
following table:

     Table 4 to Sec.   1037.520--Nonwheel-Related Weight Reductions
------------------------------------------------------------------------
                                                         High-strength
  Weight reduction technologies     Aluminum weight      steel weight
                                    reduction (lb)      reduction (lb)
------------------------------------------------------------------------
Door............................                  20                   6
Roof............................                  60                  18
Cab rear wall...................                  49                  16
Cab floor.......................                  56                  18
Hood Support Structure System...                  15                   3
Fairing Support Structure System                  35                   6
Instrument Panel Support                           5                   1
 Structure......................
Brake Drums--Drive (4)..........                 140                  11
Brake Drums--Non Drive (2)......                  60                   8
Frame Rails.....................                 440                  87
Crossmember--Cab................                  15                   5
Crossmember--Suspension.........                  25                   6
Crossmember--Non Suspension (3).                  15                   5
Fifth Wheel.....................                 100                  25
Radiator Support................                  20                   6
Fuel Tank Support Structure.....                  40                  12
Steps...........................                  35                   6
Bumper..........................                  33                  10
Shackles........................                  10                   3
Front Axle......................                  60                  15
Suspension Brackets, Hangers....                 100                  30
Transmission Case...............                  50                  12
Clutch Housing..................                  40                  10
Drive Axle Hubs (8).............                 160                   4
Non Drive Front Hubs (2)........                  40                   5
Driveshaft......................                  20                   5
Transmission/Clutch Shift Levers                  20                   4
------------------------------------------------------------------------


[[Page 152]]

    (3) You may ask to apply the innovative technology provisions of 
Sec.  1037.610 for weight reductions not covered by this paragraph (e).
    (f) Extended idle reduction credit. If your tractor is equipped with 
idle reduction technology meeting the requirements of Sec.  1037.660 
that will automatically shut off the main engine after 300 seconds or 
less, use 5.0 g/ton-mile as the input (or a lesser value specified in 
Sec.  1037.660). Otherwise leave this field blank.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36392, June 17, 2013]



Sec.  1037.521  Aerodynamic measurements.

    This section describes how to determine the aerodynamic drag area 
(CDA) of your vehicle using the coastdown procedure in 40 CFR 
part 1066 or an alternative method correlated to it.
    (a) General. The primary method for measuring the aerodynamic drag 
area of vehicles is specified in paragraph (b) of this section. You may 
determine the drag area using an alternate method, consistent with the 
provisions of this section and good engineering judgment, based on wind 
tunnel testing, computational fluid dynamic modeling, or constant-speed 
road load testing. See 40 CFR 1068.5 for provisions describing how we 
may evaluate your engineering judgment. All drag areas measured using an 
alternative method (CDAalt) must be adjusted to be 
equivalent to the corresponding drag areas that would have been measured 
using the coastdown procedure as follows:
    (1) Unless good engineering judgment requires otherwise, assume that 
coastdown drag areas are proportional to drag areas measured using 
alternative methods. This means you may apply a single constant 
adjustment factor (Falt-aero) for a given alternate drag area 
method using the following equation:

CDA = CDAalt x Falt-aero

    (2) Determine Falt-aero by performing coastdown testing 
and applying your alternate method on the same vehicle. Unless we 
approve another vehicle, the vehicle must be a Class 8, high-roof, 
sleeper cab with a full aerodynamics package, pulling a standards 
trailer. Where you have more than one model meeting these criteria, use 
the model with the highest projected sales. If you do not have such a 
model you may use your most comparable model with prior approval. If 
good engineering judgment allows the use of a single, constant value of 
Falt-aero, calculate it from this coastdown drag area 
(CDAcoast) divided by alternative drag area 
(CDAalt):

Falt-aero = CDAcoast / 
CDAalt

    (3) Calculate Falt-aero to at least three decimal places. 
For example, if your coastdown testing results in a drag area of 6.430, 
but your wind tunnel method results in a drag area of 6.200, 
Falt-aero would be 1.037.
    (b) Recommended method. Perform coastdown testing as described in 40 
CFR part 1066, subpart D, subject to the following additional 
provisions:
    (1) The specifications of this paragraph (b)(1) apply when measuring 
drag areas for tractors. Test high-roof tractors with a standard box 
trailer. Test low- and mid-roof tractors without a trailer (sometimes 
referred to as in a ``bobtail configuration''). You may test low- and 
mid-roof tractors with a trailer to evaluate innovative technologies.
    (2) The specifications of this paragraph (b)(2) apply for tractors 
and standard trailers. Use tires mounted on steel rims in a dual 
configuration (except for steer tires). The tires must--
    (i) Be SmartWay-Verified tires or have a rolling resistance below 
5.1 kg/ton.
    (ii) Have accumulated at least 2,175 miles of prior use but have no 
less than 50 percent of their original tread depth (as specified for 
truck cabs in SAE J1263).
    (iii) Not be retreads or have any apparent signs of chunking or 
uneven wear.
    (iv) Be size 295/75R22.5 or 275/80R22.5.
    (3) Calculate the drag area (CDA) in m\2\ from the 
coastdown procedure specified in 40 CFR part 1066.
    (c) Approval. You must obtain preliminary approval before using any 
methods other than coastdown testing to determine drag coefficients. 
Send your request for approval to the Designated Compliance Officer. 
Keep records of the information specified in this paragraph (c). Unless 
we specify

[[Page 153]]

otherwise, include this information with your request. You must provide 
any information we require to evaluate whether you are apply the 
provisions of this section consistent with good engineering judgment.
    (1) Include all of the following for your coastdown results:
    (i) The name, location, and description of your test facilities, 
including background/history, equipment and capability, and track and 
facility elevation, along with the grade and size/length of the track.
    (ii) Test conditions for each test result, including date and time, 
wind speed and direction, ambient temperature and humidity, vehicle 
speed, driving distance, manufacturer name, test vehicle/model type, 
model year, applicable model engine family, tire type and rolling 
resistance, weight of tractor-trailer (as tested), and driver 
identifier(s).
    (iii) Average drag area result as calculated in 40 CFR 1066, subpart 
D) and all of the individual run results (including voided or invalid 
runs).
    (2) Identify the name and location of the test facilities for your 
wind tunnel method (if applicable). Also include the following things to 
describe the test facility:
    (i) Background/history.
    (ii) The layout (with diagram), type, and construction (structural 
and material) of the wind tunnel.
    (iii) Wind tunnel design details: corner turning vane type and 
material, air settling, mesh screen specification, air straightening 
method, tunnel volume, surface area, average duct area, and circuit 
length.
    (iv) Wind tunnel flow quality: temperature control and uniformity, 
airflow quality, minimum airflow velocity, flow uniformity, angularity 
and stability, static pressure variation, turbulence intensity, airflow 
acceleration and deceleration times, test duration flow quality, and 
overall airflow quality achievement.
    (v) Test/working section information: test section type (e.g., open, 
closed, adaptive wall) and shape (e.g., circular, square, oval), length, 
contraction ratio, maximum air velocity, maximum dynamic pressure, 
nozzle width and height, plenum dimensions and net volume, maximum 
allowed model scale, maximum model height above road, strut movement 
rate (if applicable), model support, primary boundary layer slot, 
boundary layer elimination method, and photos and diagrams of the test 
section.
    (vi) Fan section description: fan type, diameter, power, maximum 
rotational speed, maximum top speed, support type, mechanical drive, and 
sectional total weight.
    (vii) Data acquisition and control (where applicable): acquisition 
type, motor control, tunnel control, model balance, model pressure 
measurement, wheel drag balances, wing/body panel balances, and model 
exhaust simulation.
    (viii) Moving ground plane or rolling road (if applicable): 
construction and material, yaw table and range, moving ground length and 
width, belt type, maximum belt speed, belt suction mechanism, platen 
instrumentation, temperature control, and steering.
    (ix) Facility correction factors and purpose.
    (3) Include all of the following for your computational fluid 
dynamics (CFD) method (if applicable):
    (i) Official name/title of the software product.
    (ii) Date and version number for the software product.
    (iii) Manufacturer/company name, address, phone number and Web 
address for software product.
    (iv) Identify if the software code is Navier-Stokes or Lattice-
Boltzmann based.
    (4) Include all of the following for any other method (if 
applicable):
    (i) Official name/title of the procedure(s).
    (ii) Description of the procedure.
    (iii) Cited sources for any standardized procedures that the method 
is based on.
    (iv) Modifications/deviations from the standardized procedures for 
the method and rational for modifications/deviations.
    (v) Data comparing this requested procedure to the coastdown 
reference procedure.
    (vi) Information above from the other methods as applicable to this 
method

[[Page 154]]

(e.g., source location/address, background/history).
    (d) Wind tunnel methods. (1) You may measure drag areas consistent 
with the modified SAE procedures described in this paragraph (d) using 
any wind tunnel recognized by the Subsonic Aerodynamic Testing 
Association. If your wind tunnel is not capable of testing in accordance 
with these modified SAE procedures, you may ask us to approve your 
alternate test procedures if you demonstrate that your procedures 
produce equivalent data. For purposes of this paragraph (d), data are 
equivalent if they are the same or better with respect to repeatability 
and unbiased correlation with coastdown testing. Note that, for wind 
tunnels not capable of these modified SAE procedures, good engineering 
judgment may require you to base your alternate method adjustment factor 
on more than one vehicle. You may not develop your correction factor 
until we have approved your alternate method. The applicable SAE 
procedures are SAE J1252, SAE J1594, and SAE J2071 (incorporated by 
reference in Sec.  1037.810). The following modifications apply for SAE 
J1252:
    (i) The minimum Reynold's number (Remin) is 1.0 x 10\6\ 
instead of the value specified in section 5.2 of the SAE procedure. Your 
model frontal area at zero yaw angle may exceed the recommended 5 
percent of the active test section area, provided it does not exceed 25 
percent.
    (ii) For full-scale wind tunnel testing, use good engineering 
judgment to select a test article (tractor and trailer) that is a 
reasonable representation of the test article used for the reference 
method testing. For example, where your wind tunnel is not long enough 
to test the tractor with a standard 53 foot trailer, it may be 
appropriate to use shorter box trailer. In such a case, the correlation 
developed using the shorter trailer would only be valid for testing with 
the shorter trailer.
    (iii) For reduced-scale wind tunnel testing, a one-eighth (1/8th) or 
larger scale model of a heavy-duty tractor and trailer must be used, and 
the model must be of sufficient design to simulate airflow through the 
radiator inlet grill and across an engine geometry representative of 
those commonly used in your test vehicle.
    (2) You must perform wind tunnel testing and the coastdown procedure 
on the same tractor model and provide the results for both methods. 
Conduct the wind tunnel tests at a zero yaw angle and, if so equipped, 
utilizing the moving/rolling floor (i.e., the moving/rolling floor 
should be on during the test, as opposed to static) for comparison to 
the coastdown procedure, which corrects to a zero yaw angle for the 
oncoming wind.
    (e) Computational fluid dynamics (CFD). You may determine drag areas 
using a CFD method, consistent with good engineering judgment and the 
requirements of this paragraph (e) using commercially available CFD 
software code. Conduct the analysis assuming zero yaw angle, and ambient 
conditions consistent with coastdown procedures. For simulating a wind 
tunnel test, the analysis should accurately model the particular wind 
tunnel and assume a wind tunnel blockage ratio consistent with SAE J1252 
(incorporated by reference in Sec.  1037.810) or one that matches the 
selected wind tunnel, whichever is lower. For simulation of open road 
conditions similar to that experienced during coastdown test procedures, 
the CFD analysis should assume a blockage ratio at or below 0.2 percent.
    (1) Take the following steps for CFD code with a Navier-Stokes 
formula solver:
    (i) Perform an unstructured, time-accurate, analysis using a mesh 
grid size with total volume element count of at least 50 million cells 
of hexahedral and/or polyhedral mesh cell shape, surface elements 
representing the geometry consisting of no less than 6 million elements, 
and a near-wall cell size corresponding to a y + value of less than 300, 
with the smallest cell sizes applied to local regions of the tractor and 
trailer in areas of high flow gradients and smaller geometry features.
    (ii) Perform the analysis with a turbulence model and mesh 
deformation enabled (if applicable) with boundary layer resolution of 
95 percent. Once result convergence is achieved, 
demonstrate the convergence by supplying multiple, successive 
convergence values for the analysis. The turbulence

[[Page 155]]

model may use k-epsilon (k-[epsi]), shear stress transport k-omega (SST 
k-[omega]), or other commercially accepted methods.
    (2) For Lattice-Boltzman based CFD code, perform an unstructured, 
time-accurate analysis using a mesh grid size with total surface 
elements of at least 50 million cells using cubic volume elements and 
triangular and/or quadrilateral surface elements with a near wall cell 
size of no greater than 6 mm on local regions of the tractor and trailer 
in areas of high flow gradients and smaller geometry features, with cell 
sizes in other areas of the mesh grid starting at twelve millimeters and 
increasing in size from this value as the distance from the tractor-
trailer model increases.
    (3) All CFD analysis should be conducted using the following 
conditions:
    (i) A tractor-trailer combination using the manufacturer's tractor 
and the standard trailer, as applicable.
    (ii) An environment with a blockage ratio at or below 0.2 percent to 
simulate open road conditions, a zero degree yaw angle between the 
oncoming wind and the tractor-trailer combination.
    (iii) Ambient conditions consistent with the coastdown test 
procedures specified in this part.
    (iv) Open grill with representative back pressures based on data 
from the tractor model,
    (v) Turbulence model and mesh deformation enabled (if applicable).
    (vi) Tires and ground plane in motion consistent with and simulating 
a vehicle moving in the forward direction of travel.
    (vii) The smallest cell size should be applied to local regions on 
the tractor and trailer in areas of high flow gradients and smaller 
geometry features (e.g., the a-pillar, mirror, visor, grille and 
accessories, trailer leading and trailing edges, rear bogey, tires, and 
tractor-trailer gap).
    (viii) Simulate a speed of 55 mph.
    (4) You may ask us to allow you to perform CFD analysis using 
parameters and criteria other than those specified in this paragraph 
(e), consistent with good engineering judgment, if you can demonstrate 
that the specified conditions are not feasible (e.g., insufficient 
computing power to conduct such analysis, inordinate length of time to 
conduct analysis, equivalent flow characteristics with more feasible 
criteria/parameters) or improved criteria may yield better results 
(e.g., different mesh cell shape and size). To support this request, we 
may require that you supply data demonstrating that your selected 
parameters/criteria will provide a sufficient level of detail to yield 
an accurate analysis, including comparison of key characteristics 
between your criteria/parameters and the criteria specified in 
paragraphs (e)(1) and (2) of this section (e.g., pressure profiles, drag 
build-up, and/or turbulent/laminar flow at key points on the front of 
the tractor and/or over the length of the tractor-trailer combination).
    (f) Yaw sweep corrections. You may optionally apply this paragraph 
(f) for vehicles with aerodynamic features that are more effective at 
reducing wind-averaged drag than is predicted by zero-yaw drag. You may 
correct your zero-yaw drag area as follows if the ratio of the zero-yaw 
drag area divided by yaw sweep drag area for your vehicle is greater 
than 0.8065 (which represents the ratio expected for a typical 
aerodynamic Class 8 high-roof sleeper cab tractor):
    (1) Determine the zero-yaw drag area and the yaw sweep drag area for 
your vehicle using the same alternate method as specified in this 
subpart. Measure drag area for 0[deg], -6[deg], and + 6[deg]. Use the 
arithmetic mean of the -6[deg] and + 6[deg] drag areas as the 6[deg] drag area.
    (2) Calculate your yaw sweep correction factor (CFys) 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.012


[[Page 156]]


    (3) Calculate your corrected drag area for determining the 
aerodynamic bin by multiplying the measured zero-yaw drag area by 
CFys. The correction factor may be applied to drag areas 
measured using other procedures. For example, we would apply 
CFys to drag areas measured using the recommended coastdown 
method. If you use an alternative method, you would also need to apply 
an alternative correction (Falt-aero) and calculate the final 
drag area using the following equation:

    CDA = Falt-aero [middot] CFys 
[middot] (CDA)zero-alt

    (4) You may ask us to apply CFys to similar vehicles 
incorporating the same design features.
    (5) As an alternative, you may choose to calculate the wind-averaged 
drag area according to SAE J1252 (incorporated by reference in Sec.  
1037.810) and substitute this value into the equation in paragraph 
(f)(2) of this section for the 6[deg] yaw-averaged 
drag area.



Sec.  1037.525  Special procedures for testing hybrid vehicles
with power take-off.

    This section describes the procedure for quantifying the reduction 
in greenhouse gas emissions as a result of running power take-off (PTO) 
devices with a hybrid powertrain. The procedures are written to test the 
PTO by ensuring that the engine produces all of the energy with no net 
change in stored energy. The full test for the hybrid vehicle is from a 
fully charged renewable energy storage system (RESS) to a depleted RESS 
and then back to a fully charged RESS. These procedures may be used for 
testing any hybrid architecture for which you are requesting a vehicle 
certificate using either chassis testing or powertrain testing. You must 
include all hardware for the PTO system. You may ask us to modify the 
provisions of this section to allow testing hybrid vehicles other than 
electric-battery hybrids, consistent with good engineering judgment.
    (a) Select two vehicles for testing as follows:
    (1) Select a vehicle with a hybrid powertrain to represent the 
vehicle family. If your vehicle family includes more than one vehicle 
model, use good engineering judgment to select the vehicle type with the 
maximum number of PTO circuits that has the smallest potential reduction 
in greenhouse gas emissions.
    (2) Select an equivalent conventional vehicle as specified in Sec.  
1037.615.
    (b) Measure PTO emissions from the fully warmed-up conventional 
vehicle as follows:
    (1) Without adding any additional restrictions, instrument the 
vehicle with pressure transducers at the outlet of the hydraulic pump 
for each circuit.
    (2) Operate the PTO system with no load for at least 15 seconds. 
Measure the pressure and record the average value over the last 10 
seconds (pmin). Apply maximum operator demand to the PTO 
system until the pressure relief valve opens and pressure stabilizes; 
measure the pressure and record the average value over the last 10 
seconds (pmax).
    (3) Denormalize the PTO duty cycle in appendix II of this part using 
the following equation:

prefi = NPi [middot] (pmax-
min) + pmin

Where:

    prefi = the reference pressure at each point i in the PTO 
cycle.
    NPi = the normalized pressure at each point i in the PTO 
cycle.
    pmax = the maximum pressure measured in paragraph (b)(2) 
of this section.
    pmin = the minimum pressure measured in paragraph (b)(2) 
of this section.

    (4) If the PTO system has two circuits, repeat paragraph (b)(2) and 
(3) of this section for the second PTO circuit.
    (5) Install a system to control pressures in the PTO system during 
the cycle.
    (6) Start the engine.
    (7) Operate the vehicle over one or both of the denormalized PTO 
duty cycles, as applicable. Collect CO2 emissions during 
operation over each duty cycle.
    (8) Use the provisions of 40 CFR part 1066 to collect and measure 
emissions. Calculate emission rates in grams per test without rounding.
    (9) For each test, validate the pressure in each circuit with the 
pressure specified from the cycle according to 40 CFR 1065.514. Measured 
pressures must meet the specifications in the following table for a 
valid test:

[[Page 157]]



                   Table 1 of Sec.   1037.525--Statistical Criteria for Validating Duty Cycles
----------------------------------------------------------------------------------------------------------------
                  Parameter                                                Pressure
----------------------------------------------------------------------------------------------------------------
Slope, [verbar]a1[verbar]...................  0.950 <=a1 <=1.030.
Absolute value of intercept, [bond]a0[bond].  <=2.0% of maximum mapped pressure.
Standard error of estimate, SEE.............  <=10% of maximum mapped pressure.
Coefficient of determination, r\2\..........  =0.970.
----------------------------------------------------------------------------------------------------------------

    (10) Continue testing over the three vehicle drive cycles, as 
otherwise required by this part.
    (11) Calculate combined cycle-weighted emissions of the four cycles 
as specified in paragraph (d) of this section.
    (c) Measure PTO emissions from the fully warmed-up hybrid vehicle as 
follows:
    (1) Perform the steps in paragraphs (b)(1) through (5) of this 
section.
    (2) Prepare the vehicle for testing by operating it as needed to 
stabilize the battery at a full state of charge. For electric hybrid 
vehicles, we recommend running back-to-back PTO tests until engine 
operation is initiated to charge the battery. The battery should be 
fully charged once engine operation stops. The ignition should remain in 
the ``on'' position.
    (3) Turn the vehicle and PTO system off while the sampling system is 
being prepared.
    (4) Turn the vehicle and PTO system on such that the PTO system is 
functional, whether it draws power from the engine or a battery.
    (5) Operate the vehicle over the PTO cycle(s) without turning the 
vehicle off, until the engine starts and then shuts down. The test cycle 
is completed once the engine shuts down. Measure emissions as described 
in paragraphs (b)(2) and (3) of this section. Use good engineering 
judgment to minimize the variability in testing between the two types of 
vehicles.
    (6) Refer to paragraph (b)(9) of this section for cycle validation.
    (7) Continue testing over the three vehicle drive cycles, as 
otherwise required by this part.
    (8) Calculate combined cycle-weighted emissions of the four cycles 
as specified in paragraph (d) of this section.
    (d) Calculate combined cycle-weighted emissions of the four cycles 
for vocational vehicles as follows:
    (1) Calculate the g/ton-mile emission rate for the driving portion 
of the test specified in Sec.  1037.510.
    (2) Calculate the g/hr emission rate for the PTO portion of the test 
by dividing the total mass emitted over the cycle (grams) by the time of 
the test (hours). For testing where fractions of a cycle were run (for 
example, where three cycles are completed and the halfway point of a 
fourth PTO cycle is reached before the engine starts and shuts down 
again), use the following procedures to calculate the time of the test:
    (i) Add up the time run for all complete tests.
    (ii) For fractions of a test, use the following equation to 
calculate the time:
[GRAPHIC] [TIFF OMITTED] TR15SE11.013

Where:
ttest = time of the incomplete test.
i = the number of each measurement interval.
N = the total number of measurement intervals.
NPcircuit--1 = Normalized pressure command from circuit 1 of 
          the PTO cycle.

[[Page 158]]

NPcircuit--2 = Normalized pressure command from circuit 2 of 
          the PTO cycle. Let NPcircuit--2 = 1 if there is 
          only one circuit.
tcycle = time of a complete cycle.

    (iii) Sum the time from complete cycles (paragraph (d)(2)(i) of this 
section) and from partial cycles (paragraph (d)(2)(ii) of this section).
    (3) Convert the g/hr PTO result to an equivalent g/mi value based on 
the assumed fraction of engine operating time during which the PTO is 
operating (28 percent) and an assumed average vehicle speed while 
driving (27.1 mph). The conversion factor is: Factor = (0.280)/(1.000-
0.280)/(27.1 mph) = 0.0144 hr/mi. Multiply the g/hr emission rate by 
0.0144 hr/mi.
    (4) Divide the g/mi PTO emission rate by the standard payload and 
add this value to the g/ton-mile emission rate for the driving portion 
of the test.
    (e) Follow the provisions of Sec.  1037.615 to calculate improvement 
factors and benefits for advanced technologies.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36393, June 17, 2013]



Sec.  1037.550  Special procedures for testing hybrid systems.

    This section describes the procedure for simulating a chassis test 
with a pre-transmission or post-transmission hybrid system for A to B 
testing. These procedures may also be used to perform A to B testing 
with non-hybrid systems.
    (a) Set up the engine according to 40 CFR 1065.110 to account for 
work inputs and outputs and accessory work.
    (b) Collect CO2 emissions while operating the system over 
the test cycles specified in Sec.  1037.510.
    (c) Collect and measure emissions as described in 40 CFR part 1066. 
Calculate emission rates in grams per ton-mile without rounding. 
Determine values for A, B, C, and M for the vehicle being simulated as 
specified in 40 CFR part 1066. If you will apply an improvement factor 
or test results to multiple vehicle configurations, use values of A, B, 
C, M, kd, and r that represent the vehicle configuration with 
the smallest potential reduction in greenhouse gas emissions as a result 
of the hybrid capability.
    (d) Calculate the transmission output shaft's angular speed target 
for the driver model, fnref,driver, from the linear speed associated 
with the vehicle cycle using the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN13.001

Where:

vcyclei = vehicle speed of the test cycle for each point, i, starting 
          from i = 1.
kd = final drive ratio (the angular speed of the transmission output 
          shaft divided by the angular speed of the drive axle), as 
          declared by the manufacturer.
r = radius of the loaded tires, as declared by the manufacturer.

    (e) Use speed control with a loop rate of at least 100 Hz to program 
the dynamometer to follow the test cycle, as follows:
    (1) Calculate the transmission output shaft's angular speed target 
for the dynamometer, fnref,dyno, from the measured linear speed at the 
dynamometer rolls using the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN13.002

Where:

[[Page 159]]

[GRAPHIC] [TIFF OMITTED] TR17JN13.003

T = instantaneous measured torque at the transmission output shaft.
Fbrake = instantaneous brake force applied by the driver model to add 
          force to slow down the vehicle.
t = elapsed time in the driving schedule as measured by the dynamometer, 
          in seconds.

    (2) For each test, validate the measured transmission output shaft's 
speed with the corresponding reference values according to 40 CFR 
1065.514(e). You may delete points when the vehicle is stopped. Perform 
the validation based on speed values at the transmission output shaft. 
For steady-state tests (55 mph and 65 mph cruise), apply cycle-
validation criteria by treating the sampling periods from the two tests 
as a continuous sampling period. Perform this validation based on the 
following parameters:

  Table 1 of Sec.   1037.550--Statistical Criteria for Validating Duty
                                 Cycles
------------------------------------------------------------------------
                 Parameter                          Speed control
------------------------------------------------------------------------
Slope, a1.................................  0.950 <=a1 <=1.030.
Absolute value of intercept,                <=2.0% of maximum test
 [verbarlm]a0[verbarlm].                     speed.
Standard error of estimate, SEE...........  <=5% of maximum test speed.
Coefficient of determination, r\2\........  =0.970.
------------------------------------------------------------------------

    (f) Send a brake signal when throttle position is equal to zero and 
vehicle speed is greater than the reference vehicle speed from the test 
cycle. Set a delay before changing the brake state to prevent the brake 
signal from dithering, consistent with good engineering judgment.
    (g) The driver model should be designed to follow the cycle as 
closely as possible and must meet the requirements of Sec.  1037.510 for 
steady-state testing and 40 CFR 1066.430(e) for transient testing. The 
driver model should be designed so that the brake and throttle are not 
applied at the same time.
    (h) Correct for the net energy change of the energy storage device 
as described in 40 CFR 1066.501.
    (i) Follow the provisions of Sec.  1037.510 to weight the cycle 
results and Sec.  1037.615 to calculate improvement factors and benefits 
for advanced technologies.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36393, June 17, 2013]



                 Subpart G_Special Compliance Provisions



Sec.  1037.601  What compliance provisions apply to these vehicles?

    (a) Engine and vehicle manufacturers, as well as owners and 
operators of vehicles subject to the requirements of this part, and all 
other persons, must observe the provisions of this part, the provisions 
of the Clean Air Act, and the following provisions of 40 CFR part 1068:
    (1) The exemption and importation provisions of 40 CFR part 1068, 
subparts C and D, apply for vehicles subject to this part 1037, except 
that the hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 
1068.255 do not apply for motor vehicles.
    (2) Manufacturers may comply with the defect reporting requirements 
of 40 CFR 1068.501 instead of the defect reporting requirements of 40 
CFR part 85.
    (b) Vehicles exempted from the applicable standards of 40 CFR part 
86 are exempt from the standards of this part without request. 
Similarly, vehicles are exempt without request if the installed engine 
is exempted from the applicable standards in 40 CFR part 86.
    (c) The prohibitions of 40 CFR 86.1854 apply for vehicles subject to 
the requirements of this part. The actions prohibited under this 
provision include the introduction into U.S. commerce of a complete or 
incomplete vehicle subject to the standards of this part where the 
vehicle is not covered by a valid certificate of conformity or 
exemption.
    (d) Except as specifically allowed by this part, it is a violation 
of section 203(a)(1) of the Clean Air Act (42 U.S.C. 7522(a)(1)) to 
introduce into U.S. commerce a tractor containing an engine

[[Page 160]]

not certified for use in tractors; or to introduce into U.S. commerce a 
vocational vehicle containing a light heavy-duty or medium heavy-duty 
engine not certified for use in vocational vehicles. This prohibition 
applies especially to the vehicle manufacturer.
    (e) A vehicle manufacturer that completes assembly of a vehicle at 
two or more facilities may ask to use as the date of manufacture for 
that vehicle the date on which manufacturing is completed at the place 
of main assembly, consistent with provisions of 49 CFR 567.4. Note that 
such staged assembly is subject to the provisions of 40 CFR 1068.260(c). 
Include your request in your application for certification, along with a 
summary of your staged-assembly process. You may ask to apply this 
allowance to some or all of the vehicles in your vehicle family. Our 
approval is effective when we grant your certificate. We will not 
approve your request if we determine that you intend to use this 
allowance to circumvent the intent of this part.



Sec.  1037.610  Vehicles with innovative technologies.

    (a) You may ask us to apply the provisions of this section for 
CO2 emission reductions resulting from vehicle technologies 
that were not in common use with heavy-duty vehicles before model year 
2010 that are not reflected in the GEM simulation tool. These provisions 
may be applied for CO2 emission reductions reflected using 
the specified test procedures, provided they are not reflected in the 
GEM. We will apply these provisions only for technologies that will 
result in measurable, demonstrable, and verifiable real-world 
CO2 emission reductions.
    (b) The provisions of this section may be applied as either an 
improvement factor or as a separate credit, consistent with good 
engineering judgment. We recommend that you base your credit/adjustment 
on A to B testing of pairs of vehicles differing only with respect to 
the technology in question.
    (1) Calculate improvement factors as the ratio of in-use emissions 
with the technology divided by the in-use emissions without the 
technology. Use the improvement-factor approach where good engineering 
judgment indicates that the actual benefit will be proportional to 
emissions measured over the test procedures specified in this part.
    (2) Calculate separate credits (g/ton-mile) based on the difference 
between the in-use emission rate with the technology and the in-use 
emission rate without the technology. Multiply this difference by the 
number of vehicles, standard payload, and useful life. Use the separate-
credit approach where good engineering judgment indicates that the 
actual benefit will be not be proportional to emissions measured over 
the test procedures specified in this part.
    (3) We may require you to discount or otherwise adjust your 
improvement factor or credit to account for uncertainty or other 
relevant factors.
    (c) You may perform A to B testing by measuring emissions from the 
vehicles during chassis testing or from in-use on-road testing. We 
recommend that you perform on-road testing according to SAE J1321 Joint 
TMC/SAE Fuel Consumption Test Procedure Type II Reaffirmed 1986-10 or 
SAE J1526 Joint TMC/SAE Fuel Consumption In-Service Test Procedure Type 
III Issued 1987-06 (see Sec.  1037.810 for information availability of 
SAE standards), subject to the following provisions:
    (1) The minimum route distance is 100 miles.
    (2) The route selected must be representative in terms of grade. We 
will take into account published and relevant research in determining 
whether the grade is representative.
    (3) The vehicle speed over the route must be representative of the 
drive-cycle weighting adopted for each regulatory subcategory. For 
example, if the route selected for an evaluation of a combination 
tractor with a sleeper cab contains only interstate driving, the 
improvement factor would apply only to 86 percent of the weighted 
result.
    (4) The ambient air temperature must be between 5 and 35 [deg]C, 
unless the technology requires other temperatures for demonstration.
    (5) We may allow you to use a Portable Emissions Measurement System 
(PEMS) device for measuring CO2 emissions during the on-road 
testing.

[[Page 161]]

    (d) Send your request to the Designated Compliance Officer. Include 
a detailed description of the technology and a recommended test plan. 
Also state whether you recommend applying these provisions using the 
improvement-factor method or the separate-credit method. We recommend 
that you do not begin collecting test data (for submission to EPA) 
before contacting us. For technologies for which the engine manufacturer 
could also claim credits (such as transmissions in certain 
circumstances), we may require you to include a letter from the engine 
manufacturer stating that it will not seek credits for the same 
technology.
    (e) We may seek public comment on your request, consistent with the 
provisions of 40 CFR 86.1866. However, we will generally not seek public 
comment on credits or adjustments based on A to B chassis testing 
performed according to the duty-cycle testing requirements of this part 
or in-use testing performed according to paragraph (c) of this section.



Sec.  1037.615  Hybrid vehicles and other advanced technologies.

    (a) This section applies for hybrid vehicles with regenerative 
braking, vehicles equipped with Rankine-cycle engines, electric 
vehicles, and fuel cell vehicles. You may not generate credits for 
engine features for which the engines generate credits under 40 CFR part 
1036.
    (b) Generate advanced technology emission credits for hybrid 
vehicles that include regenerative braking (or the equivalent) and 
energy storage systems, fuel cell vehicles, and vehicles equipped with 
Rankine-cycle engines as follows:
    (1) Measure the effectiveness of the advanced system by chassis 
testing a vehicle equipped with the advanced system and an equivalent 
conventional vehicle, or by testing the hybrid systems and the 
equivalent non-hybrid systems as described in Sec.  1037.550. Test the 
vehicles as specified in subpart F of this part. For purposes of this 
paragraph (b), a conventional vehicle is considered to be equivalent if 
it has the same footprint (as defined in 40 CFR 86.1803), vehicle 
service class, aerodynamic drag, and other relevant factors not directly 
related to the hybrid powertrain. If you use Sec.  1037.525 to quantify 
the benefits of a hybrid system for PTO operation, the conventional 
vehicle must have the same number of PTO circuits and have equivalent 
PTO power. If you do not produce an equivalent vehicle, you may create 
and test a prototype equivalent vehicle. The conventional vehicle is 
considered Vehicle A and the advanced vehicle is considered Vehicle B. 
We may specify an alternate cycle if your vehicle includes a power take-
off.
    (2) Calculate an improvement factor and g/ton-mile benefit using the 
following equations and parameters:
    (i) Improvement Factor = [(Emission Rate A) - (Emission Rate B)] / 
(Emission Rate A)
    (ii) g/ton-mile benefit = Improvement Factor x (GEM Result B)
    (iii) Emission Rates A and B are the g/ton-mile CO2 
emission rates of the conventional and advanced vehicles, respectively, 
as measured under the test procedures specified in this section. GEM 
Result B is the g/ton-mile CO2 emission rate resulting from 
emission modeling of the advanced vehicle as specified in Sec.  
1037.520.
    (3) If you apply an improvement factor to multiple vehicle 
configurations using the same advanced technology, use the vehicle 
configuration with the smallest potential reduction in greenhouse gas 
emissions resulting from the hybrid capability.
    (4) Use the equations of Sec.  1037.705 to convert the g/ton-mile 
benefit to emission credits (in Mg). Use the g/ton-mile benefit in place 
of the (Std-FEL) term.
    (c) See Sec.  1037.525 for special testing provisions related to 
hybrid vehicles equipped with power take-off units.
    (d) You may use an engineering analysis to calculate an improvement 
factor for fuel cell vehicles based on measured emissions from the fuel 
cell vehicle.
    (e) For electric vehicles, calculate CO2 credits using an 
FEL of 0 g/ton-mile.
    (f) As specified in subpart H of this part, credits generated under 
this section may be used under this part 1037 outside of the averaging 
set in which they were generated or used under 40 CFR part 1036.

[[Page 162]]

    (g) You may certify using both provisions of this section and the 
innovative technology provisions of Sec.  1037.610, provided you do not 
double count emission benefits.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36393, June 17, 2013]



Sec.  1037.620  Shipment of incomplete vehicles to secondary
vehicle manufacturers.

    This section specifies how manufacturers may introduce partially 
complete vehicles into U.S. commerce.
    (a) The provisions of this section allow manufacturers to ship 
partially complete vehicles to secondary vehicle manufacturers or 
otherwise introduce them into U.S. commerce in the following 
circumstances:
    (1) Tractors. Manufacturers may introduce partially complete 
tractors into U.S. commerce if they are covered by a certificate of 
conformity for tractors and will be in their certified tractor 
configuration before they reach the ultimate purchasers. For example, 
this would apply for sleepers initially shipped without the sleeper 
compartments attached. Note that delegated assembly provisions may apply 
(see 40 CFR 1068.261).
    (2) Vocational vehicles. Manufacturers may introduce partially 
complete vocational vehicles into U.S. commerce if they are covered by a 
certificate of conformity for vocational vehicles and will be in their 
certified vocational configuration before they reach the ultimate 
purchasers. Note that delegated assembly provisions may apply (see 40 
CFR 1068.261).
    (3) Uncertified vehicles that will be certified by secondary vehicle 
manufacturers. Manufacturers may introduce into U.S. commerce partially 
complete vehicles for which they do not hold a certificate of conformity 
only as allowed by paragraph (b) of this section; however, the 
requirements of this section do not apply if vehicles produced by a 
secondary vehicle manufacturer are excluded from the standards of this 
part under Sec.  1037.150(c).
    (b) The provisions of this paragraph (b) generally apply where the 
secondary vehicle 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 
manufacturer would be able to ensure that the engine and vehicle will 
conform to the regulations in their final configurations.
    (1) A secondary manufacturer may finish assembly of partially 
complete vehicles in the following cases:
    (i) It obtains a vehicle that is not fully assembled with the intent 
to manufacture a complete vehicle in a certified configuration.
    (ii) It obtains a vehicle with the intent to modify it to a 
certified configuration before it reaches the ultimate purchaser. For 
example, this may apply for converting a gasoline-fueled vehicle to 
operate on natural gas under the terms of a valid certificate.
    (2) Manufacturers may introduce partially complete vehicles into 
U.S. commerce as described in this paragraph (b) if they have a written 
request for such vehicles from a secondary vehicle manufacturer that 
will finish the vehicle assembly and has certified the vehicle (or the 
vehicle has been exempted or excluded from the requirements of this 
part). The written request must include a statement that the secondary 
manufacturer has a certificate of conformity (or exemption/exclusion) 
for the vehicle and identify a valid vehicle family name associated with 
each vehicle model ordered (or the basis for an exemption/exclusion). 
The original vehicle manufacturer must apply a removable label meeting 
the requirements of 40 CFR 1068.45 that identifies the corporate name of 
the original manufacturer and states that the vehicle is exempt under 
the provisions of Sec.  1037.620. The name of the certifying 
manufacturer must also be on the label or, alternatively, on the bill of 
lading that accompanies the vehicles during shipment. The original 
manufacturer may not apply a permanent emission control information 
label identifying the vehicle's eventual status as a certified vehicle.
    (3) If you are the secondary manufacturer and you will hold the 
certificate, you must include the following information in your 
application for certification:

[[Page 163]]

    (i) Identify the original manufacturer of the partially complete 
vehicle or of the complete vehicle you will modify.
    (ii) Describe briefly how and where final assembly will be 
completed. Specify how you have the ability to ensure that the vehicles 
will conform to the regulations in their final configuration. (Note: 
This section prohibits using the provisions of this paragraph (b) unless 
you have substantial control over the design and assembly of emission 
controls.)
    (iii) State unconditionally that you will not distribute the 
vehicles without conforming to all applicable regulations.
    (4) If you are a secondary manufacturer and you are already a 
certificate holder for other families, you may receive shipment of 
partially complete vehicles after you apply for a certificate of 
conformity but before the certificate's effective date. This exemption 
allows the original manufacturer to ship vehicles after you have applied 
for a certificate of conformity. Manufacturers may introduce partially 
complete vehicles into U.S. commerce as described in this paragraph 
(b)(4) if they have a written request for such vehicles from a secondary 
manufacturer stating that the application for certification has been 
submitted (instead of the information we specify in paragraph (b)(2) of 
this section). We may set additional conditions under this paragraph 
(b)(4) to prevent circumvention of regulatory requirements.
    (5) Both original and secondary manufacturers must keep the records 
described in this section for at least five years, including the written 
request for exempted vehicles and the bill of lading for each shipment 
(if applicable). The written request is deemed to be a submission to 
EPA.
    (6) These provisions are intended only to allow secondary 
manufacturers to obtain or transport vehicles in the specific 
circumstances identified in this section so any exemption under this 
section expires when the vehicle reaches the point of final assembly 
identified in paragraph (b)(3)(ii) of this section.
    (7) For purposes of this section, an allowance to introduce 
partially complete vehicles into U.S. commerce includes a conditional 
allowance to sell, introduce, or deliver such vehicles into commerce in 
the United States or import them into the United States. It does not 
include a general allowance to offer such vehicles for sale because this 
exemption is intended to apply only for cases in which the certificate 
holder already has an arrangement to purchase the vehicles from the 
original manufacturer. This exemption does not allow the original 
manufacturer to subsequently offer the vehicles 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 vehicles that are not 
labeled as specified in this section or which are shipped to someone who 
is not a certificate holder.
    (8) We may suspend, revoke, or void an exemption under this section, 
as follows:
    (i) We may suspend or revoke your exemption if you fail to meet the 
requirements of this section. We may suspend or revoke an exemption 
related to a specific secondary manufacturer if that manufacturer sells 
vehicles 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 manufacturer or set additional conditions to 
ensure that vehicles will be assembled in the certified configuration.
    (ii) We may void an exemption for all the affected vehicles if you 
intentionally submit false or incomplete information or fail to keep and 
provide to EPA the records required by this section.
    (iii) The exemption is void for a vehicle that is shipped to a 
company that is not a certificate holder or for a vehicle that is 
shipped to a secondary manufacturer that is not in compliance with the 
requirements of this section.
    (iv) The secondary manufacturer may be liable for penalties for 
causing a prohibited act where the exemption is voided due to actions on 
the part of the secondary manufacturer.
    (c) Provide instructions along with partially complete vehicles 
including

[[Page 164]]

all information necessary to ensure that an engine will be installed in 
its certified configuration.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36394, June 17, 2013]



Sec.  1037.630  Special purpose tractors.

    (a) General provisions. This section allows a vehicle manufacturer 
to reclassify certain tractors as vocational tractors. Vocational 
tractors are treated as vocational vehicles and are exempt from the 
standards of Sec.  1037.106. Note that references to ``tractors'' 
outside of this section mean non-vocational tractors.
    (1) This allowance is intended only for vehicles that do not 
typically operate at highway speeds, or would otherwise not benefit from 
efficiency improvements designed for line-haul tractors. This allowance 
is limited to the following vehicle and application types:
    (i) Low-roof tractors intended for intra-city pickup and delivery, 
such as those that deliver bottled beverages to retail stores.
    (ii) Tractors intended for off-road operation (including mixed 
service operation), such as those with reinforced frames and increased 
ground clearance.
    (iii) Tractors with a GCWR over 120,000 pounds.
    (2) Where we determine that a manufacturer is not applying this 
allowance in good faith, we may require the manufacturer to obtain 
preliminary approval before using this allowance.
    (b) Requirements. The following requirements apply with respect to 
tractors reclassified under this section:
    (1) The vehicle must fully conform to all requirements applicable to 
vocational vehicles under this part.
    (2) Vehicles reclassified under this section must be certified as a 
separate vehicle family. However, they remain part of the vocational 
regulatory sub-category and averaging set that applies for their weight 
class.
    (3) You must include the following additional statement on the 
vehicle's emission control information label under Sec.  1037.135: 
``THIS VEHICLE WAS CERTIFIED AS A VOCATIONAL TRACTOR UNDER 40 CFR 
1037.630.''.
    (4) You must keep records for three years to document your basis for 
believing the vehicles will be used as described in paragraph (a)(1) of 
this section. Include in your application for certification a brief 
description of your basis.
    (c) Production limit. No manufacturer may produce more than 21,000 
vehicles under this section in any consecutive three model year period. 
This means you may not exceed 6,000 in a given model year if the 
combined total for the previous two years was 15,000. The production 
limit applies with respect to all Class 7 and Class 8 tractors certified 
or exempted as vocational tractors. Note that in most cases, the 
provisions of paragraph (a) of this section will limit the allowable 
number of vehicles to be a number lower than the production limit of 
this paragraph (c).
    (d) Off-road exemption. All the provisions of this section apply for 
vocational tractors exempted under Sec.  1037.631, except as follows:
    (1) The vehicles are required to comply with the requirements of 
Sec.  1037.631 instead of the requirements that would otherwise apply to 
vocational vehicles. Vehicles complying with the requirements of Sec.  
1037.631 and using an engine certified to the standards of 40 CFR part 
1036 are deemed to fully conform to all requirements applicable to 
vocational vehicles under this part.
    (2) The vehicles must be labeled as specified under Sec.  1037.631 
instead of as specified in paragraph (b)(3) of this section.



Sec.  1037.631  Exemption for vocational vehicles intended for off-road use.

    This section provides an exemption from the greenhouse gas standards 
of this part for certain vocational vehicles intended to be used 
extensively in off-road environments such as forests, oil fields, and 
construction sites. This section does not exempt the engine used in the 
vehicle from the standards of 40 CFR part 86 or part 1036. Note that you 
may not include these exempted vehicles in any credit calculations under 
this part.
    (a) Qualifying criteria. Vocational vehicles intended for off-road 
use meeting either the criteria of paragraph (a)(1) or (a)(2) of this 
section are exempt without request, subject to the provisions of this 
section.

[[Page 165]]

    (1) Vehicles are exempt if the tires installed on the vehicle have a 
maximum speed rating at or below 55 mph.
    (2) Vehicles are exempt if they were primarily designed to perform 
work off-road (such as in oil fields, forests, or construction sites), 
and they meet at least one of the criteria of paragraph (a)(2)(i) of 
this section and at least one of the criteria of paragraph (a)(2)(ii) of 
this section.
    (i) The vehicle must have affixed components designed to work in an 
off-road environment (i.e., hazardous material equipment or off-road 
drill equipment) or be designed to operate at low speeds such that it is 
unsuitable for normal highway operation.
    (ii) The vehicle must meet one of the following criteria:
    (A) Have an axle that has a gross axle weight rating (GAWR) of 
29,000 pounds.
    (B) Have a speed attainable in 2 miles of not more than 33 mph.
    (C) Have a speed attainable in 2 miles of not more than 45 mph, an 
unloaded vehicle weight that is not less than 95 percent of its gross 
vehicle weight rating (GVWR), and no capacity to carry occupants other 
than the driver and operating crew.
    (b) Tractors. The provisions of this section may apply for tractors 
only if each tractor qualifies as a vocational tractor under Sec.  
1037.630.
    (c) Recordkeeping and reporting. (1) You must keep records to 
document that your exempted vehicle configurations meet all applicable 
requirements of this section. Keep these records for at least eight 
years after you stop producing the exempted vehicle model. We may review 
these records at any time.
    (2) You must also keep records of the individual exempted vehicles 
you produce, including the vehicle identification number and a 
description of the vehicle configuration.
    (3) Within 90 days after the end of each model year, you must send 
to the Designated Compliance Officer a report with the following 
information:
    (i) A description of each exempted vehicle configuration, including 
an explanation of why it qualifies for this exemption.
    (ii) The number of vehicles exempted for each vehicle configuration.
    (d) Labeling. You must include the following additional statement on 
the vehicle's emission control information label under Sec.  1037.135: 
``THIS VEHICLE WAS EXEMPTED UNDER 40 CFR 1037.631.''.



Sec.  1037.640  Variable vehicle speed limiters.

    This section specifies provisions that apply for vehicle speed 
limiters (VSLs) that you model under Sec.  1037.520. This does not apply 
for VSLs that you do not model under Sec.  1037.520.
    (a) General. The regulations of this part do not constrain how you 
may design VSLs for your vehicles. For example, you may design your VSL 
to have a single fixed speed limit or a soft-top speed limit. You may 
also design your VSL to expire after accumulation of a predetermined 
number of miles. However, designs with soft tops or expiration features 
are subject to proration provisions under this section that do not apply 
to fixed VSLs that do not expire.
    (b) Definitions. The following definitions apply for purposes of 
this section:
    (1) Default speed limit means the speed limit that normally applies 
for the vehicle, except as follows:
    (i) The default speed limit for adjustable VSLs must represent the 
speed limit that applies when the VSL is adjusted to its highest setting 
under paragraph (c) of this section.
    (ii) For VSLs with soft tops, the default speed does not include 
speeds possible only during soft-top operation.
    (iii) For expiring VSLs, the default does not include speeds that 
are possible only after expiration.
    (2) Soft-top speed limit means the highest speed limit that applies 
during soft-top operation.
    (3) Maximum soft-top duration means the maximum amount of time that 
a vehicle could operate above the default speed limit.
    (4) Certified VSL means a VSL configuration that applies when a 
vehicle is new and until it expires.
    (5) Expiration point means the mileage at which a vehicle's 
certified VSL expires (or the point at which tamper protections expire).

[[Page 166]]

    (6) Effective speed limit has the meaning given in paragraph (d) of 
this section.
    (c) Adjustments. You may design your VSL to be adjustable; however, 
this may affect the value you use in the GEM.
    (1) Except as specified in paragraph (c)(2) of this section, any 
adjustments that can be made to the engine, vehicle, or their controls 
that change the VSL's actual speed limit are considered to be adjustable 
operating parameters. Compliance is based on the vehicle being adjusted 
to the highest speed limit within this range.
    (2) The following adjustments are not adjustable parameters:
    (i) Adjustments made only to account for changing tire size or final 
drive ratio.
    (ii) Adjustments protected by encrypted controls or passwords.
    (iii) Adjustments possible only after the VSL's expiration point.
    (d) Effective speed limit. (1) For VSLs without soft tops or 
expiration points that expire before 1,259,000 miles, the effective 
speed limit is the highest speed limit that results by adjusting the VSL 
or other vehicle parameters consistent with the provisions of paragraph 
(c) of this section.
    (2) For VSLs with soft tops and/or expiration points, the effective 
speed limit is calculated as specified in this paragraph (d)(2), which 
is based on 10 hours of operation per day (394 miles per day for day 
cabs and 551 miles per day for sleeper cabs). Note that this calculation 
assumes that a fraction of this operation is speed limited (3.9 hours 
and 252 miles for day cabs, and 7.3 hours and 474 miles for sleeper 
cabs). Use the following equation to calculate the effective speed 
limit, rounded to the nearest 0.1 mph:

Effective speed = ExF * [STF* STSL + (1-STF) * DSL] + (1-ExF)*65 mph

Where:

ExF = expiration point miles/1,259,000 miles
STF = maximum number of allowable soft top operation hours per day/3.9 
          hours for day cabs (or maximum miles per day/252)
STF = maximum number of allowable soft top operation hours per day/7.3 
          hours for sleeper cabs (or maximum miles per day/474)
STSL = the soft top speed limit
DSL = the default speed limit



Sec.  1037.645  In-use compliance with family emission limits (FELs).

    You may ask us to apply a higher in-use FEL for certain in-use 
vehicles, subject to the provisions of this section. Note that Sec.  
1037.225 contains provisions related to changing FELs during a model 
year.
    (a) Purpose. This section is intended to address circumstances in 
which it is in the public interest to apply a higher in-use FEL based on 
forfeiting an appropriate number of emission credits.
    (b) FELs. We may apply higher in-use FELs to your vehicles as 
follows:
    (1) Where your vehicle family includes more than one sub-family with 
different FELs, we may apply a higher FEL within the family than was 
applied to the vehicle's configuration in your final ABT report. For 
example, if your vehicle family included three sub-families with FELs of 
200 g/ton-mile, 210 g/ton-mile, and 220 g/ton-mile, we may apply a 220 
g/ton-mile in-use FEL to vehicles that were originally designated as 
part of the 200 g/ton-mile or 210 g/ton-mile sub-families.
    (2) Without regard to the number of sub-families in your certified 
vehicle family, we may specify new sub-families with higher FELs than 
were included in your final ABT report. We may apply these higher FELs 
as in-use FELs for your vehicles. For example, if your vehicle family 
included three sub-families with FELs of 200 g/ton-mile, 210 g/ton-mile, 
and 220 g/ton-mile, we may specify a new 230 g/ton-mile sub-family.
    (3) In specifying sub-families and in-use FELs, we would intend to 
accurately reflect the actual in-use performance of your vehicles, 
consistent with the specified testing and modeling provisions of this 
part.
    (c) Equivalent families. We may apply the higher FELs to other 
families in other model years if they used equivalent emission controls.
    (d) Credit forfeiture. Where we specify higher in-use FELs under 
this section, you must forfeit CO2 emission credits based on 
the difference between the in-use FEL and the otherwise applicable FEL. 
Calculate the amount of credits to be forfeited using the applicable 
equation in Sec.  1037.705, by substituting the otherwise applicable FEL 
for the

[[Page 167]]

standard and the in-use FEL for the otherwise applicable FEL.
    (e) Requests. Submit your request to the Designated Compliance 
Officer. Include the following in your request:
    (1) The vehicle family name, model year, and name/description of the 
configuration(s) affected.
    (2) A list of other vehicle families/configurations/model years that 
may be affected.
    (3) The otherwise applicable FEL for each configuration along with 
your recommendations for higher in-use FELs.
    (4) Your source of credits for forfeiture.
    (f) Relation to recall. You may not request higher in-use FELs for 
any vehicle families for which we have made a determination of 
nonconformance and ordered a recall. You may, however, make such 
requests for vehicle families for which you are performing a voluntary 
emission recall.
    (g) Approval. We may approve your request if we determine that you 
meet the requirements of this section and such approval is in the public 
interest. We may include appropriate conditions with our approval or we 
may approve your request with modifications.



Sec.  1037.650  Tire manufacturers.

    This section describes how the requirements of this part apply with 
respect to tire manufacturers that choose to provide test data or 
emission warranties for purposes of this part.
    (a) Testing. You are responsible as follows for test tires and 
emission test results that you provide to vehicle manufacturers for the 
purpose of the manufacturer submitting them to EPA for certification 
under this part:
    (1) Such test results are deemed under Sec.  1037.825 to be 
submissions to EPA. This means that you may be subject to criminal 
penalties under 18 U.S.C. 1001 if you knowingly submit false test 
results to the manufacturer.
    (2) You may not cause a vehicle manufacturer to violate the 
regulations by rendering inaccurate emission test results you provide 
(or emission test results from testing of test tires you provide) to the 
vehicle manufacturer.
    (3) Your provision of test tires and emission test results to 
vehicle manufacturers for the purpose of certifying under this part is 
deemed to be an agreement to provide tires to EPA for confirmatory 
testing under Sec.  1037.201.
    (b) Warranty. You may contractually agree to process emission 
warranty claims on behalf of the manufacturer certifying the vehicle 
with respect to tires you produce.
    (1) Your fulfillment of the warranty requirements of this part is 
deemed to fulfill the vehicle manufacturer's warranty obligations under 
this part with respect to tires you warrant.
    (2) You may not cause a vehicle manufacturer to violate the 
regulations by failing to fulfill the emission warranty requirements 
that you contractually agreed to fulfill.



Sec.  1037.655  Post-useful life vehicle modifications.

    This section specifies vehicle modifications that may occur after a 
vehicle reaches the end of its regulatory useful life. It does not apply 
with respect to modifications that occur within the useful life period. 
It also does not apply with respect to engine modifications or 
recalibrations. Note that many such modifications to the vehicle during 
the useful life and to the engine at any time are presumed to violate 42 
U.S.C. 7522(a)(3)(A).
    (a) General. Except as allowed by this section, it is prohibited for 
any person to remove or render inoperative any emission control device 
installed to comply with the requirements of this part 1037.
    (b) Allowable modifications. You may modify a vehicle for the 
purpose of reducing emissions, provided you have a reasonable technical 
basis for knowing that such modification will not increase emissions of 
any other pollutant. Reasonable technical basis has the meaning given in 
40 CFR 1068.30. This generally requires you to have information that 
would lead an engineer or other person familiar with engine and vehicle 
design and function to reasonably believe that the modifications will 
not increase emissions of any regulated pollutant.
    (c) Examples of allowable modifications. The following are examples 
of allowable modifications:

[[Page 168]]

    (1) It is generally allowable to remove tractor roof fairings after 
the end of the vehicle's useful life if the vehicle will no longer be 
used primarily to pull box trailers.
    (2) Other fairings may be removed after the end of the vehicle's 
useful life if the vehicle will no longer be used significantly on 
highways with vehicle speed of 55 miles per hour or higher.
    (d) Examples of prohibited modifications. The following are examples 
of modifications that are not allowable:
    (1) No person may disable a vehicle speed limiter prior to its 
expiration point.
    (2) No person may remove aerodynamic fairings from tractors that are 
used primarily to pull box trailers on highways.



Sec.  1037.660  Automatic engine shutdown systems.

    This section specifies requirements that apply for certified 
automatic engine shutdown (AES) systems modeled under Sec.  1037.520. It 
does not apply for AES systems you do not model under Sec.  1037.520.
    (a) Minimum requirements. Your AES system must meet all of the 
requirements of this paragraph (a) to be modeled under Sec.  1037.520. 
The system must shut down the engine within 300 seconds when all the 
following conditions are met:
    (1) The transmission is set in neutral with the parking brake 
engaged (or the transmission is set to park if so equipped).
    (2) The operator has not reset the system timer within the 300 
seconds by changing the position of the accelerator, brake, or clutch 
pedal; or by some other mechanism we approve.
    (3) None of the override conditions of paragraph (b) of this section 
are met.
    (b) Override conditions. The system may delay shutting the engine 
down while any of the conditions of this paragraph (b) apply. Engines 
equipped with auto restart may restart during override conditions. Note 
that these conditions allow the system to delay shutdown or restart, but 
do not allow it to reset the timer. The system may delay shutdown--
    (1) While an exhaust emission control device is regenerating. The 
period considered to be regeneration for purposes of this allowance must 
be consistent with good engineering judgment and may differ in length 
from the period considered to be regeneration for other purposes. For 
example, in some cases it may be appropriate to include a cool down 
period for this purpose but not for infrequent regeneration adjustment 
factors.
    (2) If necessary while servicing the vehicle, provided the 
deactivation of the AES system is accomplished using a diagnostic scan 
tool. The system must be automatically reactivated when the engine is 
shutdown for more than 60 minutes.
    (3) If the vehicle's main battery state-of-charge is not sufficient 
to allow the main engine to be restarted.
    (4) If the external ambient temperature reaches a level below which 
or above which the cabin temperature cannot be maintained within 
reasonable heat or cold exposure threshold limit values for the health 
and safety of the operator (not merely comfort).
    (5) If the vehicle's engine coolant temperature is too low according 
to the manufacturer's engine protection guidance. This may also apply 
for fuel or oil temperatures. This allows the engine to continue 
operating until it reaches a predefined temperature at which the 
shutdown sequence of paragraph (a) of this section would resume.
    (6) The system may delay shutdown while the vehicle's main engine is 
operating in power take-off (PTO) mode. For purposes of this paragraph 
(b)(6), an engine is considered to be in PTO mode when a switch or 
setting designating PTO mode is enabled.
    (c) Adjustments to AES systems. (1) The AES system may include an 
expiration point (in miles) after which the AES system may be disabled. 
If your vehicle is equipped with an AES system that expires before 
1,259,000 miles, adjust the model input as follows, rounded to the 
nearest 0.1 g/ton-mile: AES Input = 5 g CO2/ton-mile x (miles 
at expiration/1,259,000 miles)
    (2) For AES systems designed to limit idling to a specific number of 
hours less than 1,800 hours over any 12-month period, calculate an 
adjusted AES input using the following equation, rounded to the nearest 
0.1 g/ton-

[[Page 169]]

mile: AES Input = 5 g CO2/ton-mile x (1-(maximum allowable 
number of idling hours per year/1,800 hours)). This is an annual 
allowance that starts when the vehicle is new and resets every 12 months 
after that. Manufacturers may propose an alternative method based on 
operating hours or miles instead of years.
    (d) Adjustable parameters. Provisions that apply generally with 
respect to adjustable parameters also apply to the AES system operating 
parameters, except the following are not considered to be adjustable 
parameters:
    (1) Accelerator, brake, and clutch pedals, with respect to resetting 
the idle timer. Parameters associated with other timer reset mechanisms 
we approve are also not adjustable parameters.
    (2) Bypass parameters allowed for vehicle service under paragraph 
(b)(2) of this section.
    (3) Parameters that are adjustable only after the expiration point.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36394, June 17, 2013]



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1037.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart and in subpart B 
of this part to show compliance with the standards of Sec. Sec.  
1037.105 and 1037.106. 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 vehicles in which emission credits 
may be exchanged. Credits generated by one vehicle may only be used by 
other vehicles in the same averaging set. Note that an averaging set may 
comprise more than one regulatory subcategory. See Sec.  1037.740.
    (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 vehicles not participating in the ABT program of this 
subpart.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (c) Emission credits may be exchanged only within an averaging set 
as specified in Sec.  1037.740.
    (d) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard, except as allowed 
by Sec.  1037.645.
    (e) You may trade emission credits generated from any number of your 
vehicles to the vehicle purchasers or other parties to retire the 
credits. Identify any such credits in the reports described in Sec.  
1037.730. Vehicles must comply with the applicable FELs even if you 
donate or sell the corresponding emission credits under this paragraph 
(e). Those credits may no longer be used by anyone to demonstrate 
compliance with any EPA emission standards.
    (f) Emission credits may be used in the model year they are 
generated. Surplus emission credits may be banked for future model 
years. Surplus emission credits may sometimes be used for past model 
years, as described in Sec.  1037.745.
    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec.  1037.225. The 
new FEL may apply only to vehicles you have not already introduced into 
commerce.
    (h) See Sec.  1037.740 for special credit provisions that apply for 
credits generated under Sec.  1037.104(d)(7), Sec.  1037.615 or 40 CFR 
1036.615.
    (i) Unless the regulations explicitly allow it, you may not 
calculate credits more than once for any emission reduction. For 
example, if you generate CO2

[[Page 170]]

emission credits for a given hybrid vehicle under this part, no one may 
generate CO2 emission credits for the hybrid engine under 40 
CFR part 1036. However, credits could be generated for identical engine 
used in vehicles that did not generate credits under this part.



Sec.  1037.705  Generating and calculating emission credits.

    (a) The provisions of this section apply separately for calculating 
emission credits for each pollutant.
    (b) For each participating family or subfamily, calculate positive 
or negative emission credits relative to the otherwise applicable 
emission standard. Calculate positive emission credits for a family or 
subfamily that has an FEL below the standard. Calculate negative 
emission credits for a family or subfamily 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 
megagram (Mg), using consistent units throughout the following 
equations:
    (1) For vocational vehicles:

Emission credits (Mg) = (Std-FEL) x (Payload Tons) x (Volume) x (UL) x 
(10-6)

Where:

Std = the emission standard associated with the specific tractor 
          regulatory subcategory (g/ton-mile).
FEL = the family emission limit for the vehicle subfamily (g/ton-mile).
Payload tons = the prescribed payload for each class in tons (2.85 tons 
          for light heavy-duty vehicles, 5.6 tons for medium heavy-duty 
          vehicles, and 7.5 tons for heavy heavy-duty vehicles).
Volume = U.S.-directed production volume of the vehicle subfamily. For 
          example, if you produce three configurations with the same 
          FEL, the subfamily production volume would be the sum of the 
          production volumes for these three configurations.
UL = useful life of the vehicle (110,000 miles for light heavy-duty 
          vehicles, 185,000 miles for medium heavy-duty vehicles, and 
          435,000 miles for heavy heavy-duty vehicles).

    (2) For tractors:

Emission credits (Mg) = (Std-FEL) x (Payload tons) x (Volume) x (UL) x 
(10-6)

Where:

Std = the emission standard associated with the specific tractor 
          regulatory subcategory (g/ton-mile).
FEL = the family emission limit for the vehicle subfamily (g/ton-mile).
Payload tons = the prescribed payload for each class in tons (12.5 tons 
          for Class 7 and 19 tons for Class 8).
Volume = U.S.-directed production volume of the vehicle subfamily.
UL = useful life of the tractor (435,000 miles for Class 8 and 185,000 
          miles for Class 7).

    (c) As described in Sec.  1037.730, compliance with the requirements 
of this subpart is determined at the end of the model year based on 
actual U.S.-directed production volumes. Keep appropriate records to 
document these production volumes. Do not include any of the following 
vehicles to calculate emission credits:
    (1) Vehicles that you do not certify to the CO2 standards 
of this part because they are permanently 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.  1037.5.
    (4) Any other vehicles, where we indicate elsewhere in this part 
1037 that they are not to be included in the calculations of this 
subpart.



Sec.  1037.710  Averaging.

    (a) Averaging is the exchange of emission credits among your vehicle 
families. You may average emission credits only within the same 
averaging set.
    (b) You may certify one or more vehicle families (or subfamilies) to 
an FEL above the applicable standard, subject to any applicable 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 or that a negative balance is allowed under Sec.  1037.745.
    (c) If you certify a vehicle family to an FEL that exceeds the 
otherwise applicable standard, you must obtain enough emission credits 
to offset the vehicle family's deficit by the due date for the final 
report required in Sec.  1037.730. The emission credits used to

[[Page 171]]

address the deficit may come from your other vehicle families that 
generate emission credits in the same model year (or from later model 
years as specified in Sec.  1037.745), from emission credits you have 
banked, or from emission credits you obtain through trading.



Sec.  1037.715  Banking.

    (a) Banking is the retention of surplus 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.  1037.730 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.
    (d) Banked credits retain the designation of the averaging set in 
which they were generated.



Sec.  1037.720  Trading.

    (a) Trading is the exchange of emission credits between 
manufacturers, or the transfer of credits to another party to retire 
them. You may use traded emission credits for averaging, banking, or 
further trading transactions. Traded emission credits remain subject to 
the averaging-set restrictions based on 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.  1037.255(e) for cases involving fraud. 
We may void the certificates of all vehicle families participating in a 
trade that results in a manufacturer having a negative balance of 
emission credits. See Sec.  1037.745.



Sec.  1037.725  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 vehicle family 
that will be certified using the ABT program. You must also declare the 
FELs you select for the vehicle family or subfamily 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; or a statement 
that you will have a negative balance of emission credits for one or 
more averaging sets but that it is allowed under Sec.  1037.745.
    (2) Calculations of projected emission credits (positive or 
negative) based on projected U.S.-directed production volumes. We may 
require you to include similar calculations from your other vehicle 
families to project your net credit balances for the model year. If you 
project negative emission credits for a family or subfamily, state the 
source of positive emission credits you expect to use to offset the 
negative emission credits.



Sec.  1037.730  ABT reports.

    (a) If any of your vehicle 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.
    (b) Your end-of-year and final reports must include the following 
information for each vehicle family participating in the ABT program:
    (1) Vehicle-family and subfamily designations.

[[Page 172]]

    (2) The regulatory subcategory and emission standards that would 
otherwise apply to the vehicle 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 as specified in 
Sec.  1037.225.
    (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) Useful life.
    (6) Calculated positive or negative emission credits for the whole 
vehicle family. Identify any emission credits that you traded, as 
described in paragraph (d)(1) of this section.
    (7) If you have a negative credit balance for the averaging set in 
the given model year, specify whether the vehicle family (or certain 
subfamilies with the vehicle family) have a credit deficit for the year. 
Consider for example, a manufacturer with three vehicle families (``A'', 
``B'', and ``C'') in a given averaging set. If family A generates enough 
credits to offset the negative credits of family B but not enough to 
also offset the negative credits of family C (and the manufacturer has 
no banked credits in the averaging set), the manufacturer may designate 
families A and B as having no deficit for the model year, provided it 
designates family C as having a deficit for the model year.
    (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 vehicle families in each averaging set in the applicable 
model year is not negative, except as allowed under Sec.  1037.745.
    (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 vehicle 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 vehicle 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.

[[Page 173]]



Sec.  1037.735  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 vehicles 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. Sec.  1037.725 and 
1037.730.
    (d) Keep records of the vehicle identification number for each 
vehicle 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 vehicle identification numbers 
associated with each FEL. You must also identify the purchaser and 
destination for each vehicle 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.



Sec.  1037.740  Restrictions for using emission credits.

    The following restrictions apply for using emission credits:
    (a) Averaging sets. Except as specified in paragraph (b) of this 
section, emission credits may be exchanged only within an averaging set. 
There are three principal averaging sets for vehicles subject to this 
subpart.
    (1) Vehicles at or below 19,500 pounds GVWR that are subject to the 
standards of Sec.  1037.105.
    (2) Vehicles above 19,500 pounds GVWR but at or below 33,000 pounds 
GVWR.
    (3) Vehicles over 33,000 pounds GVWR.
    (4) Note that other separate averaging sets also apply for emission 
credits not related to this subpart. For example, under Sec.  1037.104, 
an additional averaging set comprises all vehicles subject to the 
standards of that section. Separate averaging sets also apply for 
engines under 40 CFR part 1036, including engines used in vehicles 
subject to this subpart.
    (b) Credits from hybrid vehicles and other advanced technologies. 
The averaging set restrictions of paragraph (a) of this section do not 
apply for credits generated under Sec.  1037.104(d)(7), Sec.  1037.615 
or 40 CFR 1036.615 from hybrid vehicles with regenerative braking, or 
from other advanced technologies.
    (1) The maximum amount of credits you may bring into the following 
service class groups is 60,000 Mg per model year:
    (i) Spark-ignition engines, light heavy-duty compression-ignition 
engines, and light heavy-duty vehicles. This group comprises the 
averaging set listed in paragraphs (a)(1) of this section and the 
averaging set listed in 40 CFR 1036.740(a)(1) and (2).
    (ii) Medium heavy-duty compression-ignition engines and medium 
heavy-duty vehicles. This group comprises the averaging sets listed in 
paragraph (a)(2) of this section and 40 CFR 1036.740(a)(3).
    (iii) Heavy heavy-duty compression-ignition engines and heavy heavy-
duty vehicles. This group comprises the averaging sets listed in 
paragraph (a)(3) of this section and 40 CFR 1036.740(a)(4).
    (2) The limit specified in paragraph (b)(1) of this section does not 
limit the amount of advanced technology credits that can be used within 
a service class group if they were generated in that same service class 
group.
    (c) Credit life. Credits expire after five years.
    (d) Other restrictions. Other sections of this part specify 
additional restrictions for using emission credits under certain special 
provisions.



Sec.  1037.745  End-of-year CO[bdi2] credit deficits.

    Except as allowed by this section, we may void the certificate of 
any vehicle family certified to an FEL above the applicable standard for 
which you do

[[Page 174]]

not have sufficient credits by the deadline for submitting the final 
report.
    (a) Your certificate for a vehicle family for which you do not have 
sufficient CO2 credits will not be void if you remedy the 
deficit with surplus credits within three model years. For example, if 
you have a credit deficit of 500 Mg for a vehicle family at the end of 
model year 2015, you must generate (or otherwise obtain) a surplus of at 
least 500 Mg in that same averaging set by the end of model year 2018.
    (b) You may apply only surplus credits to your deficit. You may not 
apply credits to a deficit from an earlier model year if they were 
generated in a model year for which any of your vehicle families for 
that averaging set had an end-of-year credit deficit.
    (c) If you do not remedy the deficit with surplus credits within 
three model years, we may void your certificate for that vehicle family. 
Note that voiding a certificate applies ab initio. Where the net deficit 
is less than the total amount of negative credits originally generated 
by the family, we will void the certificate only with respect to the 
number of vehicles needed to reach the amount of the net deficit. For 
example, if the original vehicle family generated 500 Mg of negative 
credits, and the manufacturer's net deficit after three years was 250 
Mg, we would void the certificate with respect to half of the vehicles 
in the family.
    (d) For purposes of calculating the statute of limitations, the 
following actions are all considered to occur at the expiration of the 
deadline for offsetting debits as specified in paragraph (a) of this 
section:
    (1) Failing to meet the requirements of paragraph (a) of this 
section.
    (2) Failing to satisfy the conditions upon which a certificate was 
issued relative to offsetting debits.
    (3) Selling, offering for sale, introducing or delivering into U.S. 
commerce, or importing vehicles that are found not to be covered by a 
certificate as a result of failing to offset debits.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36394, June 17, 2013]



Sec.  1037.750  What can happen if I do not comply with the 
provisions of this subpart?

    (a) For each vehicle family participating in the ABT program, the 
certificate of conformity is conditioned 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 
vehicle family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your vehicle family or subfamily to an FEL above 
an applicable standard based on a projection that you will have enough 
emission credits to offset the deficit for the vehicle family. See Sec.  
1037.745 for provisions specifying what happens if you cannot show in 
your final report that you have enough actual emission credits to offset 
a deficit for any pollutant in a vehicle family.
    (c) We may void the certificate of conformity for a vehicle family 
if you fail to keep records, send reports, or give us information we 
request. Note that failing to keep records, send reports, or give us 
information we request is also a violation of 42 U.S.C. 7522(a)(2).
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec.  1037.820).



Sec.  1037.755  Information provided to the Department of Transportation.

    After receipt of each manufacturer's final report as specified in 
Sec.  1037.730 and completion of any verification testing required to 
validate the manufacturer's submitted final data, we will issue a report 
to the Department of Transportation with CO2 emission 
information and will verify the accuracy of each manufacturer's 
equivalent fuel consumption data required by NHTSA under 49 CFR 535.8. 
We will send a report to DOT for each vehicle manufacturer based on each 
regulatory category and subcategory, including sufficient information 
for NHTSA to determine fuel consumption and associated credit values. 
See 49 CFR 535.8 to determine if NHTSA deems submission of this 
information to EPA to also be a submission to NHTSA.

[[Page 175]]



          Subpart I_Definitions and Other Reference Information



Sec.  1037.801  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 Act gives to them. The definitions follow:
    A to B testing means testing performed in pairs to allow comparison 
of vehicle A to vehicle B.
    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 measured or modeled emissions (as 
applicable). You may ask us to exclude a parameter that is difficult to 
access if it cannot be adjusted to affect emissions without 
significantly degrading vehicle performance, or if you otherwise show us 
that it will not be adjusted in a way that affects emissions during in-
use operation.
    Adjusted Loaded Vehicle Weight means the numerical average of 
vehicle curb weight and GVWR.
    Advanced technology means vehicle technology certified under Sec.  
1037.615, Sec.  1037.104(d)(7), or 40 CFR 1036.615.
    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 vehicle exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Alcohol-fueled vehicle means a vehicle 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.
    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.
    Averaging set has the meaning given in Sec.  1037.701.
    Cab-complete vehicle means a vehicle that is first sold as an 
incomplete vehicle that substantially includes its cab. Vehicles known 
commercially as chassis-cabs, cab-chassis, box-deletes, bed-deletes, 
cut-away vans are considered cab-complete vehicles. For purposes of this 
definition, a cab includes a steering column and passenger compartment. 
Note a vehicle lacking some components of the cab is a cab-complete 
vehicle if it substantially includes the cab.
    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.
    Carbon-related exhaust emissions (CREE) has the meaning given in 40 
CFR 600.002. Note that CREE represents the combined mass of carbon 
emitted as HC, CO, and CO2, expressed as having a molecular 
weight equal to that of CO2.
    Carryover means relating to certification based on emission data 
generated from an earlier model year.
    Certification means relating to the process of obtaining a 
certificate of conformity for a vehicle family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in a vehicle family for a given pollutant from either transient or 
steady-state testing.
    Class means relating to GVWR classes, as follows:
    (1) Class 2b means heavy-duty motor vehicles at or below 10,000 
pounds GVWR.
    (2) Class 3 means heavy-duty motor vehicles above 10,000 pounds GVWR 
but at or below 14,000 pounds GVWR.
    (3) Class 4 means heavy-duty motor vehicles above 14,000 pounds GVWR 
but at or below 16,000 pounds GVWR.
    (4) Class 5 means heavy-duty motor vehicles above 16,000 pounds GVWR 
but at or below 19,500 pounds GVWR.
    (5) Class 6 means heavy-duty motor vehicles above 19,500 pounds GVWR 
but at or below 26,000 pounds GVWR.

[[Page 176]]

    (6) Class 7 means heavy-duty motor vehicles above 26,000 pounds GVWR 
but at or below 33,000 pounds GVWR.
    (7) Class 8 means heavy-duty motor vehicles above 33,000 pounds 
GVWR.
    Complete vehicle has the meaning given in the definition of vehicle 
in this section.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Curb weight has the meaning given in 40 CFR 86.1803, consistent with 
the provisions of Sec.  1037.140.
    Date of manufacture means the date on which the certifying vehicle 
manufacturer completes its manufacturing operations, except as follows:
    (1) Where the certificate holder is an engine manufacturer that does 
not manufacture the chassis, the date of manufacture of the vehicle is 
based on the date assembly of the vehicle is completed.
    (2) We may approve an alternate date of manufacture based on the 
date on which the certifying (or primary) manufacturer completes 
assembly at the place of main assembly, consistent with the provisions 
of Sec.  1037.601 and 49 CFR 567.4.
    Day cab means a type of tractor cab that is not a sleeper cab.
    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 vehicle. Note that where no 
deterioration factor applies, references in this part to the 
deteriorated emission level mean the official emission result.
    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.
    Driver model means an automated controller that simulates a person 
driving a vehicle.
    Electric vehicle means a vehicle that does not include an engine, 
and is powered solely by an external source of electricity and/or solar 
power. Note that this does not include electric hybrid or fuel-cell 
vehicles that use a chemical fuel such as gasoline, diesel fuel, or 
hydrogen. Electric vehicles may also be referred to as all-electric 
vehicles to distinguish them from hybrid vehicles.
    Emission control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from a vehicle.
    Emission-data vehicle means a vehicle that is tested for 
certification. This includes vehicle tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Excluded means relating to vehicles that are not subject to some or 
all of the requirements of this part as follows:
    (1) A vehicle that has been determined not to be a motor vehicle is 
excluded from this part.
    (2) Certain vehicles are excluded from the requirements of this part 
under Sec.  1037.5.
    (3) Specific regulatory provisions of this part may exclude a 
vehicle generally subject to this part from one or more specific 
standards or requirements of this part.
    Exempted has the meaning given in 40 CFR 1068.30.
    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 177]]

standard it replaces. Note that an FEL may apply as a ``subfamily'' 
emission limit.
    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 pump, fuel filters, fuel lines, carburetor 
or fuel-injection components, and all fuel-system vents. It also 
includes components for controlling evaporative emissions, such as fuel 
caps, purge valves, and carbon canisters.
    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.
    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.
    Gross combination weight rating (GCWR) means the value specified by 
the vehicle manufacturer as the maximum weight of a loaded vehicle and 
trailer, consistent with good engineering judgment. For example, 
compliance with SAE J2807 is generally considered to be consistent with 
good engineering judgment, especially for Class 3 and smaller vehicles.
    Gross vehicle weight rating (GVWR) means the value specified by the 
vehicle manufacturer as the maximum design loaded weight of a single 
vehicle, consistent with good engineering judgment.
    Heavy-duty engine means any engine used for (or for which the engine 
manufacturer could reasonably expect to be used for) motive power in a 
heavy-duty vehicle.
    Heavy-duty vehicle means any motor vehicle above 8,500 pounds GVWR 
or that has a vehicle curb weight above 6,000 pounds or that has a basic 
vehicle frontal area greater than 45 square feet.
    Hybrid engine or hybrid powertrain means an engine or powertrain 
that includes energy storage features other than a conventional battery 
system or conventional flywheel. Supplemental electrical batteries and 
hydraulic accumulators are examples of hybrid energy storage systems. 
Note that certain provisions in this part treat hybrid engines and 
powertrains intended for vehicles that include regenerative braking 
different than those intended for vehicles that do not include 
regenerative braking.
    Hybrid vehicle means a vehicle that includes energy storage features 
(other than a conventional battery system or conventional flywheel) in 
addition to an internal combustion engine or other engine using 
consumable chemical fuel. Supplemental electrical batteries and 
hydraulic accumulators are examples of hybrid energy storage systems. 
Note that certain provisions in this part treat hybrid vehicles that 
include regenerative braking different than those that do not include 
regenerative braking.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type. For alcohol-fueled vehicles, HC 
means nonmethane hydrocarbon equivalent (NMHCE) for exhaust emissions 
and total hydrocarbon equivalent (THCE) for evaporative emissions. For 
all other vehicles, HC means nonmethane hydrocarbon (NMHC) for exhaust 
emissions and total hydrocarbon (THC) for evaporative emissions.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular vehicle from other similar vehicles.
    Incomplete vehicle has the meaning given in the definition of 
vehicle in this section.
    Innovative technology means technology certified under Sec.  
1037.610.
    Light-duty truck means any motor vehicle rated at or below 8,500 
pounds GVWR with a curb weight at or below 6,000 pounds and basic 
vehicle frontal area at or below 45 square feet, which is:
    (1) Designed primarily for purposes of transportation of property or 
is a derivation of such a vehicle; or
    (2) Designed primarily for transportation of persons and has a 
capacity of more than 12 persons; or
    (3) Available with special features enabling off-street or off-
highway operation and use.

[[Page 178]]

    Light-duty vehicle means a passenger car or passenger car derivative 
capable of seating 12 or fewer passengers.
    Low-mileage means relating to a vehicle with stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve approximately 4000 miles of operation.
    Low rolling resistance tire means a tire on a vocational vehicle 
with a TRRL at or below of 7.7 kg/metric ton, a steer tire on a tractor 
with a TRRL at or below 7.7 kg/metric ton, or a drive tire on a tractor 
with a TRRL at or below 8.1 kg/metric ton.
    Manufacture means the physical and engineering process of designing, 
constructing, and/or assembling a vehicle.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures a vehicle or 
vehicle for sale in the United States or otherwise introduces a new 
motor vehicle into commerce in the United States. This includes 
importers who import vehicles or vehicles for resale.
    Medium-duty passenger vehicle (MDPV) has the meaning given in 40 CFR 
86.1803.
    Model year means the manufacturer's annual new model production 
period, except as restricted under this definition and 40 CFR part 85, 
subpart X. It must include January 1 of the calendar year for which the 
model year is named, may not begin before January 2 of the previous 
calendar year, and it must end by December 31 of the named calendar 
year.
    (1) The manufacturer who holds the certificate of conformity for the 
vehicle must assign the model year based on the date when its 
manufacturing operations are completed relative to its annual model year 
period. In unusual circumstances where completion of your assembly is 
delayed, we may allow you to assign a model year one year earlier, 
provided it does not affect which regulatory requirements will apply.
    (2) Unless a vehicle is being shipped to a secondary manufacturer 
that will hold the certificate of conformity, the model year must be 
assigned prior to introduction of the vehicle into U.S. commerce. The 
certifying manufacturer must redesignate the model year if it does not 
complete its manufacturing operations within the originally identified 
model year. A vehicle introduced into U.S. commerce without a model year 
is deemed to have a model year equal to the calendar year of its 
introduction into U.S. commerce unless the certifying manufacturer 
assigns a later date.
    Motor vehicle has the meaning given in 40 CFR 85.1703.
    New motor vehicle means a motor vehicle meeting the criteria of 
either paragraph (1) or (2) of this definition. New motor vehicles may 
be complete or incomplete.
    (1) A motor vehicle for which the ultimate purchaser has never 
received the equitable or legal title is a new motor vehicle. This kind 
of vehicle might commonly be thought of as ``brand new'' although a new 
motor vehicle may include previously used parts. Under this definition, 
the vehicle is new from the time it is produced until the ultimate 
purchaser receives the title or places it into service, whichever comes 
first.
    (2) An imported heavy-duty motor vehicle originally produced after 
the 1969 model year is a new motor vehicle.
    Noncompliant vehicle means 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 vehicle means a vehicle 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, as measured according to 40 CFR part 1065.
    Official emission result means the measured emission rate for an 
emission-data vehicle on a given duty cycle before the application of 
any required deterioration factor, but after the applicability of 
regeneration adjustment factors.
    Owners manual means a document or collection of documents prepared 
by the vehicle manufacturer for the owners or operators to describe 
appropriate

[[Page 179]]

vehicle maintenance, applicable warranties, and any other information 
related to operating or keeping the vehicle. 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.
    Percent has the meaning given in 40 CFR 1065.1001. Note that this 
means percentages identified in this part are assumed to be infinitely 
precise without regard to the number of significant figures. For 
example, one percent of 1,493 is 14.93.
    Placed into service means put into initial use for its intended 
purpose.
    Power take-off (PTO) means a secondary engine shaft (or equivalent) 
that provides substantial auxiliary power for purposes unrelated to 
vehicle propulsion or normal vehicle accessories such as air 
conditioning, power steering, and basic electrical accessories. A 
typical PTO uses a secondary shaft on the engine to transmit power to a 
hydraulic pump that powers auxiliary equipment, such as a boom on a 
bucket truck. You may ask us to consider other equivalent auxiliary 
power configurations (such as those with hybrid vehicles) as power take-
off systems.
    Preliminary approval means approval granted by an authorized EPA 
representative prior to submission of an application for certification, 
consistent with the provisions of Sec.  1037.210.
    Rechargeable Energy Storage System (RESS) means the component(s) of 
a hybrid engine or vehicle that store recovered energy for later use, 
such as the battery system in an electric hybrid vehicle.
    Regulatory sub-category means one of the following groups:
    (1) All vehicles subject to the standards of Sec.  1037.104. Note 
that this category includes most gasoline-fueled and diesel-fueled 
heavy-duty pickup trucks and vans.
    (2) [Reserved]
    (3) Vocational vehicles at or below 19,500 pounds GVWR.
    (4) Vocational vehicles above 19,500 pounds GVWR but at or below 
33,000 pounds GVWR.
    (5) Vocational vehicles over 33,000 pounds GVWR.
    (6) Low-roof tractors above 26,000 pounds GVWR but at or below 
33,000 pounds GVWR.
    (7) Mid-roof tractors above 26,000 pounds GVWR but at or below 
33,000 pounds GVWR.
    (8) High-roof tractors above 26,000 pounds GVWR but at or below 
33,000 pounds GVWR.
    (9) Low-roof day cab tractors above 33,000 pounds GVWR.
    (10) Low-roof sleeper cab tractors above 33,000 pounds GVWR.
    (11) Mid-roof day cab tractors above 33,000 pounds GVWR.
    (12) Mid-roof sleeper cab tractors above 33,000 pounds GVWR.
    (13) High-roof day cab tractors above 33,000 pounds GVWR.
    (14) High-roof sleeper cab tractors above 33,000 pounds GVWR.
    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.
    Roof height means the maximum height of a vehicle (rounded to the 
nearest inch), excluding narrow accessories such as exhaust pipes and 
antennas, but including any wide accessories such as roof fairings. 
Measure roof height of the vehicle configured to have its maximum height 
that will occur during actual use, with properly inflated tires and no 
driver, passengers, or cargo onboard. Roof height may also refer to the 
following categories:
    (1) Low-roof means relating to a vehicle with a roof height of 120 
inches or less.
    (2) Mid-roof means relating to a vehicle with a roof height of 121 
to 147 inches.
    (3) High-roof means relating to a vehicle with a roof height of 148 
inches or more.
    Round has the meaning given in 40 CFR 1065.1001.

[[Page 180]]

    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.
    Sleeper cab means a type of tractor cab that has a compartment 
behind the driver's seat intended to be used by the driver for sleeping. 
This includes cabs accessible from the driver's compartment and those 
accessible from outside the vehicle.
    Small manufacturer means a manufacturer meeting the criteria 
specified in 13 CFR 121.201. For manufacturers owned by a parent 
company, the employee and revenue limits apply to the total number 
employees and total revenue 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.
    Standard payload means the vehicle payload assumed for each class in 
tons for modeling and calculating emission credits. There are three 
standard payloads:
    (1) 2.85 tons for light heavy-duty vehicles.
    (2) 5.6 tons for medium heavy-duty vehicles.
    (3) 7.5 tons for heavy heavy-duty vehicles.
    Standard trailer has the meaning given in Sec.  1037.501.
    Suspend has the meaning given in 40 CFR 1068.30.
    Test sample means the collection of vehicles selected from the 
population of a vehicle family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Test vehicle means a vehicle in a test sample.
    Test weight means the vehicle weight used or represented during 
testing.
    Tire rolling resistance level (TRRL) means a value with units of kg/
metric ton that represents that rolling resistance of a tire 
configuration. TRRLs are used as inputs to the GEM model under Sec.  
1037.520. Note that a manufacturer may assign a value higher than the 
measured rolling resistance of a tire configuration.
    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 vehicles. The 
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
    Tractor has the meaning given for ``truck tractor'' in 49 CFR 571.3. 
This includes most heavy-duty vehicles specifically designed for the 
primary purpose of pulling trailers, but does not include vehicles 
designed to carry other loads. For purposes of this definition ``other 
loads'' would not include loads carried in the cab, sleeper compartment, 
or toolboxes. Examples of vehicles that are similar to tractors but that 
are not tractors under this part include dromedary tractors, automobile 
haulers, straight trucks with trailers hitches, and tow trucks. Note 
that the provisions of this part that apply for tractors do not apply 
for tractors that are classified as vocational tractors under Sec.  
1037.630.
    Ultimate purchaser means, with respect to any new vehicle, the first 
person who in good faith purchases such new vehicle for purposes other 
than resale.
    United States has the meaning given in 40 CFR 1068.30.

[[Page 181]]

    Upcoming model year means for a vehicle 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 does not 
include vehicles certified to state emission standards that are 
different than the emission standards in this part.
    Useful life means the period during which a vehicle is required to 
comply with all applicable emission standards.
    Vehicle means equipment intended for use on highways that meets the 
criteria of paragraph (1)(i) or (1)(ii) of this definition, as follows:
    (1) The following equipment are vehicles:
    (i) A piece of equipment that is intended for self-propelled use on 
highways becomes a vehicle when it includes at least an engine, a 
transmission, and a frame. (Note: For purposes of this definition, any 
electrical, mechanical, and/or hydraulic devices attached to engines for 
the purpose of powering wheels are considered to be transmissions.)
    (ii) A piece of equipment that is intended for self-propelled use on 
highways becomes a vehicle when it includes a passenger compartment 
attached to a frame with axles.
    (2) Vehicles may be complete or incomplete vehicles as follows:
    (i) A complete vehicle is a functioning vehicle that has the primary 
load carrying device or container (or equivalent equipment) attached. 
Examples of equivalent equipment would include fifth wheel trailer 
hitches, firefighting equipment, and utility booms.
    (ii) An incomplete vehicle is a vehicle that is not a complete 
vehicle. Incomplete vehicles may also be cab-complete vehicles. This may 
include vehicles sold to secondary vehicle manufacturers.
    (iii) The primary use of the terms ``complete vehicle'' and 
``incomplete vehicle'' are to distinguish whether a vehicle is complete 
when it is first sold as a vehicle.
    (iv) You may ask us to allow you to certify a vehicle as incomplete 
if you manufacture the engines and sell the unassembled chassis 
components, as long as you do not produce and sell the body components 
necessary to complete the vehicle.
    (3) Equipment such as trailers that are not self-propelled are not 
``vehicles'' under this part 1037.
    Vehicle configuration means a unique combination of vehicle hardware 
and calibration (related to measured or modeled emissions) within a 
vehicle family. Vehicles with hardware or software differences, but that 
have no hardware or software differences related to measured or modeled 
emissions may be included in the same vehicle configuration. Note that 
vehicles with hardware or software differences related to measured or 
modeled emissions are considered to be different configurations even if 
they have the same GEM inputs and FEL. Vehicles within a vehicle 
configuration differ only with respect to normal production variability 
or factors unrelated to measured or modeled emissions.
    Vehicle family has the meaning given in Sec.  1037.230.
    Vehicle service class means a vehicle's weight class as specified in 
this definition. Note that, while vehicle service class is similar to 
primary intended service class for engines, they are not necessarily the 
same. For example, a medium heavy-duty vehicle may include a light 
heavy-duty engine. Note also that while spark-ignition engines do not 
have a primary intended service class, vehicles using spark-ignition 
engines have a vehicle service class.
    (1) Light heavy-duty vehicles are those vehicles with GVWR below 
19,500 pounds.
    Vehicles In this class include heavy-duty pickup trucks and vans, 
motor homes and other recreational vehicles, and some straight trucks 
with a single rear axle. Typical applications would include personal 
transportation, light-load commercial delivery, passenger service, 
agriculture, and construction.
    (2) Medium heavy-duty vehicles are those vehicles with GVWR from 
19,500 to 33,000 pounds. Vehicles in this class include school buses, 
straight trucks with a single rear axle, city tractors,

[[Page 182]]

and a variety of special purpose vehicles such as small dump trucks, and 
refuse trucks. Typical applications would include commercial short haul 
and intra-city delivery and pickup.
    (3) Heavy heavy-duty vehicles are those vehicles with GVWR above 
33,000 pounds. Vehicles in this class include tractors, urban buses, and 
other heavy trucks.
    Vehicle subfamily or subfamily means a subset of a vehicle family 
including vehicles subject to the same FEL(s).
    Vocational tractor means a vehicle classified as a vocational 
tractor under Sec.  1037.630.
    Vocational vehicle means relating to a vehicle subject to the 
standards of Sec.  1037.105 (including vocational tractors).
    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.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36394, June 17, 2013]



Sec.  1037.805  Symbols, acronyms, and abbreviations.

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

ABT Averaging, banking, and trading.
AECD auxiliary emission control device.
AES Automatic engine shutdown.
CD drag coefficient.
CDA drag area.
CFD computational fluid dynamics.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
CREE carbon-related exhaust emissions.
DOT Department of Transportation.
EPA Environmental Protection Agency.
ETW equivalent test weight.
FEL Family Emission Limit.
g grams.
GAWR gross axle weight rating.
GCWR gross combination weight rating.
GVWR gross vehicle weight rating.
GWP global-warming potential.
HC hydrocarbon.
ISO International Organization for Standardization.
kg kilograms.
m meter.
mm millimeter
mph miles per hour.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NHTSA National Highway Transportation Safety Administration.
NOX oxides of nitrogen (NO and NO2).
PM particulate matter.
PTO power take-off.
RESS rechargeable energy storage system.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
SKU Stock-keeping unit.
TRRL Tire rolling resistance level.
U.S.C. United States Code.
VSL vehicle speed limiter.
WF work factor.

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36394, June 17, 2013]



Sec.  1037.810  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Environmental Protection Agency must 
publish a notice of the change in the Federal Register and the material 
must be available to the public. All approved material is available for 
inspection at U.S. EPA, Air and Radiation Docket and Information Center, 
1301 Constitution Ave., NW., Room B102, EPA West Building, Washington, 
DC 20460, (202) 202-1744, and is available from the sources listed 
below. It is also available for inspection 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.
    (b) International Organization for Standardization, Case Postale 56, 
CH-1211 Geneva 20, Switzerland, (41) 22749 0111, http://www.iso.org, or 
[email protected].
    (1) ISO 28580:2009(E) ``Passenger car, truck and bus tyres--Methods 
of measuring rolling resistance--Single point test and correlation of 
measurement results'', First Edition, July 1, 2009; IBR approved for 
Sec.  1037.520(c).
    (2) [Reserved]

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    (c) U.S. EPA, Office of Air and Radiation, 2565 Plymouth Road, Ann 
Arbor, MI 48105, http://www.epa.gov:
    (1) Greenhouse gas Emissions Model (GEM) simulation tool, Version 
2.0.1, September 2012; IBR approved for Sec.  1037.520. The computer 
code for this model is available as noted in paragraph (a) of this 
section. A working version of this software is also available for 
download at http://www.epa.gov/otaq/climate/gem.htm.
    (2) [Reserved]
    (d) Society of Automotive Engineers, 400 Commonwealth Dr., 
Warrendale, PA 15096-0001, (877) 606-7323 (U.S. and Canada) or (724) 
776-4970 (outside the U.S. and Canada), http://www.sae.org.
    (1) SAE J1252, SAE Wind Tunnel Test Procedure for Trucks and Buses, 
Revised July 1981, IBR approved for Sec.  1037.521(d), (e), and (f).
    (2) SAE J1594, Vehicle Aerodynamics Terminology, Revised July 2010, 
IBR approved for Sec.  1037.521(d).
    (3) SAE J2071, Aerodynamic Testing of Road Vehicles--Open Throat 
Wind Tunnel Adjustment, Revised June 1994, IBR approved for Sec.  
1037.521(d).

[76 FR 57398, Sept. 15, 2011, as amended at 78 FR 36394, June 17, 2013]



Sec.  1037.815  Confidential information.

    The provisions of 40 CFR 1068.10 apply for information you consider 
confidential.



Sec.  1037.820  Requesting 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.  1037.825  Reporting and recordkeeping requirements.

    (a) This part includes various requirements to submit and record 
data or other information. Unless we specify otherwise, store required 
records in any format and on any media and keep them readily available 
for eight years after you send an associated application for 
certification, or eight years after you generate the data if they do not 
support an application for certification. You may not rely on anyone 
else to meet recordkeeping requirements on your behalf unless we 
specifically authorize it. We may review these records at any time. You 
must promptly send us organized, written records in English if we ask 
for them. We may require you to submit written records in an electronic 
format.
    (b) The regulations in Sec.  1037.255 and 40 CFR 1068.25 and 
1068.101 describe your obligation to report truthful and complete 
information. This includes information not related to certification. 
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.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec.  1037.801).
    (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. Keep 
these records for eight years unless the regulations specify a different 
period. We may require you to send us these records whether or not you 
are a certificate holder.
    (e) 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:
    (1) We specify the following requirements related to vehicle 
certification in this part 1037:
    (i) In subpart C of this part we identify a wide range of 
information required to certify vehicles.
    (ii) 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.

[[Page 184]]

    (iii) In Sec.  1037.725, 1037.730, and 1037.735 we specify certain 
records related to averaging, banking, and trading.
    (2) We specify the following requirements related to testing in 40 
CFR part 1066:
    (i) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (iii) In 40 CFR 1065.25 we establish basic guidelines for storing 
test information.
    (iv) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use vehicles using portable analyzers.



  Sec. Appendix I to Part 1037--Heavy-Duty Transient Chassis Test Cycle

------------------------------------------------------------------------
                                                           Speed   Speed
                        Time sec.                           mph     m/s
------------------------------------------------------------------------
1.......................................................    0.00    0.00
2.......................................................    0.00    0.00
3.......................................................    0.00    0.00
4.......................................................    0.00    0.00
5.......................................................    0.00    0.00
6.......................................................    0.00    0.00
7.......................................................    0.41    0.18
8.......................................................    1.18    0.53
9.......................................................    2.26    1.01
10......................................................    3.19    1.43
11......................................................    3.97    1.77
12......................................................    4.66    2.08
13......................................................    5.32    2.38
14......................................................    5.94    2.66
15......................................................    6.48    2.90
16......................................................    6.91    3.09
17......................................................    7.28    3.25
18......................................................    7.64    3.42
19......................................................    8.02    3.59
20......................................................    8.36    3.74
21......................................................    8.60    3.84
22......................................................    8.74    3.91
23......................................................    8.82    3.94
24......................................................    8.82    3.94
25......................................................    8.76    3.92
26......................................................    8.66    3.87
27......................................................    8.58    3.84
28......................................................    8.52    3.81
29......................................................    8.46    3.78
30......................................................    8.38    3.75
31......................................................    8.31    3.71
32......................................................    8.21    3.67
33......................................................    8.11    3.63
34......................................................    8.00    3.58
35......................................................    7.94    3.55
36......................................................    7.94    3.55
37......................................................    7.80    3.49
38......................................................    7.43    3.32
39......................................................    6.79    3.04
40......................................................    5.81    2.60
41......................................................    4.65    2.08
42......................................................    3.03    1.35
43......................................................    1.88    0.84
44......................................................    1.15    0.51
45......................................................    1.14    0.51
46......................................................    1.12    0.50
47......................................................    1.11    0.50
48......................................................    1.19    0.53
49......................................................    1.57    0.70
50......................................................    2.31    1.03
51......................................................    3.37    1.51
52......................................................    4.51    2.02
53......................................................    5.56    2.49
54......................................................    6.41    2.87
55......................................................    7.09    3.17
56......................................................    7.59    3.39
57......................................................    7.99    3.57
58......................................................    8.32    3.72
59......................................................    8.64    3.86
60......................................................    8.91    3.98
61......................................................    9.13    4.08
62......................................................    9.29    4.15
63......................................................    9.40    4.20
64......................................................    9.39    4.20
65......................................................    9.20    4.11
66......................................................    8.84    3.95
67......................................................    8.35    3.73
68......................................................    7.81    3.49
69......................................................    7.22    3.23
70......................................................    6.65    2.97
71......................................................    6.13    2.74
72......................................................    5.75    2.57
73......................................................    5.61    2.51
74......................................................    5.65    2.53
75......................................................    5.80    2.59
76......................................................    5.95    2.66
77......................................................    6.09    2.72
78......................................................    6.21    2.78
79......................................................    6.31    2.82
80......................................................    6.34    2.83
81......................................................    6.47    2.89
82......................................................    6.65    2.97
83......................................................    6.88    3.08
84......................................................    7.04    3.15
85......................................................    7.05    3.15
86......................................................    7.01    3.13
87......................................................    6.90    3.08
88......................................................    6.88    3.08
89......................................................    6.89    3.08
90......................................................    6.96    3.11
91......................................................    7.04    3.15
92......................................................    7.17    3.21
93......................................................    7.29    3.26
94......................................................    7.39    3.30
95......................................................    7.48    3.34
96......................................................    7.57    3.38
97......................................................    7.61    3.40
98......................................................    7.59    3.39
99......................................................    7.53    3.37
100.....................................................    7.46    3.33
101.....................................................    7.40    3.31
102.....................................................    7.39    3.30
103.....................................................    7.38    3.30
104.....................................................    7.37    3.29
105.....................................................    7.37    3.29
106.....................................................    7.39    3.30
107.....................................................    7.42    3.32
108.....................................................    7.43    3.32
109.....................................................    7.40    3.31
110.....................................................    7.39    3.30
111.....................................................    7.42    3.32
112.....................................................    7.50    3.35
113.....................................................    7.57    3.38
114.....................................................    7.60    3.40
115.....................................................    7.60    3.40
116.....................................................    7.61    3.40

[[Page 185]]

 
117.....................................................    7.64    3.42
118.....................................................    7.68    3.43
119.....................................................    7.74    3.46
120.....................................................    7.82    3.50
121.....................................................    7.90    3.53
122.....................................................    7.96    3.56
123.....................................................    7.99    3.57
124.....................................................    8.02    3.59
125.....................................................    8.01    3.58
126.....................................................    7.87    3.52
127.....................................................    7.59    3.39
128.....................................................    7.20    3.22
129.....................................................    6.52    2.91
130.....................................................    5.53    2.47
131.....................................................    4.36    1.95
132.....................................................    3.30    1.48
133.....................................................    2.50    1.12
134.....................................................    1.94    0.87
135.....................................................    1.56    0.70
136.....................................................    0.95    0.42
137.....................................................    0.42    0.19
138.....................................................    0.00    0.00
139.....................................................    0.00    0.00
140.....................................................    0.00    0.00
141.....................................................    0.00    0.00
142.....................................................    0.00    0.00
143.....................................................    0.00    0.00
144.....................................................    0.00    0.00
145.....................................................    0.00    0.00
146.....................................................    0.00    0.00
147.....................................................    0.00    0.00
148.....................................................    0.00    0.00
149.....................................................    0.00    0.00
150.....................................................    0.00    0.00
151.....................................................    0.00    0.00
152.....................................................    0.00    0.00
153.....................................................    0.00    0.00
154.....................................................    0.00    0.00
155.....................................................    0.00    0.00
156.....................................................    0.00    0.00
157.....................................................    0.00    0.00
158.....................................................    0.00    0.00
159.....................................................    0.00    0.00
160.....................................................    0.00    0.00
161.....................................................    0.00    0.00
162.....................................................    0.00    0.00
163.....................................................    0.00    0.00
164.....................................................    0.00    0.00
165.....................................................    0.00    0.00
166.....................................................    0.00    0.00
167.....................................................    0.00    0.00
168.....................................................    0.00    0.00
169.....................................................    0.00    0.00
170.....................................................    0.00    0.00
171.....................................................    0.00    0.00
172.....................................................    1.11    0.50
173.....................................................    2.65    1.18
174.....................................................    4.45    1.99
175.....................................................    5.68    2.54
176.....................................................    6.75    3.02
177.....................................................    7.59    3.39
178.....................................................    7.75    3.46
179.....................................................    7.63    3.41
180.....................................................    7.67    3.43
181.....................................................    8.70    3.89
182.....................................................   10.20    4.56
183.....................................................   11.92    5.33
184.....................................................   12.84    5.74
185.....................................................   13.27    5.93
186.....................................................   13.38    5.98
187.....................................................   13.61    6.08
188.....................................................   14.15    6.33
189.....................................................   14.84    6.63
190.....................................................   16.49    7.37
191.....................................................   18.33    8.19
192.....................................................   20.36    9.10
193.....................................................   21.47    9.60
194.....................................................   22.35    9.99
195.....................................................   22.96   10.26
196.....................................................   23.46   10.49
197.....................................................   23.92   10.69
198.....................................................   24.42   10.92
199.....................................................   24.99   11.17
200.....................................................   25.91   11.58
201.....................................................   26.26   11.74
202.....................................................   26.38   11.79
203.....................................................   26.26   11.74
204.....................................................   26.49   11.84
205.....................................................   26.76   11.96
206.....................................................   27.07   12.10
207.....................................................   26.64   11.91
208.....................................................   25.99   11.62
209.....................................................   24.77   11.07
210.....................................................   24.04   10.75
211.....................................................   23.39   10.46
212.....................................................   22.73   10.16
213.....................................................   22.16    9.91
214.....................................................   21.66    9.68
215.....................................................   21.39    9.56
216.....................................................   21.43    9.58
217.....................................................   20.67    9.24
218.....................................................   17.98    8.04
219.....................................................   13.15    5.88
220.....................................................    7.71    3.45
221.....................................................    3.30    1.48
222.....................................................    0.88    0.39
223.....................................................    0.00    0.00
224.....................................................    0.00    0.00
225.....................................................    0.00    0.00
226.....................................................    0.00    0.00
227.....................................................    0.00    0.00
228.....................................................    0.00    0.00
229.....................................................    0.00    0.00
230.....................................................    0.00    0.00
231.....................................................    0.00    0.00
232.....................................................    0.00    0.00
233.....................................................    0.00    0.00
234.....................................................    0.00    0.00
235.....................................................    0.00    0.00
236.....................................................    0.00    0.00
237.....................................................    0.00    0.00
238.....................................................    0.00    0.00
239.....................................................    0.00    0.00
240.....................................................    0.00    0.00
241.....................................................    0.00    0.00
242.....................................................    0.00    0.00
243.....................................................    0.00    0.00
244.....................................................    0.00    0.00
245.....................................................    0.00    0.00
246.....................................................    0.00    0.00
247.....................................................    0.00    0.00
248.....................................................    0.00    0.00
249.....................................................    0.00    0.00
250.....................................................    0.00    0.00
251.....................................................    0.00    0.00
252.....................................................    0.00    0.00
253.....................................................    0.00    0.00
254.....................................................    0.00    0.00
255.....................................................    0.00    0.00
256.....................................................    0.00    0.00
257.....................................................    0.00    0.00
258.....................................................    0.00    0.00
259.....................................................    0.50    0.22
260.....................................................    1.57    0.70
261.....................................................    3.07    1.37
262.....................................................    4.57    2.04

[[Page 186]]

 
263.....................................................    5.65    2.53
264.....................................................    6.95    3.11
265.....................................................    8.05    3.60
266.....................................................    9.13    4.08
267.....................................................   10.05    4.49
268.....................................................   11.62    5.19
269.....................................................   12.92    5.78
270.....................................................   13.84    6.19
271.....................................................   14.38    6.43
272.....................................................   15.64    6.99
273.....................................................   17.14    7.66
274.....................................................   18.21    8.14
275.....................................................   18.90    8.45
276.....................................................   19.44    8.69
277.....................................................   20.09    8.98
278.....................................................   21.89    9.79
279.....................................................   24.15   10.80
280.....................................................   26.26   11.74
281.....................................................   26.95   12.05
282.....................................................   27.03   12.08
283.....................................................   27.30   12.20
284.....................................................   28.10   12.56
285.....................................................   29.44   13.16
286.....................................................   30.78   13.76
287.....................................................   32.09   14.35
288.....................................................   33.24   14.86
289.....................................................   34.46   15.40
290.....................................................   35.42   15.83
291.....................................................   35.88   16.04
292.....................................................   36.03   16.11
293.....................................................   35.84   16.02
294.....................................................   35.65   15.94
295.....................................................   35.31   15.78
296.....................................................   35.19   15.73
297.....................................................   35.12   15.70
298.....................................................   35.12   15.70
299.....................................................   35.04   15.66
300.....................................................   35.08   15.68
301.....................................................   35.04   15.66
302.....................................................   35.34   15.80
303.....................................................   35.50   15.87
304.....................................................   35.77   15.99
305.....................................................   35.81   16.01
306.....................................................   35.92   16.06
307.....................................................   36.23   16.20
308.....................................................   36.42   16.28
309.....................................................   36.65   16.38
310.....................................................   36.26   16.21
311.....................................................   36.07   16.12
312.....................................................   35.84   16.02
313.....................................................   35.96   16.08
314.....................................................   36.00   16.09
315.....................................................   35.57   15.90
316.....................................................   35.00   15.65
317.....................................................   34.08   15.24
318.....................................................   33.39   14.93
319.....................................................   32.20   14.39
320.....................................................   30.32   13.55
321.....................................................   28.48   12.73
322.....................................................   26.95   12.05
323.....................................................   26.18   11.70
324.....................................................   25.38   11.35
325.....................................................   24.77   11.07
326.....................................................   23.46   10.49
327.....................................................   22.39   10.01
328.....................................................   20.97    9.37
329.....................................................   20.09    8.98
330.....................................................   18.90    8.45
331.....................................................   18.17    8.12
332.....................................................   16.48    7.37
333.....................................................   15.07    6.74
334.....................................................   12.23    5.47
335.....................................................   10.08    4.51
336.....................................................    7.71    3.45
337.....................................................    7.32    3.27
338.....................................................    8.63    3.86
339.....................................................   10.77    4.81
340.....................................................   12.65    5.66
341.....................................................   13.88    6.20
342.....................................................   15.03    6.72
343.....................................................   15.64    6.99
344.....................................................   16.99    7.60
345.....................................................   17.98    8.04
346.....................................................   19.13    8.55
347.....................................................   18.67    8.35
348.....................................................   18.25    8.16
349.....................................................   18.17    8.12
350.....................................................   18.40    8.23
351.....................................................   19.63    8.78
352.....................................................   20.32    9.08
353.....................................................   21.43    9.58
354.....................................................   21.47    9.60
355.....................................................   21.97    9.82
356.....................................................   22.27    9.96
357.....................................................   22.69   10.14
358.....................................................   23.15   10.35
359.....................................................   23.69   10.59
360.....................................................   23.96   10.71
361.....................................................   24.27   10.85
362.....................................................   24.34   10.88
363.....................................................   24.50   10.95
364.....................................................   24.42   10.92
365.....................................................   24.38   10.90
366.....................................................   24.31   10.87
367.....................................................   24.23   10.83
368.....................................................   24.69   11.04
369.....................................................   25.11   11.23
370.....................................................   25.53   11.41
371.....................................................   25.38   11.35
372.....................................................   24.58   10.99
373.....................................................   23.77   10.63
374.....................................................   23.54   10.52
375.....................................................   23.50   10.51
376.....................................................   24.15   10.80
377.....................................................   24.30   10.86
378.....................................................   24.15   10.80
379.....................................................   23.19   10.37
380.....................................................   22.50   10.06
381.....................................................   21.93    9.80
382.....................................................   21.85    9.77
383.....................................................   21.55    9.63
384.....................................................   21.89    9.79
385.....................................................   21.97    9.82
386.....................................................   21.97    9.82
387.....................................................   22.01    9.84
388.....................................................   21.85    9.77
389.....................................................   21.62    9.67
390.....................................................   21.62    9.67
391.....................................................   22.01    9.84
392.....................................................   22.81   10.20
393.....................................................   23.54   10.52
394.....................................................   24.38   10.90
395.....................................................   24.80   11.09
396.....................................................   24.61   11.00
397.....................................................   23.12   10.34
398.....................................................   21.62    9.67
399.....................................................   19.90    8.90
400.....................................................   18.86    8.43
401.....................................................   17.79    7.95
402.....................................................   17.25    7.71
403.....................................................   16.91    7.56
404.....................................................   16.75    7.49
405.....................................................   16.75    7.49
406.....................................................   16.87    7.54
407.....................................................   16.37    7.32
408.....................................................   16.37    7.32

[[Page 187]]

 
409.....................................................   16.49    7.37
410.....................................................   17.21    7.69
411.....................................................   17.41    7.78
412.....................................................   17.37    7.77
413.....................................................   16.87    7.54
414.....................................................   16.72    7.47
415.....................................................   16.22    7.25
416.....................................................   15.76    7.05
417.....................................................   14.72    6.58
418.....................................................   13.69    6.12
419.....................................................   12.00    5.36
420.....................................................   10.43    4.66
421.....................................................    8.71    3.89
422.....................................................    7.44    3.33
423.....................................................    5.71    2.55
424.....................................................    4.22    1.89
425.....................................................    2.30    1.03
426.....................................................    1.00    0.45
427.....................................................    0.00    0.00
428.....................................................    0.61    0.27
429.....................................................    1.19    0.53
430.....................................................    1.61    0.72
431.....................................................    1.53    0.68
432.....................................................    2.34    1.05
433.....................................................    4.29    1.92
434.....................................................    7.25    3.24
435.....................................................   10.20    4.56
436.....................................................   12.46    5.57
437.....................................................   14.53    6.50
438.....................................................   16.22    7.25
439.....................................................   17.87    7.99
440.....................................................   19.74    8.82
441.....................................................   21.01    9.39
442.....................................................   22.23    9.94
443.....................................................   22.62   10.11
444.....................................................   23.61   10.55
445.....................................................   24.88   11.12
446.....................................................   26.15   11.69
447.....................................................   26.99   12.07
448.....................................................   27.56   12.32
449.....................................................   28.18   12.60
450.....................................................   28.94   12.94
451.....................................................   29.83   13.34
452.....................................................   30.78   13.76
453.....................................................   31.82   14.22
454.....................................................   32.78   14.65
455.....................................................   33.24   14.86
456.....................................................   33.47   14.96
457.....................................................   33.31   14.89
458.....................................................   33.08   14.79
459.....................................................   32.78   14.65
460.....................................................   32.39   14.48
461.....................................................   32.13   14.36
462.....................................................   31.82   14.22
463.....................................................   31.55   14.10
464.....................................................   31.25   13.97
465.....................................................   30.94   13.83
466.....................................................   30.71   13.73
467.....................................................   30.56   13.66
468.....................................................   30.79   13.76
469.....................................................   31.13   13.92
470.....................................................   31.55   14.10
471.....................................................   31.51   14.09
472.....................................................   31.47   14.07
473.....................................................   31.44   14.05
474.....................................................   31.51   14.09
475.....................................................   31.59   14.12
476.....................................................   31.67   14.16
477.....................................................   32.01   14.31
478.....................................................   32.63   14.59
479.....................................................   33.39   14.93
480.....................................................   34.31   15.34
481.....................................................   34.81   15.56
482.....................................................   34.20   15.29
483.....................................................   32.39   14.48
484.....................................................   30.29   13.54
485.....................................................   28.56   12.77
486.....................................................   26.45   11.82
487.....................................................   24.79   11.08
488.....................................................   23.12   10.34
489.....................................................   20.73    9.27
490.....................................................   18.33    8.19
491.....................................................   15.72    7.03
492.....................................................   13.11    5.86
493.....................................................   10.47    4.68
494.....................................................    7.82    3.50
495.....................................................    5.70    2.55
496.....................................................    3.57    1.60
497.....................................................    0.92    0.41
498.....................................................    0.00    0.00
499.....................................................    0.00    0.00
500.....................................................    0.00    0.00
501.....................................................    0.00    0.00
502.....................................................    0.00    0.00
503.....................................................    0.00    0.00
504.....................................................    0.00    0.00
505.....................................................    0.00    0.00
506.....................................................    0.00    0.00
507.....................................................    0.00    0.00
508.....................................................    0.00    0.00
509.....................................................    0.00    0.00
510.....................................................    0.00    0.00
511.....................................................    0.00    0.00
512.....................................................    0.00    0.00
513.....................................................    0.00    0.00
514.....................................................    0.00    0.00
515.....................................................    0.00    0.00
516.....................................................    0.00    0.00
517.....................................................    0.00    0.00
518.....................................................    0.00    0.00
519.....................................................    0.00    0.00
520.....................................................    0.00    0.00
521.....................................................    0.00    0.00
522.....................................................    0.50    0.22
523.....................................................    1.50    0.67
524.....................................................    3.00    1.34
525.....................................................    4.50    2.01
526.....................................................    5.80    2.59
527.....................................................    6.52    2.91
528.....................................................    6.75    3.02
529.....................................................    6.44    2.88
530.....................................................    6.17    2.76
531.....................................................    6.33    2.83
532.....................................................    6.71    3.00
533.....................................................    7.40    3.31
534.....................................................    7.67    3.43
535.....................................................    7.33    3.28
536.....................................................    6.71    3.00
537.....................................................    6.41    2.87
538.....................................................    6.60    2.95
539.....................................................    6.56    2.93
540.....................................................    5.94    2.66
541.....................................................    5.45    2.44
542.....................................................    5.87    2.62
543.....................................................    6.71    3.00
544.....................................................    7.56    3.38
545.....................................................    7.59    3.39
546.....................................................    7.63    3.41
547.....................................................    7.67    3.43
548.....................................................    7.67    3.43
549.....................................................    7.48    3.34
550.....................................................    7.29    3.26
551.....................................................    7.29    3.26
552.....................................................    7.40    3.31
553.....................................................    7.48    3.34
554.....................................................    7.52    3.36

[[Page 188]]

 
555.....................................................    7.52    3.36
556.....................................................    7.48    3.34
557.....................................................    7.44    3.33
558.....................................................    7.28    3.25
559.....................................................    7.21    3.22
560.....................................................    7.09    3.17
561.....................................................    7.06    3.16
562.....................................................    7.29    3.26
563.....................................................    7.75    3.46
564.....................................................    8.55    3.82
565.....................................................    9.09    4.06
566.....................................................   10.04    4.49
567.....................................................   11.12    4.97
568.....................................................   12.46    5.57
569.....................................................   13.00    5.81
570.....................................................   14.26    6.37
571.....................................................   15.37    6.87
572.....................................................   17.02    7.61
573.....................................................   18.17    8.12
574.....................................................   19.21    8.59
575.....................................................   20.17    9.02
576.....................................................   20.66    9.24
577.....................................................   21.12    9.44
578.....................................................   21.43    9.58
579.....................................................   22.66   10.13
580.....................................................   23.92   10.69
581.....................................................   25.42   11.36
582.....................................................   25.53   11.41
583.....................................................   26.68   11.93
584.....................................................   28.14   12.58
585.....................................................   30.06   13.44
586.....................................................   30.94   13.83
587.....................................................   31.63   14.14
588.....................................................   32.36   14.47
589.....................................................   33.24   14.86
590.....................................................   33.66   15.05
591.....................................................   34.12   15.25
592.....................................................   35.92   16.06
593.....................................................   37.72   16.86
594.....................................................   39.26   17.55
595.....................................................   39.45   17.64
596.....................................................   39.83   17.81
597.....................................................   40.18   17.96
598.....................................................   40.48   18.10
599.....................................................   40.75   18.22
600.....................................................   41.02   18.34
601.....................................................   41.36   18.49
602.....................................................   41.79   18.68
603.....................................................   42.40   18.95
604.....................................................   42.82   19.14
605.....................................................   43.05   19.25
606.....................................................   43.09   19.26
607.....................................................   43.24   19.33
608.....................................................   43.59   19.49
609.....................................................   44.01   19.67
610.....................................................   44.35   19.83
611.....................................................   44.55   19.92
612.....................................................   44.82   20.04
613.....................................................   45.05   20.14
614.....................................................   45.31   20.26
615.....................................................   45.58   20.38
616.....................................................   46.00   20.56
617.....................................................   46.31   20.70
618.....................................................   46.54   20.81
619.....................................................   46.61   20.84
620.....................................................   46.92   20.98
621.....................................................   47.19   21.10
622.....................................................   47.46   21.22
623.....................................................   47.54   21.25
624.....................................................   47.54   21.25
625.....................................................   47.54   21.25
626.....................................................   47.50   21.23
627.....................................................   47.50   21.23
628.....................................................   47.50   21.23
629.....................................................   47.31   21.15
630.....................................................   47.04   21.03
631.....................................................   46.77   20.91
632.....................................................   45.54   20.36
633.....................................................   43.24   19.33
634.....................................................   41.52   18.56
635.....................................................   39.79   17.79
636.....................................................   38.07   17.02
637.....................................................   36.34   16.25
638.....................................................   34.04   15.22
639.....................................................   32.45   14.51
640.....................................................   30.86   13.80
641.....................................................   28.83   12.89
642.....................................................   26.45   11.82
643.....................................................   24.27   10.85
644.....................................................   22.04    9.85
645.....................................................   19.82    8.86
646.....................................................   17.04    7.62
647.....................................................   14.26    6.37
648.....................................................   11.52    5.15
649.....................................................    8.78    3.93
650.....................................................    7.17    3.21
651.....................................................    5.56    2.49
652.....................................................    3.72    1.66
653.....................................................    3.38    1.51
654.....................................................    3.11    1.39
655.....................................................    2.58    1.15
656.....................................................    1.66    0.74
657.....................................................    0.67    0.30
658.....................................................    0.00    0.00
659.....................................................    0.00    0.00
660.....................................................    0.00    0.00
661.....................................................    0.00    0.00
662.....................................................    0.00    0.00
663.....................................................    0.00    0.00
664.....................................................    0.00    0.00
665.....................................................    0.00    0.00
666.....................................................    0.00    0.00
667.....................................................    0.00    0.00
668.....................................................    0.00    0.00
------------------------------------------------------------------------



        Sec. Appendix II to Part 1037--Power Take-Off Test Cycle

----------------------------------------------------------------------------------------------------------------
                                                                          Start     Normalized      Normalized
                       Cycle simulation                           Mode   time of     pressure,       pressure,
                                                                           mode    circuit 1 (%)   circuit 2 (%)
----------------------------------------------------------------------------------------------------------------
Utility.......................................................        0        0             0.0             0.0
Utility.......................................................        1       33            80.5             0.0
Utility.......................................................        2       40             0.0             0.0
Utility.......................................................        3      145            83.5             0.0
Utility.......................................................        4      289             0.0             0.0
Refuse........................................................        5      361             0.0            13.0
Refuse........................................................        6      363             0.0            38.0
Refuse........................................................        7      373             0.0            53.0

[[Page 189]]

 
Refuse........................................................        8      384             0.0            73.0
Refuse........................................................        9      388             0.0             0.0
Refuse........................................................       10      401             0.0            13.0
Refuse........................................................       11      403             0.0            38.0
Refuse........................................................       12      413             0.0            53.0
Refuse........................................................       13      424             0.0            73.0
Refuse........................................................       14      442            11.2             0.0
Refuse........................................................       15      468            29.3             0.0
Refuse........................................................       16      473             0.0             0.0
Refuse........................................................       17      486            11.2             0.0
Refuse........................................................       18      512            29.3             0.0
Refuse........................................................       19      517             0.0             0.0
Refuse........................................................       20      530            12.8            11.1
Refuse........................................................       21      532            12.8            38.2
Refuse........................................................       22      541            12.8            53.4
Refuse........................................................       23      550            12.8            73.5
Refuse........................................................       24      553             0.0             0.0
Refuse........................................................       25      566            12.8            11.1
Refuse........................................................       26      568            12.8            38.2
Refuse........................................................       27      577            12.8            53.4
Refuse........................................................       28      586            12.8            73.5
Refuse........................................................       29      589             0.0             0.0
Refuse........................................................       30      600             0.0             0.0
----------------------------------------------------------------------------------------------------------------



      Sec. Appendix III to Part 1037--Emission Control Identifiers

    This appendix identifies abbreviations for emission control 
information labels, as required under Sec.  1037.135.

                         Vehicle Speed Limiters

-VSL--Vehicle speed limiter
-VSLS--``Soft-top'' vehicle speed limiter
-VSLE--Expiring vehicle speed limiter
-VSLD--Vehicle speed limiter with both ``soft-top'' and expiration

                        Idle Reduction Technology

-IRT5--Engine shutoff after 5 minutes or less of idling
-IRTE--Expiring engine shutoff

                                  Tires

-LRRA--Low rolling resistance tires (all)
-LRRD--Low rolling resistance tires (drive)
-LRRS--Low rolling resistance tires (steer)

                         Aerodynamic Components

-ATS--Aerodynamic side skirt and/or fuel tank fairing
-ARF--Aerodynamic roof fairing
-ARFR--Adjustable height aerodynamic roof fairing
-TGR--Gap reducing fairing (tractor to trailer gap)

                            Other Components

-ADVH--Vehicle includes advanced hybrid technology components
-ADVO--Vehicle includes other advanced technology components (i.e., non-
hybrid system)
-INV--Vehicle includes innovative technology components



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?

[[Page 190]]

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?

                  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?
1039.665 Special provisions for use of engines in emergency situations.
1039.670 Approval of an emergency equipment field modification (EEFM).

       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?

[[Page 191]]

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.



                  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

[[Page 192]]

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.
    (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

[[Page 193]]

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.
    (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 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:
    (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 part 89, 94 or 1042, 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; 
76 FR 37977, June 28, 2011]



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.
    (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

[[Page 194]]

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 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

[[Page 195]]

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
 using ABT.                       2.50 g/kW-hr or a    1.50.
                                  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 196]]

    (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 197]]

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 198]]



                 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 199]]


       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.......................  560 900.  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 200]]

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 201]]

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 202]]

 
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 203]]



----------------------------------------------------------------------------------------------------------------
                                                                      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 =19  Table 1 of Sec.    Standards in        3 engines. \2\
                                                    1039.101.          Tables 2 through
                                                                       7 of Sec.
                                                                       1039.102 or
                                                                       standards in
                                                                       Table 1 of Sec.
                                                                       1039.101.
(iv) 1 engine.................  kW =19  Table 1 of Sec.    Standards in        2 engines. \2\
                                                    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 204]]

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 205]]

 
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 206]]

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 207]]

    (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 engines 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) for the 
indicated model years, subject to the following provisions:
    (1) The provisions of this paragraph (g) apply for limited numbers 
of engines as specified in this paragraph (g)(1). 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.
    (i) Except as specified in paragraph (g)(1)(ii) of this section, 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, and the sum of percentages over the 4-year period must not 
exceed a total of 40 percent in each power category.
    (ii) For the 19-56 kW power category, the number of engines 
certified to the FEL caps in Table 1 of this section must not exceed 40 
percent in any single model year, and the sum of percentages over the 4-
year period must not exceed a total of 80 percent.
    (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 
and for NOX + NMHC 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

[[Page 208]]

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.

                                 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 \1\     alternate NOX
                                                                      FEL cap                         FEL cap
----------------------------------------------------------------------------------------------------------------
19 <= kW < 56...................................            0.30   \2\ 2012-2015  ..............
56 <= kW < 130 \3\..............................            0.30       2012-2015             3.8   \4\ 2012-2015
130 <= kW <= 560................................            0.20       2011-2014             3.8   \5\ 2011-2014
kW  560 \6\..........................            0.10       2015-2018             3.5       2015-2018
----------------------------------------------------------------------------------------------------------------
\1\ The FEL cap for engines demonstrating compliance with a NOX + NMHC standard is equal to the previously
  applicable NOX + NMHC standard specified in 40 CFR 89.112 (generally the Tier 3 standards).
\2\ 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 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.
\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 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 Sec.   1039.102(d)(2).
\5\ 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.
\6\ For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines.

    (5) You may certify engines under this paragraph (g) in any model 
year provided for in Table 1 of this section 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 nevertheless be certified under this paragraph (g).
    (6) For engines you produce under this paragraph (g) after the Tier 
4 final standards take effect, you may certify based on a NOX 
+ NMHC FEL as described in Table 1 of this section. Calculate emission 
credits for these engines relative to the applicable NOX 
standard in Sec.  1039.101 or Sec.  1039.102, plus 0.1 g/kW-hr.
    (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; 79 FR 7083, Feb. 6, 2014]



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.

[[Page 209]]

    (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 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.
    (4) The auxiliary emission control device applies only for engines 
that will be installed in emergency equipment and the need is justified 
in terms of preventing the equipment from losing speed or power due to 
abnormal conditions of the emission control system, or in terms of 
preventing such abnormal conditions from occurring, during operation 
related to emergency response. Examples of such abnormal conditions may 
include excessive exhaust backpressure from an overloaded particulate 
trap, and running out of diesel exhaust fluid for engines that rely on 
urea-based selective catalytic reduction. The emission standards do not 
apply when any AECDs approved under this paragraph (g)(4) are active.
    (5) The auxiliary emission control device operates only in emergency 
situations as defined in Sec.  1039.665 and meets all of the 
requirements of that section, and you meet all of the requirements of 
that section.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007; 
77 FR 34147, June 8, 2012]

[[Page 210]]



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:

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

[[Page 211]]

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, with the exception that paragraphs 
(a)(1)(ii) and (iii) of this section do not apply for DEF replenishment:
    (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.
    (iii) For SCR systems, the minimum interval for replenishing the 
diesel exhaust fluid (DEF) is the number of engine operating hours 
necessary to consume a full tank of fuel based on normal usage starting 
from full fuel capacity for the equipment. Use good engineering judgment 
to ensure that equipment manufacturers will meet this requirement for 
worst-case operation by following your installation instructions. For 
example, if your highest rate of DEF consumption (relative to fuel 
consumption) will occur under a steady state operating conditions 
characterized by one of the modes of the applicable steady-state 
certification test (to the extent that continuous operation at such mode 
is representative of real-world conditions), the DEF tank should be 
large enough that a single tank of DEF would be enough to continue 
proper operation of the SCR system for the expected operating range with 
a single tank of fuel at that mode. For engine testing in a laboratory, 
any size DEF tank and fuel tank may be used; however, for our testing of 
engines, we may require you to provide us with a production-type DEF 
tank, including any associated sensors.
    (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.
    (iii) The provisions of paragraph (a)(2)(iii) of this section apply 
for SCR systems.
    (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

[[Page 212]]

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). 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

[[Page 213]]

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; 79 FR 46373, Aug. 8, 2014]



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 and any other components. Include instructions consistent with 
the requirements of Sec.  1039.205(u). Also describe how to properly 
size the DEF tank consistent with the specifications in Sec.  
1039.125(a), if applicable.
    (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,

[[Page 214]]

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; 
79 FR 46373, Aug. 8, 2014]



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.
    (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''.
    (15) For engines with one or more approved auxiliary emission 
control devices for emergency equipment applications under Sec.  
1039.115(g)(4), the statement: ``THIS ENGINE IS FOR INSTALLATION IN 
EMERGENCY EQUIPMENT ONLY.'' Note that this

[[Page 215]]

label requirement does not apply for engines that include emergency 
AECDs under Sec.  1039.665 rather than Sec.  1039.115(g)(4).
    (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; 77 FR 34147, June 
8, 2012; 79 FR 46373, Aug. 8, 2014]



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.
    (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

[[Page 216]]

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 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

[[Page 217]]

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 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.

[[Page 218]]

    (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 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]

[[Page 219]]



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 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.

[[Page 220]]

    (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 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.

[[Page 221]]

    (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 
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

[[Page 222]]

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 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:

[[Page 223]]

    (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 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

[[Page 224]]

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 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.

[[Page 225]]

    (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).



                        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

[[Page 226]]

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.
    (g) You may disable any AECDs that have been approved solely for 
emergency equipment applications under Sec.  1039.115(g)(4). The 
emission standards do not apply when any of these AECDs are active.

[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; 77 FR 34147, 
June 8, 2012; 79 FR 46373, Aug. 8, 2014]



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; you may also choose between 
discrete-mode and ramped-modal testing. In all 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 cycle 
you select for your own testing. If you submit certification test data 
using more than one duty cycle, any of the selected duty cycles may be 
used for any subsequent 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 described in 40 CFR part 1065.
    (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 paragraph (a) of 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 paragraph (b) of Appendix II 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 paragraph (c) of Appendix II of this part for 
variable-speed engines at or above 19 kW.
    (c) 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.
    (d) To allow non-motoring dynamometers on cycles with idle, you

[[Page 227]]

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] Tmaxmapped.
    (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] Tmaxmapped.

[79 FR 23750, Apr. 28, 2014]



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. 
Calculate the official transient emission result from the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.002


[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
75 FR 22991, Apr. 30, 2010; 76 FR 57437, Sept. 15, 2011; 79 FR 23751, 
Apr. 28, 2014]



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.

[[Page 228]]

    (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. If your 
engine family includes engines with one or more AECDs for emergency 
equipment applications approved under Sec.  1039.115(g)(4), do not 
consider additional regenerations resulting from those AECDs when 
calculating emission factors or frequencies under this section.
    (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. 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:


[[Page 229]]


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.

[69 FR 39213, June 29, 2004, as amended at 77 FR 34147, June 8, 2012]



                 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 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

[[Page 230]]

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.
    (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

[[Page 231]]

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.
    (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.

[[Page 232]]

    (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).
    (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

[[Page 233]]

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 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:

[[Page 234]]



     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 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

[[Page 235]]

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.

         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), or more stringent standards. 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 40 CFR 89.112.
    (2) If you are using the provisions of paragraph (a)(2) of this 
section, engines must be identical in all material respects to engines 
certified under this part 1039 as follows:

------------------------------------------------------------------------
                                             Must meet all standards and
Engines in the following power category. .  requirements that applied in
                     .                       the following model year. .
                                                          .
------------------------------------------------------------------------
(i) 19 <=kW <56...........................  2008 (Option 1, where
                                             applicable).
(ii) 56 <=kW <130.........................  2012 (Phase-out).
(iii) 130 <=kW <=560......................  2011 (Phase-out).
(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.

[[Page 236]]

    (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.
    (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

[[Page 237]]

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). Exempt engines must 
meet the emission standards in paragraph (e) of this section and you 
must meet all the requirements of 40 CFR 1068.265, except that engines 
produced under the provisions of paragraph (a)(2) of this section must 
be identical in all material respects to engines previously certified 
under this part 1039. 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) of this 
section; 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. Additional allowances under this paragraph (m) must 
be used within the specified seven-year period. After considering the 
circumstances, we may permit you to introduce into U.S. commerce 
equipment with such engines that do not comply with Tier 4 emission 
standards, as follows:
    (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.

[[Page 238]]

    (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) You must use up the allowances under paragraph (b)(1) of this 
section before using any additional allowances under this paragraph (m).
    (ii) The additional allowances under this paragraph (m)(3) may not 
exceed 200 percent for each power category.
    (iii) You may use these additional allowances only for the specific 
equipment models covered by your request.
    (4) We may approve your request to increase the small-volume 
allowances 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 do not use the provisions of paragraph (m)(3) of this 
section to obtain additional allowances within a given power category.
    (ii) You must use up the allowances under paragraph (b)(2) of this 
section before using any additional allowances under this paragraph (m).
    (iii) The additional allowances under this paragraph (m)(4) may not 
exceed 2,000 units.
    (iv) We may approve additional allowances in the form of waiving the 
annual limits specified in paragraph (b)(2) of this section instead of 
or in addition to increasing the total number of allowances under this 
paragraph (m)(4).
    (v) If we increase the total number of allowances, you may use these 
allowances only for the specific equipment models covered by your 
request.

[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; 78 FR 49966, Aug. 16, 2013; 79 FR 7084, Feb. 6, 2014]



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

[[Page 239]]

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 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

[[Page 240]]

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 
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.

[[Page 241]]

 
(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 
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.

[[Page 242]]

    (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.



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.

[[Page 243]]

 
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 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]

[[Page 244]]



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



Sec.  1039.665  Special provisions for use of engines in emergency
situations.

    This section specifies provisions that allow for temporarily 
disabling emission controls during qualified emergency situations. For 
purposes of this section, a qualified emergency situation is one in 
which the condition of an engine's emission controls poses a significant 
direct or indirect risk to human life. An example of a direct risk would 
be an emission control condition that inhibits the performance of an 
engine being used to rescue a person from a life-threatening situation. 
An example of an indirect risk would be an emission control condition 
that inhibits the performance of an engine being used to provide 
electrical power to a data center that routes ``911'' emergency response 
telecommunications.
    (a) Scope. To facilitate temporarily disabling emission controls 
during a qualified emergency situation, manufacturers may apply for 
approval of auxiliary emission control devices (AECDs) under this 
section. Once activated, an AECD approved under this section may disable 
any emission controls as necessary to address a qualified emergency 
situation, subject to the limitations in this section. For the purposes 
of this section, automatically limiting engine performance to induce an 
operator to perform emission-related maintenance--such as refilling a 
DEF tank--is considered an emission control. AECDs approved under this 
section are not defeat devices, and their proper use during a qualified 
emergency situation is not prohibited under Clean Air Act section 203 
(42 U.S.C. 7522). Manufacturers may apply for AECD approval at any time; 
however, we encourage manufacturers to obtain preliminary approval 
before submitting an application for certification. We may allow 
manufacturers to apply an approved AECD to engines and equipment that 
have already been placed into service.
    (b) AECD approval criteria. We will approve an AECD where we 
determine that the following criteria have been met:

[[Page 245]]

    (1) The AECD's design must be consistent with good engineering 
judgment and the manufacturer must show that the AECD deactivates 
emission controls only to the extent necessary to address the expected 
emergency situation.
    (2) Manufacturers must discourage improper activation of the AECD by 
displaying information where it is clearly visible to the equipment 
operator when the operator is in a position to activate the AECD. Unless 
we approve alternate language, state the following: ``EMERGENCY USE 
ONLY. SEE OWNERS MANUAL. PENALTIES APPLY FOR MISUSE.''
    (3) Manufacturers may design and produce their engines with the AECD 
initially armed to allow operators to activate the AECD one time per 
engine without any further input or permission from the manufacturer. 
The AECD may be subsequently reset as specified in paragraph (b)(8) of 
this section.
    (4) Except as allowed by paragraph (b)(3) of this section, AECD 
activation must require either input of a temporary code, 
reconfiguration of the engine's electronic control module by a qualified 
service technician, or an equivalent security feature that is unique to 
each engine.
    (5) The engine controls must be configured to record the total 
number of AECD activations in that engine's nonvolatile electronic 
memory.
    (6) The engine controls must include an operator-activated switch or 
other element of design to allow the operator to manually deactivate the 
AECD once a qualified emergency situation has ended. This manual control 
may include a ``confirm-delete'' function, as needed, to prevent 
unintentionally deactivating the AECD. This control may allow for manual 
reactivation of the AECD provided that the AECD's automatic deactivation 
limits in paragraph (b)(7) of this section have not yet been reached, 
but such reactivation by operators would be allowed only under emergency 
situations. This manual deactivation control must not deactivate 
operator inducements required by paragraph (b)(9) of this section.
    (7) The AECD must automatically deactivate within a cumulative 
engine run time of 120 hours after the AECD was initially activated 
(excluding any time the AECD was deactivated). The AECD may be 
subsequently reset as specified in paragraph (b)(8) of this section. For 
emission controls that involve a sequence of increasingly severe engine 
performance limits to induce operators to perform emission-related 
maintenance, the emission controls may be reset to the initial point of 
that sequence when the AECD is deactivated.
    (8) The manufacturer must ensure that resetting the AECD cannot 
occur without the manufacturer's specific permission, and that resetting 
the AECD requires either input of a temporary code, reconfiguration of 
the engine's electronic control module by a qualified service 
technician, or an equivalent security feature that is unique to each 
engine. AECD resets may not occur unless either the manufacturer has 
evidence that the emergency situation is continuing or the operator 
provides the information required in paragraph (e) of this section, in 
writing or by any other means.
    (9) The manufacturer must take appropriate additional steps to 
induce operators to report AECD activation and request resetting the 
AECD. We recommend including one or more persistent visible and/or 
audible alarms that are active from the point when the AECD is activated 
to the point when it is reset.
    (c) Required information. Manufacturers producing engines equipped 
with an AECD approved under this section must communicate at least the 
following information in writing to the operator:
    (1) Instructions for activating, deactivating, and reactivating the 
AECD; reporting AECD use; and requesting AECD resets.
    (2) A warning that federal regulations prohibit activating the 
emergency AECD for something other than a qualified emergency situation, 
failing to disable the emergency AECD after a qualified emergency 
situation ends, and failing to notify the manufacturer and send reports 
as required under paragraph (e) of this section. The warning must also 
identify the maximum civil penalty for such violations as described in 
40 CFR 1068.101.

[[Page 246]]

    (3) Notification that the manufacturer will send the information 
from the operator's report under paragraph (e) of this section to EPA 
and that federal regulation separately prohibits submitting false 
information.
    (d) Resetting AECDs. The operator (or other person responsible for 
the engine/equipment) may request resetting the AECD at any time. The 
manufacturer may reset the AECD only if the manufacturer has evidence 
that the emergency situation is continuing, or after the operator 
provides the information required in paragraph (e) of this section, in 
writing or by any other means.
    (e) Operator reporting of AECD use. The operator (or other person 
responsible for the engine/equipment) must send a written report to the 
manufacturer within 60 calendar days after activating an AECD approved 
under this section. The report must include the following:
    (1) Contact name, mail and email addresses, and telephone number for 
the responsible company or entity.
    (2) A description of the emergency situation, the location of the 
engine during the emergency, and the contact information for an official 
who can verify the emergency situation (such as a county sheriff, fire 
marshal, or hospital administrator).
    (3) The reason for AECD activation during the emergency situation, 
such as the lack of DEF, or the failure of an emission-related sensor 
when the engine was needed to respond to an emergency situation.
    (4) The engine's serial number (or equivalent).
    (5) A description of the extent and duration of the engine operation 
while the AECD was active, including a statement describing whether or 
not the AECD was manually deactivated after the emergency situation 
ended.
    (f) Operator failure to report. If the operator fails to submit the 
report required by paragraph (e) of this section to the manufacturer 
within 60 days of activating an AECD approved under this section, the 
manufacturer, to the extent it has been made aware of the AECD 
activation, must send written notification to the operator that failure 
to meet the submission requirements may subject the operator to 
penalties under 40 CFR 1068.101.
    (g) Prohibited acts. The following actions by the operator are 
improper use of the AECD and are prohibited under Clean Air Act section 
203 (42 U.S.C. 7522):
    (1) Activating the emergency AECD for any use other than a qualified 
emergency situation where the emission control strategy would curtail 
engine performance.
    (2) Failing to disable the emergency AECD after a qualified 
emergency situation has ended.
    (3) Failing to disable the emergency AECD after the problem causing 
the emission control strategy to interfere with engine performance has 
been or can reasonably be fixed.
    (4) Failing to provide the information required under paragraph (e) 
of this section within 60 days of AECD activation.
    (h) Manufacturer reporting to EPA. Within 90 days after each 
calendar year, the manufacturer must send an annual report to the 
Designated Compliance Officer describing the use of AECDs approved under 
this section. A manufacturer may request an extension if it is 
impractical to meet this deadline as the result of an emergency 
situation occurring late in a given calendar year. The annual report 
must include a description of each emergency situation leading to each 
AECD activation and copies of the reports submitted by operators (or 
statements that an operator did not submit a report, to the extent of 
the manufacturer's knowledge).
    (i) Submissions to EPA. Notifications and reports submitted to 
comply with this section are deemed to be submissions to EPA.
    (j) Recordkeeping. The manufacturer must keep records to document 
the use of AECDs approved under this section until the end of the 
calendar year five years after the onset of the relevant emergency 
situation. We may approve alternate recordkeeping and reporting 
requirements.
    (k) Anti-circumvention. We may set other reasonable conditions to 
ensure that the provisions in this section are

[[Page 247]]

not used to circumvent the emission standards of this part.

[79 FR 46373, Aug. 8, 2014]



Sec.  1039.670  Approval of an emergency equipment field modification (EEFM).

    This section describes how you may implement design changes for 
emergency equipment that has already been placed into service to ensure 
that the equipment will perform properly in emergency situations.
    (a) You must notify us in writing of your intent to install or 
distribute an emergency equipment field modification (EEFM). In some 
cases you may install or distribute an EEFM only with our advance 
approval, as specified in this section.
    (b) Include in your notification a full description of the EEFM and 
any documentation to support your determination that the EEFM is 
necessary to prevent the equipment from losing speed, torque, or power 
due to abnormal conditions of its emission control system during 
operation related to emergency response, or to prevent such abnormal 
conditions from occurring during operation related to emergency 
response. Examples of such abnormal conditions may include excessive 
exhaust backpressure from an overloaded particulate trap, or running out 
of diesel exhaust fluid (DEF) for engines that rely on urea-based 
selective catalytic reduction. Your determination must be based on an 
engineering evaluation or testing or both.
    (c) You may need our advance approval for your EEFM, as follows:
    (1) Where the proposed EEFM is identical to an AECD we approved 
under this part for an engine family currently in production, no 
approval of the proposed EEFM is necessary.
    (2) Where the proposed EEFM is for an engine family currently in 
production but the applicable demonstration is based on an AECD we 
approved under this part for an engine family no longer in production, 
you must describe to us how your proposed EEFM differs from the approved 
AECD. Unless we say otherwise, your proposed EEFM is deemed approved 30 
days after you notify us.
    (3) If we have not approved an EEFM comparable to the one you are 
proposing, you must get our approval before installing or distributing 
it. In this case, we may request additional information to support your 
determination under paragraph (b) of this section, as follows:
    (i) If we request additional information and you do not provide it 
within 30 days after we ask, we may deem that you have retracted your 
request for our approval; however, we may extend this deadline for 
submitting the additional information.
    (ii) We will deny your request if we determine that the EEFM is not 
necessary to prevent the equipment from losing speed, torque, or power 
due to abnormal conditions of the emission control system during 
operation related to emergency response, or to prevent such abnormal 
conditions from occurring during operation related to emergency 
response.
    (iii) Unless we say otherwise, your proposed EEFM is deemed approved 
30 days after we acknowledge that you have provided us with all the 
additional information we have specified.
    (4) If your proposed EEFM is deemed to be approved under paragraph 
(c)(2) or (3) of this section and we find later that your EEFM in fact 
does not meet the requirements of this section, we may require you to no 
longer install or distribute it.

[77 FR 34147, June 8, 2012, as amended at 79 FR 46375, Aug. 8, 2014]



       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

[[Page 248]]

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.
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.

[[Page 249]]

    (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 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

[[Page 250]]

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.
    (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:

[[Page 251]]

    (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
------------------------------------------------------------------------

    (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

[[Page 252]]

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.
    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

[[Page 253]]

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.
    Diesel exhaust fluid (DEF) means a liquid reducing agent (other than 
the engine fuel) used in conjunction with selective catalytic reduction 
to reduce NOX emissions. Diesel exhaust fluid is generally 
understood to be an aqueous solution of urea conforming to the 
specifications of ISO 22241.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec.  1039.505.
    Emergency equipment means any of the following types of equipment 
that is not a motor vehicle:
    (1) Specialized vehicles used to perform aircraft rescue and/or 
fire-fighting functions at airports, with particular emphasis on saving 
lives and reducing injuries coincident with aircraft fires following 
impact, or aircraft ground fires.
    (2) Wildland firefighting equipment designed primarily to support 
wildland fire suppression operations. For example, a bulldozer designed 
with special features for fighting wildfires would be a piece of 
emergency equipment.
    (3) Any other equipment that we have determined will likely be used 
in emergency situations where emission control function or malfunction 
may cause a significant risk to human life. For example, we would 
consider nonroad equipment that is certain to be retrofitted with a 
slip-on firefighting module to be emergency equipment, irrespective of 
the equipment manufacturer's original design.

[[Page 254]]

In making this determination, we may consider any factor that has an 
effect on the totality of the actual risk to human life. For example, we 
may consider how frequently the equipment will be used in emergency 
situations or how likely it is that the emission controls will cause a 
significant risk to human life when the equipment is used in emergency 
situations. We will consider to what extent the flexibility provisions 
of Sec.  1039.665 already address the risk. In the example above, we 
would not consider equipment to be emergency equipment if there is 
merely a possibility (rather than a certainty) that the equipment will 
be retrofitted with a slip-on firefighting module.
    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 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:

[[Page 255]]

    (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:
    (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

[[Page 256]]

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.
    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

[[Page 257]]

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 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

[[Page 258]]

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.
    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,

[[Page 259]]

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.
    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; 77 FR 34147, June 8, 2012; 79 FR 46375, Aug. 8, 2014]



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.
DEF Diesel exhaust fluid.
EEFM Emergency equipment field modification.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
ISO International Organization for Standardization (see www.iso.org).
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.
SCR Selective catalytic reduction.
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; 
77 FR 34148, June 8, 2012]



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

[[Page 260]]

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:
    (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.

[[Page 261]]

    (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.

    (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.

[[Page 262]]

 
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
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.


[[Page 263]]


[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
48............................................           96           71
49............................................          101           62
50............................................          102           51
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858...........................................           83            6
859...........................................           76            5
860...........................................           49            8
861...........................................           51            7
862...........................................           51           20
863...........................................           78           52
864...........................................           80           38
865...........................................           81           33
866...........................................           83           29
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874...........................................           83            6
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878...........................................           59            4
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880...........................................           51            5
881...........................................           51            5
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883...........................................           50            5
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916...........................................           83          100
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930...........................................           83            7
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935...........................................           71            5
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998...........................................           83           65

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1020..........................................           86           18
1021..........................................           82           35
1022..........................................           79           53
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1024..........................................           83           29
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1027..........................................           76           60
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1039..........................................           76           70
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1067..........................................           86           12
1068..........................................           64           14
1069..........................................           24           14
1070..........................................           49           21
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1072..........................................          103           11
1073..........................................           98           48
1074..........................................          101           34
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1076..........................................          103           11
1077..........................................          103           19
1078..........................................          103            7
1079..........................................          103           13
1080..........................................          103           10
1081..........................................          102           13
1082..........................................          101           29
1083..........................................          102           25
1084..........................................          102           20
1085..........................................           96           60
1086..........................................           99           38
1087..........................................          102           24
1088..........................................          100           31
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1090..........................................           98            3
1091..........................................          102           26
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1140..........................................           70           67
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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.

[[Page 272]]

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.

                        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.

[[Page 273]]

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

[[Page 274]]

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

[75 FR 22994, Apr. 30, 2010, as amended at 76 FR 37977, June 28, 2011]



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 FR 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

[[Page 275]]

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 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]

[[Page 276]]



          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 277]]

[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 278]]

 
\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 279]]

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 280]]

    (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 281]]

    (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 FR 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 282]]

    (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 283]]



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 284]]

    (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 285]]

    (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 FR 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 286]]

    (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 287]]

(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 288]]

    (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 FR 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 289]]

    (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 290]]

    (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 FR 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 291]]

    (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 FR 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 292]]



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 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 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 293]]

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.
    (j) Vessel manufacturers and marine equipment manufacturers may 
apply the provisions of Sec.  1042.605 to land-based engines with 
maximum engine power at or above 19 kW and below 600 kW produced under 
the allowances provided in 40 CFR 1039.625 for model year 2013 marine 
engines. All the provisions of Sec.  1042.605 apply as if those engines 
were certified to emission standards under 40 CFR part 1039. Similarly, 
engine manufacturers, vessel manufacturers, and marine equipment 
manufacturers must comply with all the provisions of 40 CFR 1039.625 as 
if those engines were installed in land-based equipment.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75 
FR 23000, Apr. 30, 2010; 78 FR 36396, June 17, 2013]



                  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 FR 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,

[[Page 294]]

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 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)

[[Page 295]]

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.
    (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

[[Page 296]]

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 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 FR 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

[[Page 297]]

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 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

[[Page 298]]

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 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 FR 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).

[[Page 299]]

    (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 (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

[[Page 300]]

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 FR 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.
    (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

[[Page 301]]

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 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 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

[[Page 302]]

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 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 FR 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

[[Page 303]]

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 
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 FR 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.

[[Page 304]]

    (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 FR 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 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 FR 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]

[[Page 305]]

    (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 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 FR 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

[[Page 306]]

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]



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).

[[Page 307]]

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

[73 FR 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.

[[Page 308]]

    (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 FR 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 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 FR 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 FR 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.

[[Page 309]]

    (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:
    (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:


[[Page 310]]


    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 FR 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.
    (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 FR 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

[[Page 311]]

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 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 FR 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; you may also choose between 
discrete-mode and ramped-modal testing. In all 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. If you submit certification test data 
using more than one duty cycle, any of the selected duty cycles may be 
used for any subsequent 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 described in 40 CFR Part 1065.
    (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 312]]

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) 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.

[79 FR 23751, Apr. 28, 2014]



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 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

[[Page 313]]

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.
    (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

[[Page 314]]

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)

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

[[Page 315]]

          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 FR 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 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:

[[Page 316]]

    (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 FR 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 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,

[[Page 317]]

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 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.

[[Page 318]]

    (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 FR 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 
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

[[Page 319]]

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 FR 37243, June 30, 2008, as amended at 75 FR 23006, Apr. 30, 2010]



Sec.  1042.615  Replacement engine exemption.

    For Category 1 and Category 2 replacement engines, the provisions of 
40 CFR 1068.240 apply except 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.

[[Page 320]]

    (a) This paragraph (a) applies instead of the provisions of 40 CFR 
1068.240(b)(2). 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. We have determined that engines 
certified to Tier 4 standards do not have the appropriate physical or 
performance characteristics to replace uncertified engines or engines 
certified to emission standards that are less stringent than the Tier 4 
standards.
    (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:

    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

[[Page 321]]

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) The 40-year limit specified in 40 CFR 1068.240(a) does not apply 
for engines subject to this part 1042. You may accordingly omit the 
statement on the permanent labels specified in 40 CFR 1068.240 
describing this limitation.
    (c) 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).
    (d) 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.
    (e) We may reduce the reporting and recordkeeping requirements in 
this section.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75 
FR 23006, Apr. 30, 2010; 79 FR 7084, Feb. 6, 2014]



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

[[Page 322]]

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.

[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 FR 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 323]]

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 FR 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 FR 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 324]]

    (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 325]]

    (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 FR 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 326]]

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 327]]

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 328]]

    (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 329]]



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 330]]

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 331]]

    (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 FR 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 FR 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 332]]

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 333]]

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 FR 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

[[Page 334]]

power. Note that owner/operators may 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

[[Page 335]]

most common configuration in the family.
    (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

[[Page 336]]

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.
    (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

[[Page 337]]

or otherwise violate the prohibition of Sec.  1042.115(e).
    (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 FR 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

[[Page 338]]

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. 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:

[[Page 339]]

    (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.
    (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 FR 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:

[[Page 340]]

    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 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.

[[Page 341]]

    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine. Note 
that certain 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

[[Page 342]]

    (2) Is a nonroad engine that, according to Sec.  1042.5, is not 
subject to this part 1042.
    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

[[Page 343]]

engine or vessel in a way that makes it 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 344]]

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 345]]

    (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 346]]

    (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 347]]

    (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 348]]

    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 349]]

    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 FR 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

[[Page 350]]

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.  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 351]]

    (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 g/
       Engine size liters/cylinder             Maximum engine power                Category            Model year     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 FR 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 352]]

 
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 353]]

 
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 354]]

[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 355]]

[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 356]]

[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 357]]

[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 358]]

[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 Great Lakes provisions.
1043.97 Interim provisions.
1043.100 Reference materials.

    Authority: 33 U.S.C. 1901-1912.

    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

[[Page 359]]

VI (incorporated by reference in Sec.  1043.100).
    (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) [Reserved]
    (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.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]



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 and the NOX-related requirements of this part 
(including the requirement to obtain an EIAPP certificate and to keep a 
Technical File and an Engine Book of Record Parameters). 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 certificate 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 360]]

    (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(c)(4) 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.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]



Sec.  1043.20  Definitions.

    The following definitions apply to this part:
    2008 Annex VI means Annex VI to the MARPOL Protocol, including the 
amendments from Annex 12, adopted through April 2014 (incorporated by 
reference in Sec.  1043.100). 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 is in force.
    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.

[[Page 361]]

    Non-Party vessel means a vessel flagged by a country that is not a 
party to Annex VI.
    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. Vessels with a national security exemption under 
40 CFR 80.606 or 1042.635 are deemed to be public vessels.
    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.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]



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

[[Page 362]]

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 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

[[Page 363]]

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 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) EPA may issue both an EPA certificate and an EIAPP certificate 
for the same engine, as long as the manufacturer and the engine meet all 
applicable requirements. EPA may not issue an EIAPP certificate if the 
engine is certified with an FEL under 40 CFR part 1042 that is higher 
than the applicable NOX emission standard under Annex VI.
    (e) 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.
    (f) 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.
    (g) This paragraph (g) 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. The limitations for engine manufacturers described in 
paragraphs (a) and (d) of this section also apply for all EIAPP 
certificates issued under this paragraph (g). 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 (g) to engines originally certified for 
public vessels.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]



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.

[[Page 364]]

    (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.
    (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

[[Page 365]]

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 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        Implementation date -----------------------------------------------
         Tier              applicability             \a\           Less than 130   130-2000 RPM
                                                                        RPM             \b\        Over 2000 RPM
----------------------------------------------------------------------------------------------------------------
Tier I...............  All U.S. navigable    January 1, 2004-               17.0   45.0 [middot]             9.8
                        waters and EEZ.       December 31, 2010.                       n (-0.20)
Tier II..............  All U.S. navigable    January 1, 2011-               14.4   44.0 [middot]             7.7
                        waters and EEZ.       December 31, 2015.                       n (-0.23)
Tier II..............  All U.S. navigable    January 1, 2016 and            14.4   44.0 [middot]             7.7
                        waters and EEZ,       later.                                   n (-0.23)
                        exluding ECA and
                        ECA associated
                        areas.

[[Page 366]]

 
Tier III.............  ECA and ECA           January 1, 2016 and             3.4  9.0 [middot] n             2.0
                        associated areas.     later c.                                   (-0.20)
----------------------------------------------------------------------------------------------------------------
\a\ Standards apply for engines installed on vessels with a build date in the specified time frame, or for
  engines that undergo a major conversion in the specified time frame.
\b\ 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.
\c\ In the case of recreational vessels of less than 500 gross tonnage with length at or above 24 meters, the
  Tier III standards start to apply January 1, 2021.

    (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 %) \a\
------------------------------------------------------------------------
                                     Sulfur limit in    Sulfur limit in
                                         all U.S.         ECA and ECA
          Calendar years             navigable waters   associated areas
                                    and EEZ (percent)      (percent)
------------------------------------------------------------------------
2010-2011.........................               4.50               1.00
2012-2014.........................               3.50               1.00
2015-2019.........................               3.50               0.10
2020 and later....................               0.50               0.10
------------------------------------------------------------------------
\a\ Note that Regulation 3 and Regulation 4 of Annex VI allow for the
  use of noncompliant fuel in certain circumstances.

    (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.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]



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 2008 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

[[Page 367]]

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.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9113, Feb. 19, 2015]



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.
    (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 the fuel 
supplier certifying that the fuel supplied conforms to Regulations 14 
and 18 of Annex VI consistent with its 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 on or after January 1, 2015 may not have a 
sulfur content above 0.10 weight percent. This statement is not required 
if the vessel is not subject to fuel standards of Regulation 14 of Annex 
VI. The statement described in this paragraph (b)(9) is deemed to be a 
submission to EPA.
    (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.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9113, Feb. 19, 2015]



Sec.  1043.90  [Reserved]



Sec.  1043.95  Great Lakes provisions.

    The 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) The fuel-use requirements of this part do not apply through 
December 31, 2025, for a ship qualifying under paragraph (a) of this 
section if it was in service as a steamship on October 30, 2009 and it 
is repowered with one or more marine diesel engines, subject to the 
following conditions and requirements:
    (1) Engines must meet exhaust emission standards using one of the 
following approaches:

[[Page 368]]

    (i) All the installed replacement engines must be certified to 
applicable standards under 40 CFR part 1042 based on the date the vessel 
enters dry dock for service.
    (ii) We may approve the use of an engine meeting less stringent 
standards if the owner can demonstrate that it took possession of the 
engine before October 30, 2009, and that engine is a new engine that has 
not been installed in a non-marine application. Such an engine must at a 
minimum be certified to the Annex VI NOX emission standard 
referenced in Sec.  1043.60 that applies based on its build date.
    (2) The vessel owner must notify us regarding the intent to use this 
provision. The notification must include a description of the vessel and 
a summary of the project, including the expected timeline, and other 
relevant information.
    (3) The vessel owner must notify the Designated Certification 
Officer when the project is complete. We will send the owner a statement 
that the repowered ship is exempt from fuel sulfur requirements through 
December 31, 2025; this statement must be kept onboard the vessel for 
compliance purposes.
    (4) All other requirements under this part 1043 continue to apply, 
including requirements related to bunker delivery notes.
    (5) This paragraph (b) applies only for vessels whose hull remains 
intact through the repowering process. For example, if a steamship is 
converted to a barge for use with tugboats, those vessels must use fuel 
meeting the requirements of this part 1043.
    (c) 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.
    (d) 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

[[Page 369]]

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.

[75 FR 23013, Apr. 30, 2010, as amended at 77 FR 2478, Jan. 18, 2012; 80 
FR 9113, Feb. 19, 2015]



Sec.  1043.97  Interim provisions.

    (a) The fuel-related requirements under APPS for operation in the 
North American ECA, the United States Caribbean Sea ECA, and ECA-
associated areas do not apply until January 1, 2020 for steamships built 
on or before August 1, 2011 if they are powered by propulsion boilers 
that were not originally designed for continued operation on marine 
distillate fuel or natural gas.
    (b) [Reserved]

[80 FR 9113, Feb. 19, 2015]



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 www.imo.org, or 44-(0)20-7735-7611.
    (1) MARPOL Annex VI, Regulations for the Prevention of Air Pollution 
from Ships, Third Edition, 2013, and NOX Technical Code 2008.
    (i) Revised MARPOL Annex VI, Regulations for the Prevention of 
Pollution from Ships, Third Edition, 2013 (``2008 Annex VI''); IBR 
approved for Sec.  1043.1 introductory text, 1043.20, 1043.30(f), 
1043.60(c), and 1043.70(a).
    (ii) NOX Technical Code 2008, Technical Code on Control 
of Emission of Nitrogen Oxides from Marine Diesel Engines, 2013 Edition, 
(``NOX Technical Code''); IBR approved for Sec. Sec.  
1043.20, 1043.41(b) and (h), and 1043.70(a).
    (iii) Annex 12, Resolution MEPC.251(66) from the Report of the 
Marine Environment Protection Committee on its Sixty-Sixth Sesson, April 
25, 2014. This document describes new and revised provisions that are 
considered to be part of Annex VI and NOX Technical Code 2008 
as referenced in paragraphs (a)(1)(i) and (ii) of this section. IBR 
approved for Sec.  1043.1 introductory text, 1043.20, 1043.30(f), 
1043.41(b) and (h), 1043.60(c), and 1043.70(a).
    (2) [Reserved]
    (b) [Reserved]

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9113, Feb. 19, 2015]



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.

[[Page 370]]

          Subpart B_Emission Standards and Related Requirements

1045.101 What exhaust emission standards and requirements must my 
          engines meet?
1045.103 What exhaust emission standards must my outboard and personal 
          watercraft engines meet?
1045.105 What exhaust emission standards must my sterndrive/inboard 
          engines meet?
1045.107 What are the not-to-exceed emission standards?
1045.110 How must my engines diagnose malfunctions?
1045.112 What are the standards for evaporative emissions?
1045.115 What other requirements apply?
1045.120 What emission-related warranty requirements apply to me?
1045.125 What maintenance instructions must I give to buyers?
1045.130 What installation instructions must I give to vessel 
          manufacturers?
1045.135 How must I label and identify the engines I produce?
1045.140 What is my engine's maximum engine power?
1045.145 Are there interim provisions that apply only for a limited 
          time?

                  Subpart C_Certifying Engine Families

1045.201 What are the general requirements for obtaining a certificate 
          of conformity?
1045.205 What must I include in my application?
1045.210 May I get preliminary approval before I complete my 
          application?
1045.220 How do I amend the maintenance instructions in my application?
1045.225 How do I amend my application for certification to include new 
          or modified engines or change an FEL?
1045.230 How do I select engine families?
1045.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1045.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1045.245 How do I determine deterioration factors from exhaust 
          durability testing?
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?

[[Page 371]]

1045.650 Do delegated-assembly provisions apply for marine engines?
1045.655 What special provisions apply for installing and removing 
          altitude kits?
1045.660 How do I certify outboard or personal watercraft engines for 
          use in jet boats?

       Subpart H_Averaging, Banking, and Trading for Certification

1045.701 General provisions.
1045.705 How do I generate and calculate exhaust emission credits?
1045.706 How do I generate and calculate evaporative emission credits?
1045.710 How do I average emission credits?
1045.715 How do I bank emission credits?
1045.720 How do I trade emission credits?
1045.725 What must I include in my application for certification?
1045.730 What ABT reports must I send to EPA?
1045.735 What records must I keep?
1045.745 What can happen if I do not comply with the provisions of this 
          subpart?

          Subpart I_Definitions and Other Reference Information

1045.801 What definitions apply to this part?
1045.805 What symbols, acronyms, and abbreviations does this part use?
1045.810 What materials does this part reference?
1045.815 What provisions apply to confidential information?
1045.820 How do I request a hearing?
1045.825 What reporting and recordkeeping requirements apply under this 
          part?

Appendix I to Part 1045--Summary of Previous Emission Standards
Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines

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

    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.

[[Page 372]]

    (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 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.

[[Page 373]]

    (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 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:

[[Page 374]]

    (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).

    (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.

[[Page 375]]

    (e) Useful life. Your engines must meet the exhaust emission 
standards in paragraphs (a) through (c) of this section over the full 
useful life as follows:
    (1) For outboard engines, the minimum useful life is 350 hours of 
engine operation or 10 years, whichever comes first.
    (2) For personal watercraft engines, the minimum useful life is 350 
hours of engine operation or 5 years, whichever comes first.
    (3) You must specify a longer useful life in terms of hours for the 
engine family if the average service life of your vehicles is longer 
than the minimum value, as follows:
    (i) Except as allowed by paragraph (e)(3)(ii) of this section, your 
useful life (in hours) may not be less than either of the following:
    (A) Your projected operating life from advertisements or other 
marketing materials for any engines in the engine family.
    (B) Your basic mechanical warranty for any engines in the engine 
family.
    (ii) Your useful life may be based on the average service life of 
vehicles in the engine family if you show that the average service life 
is less than the useful life required by paragraph (e)(3)(i) of this 
section, but more than the minimum useful life (350 hours of engine 
operation). In determining the actual average service life of vehicles 
in an engine family, we will consider all available information and 
analyses. Survey data is allowed but not required to make this showing.
    (f) Applicability for testing. The 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
                                  P485        25.0        350
                                   kW.
2011 +..........................  P<=485 kW.......       16.0        350
                                  P485        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

[[Page 376]]

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 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:

[[Page 377]]

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 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

[[Page 378]]

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 (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

[[Page 379]]

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.
    (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.

[[Page 380]]

    (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 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

[[Page 381]]

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. 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

[[Page 382]]

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 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

[[Page 383]]

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 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.

[[Page 384]]

    (7) Identify the emission control system. Use terms and 
abbreviations as described in 40 CFR 1068.45. You may omit this 
information from the label if there is not enough room for it and you 
put it in the owners manual instead.
    (8) List specifications and adjustments for engine tuneups; however, 
you may omit this information from the label if there is not enough room 
for it and you put it in the owners manual instead.
    (9) Identify the fuel type and any requirements for fuel and 
lubricants; however, you may omit this information from the label if 
there is not enough room for it and you put it in the owners manual 
instead.
    (10) State: ``THIS MARINE ENGINE COMPLIES WITH U.S. EPA EXHAUST 
REGULATIONS FOR [MODEL YEAR].''
    (11) If your durability demonstration for sterndrive/inboard engines 
is limited to fresh water, state: ``THIS ENGINE IS NOT INTENDED FOR USE 
IN SALTWATER.''
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine meets 
or does not meet (such as California standards). You may include this 
information by adding it to the statement we specify or by including a 
separate statement.
    (2) You may add other information to ensure that the engine will be 
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) You may ask us to approve modified labeling requirements in this 
part 1045 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (f) If you obscure the engine label while installing the engine in 
the vessel 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,

[[Page 385]]

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 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.

[[Page 386]]

    (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: ``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

[[Page 387]]

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 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

[[Page 388]]

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 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

[[Page 389]]

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.
    (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

[[Page 390]]

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 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

[[Page 391]]

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 
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

[[Page 392]]

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 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.

[[Page 393]]

    (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.
    (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.

[[Page 394]]

    (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.
    (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

[[Page 395]]

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.
    (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

[[Page 396]]

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 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

[[Page 397]]

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 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

[[Page 398]]

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 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

[[Page 399]]

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 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

[[Page 400]]

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

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

[[Page 401]]

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.



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).

[[Page 402]]

    (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.
    (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:

[[Page 403]]

    (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 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

[[Page 404]]

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.
    (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

[[Page 405]]

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-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

[[Page 406]]

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 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.

[[Page 407]]

    (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.
    (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

[[Page 408]]

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 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.

[[Page 409]]



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.
    (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

[[Page 410]]

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.
[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

[[Page 411]]

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.
    [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 412]]

[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 413]]

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 414]]

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 415]]

    (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 416]]

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 417]]

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 418]]

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 419]]

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 420]]

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 421]]


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

[[Page 422]]

standard, you must obtain enough emission credits to offset the family's 
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:

[[Page 423]]

    (1) Family designation.
    (2) The emission standards that would otherwise apply to the family.
    (3) The FEL for each pollutant. If you change the FEL after the 
start of production, identify the date that you started using the new 
FEL and/or give the engine identification number for the first engine 
covered by the new FEL. In this case, identify each applicable FEL and 
calculate the positive or negative emission credits under each FEL.
    (4) The projected and actual production volumes for the model year 
with a point of retail sale in the United States, as described in 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 424]]

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 425]]

    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 426]]

    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 427]]

    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 428]]

``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 429]]

    (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 430]]

    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 431]]

    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 432]]



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 433]]

    (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 434]]



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 435]]

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 436]]

    (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 437]]

    (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 438]]



   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 439]]

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 the November 1996 or November 2004

[[Page 440]]

versions of SAE J2260 (both incorporated by reference in Sec.  
1048.810).
    (b) [Reserved]
    (c) Diurnal emissions. Evaporative hydrocarbon emissions may not 
exceed 0.2 grams per gallon of fuel tank capacity when measured using 
the test procedures specified in 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, as amended at 78 FR 36396, June 17, 2013]



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

[[Page 441]]

evaluated and found to be working properly, the MIL 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 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.

[[Page 442]]

    (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, 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

[[Page 443]]

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]



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

[[Page 444]]

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 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]

[[Page 445]]



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 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

[[Page 446]]

label if you stamp, engrave, or otherwise permanently identify it 
elsewhere on the engine, in which case you must also describe in your 
application for certification where you will identify the date on the 
engine.
    (6) Identify the emission control system. Use terms and 
abbreviations as described in 40 CFR 1068.45. You may omit this 
information from the label if there is not enough room for it and you 
put it in the owners manual instead.
    (7) State: ``THIS ENGINE IS CERTIFIED TO OPERATE ON [specify 
operating fuel or fuels].''
    (8) Identify any requirements for fuel and lubricants. You may omit 
this information from the label if there is not enough room for it and 
you put it in the owners manual instead.
    (9) List specifications and adjustments for engine tuneups; show the 
proper position for the transmission during tuneup and state which 
accessories should be operating. You may omit this information from the 
label if there is not enough room for it and you put it in the owners 
manual instead.
    (10) State the useful life for your engine family if it has a longer 
useful life under Sec.  1048.101(g)(1) or a shortened useful life under 
Sec.  1048.101(g)(2).
    (11) Identify the emission standards to which you have certified the 
engine (in g/kW-hr).
    (12) Include one of the following compliance statements:
    (i) For engines that may be used in nonroad or stationary equipment, 
state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] 
NONROAD AND STATIONARY ENGINES.''
    (ii) For engines that will be used only in nonroad equipment, state: 
``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] 
NONROAD ENGINES.''
    (iii) For engines that will be used only in stationary equipment, 
state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] 
STATIONARY ENGINES.''
    (13) Include any of the following additional statements for special 
situations if they apply to your engines:
    (i) If your engines are certified only for constant-speed operation, 
state: ``USE IN CONSTANT-SPEED APPLICATIONS ONLY.''
    (ii) If your engines are certified only for variable-speed 
operation, state: ``USE 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:

[[Page 447]]

    (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]



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

[[Page 448]]

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 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,

[[Page 449]]

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 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

[[Page 450]]

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 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.

[[Page 451]]

    (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.
    (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

[[Page 452]]

within the scope of the certificate, subject to the provisions of this 
section. You must amend your application if any changes occur with 
respect to any information included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec.  1048.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data engine is still appropriate 
for showing that the amended family complies with all applicable 
requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (see Sec.  1048.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration anytime after you send us your amended application and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected engines do not meet applicable 
requirements, we will notify you to cease production of the engines and 
may require you to recall the engines at no expense to the owner. 
Choosing to produce engines under this paragraph (e) is deemed to be 
consent to recall all engines that we determine do not meet applicable 
emission standards or other requirements and to remedy the nonconformity 
at no expense to the owner. If you do not provide information required 
under paragraph (c) of this section within 30 days after we request it, 
you must stop producing the new or modified engines.

[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

[[Page 453]]

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 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.

[[Page 454]]

    (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.
    (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

[[Page 455]]

may use an additive deterioration factor for exhaust emissions for a 
particular pollutant if all the emission-data engines in the engine 
family have low-hour emission levels at or below 0.3 g/kW-hr for HC + 
NOX or 0.5 g/kW-hr for CO, unless a multiplicative 
deterioration factor is more appropriate. For example, you should use a 
multiplicative deterioration factor if emission increases are best 
represented by the ratio of exhaust emissions at the end of the useful 
life to exhaust emissions at the low-hour test point. An additive 
deterioration factor is the difference between exhaust emissions at the 
end of useful life and exhaust emissions at the low-hour test point. 
Adjust the official emission results for each tested engine at the 
selected test point by adding the factor to the measured emissions. If 
the factor is less than zero, use zero.
    (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]

[[Page 456]]



Sec.  1048.250  What records must I keep and make available to EPA?

    (a) Send the Designated Compliance Officer information related to 
your U.S.-directed production volumes as described in Sec.  1048.345. In 
addition, within 45 days after the end of the model year, you must send 
us a report describing information about engines you produced during the 
model year as follows:
    (1) State the total production volume for each engine family that is 
not subject to reporting under Sec.  1048.345.
    (2) State the total production volume for any engine family for 
which you produce engines after completing the reports required in Sec.  
1048.345.
    (3) For production volumes you report under this paragraph (a), 
identify whether or not the figures include California sales. Include a 
separate count of production volumes for California sales if those 
figures are available.
    (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

[[Page 457]]

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.  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

[[Page 458]]

measurement methods if you offset that by increasing the number of test 
engines.
    (e) If you certify an engine family with carryover emission data, as 
described in Sec.  1048.235(d), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one engine per engine family. If we reduce your testing rate, we 
may limit our approval to any number of model years. In determining 
whether to approve your request, we may consider the number of engines 
that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
engines available for a reasonable time so we can test or inspect them 
for compliance with the requirements of this part.

[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

[[Page 459]]

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 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

[[Page 460]]

calculated sample size, you may wait until the next quarter to do 
additional testing. Continue to randomly select engines from each engine 
family.
    (g) Continue testing until one of the following things happens:
    (1) After completing the minimum number of tests required in 
paragraph (b) of this section, the number of tests completed in an 
engine family, n, is greater than the required sample size, N, and the 
sample mean, x, is less than or equal to the emission standard. For 
example, if N = 5.1 after the fifth test, the sample-size calculation 
does not allow you to stop testing.
    (2) The engine family does not comply according to Sec.  1048.315.
    (3) You test 30 engines from the engine family.
    (4) You test one percent of your projected annual U.S.-directed 
production volume for the engine family, rounded to the nearest whole 
number. Do not count an engine under this paragraph (g)(4) if it fails 
to meet an applicable emission standard. You may stop testing after you 
test one percent of your production volume even if you have not tested 
the number of engines specified in paragraph (b) of this section. For 
example, if projected volume is 475 engines, test two engines in each of 
the first two quarters and one engine in the third quarter to fulfill 
your testing requirements under this section for that engine family.
    (5) You choose to declare that the engine family does not comply 
with the requirements of this subpart.
    (h) If the sample-size calculation allows you to stop testing for 
one pollutant but not another, you must continue measuring emission 
levels of all pollutants for any additional tests required under this 
section. However, you need not continue making the calculations 
specified in this subpart for the pollutant for which testing is not 
required. This paragraph (h) does not affect the number of tests 
required under this section, the required calculations in Sec.  
1048.315, or the remedial steps required under Sec.  1048.320.
    (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.

[[Page 461]]

    (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.
    (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.

[[Page 462]]



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.
    (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

[[Page 463]]

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.
    (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

[[Page 464]]

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 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

[[Page 465]]

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.
    (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.

[[Page 466]]

    (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.
    (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; you may also choose between 
discrete-mode and ramped-modal testing. In all 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. If you submit certification test data 
using more than one duty cycle, any of the selected duty cycles may be 
used for any subsequent 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 described in 40 CFR Part 1065.
    (b) Measure emissions by testing the engine on a dynamometer with 
one or

[[Page 467]]

more of the following sets of duty cycles to determine whether it meets 
the steady-state emission standards in Sec.  1048.101(b):
    (1) For engines from an engine family that will be used only in 
variable-speed applications, use one of the following duty cycles:
    (i) The following duty cycle applies for discrete-mode testing:

                                           Table 1 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
                  C2 mode No.                           Engine speed \1\           (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1.............................................  Maximum test speed..............              25            0.06
2.............................................  Intermediate test...............             100            0.02
3.............................................  Intermediate test...............              75            0.05
4.............................................  Intermediate test...............              50            0.32
5.............................................  Intermediate test...............              25            0.30
6.............................................  Intermediate test...............              10            0.10
7.............................................  Warm idle.......................               0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

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

                                           Table 2 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)      Engine speed \1 2\           Torque (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................             119  Warm idle.............  0
1b Transition......................              20  Linear transition.....  Linear transition.
2a Steady-state....................              29  Intermediate speed....  100
2b Transition......................              20  Intermediate speed....  Linear transition.
3a Steady-state....................             150  Intermediate speed....  10
3b Transition......................              20  Intermediate speed....  Linear transition.
4a Steady-state....................              80  Intermediate speed....  75
4b Transition......................              20  Intermediate speed....  Linear transition.
5a Steady-state....................             513  Intermediate speed....  25
5b Transition......................              20  Intermediate speed....  Linear transition.
6a Steady-state....................             549  Intermediate speed....  50
6b Transition......................              20  Linear transition.....  Linear transition.
7a Steady-state....................              96  Maximum test speed....  25
7b Transition......................              20  Linear transition.....  Linear transition.
8 Steady-state.....................             124  Warm idle.............  0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.

    (2) For engines from an engine family that will be used only at a 
single, rated speed, use the 5-mode duty cycle or the corresponding 
ramped-modal cycle described in 40 CFR part 1039, Appendix II, paragraph 
(a).
    (3) Use a duty cycle from both paragraphs (b)(1) and (b)(2) of this 
section if you will not restrict an engine family to constant-speed or 
variable-speed applications.
    (4) Use a duty cycle specified in paragraph (b)(2) of this section 
for all severe-duty engines.
    (5) For high-load engines, use one of the following duty cycles:
    (i) The following duty cycle applies for discrete-mode testing:

                                           Table 3 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                                            Torque (percent)   Minimum time in      Weighting
           Mode No.                    Engine speed                \1\         mode (minutes)        factors
----------------------------------------------------------------------------------------------------------------
1............................  Maximum test speed.........               100               3.0              0.50

[[Page 468]]

 
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
             RMC modes                  (seconds)    Engine speed (percent)         Torque (percent) \1 2\
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................             290  Engine governed.......  100
1b Transition......................              20  Engine governed.......  Linear transition.
2 Steady-state.....................             290  Engine governed.......  75
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.

    (c) For full-load operating modes, operate the engine at wide-open 
throttle.

[73 FR 59239, Oct. 8, 2008, as amended at 75 FR 23022, Apr. 30, 2010;79 
FR 23751. Apr. 28, 2014]



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 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

[[Page 469]]

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 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

[[Page 470]]

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.
    (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.

[[Page 471]]

    (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 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

[[Page 472]]

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:
    (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

[[Page 473]]

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.
    (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

[[Page 474]]

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 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

[[Page 475]]

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 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

[[Page 476]]

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.
    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.

[[Page 477]]

    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 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.

[[Page 478]]

    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 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

[[Page 479]]

``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 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

[[Page 480]]

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 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.

[[Page 481]]

    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.
    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]

[[Page 482]]



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?

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Environmental Protection Agency must 
publish a notice of the change in the Federal Register and the material 
must be available to the public. All approved material is available for 
inspection at U.S. EPA, Air and Radiation Docket and Information Center, 
1301 Constitution Ave. NW., Room B102, EPA West Building, Washington, DC 
20460, (202) 202-1744, and is available from the sources listed below. 
It is also available for inspection 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.
    (b) Society of Automotive Engineers, 400 Commonwealth Dr., 
Warrendale, PA 15096-0001, (877) 606-7323 (U.S. and Canada) or (724) 
776-4970 (outside the U.S. and Canada), http://www.sae.org.
    (1) SAE J2260, Nonmetallic Fuel System Tubing with One or More 
Layers, November 2004; IBR approved for Sec.  1048.105(a).
    (2) SAE J2260, Nonmetallic Fuel System Tubing with One or More 
Layers, November 1996; IBR approved for Sec.  1048.105(a).
    (c) International Organization for Standardization, Case Postale 56, 
CH-1211 Geneva 20, Switzerland, (41) 22749 0111, http://www.iso.org, or 
[email protected].
    (1) ISO 9141-2 Road vehicles--Diagnostic systems-- Part 2: CARB 
requirements for interchange of digital information, February 1994; IBR 
approved for Sec.  1048.110(g).
    (2) ISO 14230-4 Road vehicles--Diagnostic systems--Keyword Protocol 
2000--Part 4: Requirements for emission-related systems, June 2000; IBR 
approved for Sec.  1048.110(g).

[78 FR 36397, June 17, 2013]



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

[[Page 483]]

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.
    (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.

[[Page 484]]

    (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
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

[[Page 485]]

 
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
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

[[Page 486]]

 
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
330.........................................       80            28
331.........................................       23            37
332.........................................       39            58
333.........................................       47            24
334.........................................       59            51
335.........................................       58            68
336.........................................       36            52
337.........................................       18            42
338.........................................       36            52
339.........................................       59            73
340.........................................       72            85
341.........................................       85            92
342.........................................       99            90
343.........................................      100            72
344.........................................      100            18
345.........................................      100            76
346.........................................      100            64
347.........................................      100            87
348.........................................      100            97
349.........................................      100            84
350.........................................      100           100
351.........................................      100            91
352.........................................      100            83
353.........................................      100            93
354.........................................      100           100
355.........................................       94            43
356.........................................       72            10
357.........................................       77             3
358.........................................       48             2
359.........................................       29             5
360.........................................       59            19
361.........................................       63             5
362.........................................       35             2
363.........................................       24             3
364.........................................       28             2
365.........................................       36            16
366.........................................       54            23
367.........................................       60            10
368.........................................       33             1
369.........................................       23             0
370.........................................       16             0
371.........................................       11             0
372.........................................       20             0
373.........................................       25             2
374.........................................       40             3
375.........................................       33             4
376.........................................       34             5
377.........................................       46             7
378.........................................       57            10
379.........................................       66            11
380.........................................       75            14
381.........................................       79            11
382.........................................       80            16
383.........................................       92            21
384.........................................       99            16
385.........................................       83             2
386.........................................       71             2
387.........................................       69             4
388.........................................       67             4
389.........................................       74            16
390.........................................       86            25
391.........................................       97            28
392.........................................      100            15
393.........................................       83             2
394.........................................       62             4
395.........................................       40             6
396.........................................       49            10
397.........................................       36             5
398.........................................       27             4
399.........................................       29             3
400.........................................       22             2
401.........................................       13             3
402.........................................       37            36
403.........................................       90            26
404.........................................       41             2
405.........................................       25             2
406.........................................       29             2
407.........................................       38             7
408.........................................       50            13
409.........................................       55            10
410.........................................       29             3

[[Page 487]]

 
411.........................................       24             7
412.........................................       51            16
413.........................................       62            15
414.........................................       72            35
415.........................................       91            74
416.........................................      100            73
417.........................................      100             8
418.........................................       98            11
419.........................................      100            59
420.........................................      100            98
421.........................................      100            99
422.........................................      100            75
423.........................................      100            95
424.........................................      100           100
425.........................................      100            97
426.........................................      100            90
427.........................................      100            86
428.........................................      100            82
429.........................................       97            43
430.........................................       70            16
431.........................................       50            20
432.........................................       42            33
433.........................................       89            64
434.........................................       89            77
435.........................................       99            95
436.........................................      100            41
437.........................................       77            12
438.........................................       29            37
439.........................................       16            41
440.........................................       16            38
441.........................................       15            36
442.........................................       18            44
443.........................................        4            55
444.........................................       24            26
445.........................................       26            35
446.........................................       15            45
447.........................................       21            39
448.........................................       29            52
449.........................................       26            46
450.........................................       27            50
451.........................................       13            43
452.........................................       25            36
453.........................................       37            57
454.........................................       29            46
455.........................................       17            39
456.........................................       13            41
457.........................................       19            38
458.........................................       28            35
459.........................................        8            51
460.........................................       14            36
461.........................................       17            47
462.........................................       34            39
463.........................................       34            57
464.........................................       11            70
465.........................................       13            51
466.........................................       13            68
467.........................................       38            44
468.........................................       53            67
469.........................................       29            69
470.........................................       19            65
471.........................................       52            45
472.........................................       61            79
473.........................................       29            70
474.........................................       15            53
475.........................................       15            60
476.........................................       52            40
477.........................................       50            61
478.........................................       13            74
479.........................................       46            51
480.........................................       60            73
481.........................................       33            84
482.........................................       31            63
483.........................................       41            42
484.........................................       26            69
485.........................................       23            65
486.........................................       48            49
487.........................................       28            57
488.........................................       16            67
489.........................................       39            48
490.........................................       47            73
491.........................................       35            87
492.........................................       26            73
493.........................................       30            61
494.........................................       34            49
495.........................................       35            66
496.........................................       56            47
497.........................................       49            64
498.........................................       59            64
499.........................................       42            69
500.........................................        6            77
501.........................................        5            59
502.........................................       17            59
503.........................................       45            53
504.........................................       21            62
505.........................................       31            60
506.........................................       53            68
507.........................................       48            79
508.........................................       45            61
509.........................................       51            47
510.........................................       41            48
511.........................................       26            58
512.........................................       21            62
513.........................................       50            52
514.........................................       39            65
515.........................................       23            65
516.........................................       42            62
517.........................................       57            80
518.........................................       66            81
519.........................................       64            62
520.........................................       45            42
521.........................................       33            42
522.........................................       27            57
523.........................................       31            59
524.........................................       41            53
525.........................................       45            72
526.........................................       48            73
527.........................................       46            90
528.........................................       56            76
529.........................................       64            76
530.........................................       69            64
531.........................................       72            59
532.........................................       73            58
533.........................................       71            56
534.........................................       66            48
535.........................................       61            50
536.........................................       55            56
537.........................................       52            52
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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?

[[Page 493]]

                  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]

                        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?

[[Page 494]]

          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. 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

[[Page 495]]

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.
    (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

[[Page 496]]

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 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.

[[Page 497]]

    (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:

                                    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


[[Page 498]]


    (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 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:

[[Page 499]]



            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. 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

[[Page 500]]

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 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

[[Page 501]]

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.
    (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

[[Page 502]]

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.
    (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.

[[Page 503]]

    (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.
    (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

[[Page 504]]

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 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

[[Page 505]]

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]



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

[[Page 506]]

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].''.
    (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]

[[Page 507]]

    (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:

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]

[[Page 508]]



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]



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

[[Page 509]]

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 may not exchange emission credits with engine 
families meeting the standards in Sec.  1051.107(a). You may also not 
exchange credits between engine families certified to the standards for 
engines above 225 cc and engine families certified to the standards for 
engines below 225 cc. The phase-in percentages in the table specify the 
percentage of your total U.S.-directed production that must comply with 
the emission standards for those model years (i.e., the percentage 
requirement does not apply separately for engine families above and 
below 225 cc). Table 1 follows:

               Table 1 of Sec.   1051.145--Optional Exhaust Emission Standards for ATVs (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                        Emission standards            Maximum
                                                                 --------------------------------    allowable
                                                                                                      family
      Engine displacement          Model year        Phase-in                                        emission
                                                                     HC + NOX           CO            limits
                                                                                                 ---------------
                                                                                                     HC + NOX
----------------------------------------------------------------------------------------------------------------
<225 cc.......................  2006............             50%            16.1             400            32.2
                                2007 and later..             100            16.1             400            32.2
=225 cc............  2006............              50            13.4             400            26.8
                                2007 and later..             100            13.4             400            26.8
----------------------------------------------------------------------------------------------------------------

    (2) Measure emissions by testing the engine on a dynamometer with 
the steady-state duty cycle described in Table 2 of this section.
    (i) During idle mode, hold the speed within your specifications, 
keep the throttle fully closed, and keep engine torque under 5 percent 
of the peak torque value at maximum test speed.
    (ii) For the full-load operating mode, operate the engine at its 
maximum fueling rate.
    (iii) See part 1065 of this chapter for detailed specifications of 
tolerances and calculations.
    (iv) Table 2 follows:

[[Page 510]]



                     Table 2 of Sec.   1051.145--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
                                                                      Torque
                                        Engine speed (percent of    (percent of    Minimum time      Weighting
               Mode No.                    maximum test speed)    maximum torque      in mode         factors
                                                                  at test speed)     (minutes)
----------------------------------------------------------------------------------------------------------------
1.....................................  85......................             100             5.0            0.09
2.....................................  85......................              75             5.0            0.20
3.....................................  85......................              50             5.0            0.29
4.....................................  85......................              25             5.0            0.30
5.....................................  85......................              10             5.0            0.07
6.....................................  Idle....................               0             5.0            0.05
----------------------------------------------------------------------------------------------------------------

    (3) For ATVs certified to the standards in this paragraph (b), use 
the following equations to determine the normalized emission rate 
required by Sec.  1051.137:

    (i) For engines at or above 225 cc, use the following equation:

NER = 9.898 x log (HC + NOX) -4.898

Where:

HC + NOX is the sum of the cycle-weighted emission rates for 
          hydrocarbons and oxides of nitrogen in g/kW-hr.

    (ii) For engines below 225 cc, use the following equation:

NER = 9.898 x log [(HC + NOX) x 0.83] -4.898

Where:

HC + NOX is the sum of the cycle-weighted emission rates for 
          hydrocarbons and oxides of nitrogen in g/kW-hr.

    (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 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

[[Page 511]]

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.
    (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]

[[Page 512]]



                  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 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.

[[Page 513]]

    (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-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

[[Page 514]]

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 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.

[[Page 515]]

    (2) Change a vehicle configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family, as described in paragraph 
(f) of this section.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the vehicle model 
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data vehicle is still appropriate 
for showing that the amended family complies with all applicable 
requirements.
    (3) If the original emission-data vehicle for the engine family is 
not appropriate to show compliance for the new or modified vehicle 
configuration, include new test data showing that the new or modified 
vehicle configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified vehicle configuration. You may 
ask for a hearing if we deny your request (see Sec.  1051.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified vehicle 
configuration anytime after you send us your amended application, before 
we make a decision under paragraph (d) of this section. However, if we 
determine that the affected vehicles do not meet applicable 
requirements, we will notify you to cease production of the vehicles and 
may require you to recall the vehicles at no expense to the owner. 
Choosing to produce vehicles under this paragraph (e) is deemed to be 
consent to recall all vehicles that we determine do not meet applicable 
emission standards or other requirements and to remedy the nonconformity 
at no expense to the owner. If you do not provide information required 
under paragraph (c) of this section within 30 days after we request it, 
you must stop producing the new or modified vehicle configuration.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to vehicles 
you have already introduced into commerce, except as described in this 
paragraph (f). If we approve a changed FEL after the start of 
production, you must include the new FEL on the emission control 
information label for all vehicles produced after the change. You may 
ask us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified vehicle, as described in paragraph (b)(3) of 
this section, use the appropriate FELs with corresponding production 
volumes to calculate your average emission level for the model year, as 
described in subpart H of this part. In all other circumstances, you 
must use the higher FEL for the entire family to calculate your average 
emission level under subpart H of this part.
    (2) You may ask to lower the FEL for your engine family only if you 
have test data from production engines showing that the engines have 
emissions below the proposed lower FEL. The lower FEL applies only to 
engines you produce after we approve the new FEL. Use the appropriate 
FELs with corresponding production volumes to calculate your average 
emission level for the model year, as described in subpart H of this 
part.

[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

[[Page 516]]

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 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

[[Page 517]]

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 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

[[Page 518]]

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: 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.

[[Page 519]]

    (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 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.

[[Page 520]]

    (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:
    (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

[[Page 521]]

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. 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,

[[Page 522]]

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 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.

[[Page 523]]

    (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 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

[[Page 524]]

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 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).

[[Page 525]]

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 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]

[[Page 526]]



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.
    (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

[[Page 527]]

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.



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.

[[Page 528]]

    (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 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

[[Page 529]]

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 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 (b) of appendix I to 40 CFR part 86. For all other 
motorcycles, use the driving schedule in paragraph (a) 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,

[[Page 530]]

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.
    (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

[[Page 531]]

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; 80 FR 9113, Feb. 19, 2015]



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 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.

[[Page 532]]

 
\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 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; 73 
FR 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.

[[Page 533]]

    (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 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

[[Page 534]]

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 durability testing, as well as the simplified test 
procedure with an applied deterioration factor:

[[Page 535]]

[GRAPHIC] [TIFF OMITTED] TR15JA04.002


[[Page 536]]



[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 537]]

    (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 538]]

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 539]]

    (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 540]]

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 541]]

    (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 542]]

    (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 543]]

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 544]]

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 545]]

    (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 546]]



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 547]]

[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 548]]

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 549]]

    (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 550]]

    (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 551]]

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 552]]

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 553]]

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 554]]

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 555]]

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 556]]

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 557]]

    (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 558]]



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 559]]

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.
    (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

[[Page 560]]

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).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) Subpart H of this part describes how you may generate and use 
exhaust

[[Page 561]]

and evaporative emission credits to certify your engines and equipment.
    (i) Subpart I of this part contains definitions and other reference 
information.



Sec.  1054.15  Do any other CFR parts apply to me?

    (a) Part 1060 of this chapter describes standards and procedures 
that apply for controlling evaporative emissions from engines fueled by 
gasoline or other volatile liquid fuels and the associated fuel systems. 
See Sec. Sec.  1054.110 and 1054.112 for information about how that part 
applies.
    (b) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1054 describes how to apply the provisions of part 1065 
of this chapter to determine whether engines meet the exhaust emission 
standards in this part.
    (c) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1054, or equipment containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (d) Other parts of this chapter apply if referenced in this part.



Sec.  1054.20  What requirements apply to my equipment?

    (a) If you manufacture equipment using engines certified under this 
part, your equipment must meet all applicable emission standards with 
the engine and fuel system installed.
    (b) Except as specified in paragraph (f) of this section, all 
equipment subject to the exhaust standards of this part must meet the 
evaporative emission standards of 40 CFR part 1060, as described in 
Sec. Sec.  1054.110 and 1054.112.
    (c) Except as specified in paragraph (f) of this section, you must 
identify and label equipment you produce under this section consistent 
with the requirements of 40 CFR 1060.135.
    (d) You may need to certify your equipment or fuel systems as 
described in 40 CFR 1060.1 and 1060.601.
    (e) You must follow all emission-related installation instructions 
from the certifying manufacturers as described in Sec.  1054.130, 40 CFR 
1060.130, and 40 CFR 1068.105. Failure to follow these instructions 
subjects you to civil penalties as described in 40 CFR part 1068, 
subpart B.
    (f) Motor vehicles and marine vessels may contain engines subject to 
the exhaust emission standards in this part 1054. Evaporative emission 
standards apply to these products as follows:
    (1) Marine vessels using spark-ignition engines are subject to the 
requirements of 40 CFR part 1045. The vessels are not required to comply 
with the evaporative emission standards and related requirements of this 
part 1054.
    (2) Motor vehicles are subject to the requirements of 40 CFR part 
86. They are not required to comply with the evaporative emission 
standards and related requirements of this part 1054.



Sec.  1054.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec.  1054.825 and 40 CFR 1068.25 regarding 
recordkeeping requirements. If recordkeeping requirements are not 
specified, store these records in any format and on any media and keep 
them readily available for one year after you send an associated 
application for certification, or one year after you generate the data 
if they do not support an application for certification. You must 
promptly send us organized, written records in English if we ask for 
them. We may review them at any time.
    (b) The regulations in Sec.  1054.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.

[[Page 562]]

    (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]



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.

[[Page 563]]



   Table 1 to Sec.   1054.103--Phase 3 Emission Standards for Handheld
                            Engines (g/kW-hr)
------------------------------------------------------------------------
                                                          HC +
               Engine displacement class                  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
                                                 Primary CO   for marine
    Engine displacement class        HC + NOX     standard    generator
                                                               engines
------------------------------------------------------------------------
Class I..........................         10.0          610          5.0
Class II.........................          8.0          610          5.0
------------------------------------------------------------------------

    (b) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
for HC + NOX emissions as described in subpart H of this 
part. You may not generate or use emission credits for CO emissions. To 
generate or use emission credits, you must specify a family emission 
limit for each engine family you include in the ABT program. These 
family emission limits serve as the emission standards for the engine 
family with respect to all required testing instead of the standards 
specified in this section. An engine family meets emission standards 
even if its family emission limit is higher than the standard, as long 
as you show that the whole averaging set of applicable engine families 
meets the emission standards using emission credits, and the engines 
within the family meet the family emission limit. The following FEL caps

[[Page 564]]

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 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.

[[Page 565]]

Support your selection based on any of the following information:
    (1) Surveys of the life spans of the equipment in which the subject 
engines are installed.
    (2) Engineering evaluations of field aged engines to ascertain when 
engine performance deteriorates to the point where usefulness and/or 
reliability is impacted to a degree sufficient to necessitate overhaul 
or replacement.
    (3) Failure reports from engine customers.
    (4) Engineering evaluations of the durability, in hours, of specific 
engine technologies, engine materials, or engine designs.



Sec.  1054.110  What evaporative emission standards must my
handheld equipment meet?

    The following evaporative emission requirements apply for handheld 
equipment over a useful life of five years:
    (a) Fuel line permeation. Nonmetal fuel lines must meet the 
permeation requirements for EPA Nonroad Fuel Lines or EPA Cold-Weather 
Fuel Lines as specified in 40 CFR 1060.102. These requirements apply 
starting in the 2012 model year, except that they apply starting in the 
2013 model year for emission families involving small-volume emission 
families that are not used in cold-weather equipment. For fuel lines 
used in cold-weather equipment, you may generate or use emission credits 
to show compliance with these permeation standards through 2015 as 
described in Sec.  1054.145(h).
    (b) Tank permeation. Fuel tanks must meet the permeation 
requirements specified in 40 CFR 1060.103. These requirements apply for 
handheld equipment starting in the 2010 model year, except that they 
apply starting in the 2011 model year for structurally integrated nylon 
fuel tanks, in the 2012 model year for handheld equipment using 
nonhandheld engines, and in the 2013 model year for all small-volume 
emission families. For nonhandheld equipment using engines at or below 
80 cc, the requirements of this paragraph (b) apply starting in the 2012 
model year. (Note: 40 CFR 90.129 specifies emission standards for 
certain 2009 model year engines and equipment.) You may generate or use 
emission credits to show compliance with the requirements of this 
paragraph (b) under the averaging, banking, and trading program as 
described in subpart H of this part. FEL caps apply as specified in 
Sec.  1054.112(b)(1) through (3) starting in the 2015 model year.
    (c) Running loss. The running loss requirements specified in 40 CFR 
part 1060 do not apply for handheld equipment.
    (d) Other requirements. The provisions of 40 CFR 1060.101(e) and (f) 
include general requirements that apply to all nonroad equipment subject 
to evaporative emission standards.
    (e) Engine manufacturers. To the extent that engine manufacturers 
produce engines with fuel lines or fuel tanks, those fuel-system 
components must meet the requirements specified in this section. The 
timing of new standards is based on the date of manufacture of the 
engine.



Sec.  1054.112  What evaporative emission standards must my 
nonhandheld equipment meet?

    The evaporative emission requirements of this section apply starting 
in the 2011 model year for equipment using Class II engines and in the 
2012 model year for equipment using Class I engines over a useful life 
of five years. See Sec.  1054.110 for requirements that apply for 
nonhandheld equipment using engines at or below 80 cc.
    (a) Fuel line permeation. Nonmetal fuel lines must meet the 
permeation requirements for EPA Nonroad Fuel Lines as specified in 40 
CFR 1060.102.
    (b) Tank permeation. Fuel tanks must meet the permeation 
requirements specified in 40 CFR 1060.103. Equipment manufacturers may 
generate or use emission credits to show compliance with the 
requirements of this paragraph (b) under the averaging, banking, and 
trading program as described in subpart H of this part. Starting in the 
2014 model year for Class II equipment and in the 2015 model year for 
Class I equipment, the following FEL caps represent the maximum values 
for family emission limits that you may use for your fuel tanks:
    (1) Except as specified in paragraphs (b)(2) of this section, you 
may not use fuel tanks with a family emission limit

[[Page 566]]

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 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.

[[Page 567]]

    (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 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

[[Page 568]]

that apply to the engine. Include instructions for obtaining warranty 
service consistent with the requirements of paragraph (f) of this 
section.
    (f) Requirements related to warranty claims. You are required at a 
minimum to meet the following conditions to ensure that owners will be 
able to promptly obtain warranty repairs:
    (1) You must provide and monitor a toll-free telephone number and an 
e-mail address for owners to receive information about how to make a 
warranty claim, and how to make arrangements for authorized repairs.
    (2) You must provide a source of replacement parts within the United 
States. For parts that you import, this requires you to have at least 
one distributor within the United States.
    (3) You must use one of the following methods to show that you will 
generally be able to honor warranty claims:
    (i) If you have authorized service centers in all U.S. population 
centers with a population of 100,000 or more based on the 2000 census, 
you may limit warranty repairs to these service providers.
    (ii) You may limit warranty repairs to authorized service centers 
for owners located within 100 miles of an authorized service center. For 
owners located more than 100 miles from an authorized service center, 
you must state in your warranty that you will either pay for shipping 
costs to and from an authorized service center, provide for a service 
technician to come to the owner to make the warranty repair, or pay for 
the repair to be made at a local nonauthorized service center. The 
provisions of this paragraph (f)(3)(ii) apply only for the contiguous 
states, excluding the states with high-altitude areas identified in 40 
CFR part 1068, Appendix III.
    (iii) You may use the approach described in paragraphs (f)(3)(i) of 
this section for some states and the approach described in paragraph 
(f)(3)(ii) of this section for other states. However, you must have at 
least one authorized service center in each state unless the whole state 
is within 100 miles of authorized service centers in other states.
    (4) If your plan for meeting the requirements of this paragraph (f) 
does not include at least 100 authorized repair facilities in the United 
States or at least one such facility for each 5,000 engines you sell in 
the United States, you must also post a bond as described in Sec.  
1054.690 to ensure that you will fulfill your warranty-repair 
responsibilities even if you are not obligated to post a bond under that 
section. Note that you may post a single bond to meet the requirements 
of this section and Sec.  1054.690.



Sec.  1054.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new engine written instructions 
for properly maintaining and using the engine, including the emission 
control system as described in this section. The maintenance 
instructions also apply to service accumulation on your emission-data 
engines as described in Sec.  1054.245 and in 40 CFR part 1065. Note 
that for handheld engines subject to Phase 3 standards you may perform 
maintenance on emission-data engines during service accumulation as 
described in 40 CFR part 90.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that any lack of maintenance that 
increases emissions also unacceptably degrades the engine's performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals. If the survey data show that 60 to 80

[[Page 569]]

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 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 570]]

    (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. 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

[[Page 571]]

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.
    (8) Include one of the following statements:
    (i) If you are an integrated equipment manufacturer certifying 
engines with respect to exhaust emissions and meeting all applicable 
evaporative emission requirements under 40 CFR part 1060, state--
    ``THIS ENGINE MEETS U.S. EPA EXH/EVP REGS FOR [MODEL YEAR].''
    (ii) In all other cases, state--

[[Page 572]]

    ``THIS ENGINE MEETS U.S. EPA EXH 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.

[73 FR 59259, Oct. 8, 2008, as amended at 80 FR 9114, Feb. 19, 2015]



Sec.  1054.140  What is my engine's maximum engine power and displacement?

    This section describes how to quantify your engine's maximum engine 
power and displacement for the purposes of this part.
    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest 0.1 kilowatts for nonhandheld engines and to the nearest 0.01 
kilowatts for handheld engines. The nominal power curve of an engine 
configuration is the relationship between maximum available engine brake 
power and engine speed for an engine, using the mapping procedures of 40 
CFR part 1065, based on the manufacturer's design and production 
specifications for the engine. For handheld engines, we may allow 
manufacturers to base the nominal power curve on other mapping 
procedures, consistent with good engineering judgment. This information 
may also be expressed by a torque curve that relates maximum available 
engine torque with engine speed. Note that maximum engine power is based 
on engines and installed engine governors; equipment designs that 
further limit engine operation do not change maximum engine power.
    (b) An engine configuration's displacement is the intended swept 
volume of all the engine's cylinders. The swept volume of the engine is 
the product of the internal cross-section area of the cylinders, the 
stroke length, and

[[Page 573]]

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 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

[[Page 574]]

sea level. In your application for certification, identify the altitude 
above which you rely on an altitude kit and describe your plan for 
making information and parts available such that you would reasonably 
expect that altitude kits would be widely used at all such altitudes.
    (d) Alignment of model years for exhaust and evaporative standards. 
Evaporative emission standards generally apply based on the model year 
of the equipment, which is determined by the equipment's date of final 
assembly. However, in the first year of new emission standards, 
equipment manufacturers may apply evaporative emission standards based 
on the model year of the engine as shown on the engine's emission 
control information label. For example, for the fuel line permeation 
standards starting in 2012, equipment manufacturers may order a batch of 
2011 model year engines for installation in 2012 model year equipment, 
subject to the anti-stockpiling provisions of 40 CFR 1068.105(a). The 
equipment with the 2011 model year engines would not need to meet fuel 
line permeation standards, as long as the equipment is fully assembled 
by December 31, 2012.
    (e) Early compliance with evaporative emission standards--
nonhandheld equipment manufacturers. You may produce nonhandheld 
equipment that does not meet the otherwise applicable evaporative 
emission standards without violating the prohibition in 40 CFR 
1068.101(a)(1) if you earn evaporative emission allowances, as follows:
    (1) You may earn an evaporative emission allowance from each piece 
of equipment certified to California's evaporative emission standards by 
producing it before the requirements of this part start to apply and 
selling it outside of California. You may use an evaporative emission 
allowance by selling one piece of equipment that does not meet any EPA 
evaporative emission standards even though it is subject to the EPA 
standards. The early-compliant equipment must be covered by an EPA 
certificate of conformity (see 40 CFR 1060.105(e)).
    (2) You may earn an evaporative emission allowance with respect to 
fuel tank permeation from each piece of equipment certified to EPA's 
evaporative emission standards by selling it outside of California or in 
an application that is preempted from California's standards before 
EPA's fuel tank permeation standards start to apply. The early-compliant 
fuel tanks must be covered by an EPA certificate of conformity, though 
you may demonstrate compliance based on the specifications and 
procedures adopted by the California Air Resources Board. You may use an 
evaporative emission allowance by selling one piece of equipment with a 
fuel tank that does not meet the EPA emission standards that would 
otherwise apply. For example, you can earn an evaporative emission 
allowance by selling a low-permeation fuel tank for Class II equipment 
before the 2011 model year, in which case you could sell a piece of 
Class II equipment in 2011 with a high-permeation fuel tank. You may not 
generate allowances under this paragraph (e)(2) based on your sales of 
metal fuel tanks.
    (3) Evaporative emission allowances you earn under this paragraph 
(e) from equipment with Class I engines may be used only for other 
equipment with Class I engines. Similarly, evaporative emission 
allowances you earn under this paragraph (e) from equipment with Class 
II engines may be used only for other equipment with Class II engines.
    (4) You must label any equipment using allowances under this 
paragraph (e) with the following statement: ``EXEMPT FROM EVAPORATIVE 
STANDARDS UNDER 40 CFR 1054.145(e)''.
    (5) You may not use the allowances you generate under this paragraph 
(e) for 2014 and later model year equipment with Class II engines or for 
2015 and later model year equipment with Class I engines.
    (6) Send the Designated Compliance Officer the following information 
for each year in which you use the provisions of this paragraph (e):
    (i) Send us a report within 45 days after the end of the model year 
describing how many pieces of equipment you produced in the preceding 
model year that generate allowances. You may combine this with the 
reports specified in Sec.  1054.250(a) if applicable.
    (ii) Describe the number of equipment using allowances under this 
paragraph (e) in your end-of-year reports

[[Page 575]]

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 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

[[Page 576]]

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) California test fuel. You may perform testing with a fuel 
meeting the requirements for certifying the engine in California instead 
of the fuel specified in Sec.  1054.501(b)(2), as follows:
    (1) You may certify individual engine families using data from 
testing conducted with California Phase 2 test fuel. Any EPA testing 
with such an engine family may use either this same certification fuel 
or the test fuel specified in Sec.  1054.501.
    (2) Starting in model year 2013, you may certify individual engine 
families using data from testing conducted with California Phase 3 test 
fuel. Any EPA testing with such an engine family may use either this 
same certification fuel or the test fuel specified in Sec.  1054.501, 
unless you certify to the more stringent CO standards specified in this 
paragraph (n)(2). If you meet these alternate CO standards, we will also 
use California Phase 3 test fuel for any testing we perform with engines 
from that engine family. The following alternate CO standards apply 
instead of the CO standards specified in Sec.  1054.103 or Sec.  
1054.105:

   Table 1 to Sec.   1054.145--Alternate CO Standards for Testing With
                      California Phase 3 Test Fuel
                                [g/kW-hr]
------------------------------------------------------------------------
                                                           Alternate CO
                       Engine type                           standard
------------------------------------------------------------------------
Class I.................................................             549
Class II................................................             549
Class III...............................................             536
Class IV................................................             536
Class V.................................................             536
Marine generators.......................................             4.5
------------------------------------------------------------------------


[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010; 78 
FR 36397, June 17, 2013; 80 FR 9114, Feb. 19, 2015]

[[Page 577]]



                 Subpart C_Certifying Emission Families



Sec.  1054.201  What are the general requirements for obtaining
a certificate of conformity?

    Engine manufacturers must certify their engines with respect to the 
exhaust emission standards in this part. Manufacturers of engines, 
equipment, or fuel-system components may need to certify their products 
with respect to evaporative emission standards as described in 40 CFR 
1060.1 and 1060.601. The following general 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

[[Page 578]]

responds to varying speeds and loads not represented by the duty cycle. 
If you test an emission-data engine by disabling the governor for full-
load operation such that the engine operates at an air-fuel ratio 
significantly different than under full-load operation with an installed 
governor, explain why these differences are necessary or appropriate. 
For conventional carbureted engines without electronic fuel controls, it 
is sufficient to state that there is no significant difference in air-
fuel ratios.
    (c) [Reserved]
    (d) Describe the engines, equipment, and fuel system components you 
selected for testing and the reasons for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used. For 
handheld engines, describe how you selected the value for rated speed.
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the emission family's useful life. Describe the basis 
for selecting useful life values with respect to exhaust emissions (see 
Sec.  1054.107).
    (i) Include the maintenance and warranty instructions you will give 
to the ultimate purchaser of each new engine (see Sec. Sec.  1054.120 
and 1054.125). Describe your basis for meeting the warranty-assurance 
provisions in Sec.  1054.120(f). Describe your recall repair network if 
it is different than your warranty repair network. State that you will 
post a bond as specified in Sec.  1054.120(f) and 1054.690 or describe 
why those requirements do not apply.
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in nonroad equipment (see 
Sec.  1054.130).
    (k) Describe your emission control information label (see Sec.  
1054.135).
    (l) Identify the emission standards or FELs for the emission family.
    (m) Identify the emission family's deterioration factors and 
describe how you developed them (see Sec.  1054.245). Present any 
emission test data you used for this.
    (n) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (o) Present emission data to show that you meet exhaust emission 
standards, as follows:
    (1) Present emission data for hydrocarbons (such as THC, THCE, or 
NMHC, as applicable), NOX, and CO on an emission-data engine 
to show your engines meet the applicable exhaust emission standards as 
specified in Sec.  1054.101. Show emission figures before and after 
applying deterioration factors for each engine. Include test data from 
each applicable duty cycle specified in Sec.  1054.505(b). If we specify 
more than one grade of any fuel type (for example, low-temperature and 
all-season gasoline), you need to submit test data only for one grade, 
unless the regulations of this part specify otherwise for your engine.
    (2) Note that Sec. Sec.  1054.235 and 1054.245 allow you to submit 
an application in certain cases without new emission data.
    (p) Report 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:

[[Page 579]]

    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of 
inhibiting adjustment are effective in preventing adjustment of 
parameters on in-use engines to settings outside your intended 
physically adjustable ranges.
    (r) Describe how your nonhandheld engines comply with emission 
standards at varying atmospheric pressures. Include a description of 
altitude kits you design to comply with the requirements of Sec.  
1054.115(c). Identify the part number of each component you describe. 
Identify the altitude range for which you expect proper engine 
performance and emission control with and without the altitude kit. 
State that your engines will comply with applicable emission standards 
throughout the useful life with the altitude kit installed according to 
your instructions. Describe any relevant testing, engineering analysis, 
or other information in sufficient detail to support your statement. In 
addition, describe your plan for making information and parts available 
such that you would reasonably expect that altitude kits would be widely 
used in the high-altitude counties specified in 40 CFR part 1068, 
Appendix III. For example, engine owners should have ready access to 
information describing when an altitude kit is needed and how to obtain 
this service. Similarly, parts and service information should be 
available to qualified service facilities in addition to authorized 
service centers if that is needed for owners to have such altitude kits 
installed locally.
    (s) If your engines are subject to handheld emission standards on 
the basis of meeting weight limitations described in the definition of 
``handheld'' in Sec.  1054.801, describe your analysis showing that you 
meet the applicable weight-related restrictions.
    (t) State whether your certification is limited for certain engines. 
If this is the case, describe how you will prevent use of these engines 
in applications for which they are not certified. This applies for 
engines such as the following:
    (1) Wintertime engines not certified to the specified HC + 
NOX standard.
    (2) Two-stroke snowthrower engines using the provisions of Sec.  
1054.101(d).
    (u) Unconditionally certify that all the engines in the emission 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (v) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes if 
they are substantially different than actual production volumes in 
earlier years for similar models. Also indicate whether you expect the 
engine family to contain only nonroad engines, only stationary engines, 
or both.
    (w) State that you will post a bond as specified in Sec.  1054.690 
or describe why those requirements do not apply.
    (x) Include the information required by other subparts of this part. 
For example, include the information required by Sec.  1054.725 if you 
participate in the ABT program.
    (y) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (z) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (aa) For imported engines or equipment, identify the following:
    (1) The port(s) at which you have imported your engines (or 
equipment containing your engines) over the previous 12 months.
    (2) The names and addresses of the agents you have authorized to 
import your engines or equipment.
    (3) The location of a test facility in the United States where you 
can test your engines if we select them for testing under a selective 
enforcement audit, as specified in 40 CFR part 1068, subpart E.

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 56511, Oct. 30, 2009; 75 
FR 23025, Apr. 30, 2010]

[[Page 580]]



Sec.  1054.210  May I get preliminary approval before I complete
my application?

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



Sec.  1054.220  How do I amend the maintenance instructions
in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification as long as the amended 
instructions remain consistent with the provisions of Sec.  1054.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for an engine family if you 
want to change the emission-related maintenance instructions in a way 
that could affect emissions. In your request, describe the proposed 
changes to the maintenance instructions. If operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those engines from 
in-use testing or deny a warranty claim.
    (a) If you are decreasing 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

[[Page 581]]

design changes that may affect emissions any time during the engine's 
lifetime.
    (3) Modify an FEL for an emission family with respect to exhaust 
emissions as described in paragraph (f) of this section.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the model or 
configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
emission family complies with all applicable requirements. You may do 
this by showing that the original emission-data engine or emission-data 
equipment is still appropriate for showing that the amended family 
complies with all applicable requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For emission families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified configuration. You may ask for a 
hearing if we deny your request (see Sec.  1054.820).
    (e) For emission families already covered by a certificate of 
conformity, you may start producing the new or modified configuration 
anytime after you send us your amended application and before we make a 
decision under paragraph (d) of this section. However, if we determine 
that the affected configurations do not meet applicable requirements, we 
will notify you to cease production of the configurations and may 
require you to recall the engine or equipment at no expense to the 
owner. Choosing to produce engines under this paragraph (e) is deemed to 
be consent to recall all engines or equipment that we determine do not 
meet applicable emission standards or other requirements and to remedy 
the nonconformity at no expense to the owner. If you do not provide 
information required under paragraph (c) of this section within 30 days 
after we request it, you must stop producing the new or modified engine 
or equipment.
    (f) You may ask us to approve a change to your FEL with respect to 
exhaust emissions in certain cases after the start of production. The 
changed FEL may not apply to engines you have already introduced into 
U.S. commerce, except as described in this paragraph (f). If we approve 
a changed FEL after the start of production, you must identify the date 
or serial number for applying the new FEL. If you identify this by month 
and year, we will consider that a lowered FEL applies on the last day of 
the month and a raised FEL applies on the first day of the month. You 
may ask us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your emission family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified engine, as described in paragraph (b)(3) of this 
section, use the appropriate FELs with corresponding production volumes 
to calculate emission credits for the model year, as described in 
subpart H of this part. In all other circumstances, you must use the 
higher FEL for the entire family to calculate emission credits under 
subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if 
you have test data from production engines showing that emissions are 
below the proposed lower FEL. The lower FEL does not apply to engines 
you produce before the new FEL starts to apply, as specified in this 
paragraph (f). Use the appropriate FELs with corresponding production 
volumes to calculate emission credits for the model year, as described 
in subpart H of this part.



Sec.  1054.230  How do I select emission families?

    (a) For purposes of certification, divide your product line into 
families of

[[Page 582]]

engines that are expected to have similar emission characteristics 
throughout their useful life as described in this section. Your emission 
family is limited to a single model year. For evaporative emissions, 
group engines into emission families as described in 40 CFR 1060.230.
    (b) Group engines into the same emission family for exhaust 
emissions if they are the same in all the following aspects:
    (1) The combustion cycle and fuel. See paragraph (g) of this section 
for special provisions that apply for dual-fuel engines.
    (2) The cooling system (liquid-cooled vs. air-cooled).
    (3) Valve configuration (for example, side-valve vs. overhead 
valve).
    (4) Method of air aspiration (for example, turbocharged vs. 
naturally aspirated).
    (5) The number, location, volume, and composition of catalytic 
converters.
    (6) The number and arrangement of cylinders (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

[[Page 583]]

produced, including installed governors, if applicable.
    (b) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part. In the case of dual-fuel 
engines, measure emissions when operating with each type of fuel for 
which you intend to certify the engine. In the case of flexible-fuel 
engines, measure emissions when operating with the fuel mixture that is 
most likely to cause the engine to exceed the applicable HC + 
NOX emission standard, though you may ask us to exclude fuel 
mixtures that you can show are not likely to occur in use.
    (c) We may measure emissions from any of your emission-data engines 
or other engines from the emission family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the engine to a test facility 
we designate. The engine you provide must include appropriate manifolds, 
aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block. 
If we do the testing at your plant, you must schedule it as soon as 
possible and make available the instruments, personnel, and equipment we 
need.
    (2) If we measure emissions on one of your engines, the results of 
that testing become the official emission results for the engine.
    (3) We may set the adjustable parameters of your engine to any point 
within the physically adjustable ranges (see Sec.  1054.115(b)).
    (4) We may calibrate your engine within normal production tolerances 
for anything we do not consider an adjustable parameter. For example, 
this would apply where we determine that an engine parameter is not an 
adjustable parameter (as defined in Sec.  1054.801) but that it is 
subject to production variability.
    (d) You may ask to use carryover emission data from a previous model 
year instead of doing new tests, but only if all the following are true:
    (1) The emission family from the previous model year differs from 
the current emission family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec.  1054.225.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the emission family covered by the 
application for certification. For engines originally tested under the 
provisions of 40 CFR part 90, you may consider those test procedures to 
be equivalent to the procedures we specify in subpart F of this part.
    (e) We may require you to test another engine of the same or 
different configuration in addition to the engine(s) tested under 
paragraph (b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (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]

[[Page 584]]



Sec.  1054.240  How do I demonstrate that my emission family
complies with exhaust emission standards?

    (a) For purposes of certification, your emission family is 
considered in compliance with the emission standards in Sec.  
1054.101(a) if all emission-data engines representing that family have 
test results showing deteriorated emission levels at or below these 
standards. This includes all test points over the course of the 
durability demonstration. Note that your FELs are considered to be the 
applicable emission standards with which you must comply if you 
participate in the ABT program in subpart H of this part.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing a deteriorated 
emission level for any pollutant that is above an applicable emission 
standard. This includes all test points over the course of the 
durability demonstration.
    (c) Determine a deterioration factor to compare emission levels from 
the emission-data engine with the applicable emission standards. Section 
1054.245 specifies how to test engines to develop deterioration factors 
that represent the expected deterioration in emissions over your 
engines' full useful life. Calculate a multiplicative deterioration 
factor as described in Sec.  1054.245(b). If the deterioration factor is 
less than one, use one. Specify the deterioration factor to one more 
significant figure than the emission standard. You may use assigned 
deterioration factors that we establish for up to 10,000 nonhandheld 
engines from small-volume emission families in each model year, except 
that small-volume engine manufacturers may use assigned deterioration 
factors for any or all of their engine families.
    (d) Adjust the official emission results for each tested engine at 
the low-hour test point by multiplying the measured emissions by the 
deterioration factor, then rounding the adjusted figure to the same 
number of decimal places as the emission standard. Compare the rounded 
emission levels to the emission standard for each emission-data engine. 
In the case of HC + NOX standards, add the official emission 
results and apply the deterioration factor to the sum of the pollutants 
before rounding. However, if your deterioration factors are based on 
emission measurements that do not cover the engine's full useful life, 
apply deterioration factors to each pollutant and then add the results 
before rounding.
    (e) The provisions of this paragraph (e) apply only for engine 
families with a useful life at or below 300 hours. To apply the 
deterioration factor to engines other than the original emission-data 
engine, they must be operated for the same number of hours before 
starting emission measurements that you used 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

[[Page 585]]

measurements to one more decimal place than the emission standard.
    (2) Operate the engine over a representative duty cycle for a period 
at least as long as the useful life (in hours). You may operate the 
engine continuously. You may also use an engine installed in nonroad 
equipment to accumulate service hours instead of running the engine only 
in the laboratory.
    (3) In the case of dual-fuel or flexible-fuel engines, you may 
accumulate service hours on a single emission-data engine using the type 
or mixture of fuel expected to have the highest combustion and exhaust 
temperatures. For dual-fuel engines, you must measure emissions on each 
fuel type at each test point.
    (4) You may perform maintenance on emission-data engines as 
described in Sec.  1054.125 and 40 CFR part 1065, subpart E. If you 
change one or more spark plugs on an emission-data engine as allowed 
under Sec.  1054.125, you must measure emissions before and after this 
maintenance. If you clean or change an air filter on an emission-data 
engine as allowed under Sec.  1054.125, you must measure emissions 
before and after every second time you perform this maintenance. Use the 
average values from these two measurements to calculate deterioration 
factors. The emission-data engine must meet applicable emission 
standards before and after maintenance to be considered in compliance, 
as described in Sec.  1054.240(a) and (b).
    (5) Calculate your deterioration factor using a linear least-squares 
fit of your test data, but treat the low-hour test point as occurring at 
hour zero. Your deterioration factor is the ratio of the calculated 
emission level at the point representing the full useful life to the 
calculated emission level at zero hours.
    (6) If you test more than one engine to establish deterioration 
factors, average the deterioration factors from all the engines before 
rounding.
    (7) If your durability engine fails between 80 percent and 100 
percent of useful life, you may use the last emission measurement as the 
test point representing the full useful life, provided it occurred after 
at least 80 percent of the useful life.
    (8) If your useful life is 1,000 hours or longer, and your 
durability engine fails between 50 percent and 100 percent of useful 
life, you may extrapolate your emission results to determine the 
emission level representing the full useful life, provided emissions 
were measured at least once after 50 percent of the useful life.
    (9) Use good engineering judgment for all aspects of the effort to 
establish deterioration factors under this paragraph (b).
    (10) You may use other testing methods to determine deterioration 
factors, consistent with good engineering judgment, as long as we 
approve those methods in advance.
    (c) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different emission family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including the method you 
use to accumulate hours.



Sec.  1054.250  What records must I keep and what reports must
I send to EPA?

    (a) Send the Designated Compliance Officer information related to 
your U.S.-directed production volumes as described in Sec.  1054.345. In 
addition, within 45 days after the end of the model year, you must send 
us a report describing information about engines you produced during the 
model year as follows:
    (1) State the total production volume for each engine family that is 
not subject to reporting under Sec.  1054.345.
    (2) State the total production volume for any engine family for 
which you produce engines after completing the reports required in Sec.  
1054.345.
    (3) If you produced exempted engines under the provisions of Sec.  
1054.625(j)(1), report the number of exempted engines you produced for 
each engine model and identify the buyer or shipping destination for 
each exempted engine.

[[Page 586]]

    (4) For production volumes you report under this paragraph (a), 
identify whether or not the figures include California sales. Include a 
separate count of production volumes for California sales if those 
figures are available.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec.  1054.205 that you 
were not required to include in your application.
    (3) A detailed history of all emission-data engines. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each emission family divided by assembly 
plant.
    (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.

[[Page 587]]

    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1054.820).



                    Subpart D_Production-line Testing



Sec.  1054.300  Applicability.

    This subpart specifies requirements for engine manufacturers to test 
their production engines for exhaust emissions to ensure that the 
engines are being produced as described in the application for 
certification. The production-line verification described in 40 CFR part 
1060, subpart D, applies for equipment and components for evaporative 
emissions.



Sec.  1054.301  When must I test my production-line engines?

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart, except as 
follows:
    (1) Small-volume engine manufacturers may omit testing under this 
subpart.
    (2) We may exempt small-volume emission families from routine 
testing under this subpart. Request this exemption in your application 
for certification and include your basis for projecting a production 
volume below 5,000 units. We will approve your request if we agree that 
you have made good-faith estimates of your production volumes. Your 
exemption is approved when we grant your certificate. You must promptly 
notify us if your actual production exceeds 5,000 units during the model 
year. If you exceed the production limit or if there is evidence of a 
nonconformity, we may require you to test production-line engines under 
this subpart, or under 40 CFR part 1068, subpart E, even if we have 
approved an exemption under this paragraph (a)(2).
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line engines do not meet the 
requirements of this part or you do not fulfill your obligations under 
this subpart (see Sec. Sec.  1054.325 and 1054.340).
    (c) Other regulatory provisions authorize us to suspend, revoke, or 
void your certificate of conformity, or order recalls for engine 
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not 
affect our ability to do selective enforcement audits, as described in 
40 CFR part 1068. Individual engines in families that pass these 
production-line testing requirements must also conform to all applicable 
regulations of this part and 40 CFR part 1068.
    (d) You may use alternate programs for testing production-line 
engines in the following circumstances:
    (1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the 
otherwise applicable requirements in 40 CFR part 1065 for laboratory 
testing, to demonstrate compliance with emission standards if you double 
the minimum sampling rate specified in Sec.  1054.310(b). Use measured 
test results to determine whether engines comply with applicable 
standards without applying a measurement allowance. This alternate 
program does not require prior approval but we may disallow use of this 
option where we determine that use of field-grade equipment would 
prevent you from being able to demonstrate that your engines are being 
produced to conform to the specifications in your application for 
certification.
    (2) You may ask to use another alternate program for testing 
production-line engines. In your request, you must show us that the 
alternate program gives equal assurance that your products meet the 
requirements of this part. We may waive some or all of this subpart's 
requirements if we approve your alternate approach. For example, in 
certain circumstances you may be able to give us equal assurance that 
your products meet the requirements of this part by using less rigorous 
measurement methods if you offset that by increasing the number of test 
engines.
    (e) If you certify an engine family with carryover emission data, as 
described in Sec.  1054.235(d), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing

[[Page 588]]

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 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.

[[Page 589]]



Sec.  1054.310  How must I select engines for production-line
testing?

    (a) Test engines from each engine family as described in this 
section based on test periods, as follows:
    (1) For engine families with projected U.S.-directed production 
volume of at least 1,600, the test periods are consecutive quarters (3 
months). However, if your annual production period is less than 12 
months long, you may take the following alternative approach to define 
quarterly test periods:
    (i) If your annual production period is 120 days or less, the whole 
model year constitutes a single test period.
    (ii) If your annual production period is 121 to 210 days, divide the 
annual production period evenly into two test periods.
    (iii) If your annual production period is 211 to 300 days, divide 
the annual production period evenly into three test periods.
    (iv) If your annual production period is 301 days or longer, divide 
the annual production period evenly into four test periods.
    (2) For engine families with projected U.S.-directed production 
volume below 1,600, the whole model year constitutes a single test 
period.
    (b) Early in each test period, randomly select and test an engine 
from the end of the assembly line for each engine family.
    (1) In the first test period for newly certified engines, randomly 
select and test one more engine. Then, calculate the required sample 
size for the model year as described in paragraph (c) of this section.
    (2) In later test periods of the same model year, combine the new 
test result with all previous testing in the model year. Then, calculate 
the required sample size for the model year as described in paragraph 
(c) of this section.
    (3) In the first test period for engine families relying on 
previously submitted test data, combine the new test result with the 
last test result from the previous model year. Then, calculate the 
required sample size for the model year as described in paragraph (c) of 
this section. Use the last test result from the previous model year only 
for this first calculation. For all subsequent calculations, use only 
results from the current model year.
    (c) Calculate the required sample size for each engine family. 
Separately calculate this figure for HC + NOX and CO. The 
required sample size is the greater of these calculated values. Use the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.095

Where:

N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number 
          of tests completed, n, as specified in the table in paragraph 
          (c)(1) of this section. It defines 95% confidence intervals 
          for a one-tail distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of this 
          section).
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).

    (1) Determine the 95% confidence coefficient, t\95\, from the 
following table:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                 n                                         t95               n               t95               n               t95
--------------------------------------------------------------------------------------------------------------------------------------------------------
 2.................................................................            6.31               12             1.80               22             1.72
 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

[[Page 590]]

 
10.................................................................            1.83               20             1.73               30             1.70
11.................................................................            1.81               21             1.72             31 +             1.65
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (2) Calculate the standard deviation, for the test sample using the 
following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.096

Where:

Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.

    (d) Use final deteriorated test results to calculate the variables 
in the equations in paragraph (c) of this section (see Sec.  
1054.315(a)(2)).
    (e) After each new test, recalculate the required sample size using 
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
    (f) Distribute the remaining engine tests evenly throughout the rest 
of the year. You may need to adjust your schedule for selecting engines 
if the required sample size changes. If your scheduled quarterly testing 
for the remainder of the model year is sufficient to meet the calculated 
sample size, you may wait until the next quarter to do additional 
testing. Continue to randomly select engines from each engine family.
    (g) Continue testing until one of the following things happens:
    (1) After completing the minimum number of tests required in 
paragraph (b) of this section, the number of tests completed in an 
engine family, n, is greater than the required sample size, N, and the 
sample mean, x, is less than or equal to the emission standard. For 
example, if N = 5.1 after the fifth test, the sample-size calculation 
does not allow you to stop testing.
    (2) The engine family does not comply according to Sec.  1054.315.
    (3) You test 30 engines from the engine family.
    (4) You test one percent of your projected annual U.S.-directed 
production volume for the engine family, rounded to the nearest whole 
number. Do not count an engine under this paragraph (g)(4) if it fails 
to meet an applicable emission standard.
    (5) You choose to declare that the engine family does not comply 
with the requirements of this subpart.
    (h) If the sample-size calculation allows you to stop testing for 
one pollutant but not another, you must continue measuring emission 
levels of all pollutants for any additional tests required under this 
section. However, you need not continue making the calculations 
specified in this subpart for the pollutant for which testing is not 
required. This paragraph (h) does not affect the number of tests 
required under this section, the required calculations in Sec.  
1054.315, or the remedial steps required under Sec.  1054.320.
    (i) You may elect to test more randomly chosen engines than we 
require under this section. Include these engines in the sample-size 
calculations.



Sec.  1054.315  How do I know when my engine family fails the
production-line testing requirements?

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an emission-family 
basis. See Sec.  1054.320 for the requirements that apply to individual 
engines that fail a production-line test.

[[Page 591]]

    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate and round the test 
results for each engine. If you do several tests on an engine, calculate 
the initial results for each test, then add all the test results 
together and divide by the number of tests. Round this final calculated 
value for the final test results on that engine.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec.  1054.240(c)).
    (3) Round deteriorated test results. Round the results to the number 
of decimal places in the emission standard expressed to one more decimal 
place.
    (b) Construct the following CumSum Equation for each engine family 
for HC + NOX and CO emissions:

Ci = Max [0 or Ci-1 + Xi-(STD + 0.25 x 
[sigma])]

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, the 
          CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual 
          engine.
STD = Emission standard (or family emission limit, if applicable).

    (c) Use final deteriorated test results to calculate the variables 
in the equation in paragraph (b) of this section (see Sec.  
1054.315(a)).
    (d) After each new test, recalculate the CumSum statistic.
    (e) If you test more than the required number of engines, include 
the results from these additional tests in the CumSum Equation.
    (f) After each test, compare the current CumSum statistic, 
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x 
[sigma].
    (g) If the CumSum statistic exceeds the Action Limit in two 
consecutive tests, the engine family fails the production-line testing 
requirements of this subpart. Tell us within ten working days if this 
happens. You may request to amend the application for certification to 
raise the FEL of the entire engine family as described in Sec.  
1054.225(f).
    (h) If you amend the application for certification for an engine 
family under Sec.  1054.225, do not change any previous calculations of 
sample size or CumSum statistics for the model year.



Sec.  1054.320  What happens if one of my production-line engines
fails to meet emission standards?

    (a) If you have a production-line engine with final deteriorated 
test results exceeding one or more emission standards (see Sec.  
1054.315(a)), the certificate of conformity is automatically suspended 
for that failing engine. You must take the following actions before your 
certificate of conformity can cover that engine:
    (1) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (2) Include the test results and describe the remedy for each engine 
in 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

[[Page 592]]

the remedy to engines produced earlier if we determine that the cause of 
the failure is likely to have affected the earlier engines.
    (e) You may request to amend the application for certification to 
raise the FEL of the engine family before or after we suspend your 
certificate as described in Sec.  1054.225(f). We will approve your 
request if the failure is not caused by a defect and it is clear that 
you used good engineering judgment in establishing the original FEL.



Sec.  1054.330  May I sell engines from an engine family with
a suspended certificate of conformity?

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity under Sec.  1054.315 only if one of 
the following occurs:
    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines and 
remedy any noncompliance at no expense to the owner if later testing 
shows that the engine family still does not comply.



Sec.  1054.335  How do I ask EPA to reinstate my suspended certificate?

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



Sec.  1054.340  When may EPA revoke my certificate under this
subpart and how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under Sec.  1054.335 is inadequate to solve the problem or requires you 
to change the engine's design or emission control system.
    (b) To sell engines from an engine family with a revoked certificate 
of conformity, you must modify the engine family and then show it 
complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec.  1054.345  What production-line testing records must I send to EPA?

    (a) Within 45 days of the end of each test period, send us a report 
with the following information:
    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe each test engine, including the engine family's 
identification and the engine's model year, build date, model number, 
identification number, and number of hours of operation before testing.
    (5) Identify how you accumulated hours of operation on the engines 
and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; all initial test results; final test results; and final 
deteriorated test results for all tests. Provide the emission results 
for all measured pollutants. Include information for both

[[Page 593]]

valid and invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure or 
type of engine.
    (8) Provide the CumSum analysis required in Sec.  1054.315 and the 
sample-size calculation required in Sec.  1054.310 for each engine 
family.
    (9) Report on each failed engine as described in Sec.  1054.320.
    (10) State the date the test period ended for each engine family.
    (b) We may ask you to add information to your written report so we 
can determine whether your new engines conform with the requirements of 
this subpart. We may also ask you to send less information.
    (c) An authorized representative of your company must sign the 
following statement:

    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1054. We have not changed production 
processes or quality-control procedures for test engines in a way that 
might affect emission controls. All the information in this report is 
true and accurate to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized Company 
Representative)

    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. Section 1054.815 describes how we treat information 
you consider confidential.



Sec.  1054.350  What records must I keep?

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

[[Page 594]]



                        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 apply 
for variable-speed engines (including engines shipped without 
governors).
    (2) Use the appropriate 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 
specified 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. Note that Sec.  1054.145(n) allows 
for testing with gasoline test fuels specified by the California Air 
Resources Board for any individual engine family.
    (3) Ambient conditions for duty-cycle testing must be within ranges 
specified in 40 CFR 1065.520, subject to the provisions of Sec.  
1054.115(c).
    (i) Corrections. Emissions may not be corrected for the effects of 
test temperature or pressure. You may correct emissions for humidity as 
specified in 40 CFR 1065.670.
    (ii) Intake air temperature. Measure engine intake air temperature 
as described in 40 CFR 1065.125, and control it if necessary, consistent 
with good engineering judgment. For example, since the purpose of this 
requirement is to ensure that the measured air temperature is consistent 
with the intake air temperature that would occur during in-use operation 
at the same ambient temperature, do not cool the intake air and do not 
measure air temperature at a point where engine heat affects the 
temperature measurement.
    (4) The provisions of 40 CFR 1065.405 describes how to prepare an 
engine for testing. However, you may consider emission levels stable 
without measurement after 12 hours of engine operation, except for the 
following special provisions that apply for engine families with a 
useful life of 300 hours or less:
    (i) We will not approve a stabilization period longer than 12 hours 
even if you show that emissions are not yet stabilized.
    (ii) Identify the number of hours you use to stabilize engines for 
low-hour emission measurements. You may consider emissions stable at any 
point less than 12 hours. For example, you may choose a point at which 
emission levels reach a low value before the effects of deterioration 
are established.
    (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:

[[Page 595]]

    (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; 78 
FR 36397, June 17, 2013; 80 FR 9114, Feb. 19, 2015]



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, as described 
in 40 CFR Part 1065. 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. 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) 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.

[[Page 596]]

    (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 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

[[Page 597]]

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.

[73 FR 59259, Oct. 8, 2008, as amended at 79 FR 23751, Apr. 28, 2014]



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 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

[[Page 598]]

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 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.

[[Page 599]]



Sec.  1054.615  What is the exemption for engines certified
to standards for Large SI engines?

    (a) An engine is exempt from the requirements of this part if it is 
in an emission family that has a valid certificate of conformity showing 
that it meets emission standards and other requirements under 40 CFR 
part 1048 for the appropriate model year.
    (b) The only requirements or prohibitions from this part that apply 
to an engine that is exempt under this section are in this section.
    (c) If your engines do not have the certificate required in 
paragraph (a) of this section, they will be subject to the provisions of 
this part. Introducing these engines into U.S. commerce without a valid 
exemption or certificate of conformity violates the prohibitions in 40 
CFR 1068.101(a).
    (d) Engines exempted under this section are subject to all the 
requirements affecting engines under 40 CFR part 1048, including 
evaporative emission standards. The requirements and restrictions of 40 
CFR part 1048 apply to anyone manufacturing these engines, anyone 
manufacturing equipment that uses these engines, and all other persons 
in the same manner as if these were nonroad spark-ignition engines above 
19 kW.
    (e) Engines exempted under this section may not generate or use 
emission credits under this part 1054.



Sec.  1054.620  What are the provisions for exempting engines
used solely for competition?

    The provisions of this section apply for new engines and equipment 
built on or after January 1, 2010.
    (a) We may grant you an exemption from the standards and 
requirements of this part for a new engine on the grounds that it is to 
be used solely for competition. The requirements of this part, other 
than those in this section, do not apply to engines that we exempt for 
use solely for competition.
    (b) We will exempt engines that we determine will be used solely for 
competition. The basis of our determination is described in paragraphs 
(c) and (d) of this section. Exemptions granted under this section are 
good for only one model year and you must request renewal for each 
subsequent model year. We will not approve your renewal request if we 
determine the engine will not be used solely for competition.
    (c) Engines meeting all the following criteria are considered to be 
used solely for competition:
    (1) Neither the engine nor any equipment containing the engine may 
be displayed for sale in any public dealership or otherwise offered for 
sale to the general public. Note that this does not preclude display of 
these engines as long as they are not available for sale to the general 
public.
    (2) Sale of the equipment in which the engine is installed must be 
limited to professional competition teams, professional competitors, or 
other qualified competitors. For replacement engines, the sale of the 
engine itself must be limited to professional racing teams, professional 
racers, other qualified racers, or to the original equipment 
manufacturer.
    (3) The engine and the equipment in which it is installed must have 
performance characteristics that are substantially superior to 
noncompetitive models.
    (4) The engines are intended for use only as specified in paragraph 
(e) of this section.
    (d) You may ask us to approve an exemption for engines not meeting 
the criteria listed in paragraph (c) of this section as long as you have 
clear and convincing evidence that the engines will be used solely for 
competition.
    (e) Engines are considered to be used solely for competition only if 
their use is limited to competition events sanctioned by a state or 
federal government agency or another widely recognized public 
organization with authorizing permits for participating competitors. 
Operation of such engines may include only racing events, trials to 
qualify for racing events, and practice associated with racing events. 
Authorized attempts to set speed records are also considered racing 
events. Engines will not be considered to be used solely for competition 
if they are ever used for any recreational or other noncompetitive 
purpose. Any use of exempt engines in recreational events is a violation 
of 40 CFR 1068.101(b)(4).

[[Page 600]]

    (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 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

[[Page 601]]

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 
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

[[Page 602]]

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 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

[[Page 603]]

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 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

[[Page 604]]

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.
    (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.

[[Page 605]]

    (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).



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.

[[Page 606]]

    (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:
    (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.

[[Page 607]]

    (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.
    (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.

[[Page 608]]

    (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?

    This section generally applies for certifying engine manufacturers. 
It also applies to importers that do not certify engines as described in 
paragraph (j) of this section.
    (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 with respect to engines certified under 
this part 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. Note that 
you might also need to post bond under this section to meet your 
obligations under Sec.  1054.120(f).
    (b) The bonding requirements apply if you do not have long-term 
assets in the United States meeting any of the following thresholds:
    (1) A threshold of $3 million applies if you have been a certificate 
holder in each of the preceding ten years without failing a test 
conducted by EPA officials or having been found by EPA to be 
noncompliant under applicable regulations.
    (2) A threshold of $6 million applies if you are a secondary engine 
manufacturer.
    (3) A threshold of $10 million applies if you do not qualify for the 
smaller bond thresholds in paragraph (b)(1) or (2) of this section.
    (c) For the purpose of establishing your level of long-term assets 
under paragraph (b) of this section, include the values from your most 
recent balance sheet for buildings, land, and fixed equipment, but 
subtract depreciation and related long-term liabilities (such as a 
mortgage). If you have sufficient long-term assets to avoid bond 
payments under this section, you must identify the location of these 
assets in your application for certification.
    (d) Determine the value of the bond as follows:
    (1) Calculate a value based on the per-engine bond values shown in 
Table 1 to this section and on the projected U.S.-directed production 
volume from each displacement grouping for the 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 calculated bond amount is $750,000. If the calculated value is 
less than $500,000, the appropriate bond amount is $500,000. If the 
calculated value exceeds the applicable threshold value specified in 
paragraph (b) of this section, use the applicable threshold value as the 
appropriate value of the bond. These values may be adjusted as described 
in paragraphs (d)(2) through (4) of this section. You may generally 
change your projected U.S.-directed production volume under Sec.  
1054.225 during the model year; however, you may not decrease your bond 
based on new projected U.S.-directed production volumes once you have 
imported or otherwise introduced into U.S. commerce your first engine 
from that model year.

[[Page 609]]



           Table 1 to Sec.   1054.690--Per-Engine Bond Values
------------------------------------------------------------------------
                                                             The per-
 For engines with displacement falling in the following     engine bond
                      ranges . . .                        value is . . .
------------------------------------------------------------------------
Disp. < 225 cc..........................................             $25
225 <= Disp. < 740 cc...................................              50
740 <= Disp. <= 1,000 cc................................             100
Disp.  1,000 cc..............................             200
------------------------------------------------------------------------

    (2) If your estimated or actual U.S.-directed production volume 
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 in a given year, but you may 
calculate a lower bond value in a later year based on the highest actual 
U.S.-directed production volumes from the preceding three years.
    (3) 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.
    (4) The minimum bond value is $25,000 instead of $500,000 if you are 
a small-volume engine manufacturer or a small-volume equipment 
manufacturer that has been a certificate holder in each of the preceding 
five years without failing a test conducted by EPA officials or having 
been found by EPA to be noncompliant under applicable regulations.
    (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. We will adjust these values for 2020 and later, and every 10 
years after that, by considering the current Consumer Price Index values 
published by the Bureau of Labor Statistics relative to 2008. We will 
generally round values for thresholds and total bond obligations as 
follows:
    (1) Round calculated values at or below $125,000 to the nearest 
$5,000.
    (2) Round calculated values above $125,000 and at or below $2.25 
million to the nearest $50,000.
    (3) Round calculated values above $2.25 million to the nearest 
$500,000.
    (f) If you are required to post a bond under this section, you must 
get the 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 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

[[Page 610]]

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; 80 FR 9114, Feb. 19, 2015]



       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, 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.

[[Page 611]]

    (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]



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

[[Page 612]]

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.



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

[[Page 613]]

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 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

[[Page 614]]

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.
    (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

[[Page 615]]

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.
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

[[Page 616]]

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 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

[[Page 617]]

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 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.

[[Page 618]]

    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.
    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

[[Page 619]]

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 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

[[Page 620]]

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).)
    (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)).

[[Page 621]]

    (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 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.

[[Page 622]]

    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 
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

[[Page 623]]

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.
    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

[[Page 624]]

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.
    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

[[Page 625]]

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]
    (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.

[[Page 626]]

    (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\
------------------------------------------------------------------------
                                                              HC +
                 Engine displacement class                    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 specified in 40 CFR 90.103 and summarized in the 
following tables:

[[Page 627]]



    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.


[[Page 629]]



                              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 631]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2016)

                      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 2--199)
        II  Office of Management and Budget Guidance (Parts 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)
         X  Department of the Treasury (Parts 1000--1099)
        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 
                1800--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)

[[Page 632]]

    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       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)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         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)
       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)

[[Page 633]]

      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)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        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)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)

[[Page 634]]

     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
     XCVII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Partys 10000--10049)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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)

[[Page 635]]

        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)

[[Page 636]]

         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)
       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 1300--
                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)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)

[[Page 637]]

        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--1199)
         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)

[[Page 638]]

       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  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)

[[Page 639]]

         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)

                       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  Millennium 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)

[[Page 640]]

       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       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) [Reserved]
        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) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 641]]

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           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)

[[Page 642]]

        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       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)

[[Page 643]]

      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, Department 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)
       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)

[[Page 644]]

        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          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  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

[[Page 645]]

                       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)
        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)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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)

[[Page 646]]

       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--599)
         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 400--999)
        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)

[[Page 647]]

        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of 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)

[[Page 648]]

         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)
        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 (Parts 5300--5399) 
                [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)

[[Page 649]]

                       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)
         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 (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [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)

[[Page 651]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2016)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 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
  Advocacy and Outreach, Office of                7, XXV
  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
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

[[Page 652]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
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
Career, Technical and Adult Education, Office of  34, IV
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
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
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
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                               2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  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 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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, 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    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I

[[Page 653]]

Defense Department                                2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  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
  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          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical and Adult Education, Office   34, IV
       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
  Career, Technical, and Adult Education, Office  34, IV
       of
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                             2, IX; 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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99

[[Page 654]]

  National Drug Control Policy, Office of         2, XXXVI; 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                       5, XXXVII; 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
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
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

[[Page 655]]

Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105
  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
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
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; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  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 Review, Executive Office for          8, V

[[Page 656]]

Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
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, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  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, XXVIII; 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
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV

[[Page 657]]

  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VII
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 Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium 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   2, XXII; 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                    5, C; 34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 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 Geospatial-Intelligence Agency           32, I
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 of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      5, IV; 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

[[Page 658]]

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
  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
Ocean Energy Management, Bureau of                30, V
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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  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
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII

[[Page 659]]

Safety and Environmental Enforcement, Bureau of   30, II
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                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
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
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
  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                               2, X;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                   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 660]]

U.S. Copyright Office                             37, II
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
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 661]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2011 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.fdsys.gov. For changes to this volume of the CFR 
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The 
``List of CFR Sections Affected 1986-2000'' is available at 
www.fdsys.gov.

                                  2011

40 CFR
                                                                   76 FR
                                                                    Page
Chapter I
1033.625 (a)(2) revised............................................57380
1036 Added.........................................................57381
1037 Added.........................................................57398
1039.20 (a) introductory text and (c) revised; eff. 8-29-11........37977
1039.510 (b) introductory text revised.............................57437
1042.1 (h) added...................................................37977
1042.901 Corrected; CFR correction.................................20550
    Corrected...............................................25246, 26620

                                  2012

40 CFR
                                                                   77 FR
                                                                    Page
Chapter I
1033 Actions on petitions..........................................51701
1036 Actions on petitions..........................................51701
1037 Actions on petitions..........................................51701
1039 Actions on petitions..........................................51701
1039.115 (g)(4) and (5) added; eff. 8-7-12.........................34147
1039.135 (c)(15) added; eff. 8-7-12................................34147
1039.501 (g) added; eff. 8-7-12....................................34147
1039.525 Introductory text revised; eff. 8-7-12....................34147
1039.670 Added; eff. 8-7-12........................................34147
1039.801 Amended; eff. 8-7-12......................................34147
1039.805 Amended; eff. 8-7-12......................................34148
1043.95 (b) and (c) redesignated as (c) and (d); new (b) added......2478

                                  2013

40 CFR
                                                                   78 FR
                                                                    Page
Chapter I
1036.5 (b) revised; eff. 8-16-13...................................36389
1036.150 (d), (g)(2) and (3) revised; eff. 8-16-13.................36389
1036.205 (e) revised; eff. 8-16-13.................................36389
1036.225 (f) introductory text revised; eff. 8-16-13...............36389
1036.525 (a) revised; eff. 8-16-13.................................36389
1036.615 (a) introductory text and (c) revised; eff. 8-16-13.......36389
1036.801 Amended; eff. 8-16-13.....................................36390
1037.15 (c) revised; eff. 8-16-13..................................36390
1037.104 (a)(2) introductory text, (d)(2), (4), (6), (9), (12), 
        (13) and (g) revised; (d)(15) added; eff. 8-16-13..........36390
    (a)(2) introductory text, (d)(2), (4), (6), (9), (12), (13) 
and (g) revised; (d)(15) added.....................................49964
    (g) introductory text correctly amended........................56171
1037.115 (c) introductory text revised; (c)(2) removed; eff. 8-16-
        13.........................................................36392
1037.135 (c)(5) and (9) revised; eff. 8-16-13......................36392
1037.150 (a)(2), (l) introductory text and (1) revised; eff. 8-16-
        13.........................................................36392
    (a)(2) revised.................................................49966
1037.201 (g) revised; eff. 8-16-13.................................36392
1037.230 (a)(1)(xiii) revised; (a)(1)(xiv) added; eff. 8-16-13.....36392

[[Page 662]]

1037.501 (g)(1)(iv) revised; eff. 8-16-13..........................36392
1037.520 Heading, introductory text, (b)(2) Table 1 and (e)(1) 
        revised; eff. 8-16-13......................................36392
1037.525 Introductory text revised; eff. 8-16-13...................36393
1037.550 Heading, introductory text and (d) through (g) revised; 
        eff. 8-16-13...............................................36393
1037.615 (b)(1) revised; (b)(3) redesignated as (b)(4); new (b)(3) 
        added; eff. 8-16-13........................................36393
1037.620 (a)(3) revised; eff. 8-16-13..............................36394
1037.660 Introductory text and (c) revised; eff. 8-16-13...........36394
1037.745 Heading revised; (d) added; eff. 8-16-13..................36394
1037.801 Amended; eff. 8-16-13.....................................36394
1037.810 (c)(1) revised; eff. 8-16-13..............................36394
1039.104 (g) revised; eff. 8-16-13.................................36394
1039.625 (e), (j) and (m) revised; eff. 8-16-13....................36395
    (e) and (j) revised............................................49966
1042.145 (j) added; eff. 8-16-13...................................36396
1042.615 Introductory text, (a) introductory text and (1) revised; 
        (b), (c) and (d) redesignated as (c), (d) and (e); (b) 
        added; eff. 8-16-13........................................36396
1048.105 (a) revised; eff. 8-16-13.................................36397
1048.805 Amended eff. 8-16-13......................................36397
1048.810 Revised; eff. 8-16-13.....................................36397
1054.145 (c)(3) and (n) revised; eff. 8-16-13......................36397
1054.501 (b)(2) revised; eff. 8-16-13..............................36397

                                  2014

40 CFR
                                                                   79 FR
                                                                    Page
Chapter I
1036.115 (b) added.................................................23748
1037.101 (b)(4) revised; (c)(3) added..............................23749
1037.103 Added.....................................................23749
1037.104 (h)(2) added..............................................23750
1037.230 (e) added.................................................23750
1037.243 Added.....................................................23750
1037.501 (a) added.................................................23750
1039.104 (g) revised................................................7083
1039.125 (a)(1) introductory text revised; (a)(2)(iii) and 
        (3)(iii) added.............................................46373
1039.130 (b)(3) revised............................................46373
1039.135 (c)(15) revised...........................................46373
1039.501 (g) revised...............................................46373
1039.505 Revised...................................................23750
1039.510 (c) removed...............................................23751
1039.625 (e)(3) and (m) revised.....................................7084
1039.665 Added.....................................................46373
1039.670 (b) and (c)(3)(ii) revised................................46375
1039.801 Amended...................................................46375
1042.505 Revised...................................................23751
1042.615 Introductory text, (a) introductory text and (1) revised; 
        (b), (c) and (d) redesignated as (c), (d) and (e); new (b) 
        added.......................................................7084
1048.505 Introductory text, (a) and (c) revised; (d) through (g) 
        removed....................................................23751
1054.505 (a) revised; (e) removed..................................23751

                                  2015

40 CFR
                                                                   80 FR
                                                                    Page
Chapter I
1033 Hearings; comment period extended.............................44863
1036 Hearings; comment period extended.............................44863
1037 Hearing; commend period extended..............................44863
1037.103 (b)(6) and (f) revised.....................................9111
1037.104 (e) revised................................................9111
1037.135 (c)(9) revised.............................................9111
1039 Hearings; comment period extended.............................44863
1042 Hearings; comment period extended.............................44863
1043 Authority citation revised.....................................9111
1043.5 (b) removed..................................................9112
1043.10 (a)(2) introductory text, (iii) and (b)(2) revised..........9112
1043.20 Amended.....................................................9112
1043.40 (d), (e) and (f) redesignated as (e), (f) and (g); new (d) 
        added; new (g) revised......................................9112
1043.60 (a) and (b) revised.........................................9112
1043.70 (a) revised.................................................9113
1043.80 (b)(9) revised..............................................9113
1043.95 Heading, introductory text and (b)(1)(ii) revised...........9113
1043.97 Added.......................................................9113
1043.100 (a) revised................................................9113
1051.501 (b) revised................................................9114

[[Page 663]]

1054.135 (c)(8) revised.............................................9114
1054.145 (n) introductory text revised; (o) removed.................9114
1054.501 (b)(2) revised.............................................9114
1054.690 Introductory text added; (a) through (f) revised...........9114

                                  2016

  (No regulations published from January 1, 2016, through July 1, 2016)


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