[Federal Register Volume 61, Number 194 (Friday, October 4, 1996)]
[Rules and Regulations]
[Pages 52088-52169]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-23063]



[[Page 52087]]


_______________________________________________________________________

Part II





Environmental Protection Agency





_______________________________________________________________________



40 CFR Parts 89, 90, and 91



_______________________________________________________________________



Air Pollution Control; Gasoline Spark-Ignition Marine Engines; New 
Nonroad Compression-Ignition and Spark-Ignition Engines, Exemptions; 
Rule

  Federal Register / Vol. 61, No. 194 / Friday, October 4, 1996 / Rules 
and Regulations  

[[Page 52088]]



ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 89, 90, and 91

[FRL-5548-8]
RIN 2060-AE54


Control of Air Pollution; Final Rule for New Gasoline Spark-
Ignition Marine Engines; Exemptions for New Nonroad Compression-
Ignition Engines at or Above 37 Kilowatts and New Nonroad Spark-
Ignition Engines at or Below 19 Kilowatts

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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

SUMMARY: As directed under section 213 of the Clean Air Act as amended 
in 1990 (CAA), EPA is regulating exhaust emissions from new spark-
ignition (SI) gasoline marine engines (including outboard engines, 
personal watercraft engines, and jet boat engines) because exhaust 
emissions from SI gasoline marine engines cause or contribute to ozone 
concentrations in more than one ozone nonattainment area. Once the 
program is fully implemented, manufacturers of these engines must 
demonstrate to EPA that hydrocarbon emissions are reduced, by 75% from 
present levels, by testing engines representative of the product line 
before sale and after use. The result of these regulations will be a 
new generation of cleaner gasoline marine engines available to boaters.
    EPA is also revising existing regulations for new nonroad CI 
engines at or above 37 kW and new nonroad SI engines at or below 19 kW 
so as to include exemptions comparable to exemptions provided to 
highway engines.

DATES: This regulation is effective December 3, 1996. The reference of 
certain publications listed in the regulations is approved by the 
Director of the Federal Register as of December 3, 1996. The 
information collection requirements contained in 40 CFR Part 91 have 
not been approved by the Office of Management (OMB) and are not 
effective until OMB has approved them. EPA will publish a document in 
the Federal Register announcing the effective date.
    A public workshop for manufacturers who must comply with this 
regulation will be held on November 13, 1996 beginning at 10 a.m.

ADDRESSES: For information or compliance assistance, manufacturers who 
must comply with this regulation may contact the Office of Mobile 
Sources, Engine Programs and Compliance Division, Engine Compliance 
Programs Group, 501 3rd Street, Washington, DC 20005. The public 
workshop will be held at 501 3rd Street, Washington, DC 20005.
    Materials relevant to this rulemaking are contained in a docket at 
the following address: EPA Air Docket (LE-131), Attention: Docket 
Number A-92-28, room M-1500, 401 M Street, SW., Washington, DC 20460. 
Materials contained in this docket may be reviewed at this location 
from 8:00 a.m. until noon and from 1:30 p.m. until 3:30 p.m. Monday 
through Friday. As provided in 40 CFR part 2, a reasonable fee may be 
charged by EPA for photocopying.

FOR FURTHER INFORMATION CONTACT: Deanne R. North, Office of Mobile 
Sources, Engine Programs and Compliance Division, at (313) 668-4283 or 
James A. Blubaugh, Office of Mobile Sources, Engine Programs and 
Compliance Division, (202) 233-9244.

SUPPLEMENTARY INFORMATION:

I. Regulated Entities

    Entities potentially regulated by this action are those which 
manufacture SI gasoline marine engines. Regulated categories and 
entities include:

------------------------------------------------------------------------
             Category                  Examples of regulated entities   
------------------------------------------------------------------------
Industry..........................  Outboard engine manufacturers,      
                                     personal watercraft engine         
                                     manufacturers, jetboat engine      
                                     manufacturers                      
------------------------------------------------------------------------

This table is not intended to be exhaustive, but rather provides a 
guide for readers regarding entities likely to be regulated by this 
action. This table lists the types of entities that EPA is now aware 
could potentially be regulated by this action. Other types of entities 
not listed in the table could also be regulated. To determine whether 
your product is regulated by this action, you should carefully examine 
the applicability criteria in Sec. 91.1 of title 40 of the Code of 
Federal Regulations. If you have questions regarding the applicability 
of this action to a particular product, consult the person listed in 
the preceding FOR FURTHER INFORMATION CONTACT section.

II. Obtaining Copies of Documents

    This preamble, the final regulatory language, the Summary and 
Analysis of Comments, and the Regulatory Impact Analysis are also 
available electronically on the Technology Transfer Network (TTN), 
which is an electronic bulletin board system (BBS) operated by EPA's 
Office of Air Quality Planning and Standards. The service is free of 
charge, except for the cost of the phone call. Users are able to access 
and download TTN files on their first call using a personal computer 
and modem per the following information.

TTN BBS: 919-541-5742 (1200-14400 bps, no parity, 8 data bits, 1 stop 
bit) Voice Helpline: 919-541-5384
Also accessible via Internet: TELNET ttnbbs.rtpnc.epa.gov Off-line: 
Mondays from 8:00 a.m. to 12:00 Noon ET

    A user who has not called TTN previously will first be required to 
answer some basic informational questions for registration purposes. 
After completing the registration process, proceed through the 
following menu choices from the Top Menu to access information on this 
rulemaking.

 GATEWAY TO TTN TECHNICAL AREAS (Bulletin Boards)
 OMS--Mobile Sources Information
 Rulemaking & Reporting
<6> Non-Road
<1> File area #1. Non-Road Marine Engines

    At this point, the system will list all available files in the 
chosen category in chronological order with brief descriptions. To 
download a file, select a transfer protocol that is supported by the 
terminal software on your own computer, then set your own software to 
receive the file using that same protocol.
    If unfamiliar with handling compressed (that is, ZIP'ed) files, go 
to the TTN top menu, System Utilities (Command: 1) for information and 
the necessary program to download in order to unZIP the files of 
interest after downloading to your computer. After getting the files 
you want onto your computer, you can quit the TTN BBS with the 
oodbye command.
    Please note that due to differences between the software used to 
develop the document and the software into which the document may be 
downloaded, changes in format, page length, etc. may occur.

III. Contents

IV. Statutory Authority and Background
    A. Statutory Authority
    B. Background
V. Requirements of the Final Rule--Overview
    A. Outboards and Personal Watercraft, and Jetboat Engines
    B. Emission Standards
    C. Administrative Programs
    1. Pre-production Certification
    i. Beginning of Emission Standard Phase-in
    ii. Stabilization of Certification Program
    2. Production Line Testing and Compliance
    3. In-Use Testing and Remediation
    i. In-Use Testing Program

[[Page 52089]]

    ii. In-Use Credit Program
    iii. Recall Provisions
    4. Consumer Warranty on Emission Components
    5. Manufacturer Reporting of Engines with Emission effects and 
Voluntary Emission Recalls
    6. Tampering with Emission Components
    7. Engines Excluded or Exempted from Regulations
    8. Prohibition on Importation of Uncertified Engines into the 
United States
    9. Revisions to Small SI (40 CFR Part 90) and Large CI (40 CFR 
Part 89) Regulations--Added Exemptions
VI. Discussion of Issues
    A. No Sterndrive or Inboard Emission Standards
    B. Outboard/Personal Watercraft (OB/PWC) Emission Standards Meet 
Statutory Criteria
VII. Regulatory Impact Analysis
VIII. Administrative Requirements
    A. Reporting and Recordkeeping Requirements
    B. Impact on Small Entities
    C. Submission to Congress and the General Accounting Office
    D. Executive Order 12866
    E. Unfunded Mandates Reform Act of 1995

IV. Statutory Authority and Background

A. Statutory Authority

    Authority for the actions set forth in this rule is granted to EPA 
by sections 203, 204, 205, 206, 207, 208, 213, 215, 216, and 301(a) of 
the Clean Air Act as amended (42 U.S.C. 7522, 7523, 7524, 7525, 7541, 
7542, 7547, 7549, 7550, and 7601(a)).

B. Background

    Pursuant to section 213(a) of the Clean Air Act as amended 
(hereafter, ``CAA''), EPA undertook a study of emissions from nonroad 
engines and vehicles to determine whether such emissions are 
significant contributors to ozone or carbon monoxide (CO) 
concentrations in more than one nonattainment area. A nonattainment 
area is a specified area that has failed to attain the applicable 
National Ambient Air Quality Standard (NAAQS) for a given pollutant. 
Based on the 1991 Nonroad Engine and Vehicle Emission Study (available 
in the docket) 1, EPA determined that emissions of CO, oxides of 
nitrogen (NOX), and volatile organic compounds (VOC) from nonroad 
engines, equipment, and vehicles do, in fact, contribute significantly 
to ozone and CO concentrations in more than one NAAQS nonattainment 
area. This significance determination was finalized on June 17, 1994 
(59 FR 31306) and is incorporated by reference into this final 
rulemaking.
---------------------------------------------------------------------------

    \1\ EPA Publication Number 211A-2001 (November, 1991).
---------------------------------------------------------------------------

    Under section 213(a)(3) of the CAA, EPA is required to regulate 
those categories or classes of new nonroad engines, equipment, and 
vehicles that in EPA's judgement cause or contribute to ozone and CO 
concentrations in more than one nonattainment area. On November 9, 
1994, EPA published a Notice of Proposed Rulemaking (NPRM) establishing 
emission standards for new gasoline spark-ignition (SI) and diesel 
compression-ignition (CI) marine engines pursuant to section 213(a) of 
the CAA.2 On February 7, 1996, EPA published a Supplemental Notice 
of Proposed Rulemaking (SNPRM).3 In the course of the comment 
period for the NPRM, some commenters suggested that EPA consider new 
approaches to some of the items addressed in the proposal; also, it 
became apparent that some aspects of the proposed regulation were not 
addressed in sufficient detail in the NPRM and needed additional 
development for further comment. The SNPRM sought to address these 
matters.
---------------------------------------------------------------------------

    \2\ 59 FR 55930 (November 9, 1994).
    3 61 FR 4600 (Feb. 7, 1996).
---------------------------------------------------------------------------

    EPA has determined that gasoline SI marine engines cause or 
contribute to ozone concentrations in more than one nonattainment area 
(See Chapter 3 of the RIA). EPA is finalizing emission standards today 
for gasoline SI marine engines. For gasoline marine engines, the 
primary pollutants affected by this rule are hydrocarbons (HC), which 
are a primary component of VOCs. EPA is deferring finalization of 
emission standards for diesel CI marine engines until a later 
rulemaking.
    The gasoline SI marine engine HC emission standards should decrease 
HC emissions from such engines by approximately 75 percent from 
projected baseline emission levels by the year 2025. Due to the long 
lives of a small portion of marine engines, EPA does not anticipate 
that complete fleet turnover will occur until around the year 2050.

V. Requirements of the Final Rule--Overview

    Beginning in 1998, manufacturers of brand new SI gasoline marine 
engines used in outboards, personal watercraft, and jetboats must 
comply with this rule. This rule does not regulate in any way boat 
engines which already are in use.
    Today's rule imposes different requirements for the subcategory of 
outboard, personal watercraft and jetboat (OB/PWC) engines than for the 
subcategory of sterndrive and inboard engines (SD/Is). Outboards, 
personal watercraft, and jetboat engines are the engines that EPA is 
most concerned about from the standpoint of pollution because they 
currently utilize, for the most part, 2-stroke technology that emits 
high rates of HC exhaust emissions. Current, unregulated, SD/Is are far 
cleaner than OB/PWC. The result of this regulation will be that OB/PWC 
engines will be dramatically cleaner: They will be near the lower 
emission levels exhibited by today's SD/I engines. By imposing emission 
standards on only OB/PWC engines, EPA will achieve the greatest degree 
of emissions reduction achievable from new gasoline SI marine engines 
as a whole through the application of technology, taking cost 
(including cost to boaters) and other factors into account. See 42 
U.S.C. 7545(a)(3). Further discussion of EPA's rationale for not 
regulating SD/I engines is provided in Section V below.
    The engine technology changes resulting from this regulation will 
be profound. The new generation of OB/PWC engine technology will not 
only be more environmentally friendly, but will provide boaters with 
many performance advantages. First, and most important for the 
environment, the new generation of OB/PWC engines will be much cleaner. 
However, the engines will also be easier to start, have improved 
performance, faster acceleration, and less noise. Boaters will realize 
hundreds of dollars in fuel savings due to significant fuel economy 
improvements. With the new fuel systems and engine designs, the hassle 
of mixing fuel and oil will be gone. As an added benefit to the boat 
owner, the emissions performance of the new generation of marine 
engines will be guaranteed by a three year or 200 hour warranty. These 
points are outlined below in Table 1.

       Table 1.--Benefits of New Technology OB/PWC Marine Engines       
Less pollution..................................  Stringent exhaust     
                                                   emission standards,  
                                                   cleaner exhaust.     
Higher Performance..............................  Easier to start       
                                                   engine, better       
                                                   throttle response,   
                                                   smoother idling, and 
                                                   faster and smoother  
                                                   acceleration.        

[[Page 52090]]

                                                                        
Better Fuel Economy.............................  Boaters will use over 
                                                   30% less fuel for the
                                                   same amount of       
                                                   boating.             
A Better Boating Experience.....................  Less blue smoke, less 
                                                   smelly fumes, and    
                                                   less noise.          
Less Hassle Refueling...........................  Eliminates the hassle 
                                                   of measuring or      
                                                   guessing the proper  
                                                   amount of oil when   
                                                   refueling, no pre-   
                                                   mixing fuel and oil. 
------------------------------------------------------------------------

    Provided below is an overview of the major program elements of the 
gasoline marine engine rule finalized today. For a full discussion of 
the significant comments received on this rulemaking and EPA's reasons 
for finalizing the rule as set forth today, the reader should refer to 
the Summary and Analysis of Comments document available in the docket.

A. Outboard, Personal Watercraft, and Jetboat Engines

    Outboards and personal watercraft (i.e., Jet Skis, Wave Runners, 
etc.) are defined in 40 CFR 91.3. For purposes of this rulemaking, 
jetboats are considered personal watercrafts and are subject to the 
pollution control requirements outlined here for OB/PWC unless derived 
from sterndrive and inboard type marinized automotive blocks. The 
Administrator may designate a jetboat engine to be a sterndrive or 
inboard type of engine if the engine is comparable in technology and 
emissions to an inboard or sterndrive engine.

B. Emission Standards

    The emission standards finalized today for outboards, personal 
watercraft, and jetboats require a very large reduction in hydrocarbon 
emissions on a brake specific basis (i.e., g/kw-hr) with only a slight 
increase in NOX emissions. The standards vary by rated power and 
apply to a manufacturer's entire fleet. The standards require 
increasingly stringent HC control over the course of a nine-year phase-
in period beginning in model year 1998. By the end of the phase-in, 
each manufacturer must meet an HC+NOX emission standard on a 
corporate average basis that represents a 75 percent reduction in HC 
compared to unregulated levels. EPA's administrative program 
requirements are designed to ensure that the targeted reductions 
actually occur by making manufacturers responsible for testing engines, 
reporting the results to EPA, and demonstrating compliance with the 
emission standards. The administrative program requirements are 
described below in section C.
    Corporate average standard: The gasoline marine emission standard 
finalized today is an average emission standard meaning that the 
manufacturer's product line of outboards and personal watercraft must 
comply with the emission standards on a corporate average basis. The 
corporate average emission standard structure helps to make the 
standard technologically achievable by offering manufacturers 
flexibility in achieving the HC reductions required. Further, the 
structure minimizes cost by allowing the manufacturers and the market 
to determine the best way to achieve the targeted reductions over time. 
EPA sets the standards that apply to the engines in the manufacturer's 
new sales fleet, which in effect sets the required reduction in the 
manufacturer's corporate average emission level. The manufacturer 
determines on its own what type of control technology to apply to which 
engines. This flexibility is essential because the emission standard 
will require revolutionary technology that does not currently exist 
across the product line, the leadtime for implementation is short, and 
targeted reductions across the phase-in are large. Additionally, 
uncertainty exists regarding the viability and durability of control 
technology because prototypes have not yet been designed for many 
current engine models. Averaging means that an engine family in a 
manufacturer's product line could be certified to an emissions level in 
excess of the applicable emission standard, so long as its excess 
emissions are offset by an engine family that is certifed to an 
emissions level below the applicable emission standard. In other words, 
any emissions in excess of the average emission standard must be 
balanced by emissions lower than the average emission standard.
    Full actual life emissions are taken into account when calculating 
this balance. The calculation includes:
     The difference between the applicable emission standard 
and the engine family emission limit (FEL),
     Sales in the applicable model year,
     Average annual use in hours,
     The power output of the engine family,
     The future survival probability of each engine,
     The net present value of the credits over time.
    If a FEL is above the applicable emission standard, then the engine 
family is generating negative credits. Conversely, if the FEL is below 
the applicable emission standard then the engine family is generating 
positive credits. After the negative and positive credits are added up 
across the manufacturer's product line, the manufacturer must have a 
net positive or zero emission credit balance.
    Nine-year phase-in: The applicable emission standards are phased-in 
beginning in the 1998 model year and fully implemented in the 2006 
model year. A phase-in of the emission standard is necessary to help 
make the standard technologically achievable. For example, a 
manufacturer may gradually phase-in new technology accross its product 
line instead of changing all of its product line in a single year. This 
allows the manufacturer needed flexibility to apply the unproven 
control techonology in a systematic way, given concerns regarding 
control technology viability and durability. The applicable emission 
standard for each year of the phase-in is calculated in reference to a 
baseline curve which describes, on average, the current emission rates 
of the entire power output range (e.g., 2 horsepower to 300 horsepower) 
of unregulated OB/PWC engines. EPA's standard structure requires 
manufacturers to reduce brake specific (i.e., g/kw-hr) HC emissions by 
at least 75 percent in 2006, the final year of the phase-in.
    HC+NOX emission standard: The numerical values of the 
applicable emission standards are described in detail below and in 
section 91.207 of the regulatory text. As proposed in the SNPRM, EPA is 
finalizing an HC+NOX average emission standard which retains the 
75 percent reduction in HC emissions and the 6.0 g/kw-hr NOX level 
in 2006 and later years proposed in the NPRM. This standard will take 
the form of an HC+NOX function that becomes more stringent each 
year for a nine year phase-in period. This function results from 
reducing baseline HC emissions to at most 25 percent of the 
uncontrolled level while allowing an increase of NOX from 2.0 to 
6.0 g/kw-hr incrementally over nine years. Some NOX increase is 
technologically inevitable if HC reductions of 75 percent or more are 
to be achieved. The expected increase in total NOX emissions from 
these engines is small compared to the large HC inventory reductions.

[[Page 52091]]

    The following formulas and tables summarize the HC+NOX 
emission standard for each rated power of the engine family as 
finalized for OB/PWC:
[GRAPHIC] [TIFF OMITTED] TR04OC96.000

HCbase=hydrocarbon base average level in g/kw-hr
P=rated power of the engine family in kilowatt (kw).
[GRAPHIC] [TIFF OMITTED] TR04OC96.001

    NOXbase=oxides of nitrogen base average level

    To determine the HC+NOX level for the base year, HCbase 
and NOXbase are added. HC and NOX are both changed to their 
final year level in equal increments. To calculate the HC+NOX 
standard for a given model year and rated power, use Table 2 and the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.002

HC+NOX=emission standard in a given model year in g/kw-hr
A=hydrocarbon reduction factor based in a given model year.
B=NOX level factor in a given model year
C=maximum HC+NOX average, in g/kw-hr, in a given model year

                        Table 2.--OB/PWC Engines                        
          [Factors for calculation of HC+NOX emission standard]         
------------------------------------------------------------------------
                  Model year                      A        B        C   
------------------------------------------------------------------------
1998.........................................    0.917     2.44      278
1999.........................................    0.833     2.89      253
2000.........................................    0.750     3.33      228
2001.........................................    0.667     3.78      204
2002.........................................    0.583     4.22      179
2003.........................................    0.500     4.67      155
2004.........................................    0.417     5.11      130
2005.........................................    0.333     5.56      105
2006 and after...............................    0.250     6.00       81
------------------------------------------------------------------------

    The HC+NOX standard for PWC does not go into effect until 
1999. At this time, PWC engines will be required to meet the same 
standard as OB engines. Initially, OB and PWC are in separate averaging 
sets; however, beginning in 2001, OB and PWC enter the same averaging 
set.
    No carbon monoxide standard: EPA is not finalizing the carbon 
monoxide (CO) cap, proposed in the NPRM, of 400
g/kw-hr for OB/PWC gasoline marine engines. See the Summary and 
Analysis of Comments for a discussion of this issue.

C. Administrative Programs

    In recognition of the unique nature of the marine industry, EPA is 
finalizing some innovative administrative programs for OB/PWC. EPA 
believes the OB/PWC programs introduced here are appropriately designed 
for OB/PWC compliance demonstration because of the market structure and 
smaller size of the marine engine industry and the nature of the 
technology used.
    EPA has taken a cradle-to-grave approach to the emission 
performance of the manufacturer's product line. EPA's goal is to 
promote high quality engine design, production, and in-use emission 
performance through a system of manufacturer based testing programs. 
These innovative compliance programs will encourage the gain and use of 
emission information, allowing the manufacturer and EPA to better 
understand the emissions of an engine family. EPA wants the 
manufacturers to quickly climb the learning curve with respect to the 
emissions performance of their engines. This approach uses a cycle of 
evaluation, learning, and incorporation of information on emission 
characteristics to promote the production of high quality marine 
engines that achieve significant reductions in emissions throughout 
their useful lives.
    The individual elements of the compliance program are described 
below. These individual elements are interactive. For example, the 
certification program entails estimation by the manufacturer of the 
emission performance of the engine family once it is in production and 
throughout its useful life. The production line testing program 
provides information to the manufacturer, prior to introduction of the 
engine into commerce, on how well the manufacturer is producing the 
engine from an emission perspective. It is in essence a quality control 
program which encourages the manufacturer to develop accurate emission 
estimates for certification and make corrections to the certification 
data when the previous estimates were found to be in error or to take 
action on its own to keep the emission quality within limits, such as 
the institution of appropriate production line changes. When the 
manufacturer cannot make production line changes, the manufacturer may 
change the engine family emission limit (FEL) so long as the 
manufacturer can maintain corporate average compliance with the 
emission standards.
    Additionally, the in-use testing program provides significant 
information on how well the emission quality of the engines is holding 
up in actual use. If an engine family's emissions are higher and worse 
on average than its FEL, EPA allows the manufacturer to balance those 
exceedances with credits from other engine families that had better in-
use emission performance on average than their respective FELs.
    The gasoline marine administrative programs focus on incentives 
toward compliance, flexibilities to achieve targeted reductions, and 
the spread of

[[Page 52092]]

knowledge to facilitate emission quality improvements. By offereing 
these incentive, flexibilities, and knowledge, the programs outlined 
above, and other details described below, allow gasoline marine engines 
to achieve dramatic HC reductions through substantial engine changes 
while minimizing cost. Additionally, EPA has carefully constructed the 
requirements to minimize the information collection requirements. The 
information required elicits only the amount of information that would 
be useful to the manufacturers in producing high quality emission 
performance, and is complete enough to assist EPA in performing its 
responsibilities to monitor and enforce compliance to the requirements 
of this rule. To facilitate evaluation of this information, EPA is 
developing an interactive, computer-based compliance monitoring system 
that will take advantage of the latest technology available to lower 
compliance monitoring costs for both the manufacturers and EPA.
    EPA expects that the administrative programs for gasoline marine 
engines finalized here will work well and ensure compliance, that 
manufacturers will pursue compliance in good faith, and that the 
environment benefits in accordance with the targeted reductions. 
However, these programs are innovative and are unproven and may not on 
their own ensure such results, EPA is maintaining backstop measures 
such as selective enforcement auditing and mandatory recall. EPA hopes 
that circumstances do not arise that would warrant imposing these 
backstop measures.
1. Pre-Production Certification
    Under sections 203, 206, and 213 of the CAA, all gasoline marine 
engine families must be certified by EPA as meeting applicable emission 
standards before they are introduced into commerce (42 U.S.C. 
7522(a)(1), 7525(a)(1), 7547(d)). In order to meet this requirement, 
manufacturers must submit an Application for Certification that 
identifies the engine family emission limit (i.e., FEL). If the engine 
family conforms to the applicable requirements, EPA issues a 
certificate of conformity. This certificate of conformity allows the 
manufacturer to introduce the engine family into commerce.
    Compliance is on a corporate average basis as explained above in 
section B with respect to the emission standards. Therefore, at the end 
of the model year, the manufacturer must have a net positive or zero 
emission credit balance to be in compliance. In addition, each engine 
family must comply with its certification FEL. If the manufacturer is 
not in compliance, EPA is authorized under sections 206(b) and 213(d) 
to suspend or revoke the applicable certificates of conformity.
    As this regulation is somewhat unique with respect to the emission 
standards and the way in which they are phased-in, EPA is finalizing 
some flexibilities for manufacturers during the early years of the 
phase in of emission standards to help manufacturers convert to the new 
emission control technology as soon as possible while minimizing cost. 
Some unique aspects include phasing in the emission standard by 
targeted percentage emission reduction targets and requiring the entire 
product line to be included in the average during the phase-in. EPA 
believes that focusing the manufacturers investments on the new 
technology that will be introduced, rather than on existing technology 
that will be phased out of production anyway, will promote greater 
emissions reductions over time. Also, some flexibilities add extra 
incentive toward earlier than required reductions (e.g., early 
banking). As the phase in progresses, however, these flexibilities 
cease so that there is not an inadvertant incentive toward the 
continuing production of the higher emitting existing technology. As 
the program is phased-in, some requirements are brought in to 
strengthen the overall corporate average and ensure the numerical 
integrity of the reduction targets, for example, by requiring test 
results rather than the baseline curve to identify existing technology 
FELs. At the end of the phase-in, it is important that all engine 
families have equivalent requirements so as to ensure that the cleanest 
technology is promoted. The compliance flexibilities for the early 
years of the program are described below.
i. Beginning of Emission Standard Phase-In
    Several important flexbilities and provisions exist in the 
beginning of the emission standard phase-in period, as follows.
    Averaging sets: EPA is separating the averaging sets in the 
beginning of the emission standard phase-in but is finalizing a single 
averaging set for model year 2001 and later. EPA thinks the flexibility 
afforded by a single averaging set will greatly facilitate the most 
cost-effective emission reductions over the phase-in period.
    The averaging sets for personal watercraft and outboards are split 
for the first three years of the phase-in. In other words, EPA is 
restricting the use of any positive personal watercraft credits being 
used to offset negative outboard engine credits and vice versa before 
the model year 2001. This initial split in the averaging sets will 
assure that in the early years of the program, control technology is 
being applied to both personal watercraft and outboard engines.
    If the sets were not split, the possibility would exist that 
control could be disproportionately applied to one type of engine over 
the other across the market. Some manufacturers have expressed support 
for split sets in the early years of the program because they are 
concerned with potential negative competitive effects of 
disproportionate application of control technology. EPA is more 
concerned with maintaining a single averaging set for OB/PWC in the 
long term because it promotes economic efficiency and will minimize 
consumer cost in achieving the significant HC reductions contemplated 
in this rule.
    Therefore, the early years of split ABT sets assures that control 
technology is applied to both types of engines and mitigates some 
manufacturers' concern over anti-competitive effects. Yet, limiting 
this restriction to only the first few years of the program assures 
that in the long run the market is encouraged to take advantage of the 
most cost-effective emission reductions across the new sales fleet.
    Early banking: The early banking flexibility allows manufacturers 
to certify their entire product line before the implementation date of 
this rule. The manufacturers would then receive a portion of their 
emissions reductions as banked credits to be used in future years. This 
flexibility allows manufacturers to ease their transition into meeting 
tighter emission standards over time. Most importantly, EPA achieves an 
air quality benefit that would not have otherwise been achieved because 
a portion of the credits generated for environmental benefit is 
retained. The value of the banked credits provides an incentive for 
manufacturers to introduce clean technology earlier than required.
    EPA will allow engines in the outboard averaging set to potentially 
earn credits for model year 1997. To generate credits, a manufacturer 
must meet the 1998 model year emission HC+NOX reduction target on 
a corporate average basis. If the manufacturer meets the 1998 model 
year emission reduction target (i.e., 8.3% corporate average 
reduction), the manufacturer may bank any credits in excess of half the 
1998 model year target (i.e., credits may be banked in excess of a 
4.15% corporate reduction target).

[[Page 52093]]

    EPA will allow engines in the personal watercraft averaging set to 
potentially earn credits for model years 1997 and 1998. Although 
personal watercraft are not required to attain reductions until the 
1999 model year, EPA is finalizing early banking provisions because EPA 
thinks extra flexibility is needed when the standards are first 
implemented to facilitate adoption of control technology, due to the 
additional packaging constraints that personal watercraft manufacturers 
must address. In keeping with the policy for outboard early banking 
credits, if the manufacturer meets the 1998 model year emission 
reduction target (i.e., 8.3% corporate average reduction), the 
manufacturer may bank any credits in excess of half the 1998 model year 
target (i.e., credits may be banked in excess of a 4.15% corporate 
reduction target).
    In addition, for model year 1997, EPA will allow PWC manufacturers 
to bank any credits in excess of half the 1998 model year reduction 
target (i.e., credits may be banked in excess of a 4.15% corporate 
average reduction target). However, for 1997, PWC manufacturers do not 
have to meet the 8.3% reduction target. EPA is relaxing this aspect for 
1997 model year PWC early banking because EPA thinks it will be 
signficantly more difficult for PWC manufacturers to apply control 
technology in 1997 due to packaging constraints. However, outboard 
manufacturers do not have the same difficulties as PWC manufacturers in 
applying control technology and therefore are required to exceed a 8.3% 
corporate reduction to gain 1997 early banking credits.
    Multi-year averaging: EPA will allow manufacturers who cannot 
adequately cover the negative emission credits in their product line 
for certification either in model year 1998 or 1999 to make up the 
required reductions by model year 2000. EPA will allow a maximum of 30% 
of the 1998 model year or 20% of the 1999 model year required 
reductions for outboards to be made up by the 2000 model year. EPA will 
allow a maximum of 50% the 1999 model year required reduction for PWC 
to be made up by the 2000 model year.
    As the implementation of these emission standards begins relatively 
early (i.e., effectively less than one model year after this notice), 
this flexibility is needed because it will be challenging for the 
manufacturers to meet the targeted reduction. However, EPA's concern 
about foregone benefits associated with noncompliance is mitigated 
because the manufacturers must remediate these foregone benefits in the 
future. Thus, EPA is allowing a needed flexibility while at the same 
time ensuring that there are no foregone benefits.
    Existing technology flexibilities: Resources in this industry are 
scarce. Therefore, directing manufacturers investment towards future 
technologies will promote greater emission reductions overall. The 
focus of manufacturer investment and effort should be on the design, 
development, and testing of new, clean technology, rather than on 
existing, uncontrolled technology that will be eliminated anyway. 
Therefore, EPA is implementing a simplified certification process for 
the existing, uncontrolled engines as well as waiving some post-
certification requirements. EPA thinks these flexibilities offer the 
right balance between assuring the manufacturers are achieving the 
targeted reductions and optimizing investment in the control technology 
of the future.
    ``Existing technology'' OB/PWC engine families are considered to be 
those engines in production for the 1997 or previous model years that 
do not utilize newer technologies. The simplified certification process 
for these engines will involve reduced data submission requirements.
    Another flexibility concerns the acceptance of alternative test 
data. In the beginning of the certification program, there will be many 
existing technology engine families in the manufacturers' product 
lines. As testing facilities are somewhat limited and manufacturers 
must begin a concentrated effort to design, certify, produce, and sell 
new technology engines, EPA will allow manufacturers to use surrogate 
data (e.g., previous test results or the baseline curve) to estimate 
the FEL's of existing technology engine families. However, as 
compliance is on a corporate average basis, it is important that FEL's 
be adequately estimated in order to ensure the targeted emission 
reductions are achieved. Therefore, EPA will require that by the end of 
model year 2000, all engine families have certification quality test 
results to represent the FEL's. Further, EPA is requiring that 
manufacturers retroactively apply this data to any existing technology 
engine families that previously used other data (e.g., previous test 
results or the baseline curve) in model years 1998, 1999, or 2000 for 
credit calculation purposes, and by the end of model year 2000 must 
make up any credit shortfalls that may exist from model year 1998, 
1999, and 2000.
    Finally, EPA is offering existing technology engines exemptions 
from the regulations promulgated today for production line testing, 
selective enforcement auditing, and in-use testing; as well as 
regulations for emission defect reporting, reporting of voluntary 
emissions recalls, and warranty provisions (all of these post-
certification programs are described below). These flexibilities will 
be available through the 2003 model year, unless the manufacturers 
commits to a specific schedule on ceasing production of the existing 
technology engine family by the end of model year 2005 and EPA approves 
continued production until then.
ii. Stabilization of Certification Program
    Beginning in model year 2001, all engine families must have FELs 
adequately identified by certification quality test data. Thus, by the 
end of model year 2000, all existing technology engine families that 
had FELs based on other data (e.g., previous test results or the 
baseline curve) must be in compliance in model year 2000 with credits 
that reflect a revised FEL adequately identified by certification 
quality test data. EPA refers to this process as a ``true-up'' of the 
corporate average reduction levels, such that FELs and credit balances 
for model years 1998-2000 will be based on actual test data.
    Beginning in model year 2004, any existing technology engine family 
that the manufacturer intends to continue producing will be required to 
meet the full range of administrative requirements. With the exception 
of existing technology engine families that the manufacturer commits to 
discontinue by the end of model year 2004 or 2005 (and EPA approves), 
the certification process is augmented with production line testing, 
in-use testing, emission-defect reporting, and defect warranty 
requirements.
2. Production Line Testing and Compliance
    As proposed, EPA is finalizing an innovative quality control 
program in which the manufacturer monitors the emissions quality of 
engine families with respect to the engine family emission limit (FEL) 
that the manufacturer chooses for certification. In essence, this 
program assures EPA and the manufacturer that the engines are being 
built as designed.
    EPA is finalizing the marine engine production line testing program 
for the reasons described below, as well as the reasons cited in the 
NPRM and SNPRM. Under this emission compliance program, manufacturers 
test engines as they leave the production line. The

[[Page 52094]]

statistical procedure employed in this program will enable 
manufacturers to select engines at appropriate sampling rates for 
emission testing.
    This program is different than the approach EPA uses for other 
mobile sources, such as on-highway motor vehicles. The more traditional 
approach relied on for assuring that the engines are produced as 
designed for other mobile sources is called Selective Enforcement 
Auditing (SEA). In the SEA program, EPA audits the emissions of new 
production engines by requiring manufacturers to test engines pulled 
off the production line upon short notice. This spot checking approach 
relies largely on the deterrent effect: The premise is that 
manufacturers would design their engines and production processes and 
take other steps necessary to make sure their engines are produced as 
designed and thereby avoid the penalties associated with failing SEA 
tests, should EPA unexpectedly do an audit.
    EPA has taken a different approach in the marine engine production 
line testing program: This program implements a more flexibly organized 
testing regime that acts as a quality control method that manufacturers 
will proactively utilize and monitor to assure compliance. 
Manufacturers will continue to take steps to produce engines within 
statistical tolerances and assure compliance aided by the quality 
control data generated by PLT which will identify poor quality in real 
time.
    As proposed, EPA is employing a statistical procedure known as the 
Cumulative Sum (CumSum) Procedure in the Production Line Testing 
Program that will enable manufacturers to select engines at appropriate 
sampling rates for emission testing and will determine whether 
production line engines are complying on average with emission 
standards. CumSum procedures are used for the detection of changes in 
the average level of a process; this procedure is useful both as an 
assessment tool for EPA and a quality control tool for engine 
manufacturers. The procedure is capable of detecting significant 
changes in the average level of a process, while ignoring minor 
fluctuations that are simply acceptable variation in the process.
    EPA will also finalize a SEA program that will serve as a backstop 
measure should the marine engine production line testing program become 
problematic. For example, if EPA became aware of reporting fraud or 
improper testing procedures, it would be appropriate for EPA to perform 
selective enforcement audits to assure compliance. Additional reasons 
for SEA are discussed in the proposal and supplemental proposal.
    Should production line or SEA testing show that an engine family is 
not complying with its FEL, EPA may suspend or revoke the engine family 
Certificate of Conformity in whole or in part. Before the suspension or 
revocation goes into effect, EPA will work with the manufacturer to 
facilitate approval of the required production line remedy in order to 
eliminate the need to halt production if possible. To have the 
certificate reinstated subsequent to a suspension, or reissued 
subsequent to a revocation, the manufacturer must raise the FEL for the 
applicable production engines or demonstrate by showing passing data 
that improvements, modifications, or replacement have brought the 
engine family into compliance with the existing FEL. If the 
manufacturer raises the FEL, all data accumulated during the model year 
but prior to the FEL change would be recalculated with the new FEL, 
including the certification credits.
    Under the final rule, EPA may allow FEL changes to engines 
previously produced based on PLT testing. EPA is adopting this more 
flexible approach for this rulemaking as a pilot program provision. 
This rulemaking is an appropriate place to try this provision because 
the total scope of the marine requirements include a fairly 
comprehensive production line testing and in-use testing program based 
on the principle of gaining more and better emission information upon 
which to determine compliance. EPA will monitor manufacturers' use of 
FEL changes and may implement appropriate regulatory changes if 
manufacturers are attempting to change FELs to levels that do not 
provide adequate assurance of in-use emission levels (e.g., ``shaving 
FELs'') or gaming the system to skew certification credits at the 
expense of or to the benefit of in-use credits.
    While EPA may allow FEL changes to apply to engines previously 
produced based on PLT data and Administrator approval, EPA has not 
allowed this for Selective Enforcement Auditing (SEA) or as an 
alternative to recall in the past for other mobile sources and is not 
allowing it for SEA or as an alternative to recall of gasoline marine 
engines either. Allowing FEL changes to be made on engines previously 
produced in this rulemaking does not imply that it will be preferred 
for other rulemakings, SEA, or as an alternative to recall in the 
future. EPA thinks it important that the deterrent effect of the SEA 
and recall programs be maintained. Therefore, exceedance of the FEL in 
an SEA may be the basis for recall and exceedance of the FEL in use may 
be the basis for recall or the use of the in-use credit program.
    Both the production line testing and SEA programs are authorized 
under section 206(b) of the CAA, 42 U.S.C. 7525(b). This provision of 
the CAA authorizes EPA to test new production engines to determine 
whether such engines do in fact conform to the emission standards with 
respect to which the certificate of conformity was issued. In addition, 
the Agency may require that a manufacturer test the engines in 
compliance with conditions specified by EPA. Further, section 208(a) 
directs manufacturers to establish and maintain records, perform tests 
where such testing is not otherwise reasonably available under Part A, 
Title II, of the CAA, make reports, and provide information that the 
agency may reasonably require to determine whether the manufacturer has 
complied with applicable emission standards. 42 U.S.C. 7542(a).
3. In-Use Testing and Remediation
    As proposed, EPA is finalizing a manufacturer's in-use testing 
program. This testing will provide information regarding the in-use 
emission performance of engines in relation to the expected in-use 
performance to which the engines were designed and built. Further, the 
Agency is allowing manufacturers to engage in averaging, banking and 
trading of in-use emission credits to reconcile the in-use test results 
as an alternative to mandatory recall. Positive emission credits may be 
generated from an engine family whose average in-use emission 
performance is lower than its FEL and may be used to offset in-use 
emission performance in excess of the FEL by another engine family 
discovered through the in-use testing program. Based on such use of 
credits, EPA would plan on not making a determination that a 
substantial number of engines in the engine family fail to conform with 
the applicable standards.
    Manufacturer based in-use testing is advantageous because it is an 
innovative method of gaining acceptable knowledge of in-use engine 
emission performance. Further, the in-use credit program allows for an 
expedient and appropriate remediation under the circumstances. An 
alternative to mandatory recall is also necessary based on the limited 
ability to conduct effective recalls as discussed in more detail below. 
In the more traditional approach, EPA focuses on targeted audit testing 
wherein the deterrent threat of recalling and fixing engines is 
designed

[[Page 52095]]

to provide incentive to manufacturers to ensure engines comply in-use. 
EPA is finalizing the recall provisions as a backstop measure, yet is 
hopeful that the new approach of the in-use testing program and in-use 
credit program is effective and obviates the need for the Agency to 
consider the recall provisions.
i. In-Use Testing Program
    This program contains elements designed to minimize the burden on 
the industry while maintaining a strong incentive to build engines that 
meet applicable standards when in actual use. Gasoline marine engine 
manufacturers will be subject to an in-use testing period of up to 10 
years or 350 hours (whichever occurs first), except for personal 
watercraft, which would be 5 years or 350 hours of operation (whichever 
occurs first).
    The in-use testing program provides that a portion of a 
manufacturer's engine families will be tested each year and provides 
for greatly reduced testing if the initial engines are in compliance. 
Manufacturers may establish different fleets of engines for their in-
use testing program. Each engine within a fleet must have experienced 
conditions that are representative of actual in-use conditions. EPA 
will provide guidance for manufacturers in establishing proper 
maintenance practices for their in-use testing program.
    Under this program, the manufacturer will have certain discretion 
to establish its own in-use testing program within EPA's guidelines. 
For example, EPA may designate a certain engine family to be tested for 
a particular model year. At that time, the manufacturer can determine 
when and where the in-use testing will take place at its own 
facilities.
    In-use compliance with emission standards will be determined based 
on test results using the same test procedure as that used in 
certification. The in-use testing program is authorized under section 
208(a) of the CAA, 42 U.S.C. 7542(a). Section 208(a) directs 
manufacturers to establish and maintain records, perform tests where 
such testing is not otherwise reasonably available under Part A, Title 
II, of the CAA, make reports, and provide information that the agency 
may reasonably require to determine whether the manufacturer has 
complied with applicable emission standards. 42 U.S.C. 7542(a).
ii. In-Use Credit Program
    EPA is finalizing the marine engine in-use credit program which is 
designed to reduce compliance cost without reducing environmental 
benefits. The program provides manufacturers with flexibility in 
addressing potential in-use noncompliance in a way that EPA agrees 
would avoid the need for a determination of nonconformity under section 
207(c) of the Act, and thereby avoid a recall. As proposed, 
participation in this program is voluntary.
    The flexibility that this program provides is appropriate given the 
particular circumstances of the marine engine industry. In the event 
that engine families fail in-use testing, EPA believes that recalling 
the nonconforming engines would be particularly burdensome and 
impractical for this industry, mainly due to the difficulty of tracking 
the nonconforming engines. If registration with a government entity 
occurs, it is the vessel that is registered, not the vessel's engine; 
manufacturers of marine engines do not typically know in what vessels 
their engines are installed. Tracking the engines would thus be 
cumbersome and difficult, especially because manufacturers estimate 
that the owner moves or the vessel is typically sold about four years 
after the initial purchase. Therefore, recalling the engines would 
likely require substantial resources, yet not be highly effective in 
actually remedying the excess emissions.
    The Agency has the authority to promulgate this in-use credit 
program under the circumstances. The CAA provides that the marine 
engine emission standards, when finalized, shall be subject to section 
207 of the Act, ``with such modifications of the applicable regulations 
* * * as the Administrator deems appropriate.'' 42 U.S.C. 7547(d). 
Section 213 requires engines to comply with emission standards when in 
actual use throughout their regulatory useful lives, and section 207 
requires a manufacturer to remedy in-use nonconformity when EPA 
determines that a substantial number of properly maintained and used 
engines fail to conform with the applicable emission standards. 42 
U.S.C. 7541. Once EPA makes this determination, recall would be 
necessary to remedy the nonconformity. However, under the circumstances 
here, where OB/PWC marine engines use ABT to comply with the emission 
standards at certification and it is expected that recall would be 
impractical and largely ineffective, it is appropriate not to make a 
determination of substantial nonconformity where a manufacturer uses 
ABT to offset in-use noncompliance. Thus, the CAA offers EPA the 
discretion to not make a section 207(c) determination of substantial 
nonconformity where a marine engine manufacturer uses ABT to offset any 
noncompliance with the statute's in-use performance requirements. 
Though the language of section 213(d) is silent on the issue of 
averaging, it allows EPA considerable discretion in determining what 
modifications to the on-highway regulatory scheme are appropriate for 
nonroad engines.
    In-use credits are based upon in-use testing conducted by the 
manufacturer. For a given engine family, the in-use compliance level 
(CL) is determined by averaging the results from in-use testing 
performed for that engine family. If the in-use CL is below the 
applicable FEL to which the engine family is certified, the 
manufacturer will generate in-use credits for that engine family. If 
the in-use CL is above the applicable FEL, the engine family will 
experience a credit deficit. The in-use credit program credits are 
calculated in the same manner as the certification credits, except that 
the basis is the difference between the CL and the FEL, not between the 
FEL and the standard. All other elements of the credit calculation are 
the same, including the use of engine family sales, use, sales-weighted 
power, load factor, and survival probability.
iii. Recall Provisions
    EPA will be actively monitoring and evaluating the results of the 
in-use testing and in-use credit programs so as to ensure that it is 
unnecessary to utilize the recall provisions. However, if these new, 
innovative programs do not produce adequate assurance of corporate in-
use compliance, the recall provisions serve as a backstop that can be 
utilized.
    EPA expects that remedial action under section 207(c) would be 
largely ineffective, both because industry structure and engine owner 
turnover make it difficult for a manufacturer to identify the owners of 
a nonconforming engine, and because safety recalls of marine engines 
have generated little consumer response in the past. This is why the 
in-use credit program is an important element of the overall compliance 
program. However, despite the difficulties associated with recalling 
gasoline marine engines, EPA is finalizing the provisions because the 
in-use credit program is a new and unproven type of program to address 
in-use compliance and EPA thinks that applying the recall subpart makes 
it more direct and expedient to take action if necessary. Section 
213(d) of the CAA provides that new nonroad engines ``shall be 
subject'' to the provisions of sections 206-209 (42 U.S.C. 7547(d)).

[[Page 52096]]

Under section 207(c) of the CAA the Administrator must require 
manufacturers to recall applicable engines if the Administrator 
determines that a substantial number of properly maintained and used 
engines are tested and found not to conform with applicable emissions 
standards when in actual use throughout their useful life. See Center 
for Auto Safety v. EPA, 747 F.2d 1 (D.C. Cir. 1984).
    As proposed, the useful life and in-use testing period for spark-
ignition marine engines will be for 10 years or 350 hours of operation 
(whichever occurs first), except personal watercraft, which would be 5 
years or 350 hours of operation (whichever occurs first). The actual 
repair period for which a manufacturer must remedy nonconformities 
would not be limited by the in-use testing period but by the regulatory 
useful life. Thus any resulting recall may apply to all engines of the 
recall family within the regulatory useful life at the time EPA makes a 
determination of substantial nonconformity. However, the age and hours 
of operation of the engine at the time of repair is not relevant. So 
long as an engine was within its useful life as of the date of the 
nonconformity determination, it is subject to recall repair even if it 
has been operated beyond the useful life period at the time the 
manufacturer recalls the engine or the repair is performed.
    Given the unique nature of the OB/PWC industry, all innovative 
compliance program elements described above, and the complications with 
recall described above for this industry, EPA thinks it appropriate to 
excercise discretion to limit recall repair liability in this rule in 
this way. The Agency does not expect limiting the recall repair 
liability as described above to affect compliance enforcement or the 
emission reductions expected from this rule.4
---------------------------------------------------------------------------

    \4\ EPA's authority to impose recall repair liability is broader 
than EPA chooses to finalize with respect to the marine final 
rulemaking today. See 40 CFR part 85, subpart S, appendix A. See 
also GM v. Ruckelshaus, 742 F.2d 1561 (D.C. Cir. 1984) (en banc), 
cert. denied, 471 U.S. 1074 (1985). The action taken today is 
limited to OB/PWC spark-ignition marine engines and does not affect 
the recall repair liability of other mobile sources. Further, it is 
based on the unique circumstances cited above.
---------------------------------------------------------------------------

4. Consumer Warranty on Emission Components
    In accordance with section 207(a) of the CAA, manufacturers must 
warrant to the ultimate purchaser and any subsequent purchaser, for a 
specified warranty period set by EPA, that the emission related 
components and systems of OB/PWC engines are free from defects in 
material or workmanship which would cause such engine to fail to 
conform with applicable regulations. The statute also requires 
manufacturers to provide a ``time of sale'' warranty that the engine is 
designed, built, and equipped so as to conform at the time of sale with 
applicable emission regulations. See 42 U.S.C. 7541(a)(1). This 
consumer warranty covers both ``major emission control components'' and 
``emission related components''. Major emission control components 
include such items as catalytic converters, exhaust gas recirculation, 
air injection systems, and thermal reactors. Such components have a 
significant effect on the emissions of the engine if they are defective 
or malfunctioning. Emission related components include such systems and 
related sensors as the fuel metering system, ignition system, and air 
induction system. These components affect emission performance but are 
different from major emission control components in that they are not 
designed specifically for emission control.
    EPA has decided to phase-in the defect warranty requirements in the 
early years of the program, gradually increasing the warranty time 
period until in model year 2004 and after the warranty period is 3 
years or 200 hours, whichever comes first, for major emission control 
components and 2 years or 200 hours, whichever comes first, for 
emission related components. For model years 2001, 2002, and 2003, 
emission related components need only be covered for 1 year while the 
major emission control components, which EPA is most concerned about, 
will be warranted for 3 years or 200 hours beginning in 2001. For model 
years 2000 and sooner, major emission control components and emission 
related components need only be covered for a minimum of 1 year.
    Current standard manufacturers warranties of the type this rule 
applies to are one year in length. Some manufacturers offer two year 
warranties, but this is the exception rather than the norm. The 
warranty requirements in this rule double or triple the warranty time 
period for those items related to the emission characteristics of the 
engine. This warranty will help ensure the manufacturing of a durable 
emission system and will require the manufacturer to cover all repairs 
and replacements involving emission related components at no cost to 
the ultimate purchaser during the warranty period.
5. Manufacturer Reporting of Engines With Emission Defects and 
Voluntary Emission Recalls
    The Agency is adopting the proposed emission defect reporting 
regulations which require a manufacturer to file a defect information 
report whenever a manufacturer identifies the existence of a specific 
emission-related defect in 25 or more engines manufactured in the same 
model year. However, no report would need to be filed if the defect was 
corrected prior to the sale of the affected engines to the ultimate 
purchaser. Further, manufacturers must file a report whenever a 
voluntary emission recall is undertaken.
    Reporting of emission defects is important in helping EPA identify 
engine families for in-use testing and assisting in resolution of 
warranty claims and monitoring misbuilds and other emission quality 
issues across manufacturers.
6. Tampering With Emission Components
    In accordance with section 203(a)(3)(A), the Agency is adopting 
provisions that will prohibit tampering with marine engine emission 
components. All persons will be prohibited from tampering with any 
emission-related component or element of design installed on or in a 
marine engine. Marine tampering provisions will help ensure that in-use 
engines remain in certified configurations and continue to comply with 
emission requirements. The Agency has applied the existing policies 
developed for on-highway tampering to engines included in this rule. 
(See Office of Enforcement and General Counsel; Mobile Source 
Enforcement Memorandum No. 1A, June 25, 1974.)
7. Engines Excluded or Exempted From Regulations
    EPA is adopting the proposed regulations which allow manufacturers 
and other persons, where appropriate, to obtain exemptions from 
regulation for certain purposes. These purposes include research, 
investigations, studies, demonstrations, training, or for reasons of 
national security. Export exemptions, manufacturer-owned engine 
exemptions, and some national security exemptions are granted without 
application. Other exemptions are obtained by application.
    Nonconforming engines used solely in competition will be excluded 
from this rule. Engines other than those used in competition may be 
excluded if the Administrator determines that the exclusion is 
necessary because emission

[[Page 52097]]

control modifications would be unsafe, impractical, or highly unlikely 
because of features that are not easily removed.
8. Prohibition on Importation of Uncertified Engines Into the United 
States
    Nonconforming marine engines originally manufactured after the 
effective date of this rule, will not be permitted to be imported for 
purposes of resale, except as specifically permitted by this action. 
This rule provides certain exemptions for various reasons, including 
temporary exemptions for repairs and alterations, testing and display, 
and permanent importation exemptions for national security and certain 
marine engines proven to be identical, in all material respects, to 
their corresponding EPA certified versions.
    The Agency has decided not to establish an independent commercial 
importers (ICI) program for marine engines.
9. Revisions to Small SI (40 CFR part 90) and Large CI (40 CFR part 89) 
Regulations--Added Exemptions
    EPA is finalizing the provisions, as proposed, regarding exemptions 
for other nonroad regulations, including small SI engines and large CI 
engines. No comments were received that opposed these provisions. The 
exemptions for nonroad categories are now comparable to highway 
engines. The finalized provisions include the addition of competition 
exclusion and revised criteria for national security exemption.

V. Discussion of Issues

    This section of the preamble discusses the two most significant 
issues that arose in comments on the NPRM and SNPRM. There are many 
important issues that are not discussed here, rather, that are analyzed 
in the Summary and Analysis of Comments document. This is a separate 
document and is available to the public, as described in the 
Supplementary Information section at the beginning of this preamble. 
Further discussion of the two issues presented here also appear in the 
Summary and Analysis of Comments document.

A. No Sterndrive or Inboard Emission Standards

    A sterndrive or inboard (SD/I) engine is an engine which utilizes a 
four-stroke, automotive style engine block which has been modified 
(i.e., marinized) to facilitate the marine application. The design is 
such that the engine (and drive unit in the case of inboard engines) is 
internal to the hull of the marine vessel. These current, uncontrolled 
SD/I engines are over 85 percent cleaner than existing OB/PWC engines 
for HC. With this rule seeking a 75 percent reduction in emissions from 
OB/PWC engines on average, these SD/I engines will remain comparatively 
cleaner than levels expected to be achieved from regulated OB/PWC by MY 
2006.
    Section 213(a)(3) directs EPA to establish emission standards for 
``classes or categories'' of new nonroad engines which achieve the 
``greatest degree of emission reduction achievable through the 
application of technology * * *, giving appropriate consideration to 
the cost of applying such technology within the period of time 
available to manufacturers'' and other factors. 42 U.S.C. 7545(a)(3). 
In this rulemaking, EPA is treating all marine spark-ignition engines 
as one ``class or category'' of new nonroad engines for which EPA is 
establishing emission standards. SD/Is constitute one subclass or 
subcategory of the marine SI class or category, while OB/PWC 
constitutes another subclass or subcategory. In the SNPRM, EPA 
requested comment on two proposals for SD/I emission standards: (1) \2/
3\ MY 2006 OB/PWC HC+NOX cap SD/I emission standard (with the 
proposed ``postcard cert'' program) or, (2) no SD/I emission standard. 
In general, commenters supported both the SNPRM proposals. After 
further analyzing the comments and both options, EPA is finalizing no 
SD/I emission standards.5
---------------------------------------------------------------------------

    \5\ The Summary and Analysis of Comments document provides a 
full discussion of the comments received on this issue.
---------------------------------------------------------------------------

    EPA has determined that it is appropriate to impose the HC+NOX 
emission standard for OB/PWC described above, and no HC or NOX 
standard for SD/I. EPA believes not imposing an emission standard for 
SD/I engines achieves greater emission reductions from gasoline marine 
engines as a class or category than would imposition of SD/I emission 
standards as proposed in the NPRM or SNPRM, and at less cost to the 
gasoline marine engine industry as a whole. Because there will be no 
costs of regulatory compliance imposed on SD/I engines, these engines 
will become relatively cheaper than regulated OB/PWC. This shift in 
relative cost is expected to encourage manufacturers to offer a greater 
range of SD/I engines, including smaller SD/Is that could compete with 
smaller power output OB/PWC. As a result, EPA expects to realize 
greater emission reductions from the gasoline marine engine category as 
a whole due to some substitution of SD/Is for OB/PWC than would be 
expected to occur with the alternative proposals for SD/I emission 
standards proposed in the NPRM and SNPRM, and at lesser cost.6
---------------------------------------------------------------------------

    \6\ The SNPRM proposal to apply a level of two-thirds of the 
final OB/PWC curve would not require manufacturers to physically 
change the engines. However, to the extent that an emission standard 
imposes costs on SD/I engines, such standards may tend to limit SD/I 
substitution for OB/PWC. Therefore, somewhat less emissions 
reductions would be obtained than if there were no SD/I standard at 
all, while more cost would be imposed on the gasoline marine engine 
industry as a whole.
---------------------------------------------------------------------------

    In the SNPRM, EPA requested comment on whether the imposition of 
SD/I standards at the level proposed in the SNPRM would offer a useful 
backstop against emissions backsliding (i.e. worsening of emissions 
performance) by SD/I. EPA did not receive any comments suggesting a 
concern with potential backsliding. The only comment received indicated 
that the risk of backsliding was low because the market is driven by 
performance and would already have exhibited backsliding if this 
involved a performance increase. Since this is not the case, the 
commenter indicated that backsliding was unlikely.
    EPA believes that emissions backsliding is not a realistic concern 
with SD/I for several reasons. First, these engines have been moving 
toward electronic fuel injection technology to gain better control over 
engine performance, which may also result in better emission 
performance. Second, customer demands for both low odor and low smoke 
discourage manufacturers from selling engines that have higher 
emissions. Third, emission performance of the engine blocks used in 
marine engines is improving because of carryover of on-highway 
emission-related block designs.
    EPA plans to issue guidance to states that provides information on 
the relative emissions from the class or category of gasoline marine 
engines. This guidance will explain that EPA is not finalizing emission 
standards for the subclass or subcategory of SD/I engines because they 
are relatively clean. If at some point in the future it may be 
appropriate to regulate SD/I engines, EPA believes it is generally more 
efficient to regulate SD/I engines on a national basis. Information 
voluntarily provided by industry that exemplifies the emission 
characteristics of the fleet of SD/I engines will be included in the 
guidance. However, EPA is not requiring the reporting of such 
information.

[[Page 52098]]

B. Outboard/Personal Watercraft (OB/PWC) Emission Standards Meet 
Statutory Criteria

    EPA is finalizing an HC+NOX average emission standard, which 
when completely phased-in (model year 2006), will result in at least an 
overall 75 percent reduction in HC emissions from OB/PWC compared to 
baseline levels. The HC emission reduction will come from the use of 
cleaner technologies, such as 2-stroke direct injection, 4-stroke, 
catalyst, or other technologies, for OB/PWC.
    EPA has determined that this standard for the OB/PWC subcategory, 
together with the lack of a standard for SD/I, is appropriate under the 
statutory criteria of CAA section 213(a)(3). In selecting emission 
standards for new nonroad engines, section 213(a)(3) directs EPA to 
establish ``the greatest degree of emission reduction achievable 
through the application of technology* * *, giving appropriate 
consideration to the cost of applying such technology with in the 
period of time available to manufacturers'' and other factors. 42 
U.S.C. 7545(a)(3). The Regulatory Impact Analysis and Summary and 
Analysis of Comments Document further discuss all issues relating to 
the appropriateness of the emission standard according to the statutory 
criteria specified in section 213(a)(3), including technology, cost, 
noise, energy, and safety factors. In assessing the impact of 
techological changes and considering the associated cost impacts, EPA 
analyzed the following among other factors.
    1. The marginal cost-effectiveness of emission control.
    2. Consideration of price elasticity effects.
    3. Spreading capital control costs over time.
    4. The level of the NOX standard and associated technology 
options.
    5. The emission standard structure.
    Based on this analysis, EPA proposed in the NPRM the OB/PWC HC 
standard incorporated into the HC+NOX standard for OB/PWC 
finalized in this action.
    Some commentors questioned the use of marginal cost-effectiveness 
as a consideration in setting the emission standard while other 
commenters supported this approach. The language of section 213(a)(3) 
does not expressly require EPA to use a cost-effectiveness analysis 
when establishing a new nonroad engine standard. However, the language 
does give EPA broad latitude to give consideration to the cost of 
applying new emission reducing technologies. One option that EPA 
retains in giving ``appropriate'' consideration to such cost is to look 
at cost-effectiveness (and also price elasticity effects and the spread 
of capital control costs over time). EPA thinks it appropriate to take 
into consideration marginal cost-effectiveness in setting the gasoline 
marine OB/PWC HC+NOX emission standard because it is a reasonable 
way to take into account the sensitive financial position of the 
industry, the discretionary nature of the purchases and the resulting 
impact on emissions, and the magnitude of investment estimated to 
reduce exhaust emissions. A further discussion of these issues may be 
found in the RIA, the Summary and Analysis, and the two prior 
proposals.
    Figure 1 shows the marginal cost-effectiveness of control 
technology for gasoline marine OB/PWC. This curve represents the 
emission reductions, including the tradeoff between HC and NOX, 
associated with the cost of control technologies for OB/PWC engine 
families. The underlying data is based on manufacturer's best estimates 
of control technology options. EPA's analysis of these estimates has 
concluded that they are reasonable estimates. To the extent that they 
are not exact, EPA nonetheless expects the shape of the curve to remain 
consistent. These conclusions are discussed in more detail throughout 
the Regulatory Impact Analysis.
    EPA has chosen to set the average HC+NOX emission standard at 
an HC reduction of 75 percent from baseline levels. EPA believes that 
the OB/PWC HC+NOX standard adopted today is appropriately based on 
the criteria set out in CAA section 213(a)(3). The standard will 
achieve significant reductions from a previously unregulated category, 
calling for significant investment to develop and apply the 
technological changes needed to achieve these reductions. This 
technology will be available, and will not impose undue costs on either 
the industry or consumers. Beyond this 75 percent level costs 
dramatically rise disproportionately in relation to further reductions. 
The marginal cost-effectiveness curve is practically vertical at the 90 
percent HC reduction level. EPA believes that a 75 percent reduction 
level, at this time, is the appropriate level of reductions based on 
all of the criteria found in CAA section 213(a)(3).

BILLING CODE 6560-50-P

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[GRAPHIC] [TIFF OMITTED] TR04OC96.003



BILLING CODE 6560-50-C

[[Page 52100]]

VI. Regulatory Impact Analysis

    EPA performed a draft Regulatory Impact Analysis (RIA) for the NPRM 
and received comment from the public regarding this draft RIA. Such 
comments are discussed in the Summary and Analysis of Comments Document 
and in the Regulatory Impact Analysis that was revised for this final 
rulemaking. These are separate documents from this preamble and are 
available to the public, as described in the Supplementary Information 
section at the beginning of this preamble. An extensive discussion of 
the emission reduction technology that EPA evaluated may be found in 
the RIA.
    The cost-effectiveness of the program for OB/PWC engines is 
approximately $1000 per ton HC reduced. This number represents EPA's 
estimate of the ratio of the net present value of the annualized costs 
to consumers to the net present value of the annualized national HC 
inventory reduction in tons. These net present values are taken over 
the time horizon in which the fleet is expected to fully turn over. 
This ratio is relatively low compared to most other HC national 
reduction strategies.
    EPA expects that average costs for OB/PWC engines will increase 
modestly, approximately 10-15%, or approximately $700 on the average 
power output engine. These modest increases would potentially be much 
larger if EPA had not structured the emission standard and 
administrative program provisions with the broadest market 
flexibilities possible. This action is designed to provide 
manufacturers with the utmost flexibility to find the lowest cost 
solutions to meeting the emission reduction targets.
    Table 3 shows approximate percent reductions in the national OB/PWC 
HC inventory that this regulation will produce. Emission reductions are 
achieved via fleet turnover and thus the 75 percent reduction is not 
approached until years after the implementation date. The time horizon 
for complete fleet turnover is very long for gasoline marine engines, 
potentially up to 50 years for some engines.

                Table 3.--Projected Inventory Reductions                
------------------------------------------------------------------------
                                                               Percent  
                                                              reduction 
                            Year                              in OB/PWC 
                                                                  HC    
                                                              inventory 
------------------------------------------------------------------------
2000.......................................................            4
2005.......................................................           26
2010.......................................................           52
2015.......................................................           68
2020.......................................................           73
2030.......................................................           75
2040.......................................................           75
2050.......................................................           75
------------------------------------------------------------------------

VII. Administrative Requirements

A. Reporting and Recordkeeping Requirements

    The information collection requirements in this rule have been 
submitted for approval to the Office of Management and Budget (OMB) 
under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. EPA prepared 
eight Information Collection Request (ICR) documents for the NPRM. Two 
ICRs were approved before publication of the SNPRM and new ICRs were 
submitted as a result of the revised proposals. Copies of the ICR 
documents may be obtained from Sandy Farmer, Information Policy Branch; 
EPA; 401 M St., SW. (mail code 2136); Washington, DC 20460 or by 
calling (202) 260-2740.
    The eight ICR documents that have been prepared are:

------------------------------------------------------------------------
 EPA ICR                                                                
 document                       Type of information                     
  number                                                                
------------------------------------------------------------------------
1722.01..  Certification/AB&T.                                          
282.07...  Emission Defect Information.                                 
1723.01..  Importation of Nonconforming Engines.                        
1724.01..  Selective Enforcement Auditing.                              
0012.08..  Engine Exclusion Determination.                              
0095.07..  Precertification and Testing Exemption.                      
1725.01..  Manufacturers' Assembly Line Testing.                        
1726.01..  Manufacturers' In-use Testing.                               
1763.....  In-Use Credit Program.                                       
------------------------------------------------------------------------

    Each ICR document estimates the public reporting, recordkeeping, 
and testing burden for collecting the specified information, including 
time for reviewing instructions, searching existing data sources, 
gathering and maintaining the data needed, and completing the 
collection of information. EPA estimates that the public burden for the 
collection of information for all ICRs under the final rule as a whole 
would average approximately 6,900 hours annually for a typical engine 
manufacturer. This estimate is based on the revised estimates submitted 
as a result of the proposals. The original estimates included estimates 
of very low burden for some small manufacturers (such as gasoline SD/I 
manufacturers) and smaller estimates for compression-ignition diesel 
engine manufacturers that produced a lower average number in the 
previous proposals. The hours spent by a manufacturer for information 
collection activities in any given year would be highly dependent upon 
manufacturer specific variables, such as the number of engine families, 
production changes, emissions defects, etc.
    Send comments regarding the burden estimate or any other aspect of 
this collection of information, including suggestions for reducing this 
burden to Chief, Information Policy Branch, EPA, 401 M Street, SW. (PM-
223Y), Washington, DC 20460; and to the Office of Information and 
Regulatory Affairs, Office of Management and Budget, Washington, DC 
20503, marked ``Attention: Desk Officer for EPA.''

B. Impact on Small Entities

    EPA has determined that the final regulations do not have a 
significant impact on a substantial number of small entities. This is 
largely because the final rulemaking does not apply to SD/I or diesel 
compression-ignition (CI) engines. As explained in the SNPRM, EPA 
proposed many flexibilities for SD/I and diesel CI manufacturers 
because of EPA concerns regarding the significant impact on a 
substantial number of small manufacturers of SD/I or diesel CI engines. 
However, EPA is not finalizing emission standards for SD/I or diesel CI 
engines.
    EPA does not think the final rule being promulgated will have a 
significant impact on a substantial number of small entities primarily 
because there is not a substantial number of small OB/PWC manufacturers 
which this rule affects. One OB/PWC manufacturer who commented on the 
rule may be considered a small entity by virtue of having less than 500 
employees for parent company and subsidiaries. EPA suspects that there 
is one additional manufacturer that may qualify as a small entity. The 
other OB/PWC manufacturers exceed the applicable size standard for the 
relevant type of small business as established by the Small Business 
Administration. Therefore, it appears that there may be at most two 
small entities affected by this rule.
    EPA is finalizing many flexibilities for smaller volume OB/PWC 
engine manufacturers and smaller volume engine families. Also, EPA has 
taken into consideration the potential competitive impacts on some 
smaller volume manufacturers in finalizing

[[Page 52101]]

provisions relating to averaging emissions across OB and PWC products. 
The Summary and Analysis of Comments addresses these flexibilities and 
competitive concerns.

C. Submission to Congress and the General Accounting Office

    Under 5 U.S.C. 801(a)(1)(A) as added by the Small Business 
Regulatory Enforcement Fairness Act of 1996, EPA submitted a report 
containing this rule and other required information to the U.S. Senate, 
the U.S. House of Representatives and the Comptroller General of the 
General Accounting Office prior to publication of the rule in today's 
Federal Register. This rule is a ``major rule'' as defined by 5 U.S.C. 
804(a).

D. Executive Order 12866

    Under Executive Order 12866,7 the Agency must determine 
whether the regulatory action is ``significant'' and therefore subject 
to review by OMB and the requirements of the Executive Order. The Order 
defines ``significant regulatory action'' as one that is likely to 
result in a rule that may:
---------------------------------------------------------------------------

    \7\ 58 FR 51735 (October 4, 1993).
---------------------------------------------------------------------------

    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy, a sector of the 
economy, productivity, competition, jobs, the environment, public 
health or safety, or state, local, or tribal governments or 
communities;
    (2) Create a serious inconsistency or otherwise interfere with an 
action taken or planned by another agency;
    (3) Materially alter the budgetary impact of entitlements, grants, 
user fees, or loan programs or the rights and obligations of recipients 
thereof; or
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
the Executive Order.
    Pursuant to the terms of Executive Order 12866, the Agency has 
determined that this rulemaking is a ``significant regulatory action'' 
because it may have an annual effect on the economy of $100 million or 
more or may adversely affect in a material way that sector of the 
economy involved with the production of gasoline marine engines. As 
such, this action was submitted to OMB for review. Changes made in 
response to OMB suggestions or recommendations will be documented in 
the public record.

E. Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Pub. 
L. 104-4, establishes requirements for Federal agencies to assess the 
effects of their regulatory actions on State, local, and tribal 
governments and the private sector. Under section 202 of the UMRA, EPA 
generally must prepare a written statement, including a cost-benefit 
analysis, for proposed and final rules with ``Federal mandates'' that 
may result in expenditures to State, local, and tribal governments, in 
the aggregate, or to the private sector, of $100 million or more in any 
one year. Before promulgating an EPA rule for which a written statement 
is needed, section 205 of the UMRA generally requires EPA to identify 
and consider a reasonable number of regulatory alternatives and adopt 
the least costly, most cost-effective or least burdensome alternative 
that achieves the objectives of the rule. The provisions of section 205 
do not apply when they are inconsistent with applicable law. Moreover, 
section 205 allows EPA to adopt an alternative other than the least 
costly, most cost-effective or least burdensome alternative if the 
Administrator publishes with the final rule an explanation why that 
alternative was not adopted. Before EPA establishes any regulatory 
requirements that may significantly or uniquely affect small 
governments, including tribal governments, it must have developed under 
section 203 of the UMRA a small government agency plan. The plan must 
provide for notifying potentially affected small governments, enabling 
officials of affected small governments to have meaningful and timely 
input in the development of EPA regulatory proposals with significant 
Federal intergovernmental mandates, and informing, educating, and 
advising small governments on compliance with the regulatory 
requirements.
    Today's rule contains no Federal intergovernmental mandates (under 
the regulatory provisions of Title II of the UMRA) because there are no 
enforceable duties on State, local, or tribal governments. However, EPA 
has determined that this rule contains a Federal mandate that may 
result in expenditures of $100 million or more for the marine industry 
in any one year. Accordingly, EPA has prepared under section 202 of the 
UMRA a written statement which is included in the Regulatory Impact 
Analysis (RIA). A qualitative and quantitative assessment of the 
anticipated benefits and costs of this rule is available in the written 
statement included in the RIA. In summary, this rule achieves 
reductions in HC which will contribute to the reduction of VOCs and 
ozone in ozone nonattainment areas throughout the U.S. The cost-
effectiveness of this rule is approximately $1000 per ton HC reduced. 
The annualized costs of this rulemaking exceed $300 million in 2006, 
which is roughly 7% of projected retail expenditures on OB/PWC in that 
year. The average cost for OB/PWC engines will increase approximately 
10-15% or $700 on the average power output engine.
    EPA identified and considered a range of options in its proposal of 
this rule, as described in detail in the NPRM and SPNRM. In finalizing 
this rule, EPA has adopted the least costly, most cost-effective or 
least burdensome alternative that achieves the objectives of the rule 
and complies with the Agency's statutory mandate under section 
213(a)(3) of the Clean Air Act.

List of Subjects

40 CFR Part 89

    Environmental protection, Administrative practice and procedure, 
Air pollution control, Confidential business information, Imports, 
Incorporation by reference, Labeling, Nonroad source pollution, 
Reporting and recordkeeping requirements.

40 CFR Part 90

    Environmental protection, Administrative practice and procedure, 
Air pollution control, Confidential business information, Imports, 
Incorporation by reference, Labeling, Nonroad source pollution, 
Reporting and recordkeeping requirements.

40 CFR Part 91

    Environmental protection, Administrative practice and procedure, 
Air pollution control, Confidential business information, Imports, 
Incorporation by reference, Labeling, Nonroad source pollution, 
Reporting and recordkeeping requirements.

    Dated: July 31, 1996.
Carol M. Browner,
Administrator.

    For the reasons set out in the preamble, title 40, chapter I of the 
Code of Federal Regulations is amended as follows:

PART 89--[AMENDED]

    1. The authority citation for part 89 continues to read as follows:

    Authority: Sections 202, 203, 204, 205, 206, 207, 208, 209, 213, 
215, 216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 
7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, 
and 7601(a)).


[[Page 52102]]


    2. Section 89.2 is amended by revising the definition of ``new'' to 
read as follows:


Sec. 89.2   Definitions.

* * * * *
    New for purposes of this part, means a nonroad engine, nonroad 
vehicle, or nonroad equipment the equitable or legal title to which has 
never been transferred to an ultimate purchaser until after the engine, 
vehicle, or equipment is placed into service, then the engine, vehicle, 
or equipment will no longer be new after it is placed into service. A 
nonroad engine, vehicle, or equipment is placed into service when it is 
used for its functional purposes. With respect to imported nonroad 
engines, nonroad vehicles, or nonroad equipment, the term ``new'' means 
an engine, vehicle, or piece of equipment that is not covered by a 
certificate of conformity issued under this part at the time of 
importation, and that is manufactured after the effective date of a 
regulation issued under this part which is applicable to such engine, 
vehicle, or equipment (or which would be applicable to such engine, 
vehicle, or equipment had it been manufactured for importation into the 
United States.
* * * * *
    3. Section 89.908 is revised to read as follows:


Sec. 89.908   National security exemption.

    (a)(1) Any nonroad engine, otherwise subject to this part, which is 
used in a vehicle that exhibits substantial features ordinarily 
associated with military combat such as armor and/or permanently 
affixed weaponry and which will be owned and/or used by an agency of 
the federal government with responsibility for national defense, will 
be considered exempt from these regulations for purposes of national 
security. No request for exemption is necessary.
    (2) Manufacturers may request a national security exemption for any 
nonroad engine, otherwise subject to this part, which does not meet the 
conditions described in paragraph (a)(1) of this section. A 
manufacturer requesting a national security exemption must state the 
purpose for which the exemption is required and the request must be 
endorsed by an agency of the federal government charged with 
responsibility for national defense.
    (b) EPA will maintain a list of models of nonroad engines (and the 
vehicles which use them) that have been granted a national security 
exemption under paragraph (a)(2) of this section. This list will be 
available to the public and may be obtained by writing to the following 
address: Group Manager, Engine Compliance Programs Group, Engine 
Programs and Compliance Division (6403J) Environmental Protection 
Agency, 401 M Street SW, Washington, DC 20460.

PART 90--[AMENDED]

    4. The authority citation for part 90 continues to read as follows:

    Authority: Sections 203, 204, 205, 206, 207, 208, 209, 213, 215, 
216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 7522, 
7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and 7601(a)).

    5. Section 90.903 is revised to read as follows:


Sec. 90.903  Exclusions, application of section 216 (10) and (11) of 
the Act.

    (a) For the purpose of determining the applicability of section 
216(10) of the Act, an internal combustion engine (including the fuel 
system) that is not used in a motor vehicle is deemed a nonroad engine, 
if it meets the definition in subpart A of this part. For the purpose 
of determining the applicability of section 216(11) of the Act, a 
vehicle powered by a nonroad engine is deemed a nonroad vehicle, if it 
meets the definition in subpart A of this part.
    (b) EPA will maintain a list of models of nonroad engines and 
models of nonroad vehicles that have been determined to be excluded 
because they are used solely for competition. This list will be 
available to the public and may be obtained by writing to the following 
address: Group Manager, Engine Compliance Programs Group, Engine 
Programs and Compliance Division (6403J) Environmental Protection 
Agency, 401 M Street SW., Washington, DC 20460.
    (c) Upon written request with supporting documentation, EPA will 
make written determinations as to whether certain engines are or are 
not nonroad engines. Engines that are determined not to be nonroad 
engines are excluded from regulations under this part.
    6. Section 90.908 is revised to read as follows:


Sec. 90.908  National security exemption.

    (a)(1) Any nonroad engine, otherwise subject to this part, which is 
used in a vehicle or equipment that exhibits substantial features 
ordinarily associated with military combat such as armor and/or 
permanently affixed weaponry and which will be owned and/or used by an 
agency of the federal government with responsibility for national 
defense, will be considered exempt from this part for purposes of 
national security. No request for exemption is necessary.
    (2) Manufacturers may request a national security exemption for any 
nonroad engine, otherwise subject to this part, which does not meet the 
conditions described in paragraph (a)(1) of this section. A 
manufacturer requesting a national security exemption must state the 
purpose for which the exemption is required and the request must be 
endorsed by an agency of the federal government charged with 
responsibility for national defense.
    (b) EPA will maintain a list of models of nonroad engines (and the 
vehicles or equipment which use them) that have been granted a national 
security exemption under paragraph (a)(2) of this section. This list 
will be available to the public and may be obtained by writing to the 
following address: Group Manager, Engine Compliance Programs Group, 
Engine Programs and Compliance Division (6403J) Environmental 
Protection Agency, 401 M Street SW., Washington, DC 20460.
    7. Part 91 is added to read as follows:

PART 91--CONTROL OF EMISSIONS FROM MARINE SPARK-IGNITION ENGINES

Subpart A--General

Sec.
91.1  Applicability.
91.2  Applicable date.
91.3  Definitions.
91.4  Acronyms and abbreviations.
91.5  Table and figure numbering; position.
91.6  Reference materials.
91.7  Treatment of confidential information.

Subpart B--Emission Standards and Certification Provisions

91.101  Applicability.
91.102  Definitions.
91.103  Averaging, banking, and trading of exhaust emission credits.
91.104  Exhaust emission standards for outboard and personal 
watercraft engines.
91.105  Useful life period, recall, and warranty periods.
91.106  Certificate of conformity.
91.107  Application for certification.
91.108  Certification.
91.109  Requirement of certification--closed crankcase.
91.110  Requirement of certification--prohibited controls.
91.111  Requirement of certification--prohibition of defeat devices.
91.112  Requirement of certification--adjustable parameters.
91.113  Requirement of certification--emission control information 
label and engine identification number.

[[Page 52103]]

91.114  Requirement of certification--supplying production engines 
upon request.
91.115  Certification procedure--determining engine power and engine 
families.
91.116  Certification procedure--test engine selection.
91.117  Certification procedure--service accumulation.
91.118  Certification procedure--testing.
91.119  Certification procedure--use of special test procedures.
91.120  Compliance with Family Emission Limits over useful life.
91.121  Certification procedure--recordkeeping.
91.122  Amending the application and certificate of conformity.
91.123  Denial, revocation of certificate of conformity.
91.124  Request for hearing.
91.125  Hearing procedures.
91.126  Right of entry and access.
Subpart C--Averaging, Banking, and Trading Provisions
91.201  Applicability.
91.202  Definitions.
91.203  General provisions.
91.204  Averaging.
91.205  Banking.
91.206  Trading.
91.207  Credit calculation and manufacturer compliance with emission 
standards.
91.208  Certification.
91.209  Maintenance of records.
91.210  End-of-year and final reports.
91.211  Notice of opportunity for hearing.

Subpart D--Emission Test Equipment Provisions

91.301  Scope; applicability.
91.302  Definitions.
91.303  Acronyms and abbreviations.
91.304  Test equipment overview.
91.305  Dynamometer specifications and calibration accuracy.
91.306  Dynamometer torque cell calibration.
91.307  Engine cooling system.
91.308  Lubricating oil and test fuel.
91.309  Engine intake air temperature measurement.
91.310  Engine intake air humidity measurement.
91.311  Test conditions.
91.312  Analytical gases.
91.313  Analyzers required.
91.314  Analyzer accuracy and specifications.
91.315  Analyzer initial calibration.
91.316  Hydrocarbon analyzer calibration.
91.317  Carbon monoxide analyzer calibration.
91.318  Oxides of nitrogen analyzer calibration.
91.319  NOX converter check.
91.320  Carbon dioxide analyzer calibration.
91.321  NDIR analyzer calibration.
91.322  Calibration of other equipment.
91.323  Analyzer bench checks.
91.324  Analyzer leakage check.
91.325  Analyzer interference checks.
Appendix A to Subpart D of Part 91--Tables
91.326  Pre- and post-test analyzer calibration.
91.327  Sampling system requirements.
91.328  Measurement equipment accuracy/calibration frequency table.
91.329  Catalyst thermal stress test.
Appendix  B to Subpart D of Part 91--Figures

Subpart  E--Gaseous Exhaust Test Procedures

91.401  Scope; applicability.
91.402  Definitions.
91.403  Symbols and abbreviations.
91.404  Test procedure overview.
91.405  Recorded information.
91.406  Engine parameters to be measured and recorded.
91.407  Engine inlet and exhaust systems.
91.408  Pre-test procedures.
91.409  Engine dynamometer test run.
91.410  Engine test cycle.
91.411  Post-test analyzer procedures.
91.412  Data logging.
91.413  Exhaust sample procedure--gaseous components.
91.414  Raw gaseous exhaust sampling and analytical system 
description.
91.415  Raw gaseous sampling procedures.
91.416  Intake air flow measurement specifications.
91.417  Fuel flow measurement specifications.
91.418  Data evaluation for gaseous emissions.
91.419  Raw emission sampling calculations.
91.420  CVS concept of exhaust gas sampling system.
91.421  Dilute gaseous exhaust sampling and analytical system 
description.
91.423  Exhaust gas analytical system; CVS grab sample.
91.424  Dilute sampling procedure--CVS calibration.
91.425  CVS calibration frequency.
91.426  Dilute emission sampling calculations.
91.427  Catalyst thermal stress resistance evaluation.
Appendix A to Subpart E of Part 91--Tables
Appendix B to Subpart E of Part 91--Figures

Subpart F--Manufacturer Production Line Testing Program

91.501  Applicability.
91.502  Definitions.
91.503  Production Line Testing by the Manufacturer.
91.504  Maintenance of records; submittal of information.
91.505  Right of entry and access.
91.506  Engine sample selection.
91.507  Test procedures.
91.508  Cumulative Sum (CumSum) Procedure.
91.509  Calculation and reporting of test results.
91.510  Compliance with criteria for production line testing.
91.511  Suspension and revocation of certificates of conformity.
91.512  Request for public hearing.
91.513  Administrative procedures for public hearing.
91.514  Hearing procedures.
91.515  Appeal of hearing decision.
91.516  Treatment of confidential information.
Subpart G--Selective Enforcement Auditing Regulations
91.601  Applicability.
91.602  Definitions.
91.603  Applicability of part 91, subpart F.
91.604  Test orders.
91.605  Testing by the Administrator.
91.606  Sample selection.
91.607  Test procedures.
91.608  Compliance with acceptable quality level and passing and 
failing criteria for selective enforcement audits.
Appendix A to Subpart G of Part 91--Sampling Plans for Selective 
Enforcement Auditing of Marine Engines
Subpart H--Importation of Nonconforming Marine Engines
91.701  Applicability...
91.702  Definitions.
91.703  Admission.
91.704  Exemptions and exclusions.
91.705  Prohibited acts; penalties.
91.706  Treatment of confidential information.
Subpart I--In-Use Testing and Recall Regulations
91.801  Applicability.
91.802  Definitions.
91.803  Manufacturer in-use testing program.
91.804  Maintenance, procurement and testing of in-use engines.
91.805  In-use test program reporting requirements.
91.806  Voluntary emissions recall.
Subpart J--Emission-Related Defect Reporting Requirements, Voluntary 
Emission Recall Program
91.901  Applicability.
91.902  Definitions.
91.903  Applicability to Part 85, subpart T.
91.904  Voluntary emission recall.
91.905  Reports, voluntary recall plan filing, record retention.
91.906  Responsibility under other legal provisions preserved.
91.907  Disclaimer of production warranty applicability.
Subpart K--Exclusion and Exemption of Marine SI Engines
91.1001  Applicability.
91.1002  Definitions.
91.1003  Exclusions based on section 216(10) of the Act.
91.1004  Who may request an exemption.
91.1005  Testing exemption.
91.1006  Manufacturer-owned exemption and precertification 
exemption.
91.1007  Display exemption.
91.1008  National security exemption.
91.1009  Export exemptions.
91.1010  Granting of exemptions.
91.1011  Submission of exemption requests.
91.1012  Treatment of confidential information.
Subpart L--Prohibited Acts and General Enforcement Provisions
91.1101  Applicability.
91.1102  Definitions.
91.1103  Prohibited acts.
91.1104  General enforcement provisions.

[[Page 52104]]

91.1105  Injunction proceedings for prohibited acts.
91.1106  Penalties.
91.1107  Warranty provisions.
91.1108  In-use compliance provisions.
Subpart M--Emission Warranty and Maintenance Instructions
91.1201  Applicability.
91.1202  Definitions.
91.1203  Emission warranty, warranty period.
91.1204  Furnishing of maintenance and use instructions to ultimate 
purchaser.
Subpart N--In-Use Credit Program for New Marine Engines
91.1301  Applicability.
91.1302  Definitions.
91.1303  General provisions.
91.1304  Averaging.
91.1305  Banking.
91.1306  Trading.
91.1307  Credit calculation.
91.1308  Maintenance of records.
91.1309  Reporting requirements.
91.1310  Notice of opportunity for hearing.

    Authority: Secs. 203, 204, 205, 206, 207, 208, 209, 213, 215, 
216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 7522, 
7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and 7601(a)).

Subpart A--General


Sec. 91.1  Applicability.

    (a) This part and all its subparts apply to marine spark-ignition 
engines used to propel marine vessels as defined in the General 
Provisions of the United States Code, 1 U.S.C.3 (1992), unless 
otherwise indicated.
    (b) Sterndrive and inboard engines are exempt from this part.
    (c) Existing technology OB/PWC are exempt from Sec. 91.112 and 
subparts D, E, F, G, I (Secs. 91.803 through 91.805), J, M and N 
through model year 2003.


Sec. 91.2  Applicable date.

    This part applies to marine spark-ignition engines beginning with 
the 1998 model year, except where otherwise specified.


Sec. 91.3  Definitions.

    The following definitions apply to this part 91. All terms not 
defined herein have the meaning given them in the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et.seq.
    Adjustable parameter means any device, system, or element of design 
which is physically capable of being adjusted (including those which 
are difficult to access) and which, if adjusted, may affect emissions 
or engine performance during emission testing or normal in-use 
operation.
    Administrator means the Administrator of the Environmental 
Protection Agency or his or her authorized representative.
    Auxiliary emission control device means any element of design that 
senses temperature, engine speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.
    Certification means, with respect to new SI marine engines, 
obtaining a certificate of conformity for an engine family complying 
with the marine SI engine emission standards and requirements specified 
in this part.
    Emission control system means any device, system, or element of 
design which controls or reduces the emission of substances from an 
engine.
    Engine as used in this part, refers to marine SI engine.
    Engine family means a group of engines, as specified in 
Sec. 91.115.
    EPA enforcement officer means any officer, employee, or authorized 
representative of the U.S. Environmental Protection Agency so 
designated in writing by the Administrator (or by his or her designee).
    Exhaust emissions means matter emitted into the atmosphere from any 
opening downstream from the exhaust port of a marine engine.
    Existing technology OB/PWC means an outboard engine or a personal 
watercraft engine which was in production for the 1997 or any previous 
model years and that did not utilize newer technologies such as four-
stroke technology, direct-injection two-stroke technology, catalyst 
technology, or other technology used to comply with emission standards 
which the Administrator determines is a new type of OB/PWC technology.
    Family Emission Limit (FEL) means an emission level that is 
declared by the manufacturer to serve in lieu of an emission standard 
for certification and for the averaging, banking, and trading program. 
A FEL must be expressed to the same number of decimal places as the 
applicable emission standard.
    Fuel system means all components involved in the transport, 
metering, and mixture of the fuel from the fuel tank to the combustion 
chamber(s) including the following: Fuel tank, fuel tank cap, fuel 
pump, fuel lines, oil injection metering system, carburetor or fuel 
injection components, and all fuel system vents.
    Gross power means the power measured at the crankshaft or its 
equivalent (for outboards, the power may be measured at the propeller 
shaft), the engine being equipped only with the standard accessories 
(such as oil pumps, coolant pumps, and so forth) necessary for its 
operation on the test bed.
    Identification number means a unique specification (for example, 
model number/serial number combination) which allows a particular 
marine SI engine to be distinguished from other similar engines.
    Inboard engine means a four stroke marine SI engine that is 
designed such that the propeller shaft penetrates the hull of the 
marine vessel while the engine and the remainder of the drive unit is 
internal to the hull of the marine vessel.
    Marine spark-ignition engine means any engine used to propel a 
marine vessel, which utilizes the spark-ignition combustion cycle.
    Marine engine manufacturer means any person engaged in the 
manufacturing or assembling of new marine SI engines or the importing 
of such engines for resale, or who acts for and is under the control of 
any such person in connection with the distribution of such engines. A 
marine SI engine manufacturer does not include any dealer with respect 
to new marine SI engines received by such person in commerce.
    Marine vessel means every description of watercraft or another 
artificial contrivance used, or capable of being used, as a means of 
transportation on water, as defined in 1 U.S.C. 3 (1992).
    Marine vessel manufacturer means any person engaged in the 
manufacturing or assembling of new marine vessels or importing such 
marine vessels for resale, or who acts for and is under the control of 
any such person in connection with the distribution of such vehicles. A 
marine vessel manufacturer does not include any dealer with respect to 
new marine vessels received by such person in commerce.
    Model year means the manufacturer's annual new model production 
period which includes January 1 of the calendar year for which the 
model year is named, ends no later than December 31 of the calendar 
year, and does not begin earlier than January 2 of the previous 
calendar year. Where a manufacturer has no annual new model production 
period, model year means the calendar year.
    New, for purposes of this part, means a nonroad engine, nonroad 
vehicle, or nonroad equipment the equitable or legal title to which has 
never been transferred to an ultimate purchaser. Where the equitable or 
legal title to the engine, vehicle or equipment is not transferred to 
an ultimate purchaser

[[Page 52105]]

until after the engine, vehicle, or equipment is placed into service, 
then the engine, vehicle, or equipment will no longer be new after it 
is placed into service. A nonroad engine, vehicle, or equipment is 
placed into service when it is used for its functional purposes. With 
respect to imported nonroad engines, nonroad vehicles, or nonroad 
equipment, the term ``new'' means an engine, vehicle, or piece of 
equipment that is not covered by a certificate of conformity issued 
under this part at the time of importation, and that is manufactured 
after the effective date of a regulation issued under this part which 
is applicable to such engine, vehicle, or equipment, or which would be 
applicable to such engine, vehicle, or equipment had it been 
manufactured for importation into the United States.
    Nonroad engine has the meaning as defined in 40 CFR 89.2.
    Nonroad vehicle has the meaning as defined in 40 CFR 89.2.
    Nonroad equipment has the meaning as defined in 40 CFR 89.2.
    Operating hours means:
    (1) For engine storage areas or facilities, all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the storage area or facility and have access to it.
    (2) For all other areas or facilities, all times during which an 
assembly line is in operation or all times during which testing, 
maintenance, service accumulation, production or compilation of 
records, or any other procedure or activity related to certification 
testing, to translation of designs from the test stage to the 
production stage, or to engine manufacture or assembly is being carried 
out in a facility.
    Outboard engine is a marine SI engine that, when properly mounted 
on a marine vessel in the position to operate, houses the engine and 
drive unit external to the hull of the marine vessel.
    Personal watercraft engine (PWC) is a marine SI engine that does 
not meet the definition of outboard engine, inboard engine or 
sterndrive engine, except that the Administrator in his or her 
discretion may classify a PWC as an inboard or sterndrive engine if it 
is comparable in technology and emissions to an inboard or sterndrive 
engine.
    Presentation of credentials means the display of the document 
designating a person as an EPA enforcement officer or EPA authorized 
representative.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of components or systems required 
by the manufacturer to be performed on a periodic basis to prevent part 
failure or marine vessel or engine malfunction, or those actions 
anticipated as necessary to correct an overt indication of malfunction 
or failure for which periodic maintenance is not appropriate.
    Sterndrive engine means a four stroke marine SI engine that is 
designed such that the drive unit is external to the hull of the marine 
vessel, while the engine is internal to the hull of the marine vessel.
    Test engine means the engine or group of engines that a 
manufacturer uses during certification, production line and in-use 
testing to determine compliance with emission standards.
    Ultimate purchaser means, with respect to any new marine SI engine 
the first person who in good faith purchases such new marine SI engine 
for purposes other than resale.
    Used solely for competition means exhibiting features that are not 
easily removed and that would render its use other than in competition 
unsafe, impractical, or highly unlikely.
    Warranty period means the period of time the engine or part is 
covered by the warranty provisions.


Sec. 91.4  Acronyms and abbreviations.

    The following acronyms and abbreviations apply to this part 91.
AECD--Auxiliary emission control device
ASME--American Society of Mechanical Engineers
ASTM--American Society for Testing and Materials
CAA--Clean Air Act
CAAA--Clean Air Act Amendments of 1990
CLD--chemiluminescent detector
CO--Carbon monoxide
CO2--Carbon dioxide
EPA--Environmental Protection Agency
FEL--Family Emission Limit
g/kw-hr--grams per kilowatt hour
HC--hydrocarbons
HCLD--heated chemiluminescent detector
HFID--heated flame ionization detector
ICI--Independent Commercial Importer
MY--Model Year
NDIR--non-dispersive infrared analyzer
NIST--National Institute for Standards and Testing
NO--Nitric oxide
NO2--Nitrogen dioxide
NOX--Oxides of nitrogen
OB--Outboard engine
O2--Oxygen
OEM--Original engine manufacturer
PMD--paramagnetic detector
PWC--personal watercraft
RPM--revolutions per minute
SAE--Society of Automotive Engineers
SEA--Selective Enforcement Auditing
SI--Spark-ignition
U.S.C.--United States Code
VOC--Volatile organic compounds
ZROD--zirconium dioxide sensor


Sec. 91.5  Table and figure numbering; position.

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


Sec. 91.6  Reference materials.

    (a) Incorporation by reference. The documents in paragraph (b) of 
this section have been incorporated by reference. The incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at U.S. EPA, OAR, Air and Radiation Docket and Information 
Center, 401 M Street, SW., Washington, DC 20460, or at the Office of 
the Federal Register, 800 N. Capitol St. NW., 7th Floor, Suite 700, 
Washington, DC 20001.
    (b) The following paragraphs and tables set forth the material that 
has been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth material from the 
American Society for Testing and Materials which has been incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section(s) of this part, other 
than Sec. 91.6, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from American Society for Testing and 
Materials, 1916 Race St., Philadelphia, PA 19103.

[[Page 52106]]



------------------------------------------------------------------------
   Document number and name             40 CFR part 91 reference        
------------------------------------------------------------------------
ASTM D86-93:                                                            
    Standard Test Method for   Appendix A to Subpart D.                 
     Distillation of                                                    
     Petroleum Products.                                                
ASTM D323-90:                                                           
    Standard Test Method for   Appendix A to Subpart D.                 
     Vapor Pressure of                                                  
     Petroleum Products (Reid                                           
     Method).                                                           
ASTM D1319-93:                                                          
    Standard Test Method for   Appendix A to Subpart D.                 
     Hydrocarbon Types in                                               
     Liquid Petroleum                                                   
     Products by Fluorescent                                            
     Indicator Adsorption.                                              
ASTM D2622-92:                                                          
    Standard Test Method for   Appendix A to Subpart D.                 
     Sulfur in Petroleum                                                
     Products by X-Ray                                                  
     Spectrometry.                                                      
ASTM D2699-92:                                                          
    Standard Test Method for   Appendix A to Subpart D.                 
     Knock Characteristics of                                           
     Motor Fuels by the                                                 
     Research Method.                                                   
ASTM D2700-92:                                                          
    Standard Test Method for   Appendix A to Subpart D.                 
     Knock Characteristics of                                           
     Motor and Aviation Fuels                                           
     by the Motor Method.                                               
ASTM D3231-89:                                                          
    Standard Test Method for   Appendix A to Subpart D.                 
     Phosphorus in Gasoline.                                            
ASTM D3606-92:                                                          
    Standard Test Method for   Appendix A to Subpart D.                 
     Determination of Benzene                                           
     and Toluene in Finished                                            
     Motor and Aviation                                                 
     Gasoline by Gas                                                    
     Chromatography.                                                    
ASTM E29-93a:                                                           
    Standard Practice for      91.207; 91.120; 91.509; 91.1307.         
     Using Significant Digits                                           
     in Test Data to                                                    
     Determine Conformance                                              
     with Specifications.                                               
------------------------------------------------------------------------

    (2) SAE material. The following table sets forth material from the 
Society of Automotive Engineers which has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of this part, other than 
Sec. 91.7, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from Society of Automotive Engineers 
International, 400 Commonwealth Dr., Warrendale, PA 15096-0001.

------------------------------------------------------------------------
   Document number and name             40 CFR part 91 reference        
------------------------------------------------------------------------
SAE J1228/ISO 8665 November    91.104, 91.115; 91.118; 91.207; 91.1307. 
 1991 Small Craft-Marine                                                
 Propulsion Engine and                                                  
 Systems-Power Measurements                                             
 and Declarations.                                                      
SAE J1930 June 1993            91.113.                                  
 Electrical/Electronic                                                  
 Systems Diagnostic Terms,                                              
 Definitions, Abbreviations                                             
 and Acronyms.                                                          
SAE Paper 770141 Optimization  91.316                                   
 of a Flame Ionization                                                  
 Detector for Determination                                             
 of Hydrocarbon in Diluted                                              
 Automotive Exhausts, Glenn                                             
 D. Reschke, 1977.                                                      
------------------------------------------------------------------------

Sec. 91.7  Treatment of confidential information.

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

Subpart B--Emission Standards and Certification Provisions


Sec. 91.101   Applicability.

    The requirements of this subpart B are applicable to all new marine 
spark-ignition engines subject to the provisions of subpart A of this 
part 91.


Sec. 91.102   Definitions.

    The definitions in subpart A of this part 91 apply to this subpart. 
All terms not defined herein or in subpart A of this part have the 
meaning given them in the Act.


Sec. 91.103   Averaging, banking, and trading of exhaust emission 
credits.

    Regulations regarding averaging, banking, and trading provisions 
along with applicable recordkeeping requirements are found in subpart C 
of this part.


Sec. 91.104   Exhaust emission standards for outboard and personal 
watercraft engines.

    (a) New marine spark-ignition outboard and personal watercraft 
engines for use in the U.S. must meet the following exhaust emission 
standards for HC+NOX. The exhaust emission standard for each model 
year is provided below. It is also used as input to the calculation 
procedure in Sec. 91.207 to determine compliance with the corporate 
average HC+NOX exhaust emission standard.

[[Page 52107]]



                         Hydrocarbon Plus Oxides of Nitrogen Exhaust Emission Standards                         
                                            [grams per kilowatt-hour]                                           
----------------------------------------------------------------------------------------------------------------
                                                        P < 4.3 kW HC+NOX emission   P > 4.3 kW HC+NOX emission 
                      Model year                          standard by model year       standard by model year   
----------------------------------------------------------------------------------------------------------------
1998..................................................                     278.00   (0.917  x  (151 + 557/P0.9))
                                                                                     + 2.44                     
1999..................................................                     253.00   (0.833  x  (151 + 557/P0.9))
                                                                                     + 2.89                     
2000..................................................                     228.00   (0.750  x  (151 + 557/P0.9))
                                                                                     + 3.33                     
2001..................................................                     204.00   (0.667  x  (151 + 557/P0.9))
                                                                                     + 3.78                     
2002..................................................                     179.00   (0.583  x  (151 + 557/P0.9))
                                                                                     + 4.22                     
2003..................................................                     155.00   (0.500  x  (151 + 557/P0.9))
                                                                                     + 4.67                     
2004..................................................                     130.00   (0.417  x  (151 + 557/P0.9))
                                                                                     + 5.11                     
2005..................................................                     105.00   (0.333  x  (151 + 557/P0.9))
                                                                                     + 5.56                     
2006 and later........................................                      81.00   (0.250  x  (151 + 557/P0.9))
                                                                                     + 6.00                     
----------------------------------------------------------------------------------------------------------------

where:
P = the average power of an engine family in kW (sales weighted). The 
power of each configuration is the rated output in kilowatts as 
determined by SAE J1228. This procedure has been incorporated by 
reference. See Sec. 91.6.

    (b) Exhaust emissions are measured using the procedures set forth 
in subpart E of this part.
    (c) Manufacturers must designate a Family Emission Limit (FEL) for 
HC+NOX for every engine family. The FEL may be equal to the 
emission standard in paragraph (a) of this section. The FEL established 
through certification serves as the emission standard for the engine 
family and emissions may not exceed the FEL levels for HC+NOX for 
all engines sold in the engine family, for their useful life.
    (d) A manufacturer must comply with a corporate average HC+NOX 
emission standard as determined in accordance with subpart C 
Sec. 91.207.


Sec. 91.105   Useful life period, recall, and warranty periods.

    (a) The useful life for PWC engines is a period of 350 hours of 
operation or 5 years of use, whichever first occurs. The useful life 
for Outboard marine spark-ignition engines is a period of 350 hours of 
operation or 10 years of use, whichever first occurs.
    (b) PWC engines are subject to recall testing for a period of 350 
hours of operation or 5 years of use, whichever first occurs. Outboard 
marine spark-ignition engines are subject to recall testing for a 
period of 350 hours of operation or 10 years of use, whichever first 
occurs. However, for purposes of this part only, if the Administrator 
should issue a nonconformity determination, then only those engines 
that are within the useful life as of the date of the nonconformity 
determination are subject to recall repair requirements.
    (c) Warranty periods are set out in subpart M of this part.


Sec. 91.106   Certificate of conformity.

    (a) Every manufacturer of a new marine SI engine produced during or 
after the 1998 model year for outboard engines and the 1999 model year 
for PWC engines, must obtain a certificate of conformity covering each 
engine family. The certificate of conformity must be obtained from the 
Administrator prior to selling, offering for sale, introducing into 
commerce, or importing into the United States the new marine SI engine.
    (b) The certificate of conformity is valid for the model year for 
which it is designated.


Sec. 91.107   Application for certification.

    (a) For each engine family, the engine manufacturer must submit to 
the Administrator a completed application for a certificate of 
conformity, except that with respect to an existing technology OB/PWC 
engine a manufacturer may, in lieu of providing such application, 
submit to the Administrator summary testing and other information as 
determined by the Administrator.
    (b) The application must be approved and signed by the authorized 
representative of the manufacturer.
    (c) The application must be updated and corrected by amendment as 
provided in Sec. 91.122 to accurately reflect the manufacturer's 
production.
    (d) Required content. Each application must include the following 
information:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications;
    (2) An explanation of how the emission control system operates, 
including a detailed description of all emission control system 
components (detailed component calibrations are not required to be 
included, however they must be provided if requested), each auxiliary 
emission control device (AECD), and all fuel system components to be 
installed on any production or test engine(s);
    (3) Proposed test fleet selection and the rationale for the test 
fleet selection;
    (4) Special or alternative test procedures, if applicable;
    (5) The description of the operating cycle and the service 
accumulation period necessary to break in the test engine(s) and 
stabilize emission levels and any maintenance scheduled;
    (6) A description of all adjustable operating parameters, including 
the following:
    (i) The nominal or recommended setting and the associated 
production tolerances;
    (ii) The intended physically adjustable range;
    (iii) The limits or stops used to establish adjustable ranges;
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range; and
    (v) Information relating to why the physical limits or stops used 
to establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are effective in preventing 
adjustment of parameters to settings outside the manufacturer's 
intended physically adjustable ranges on in-use engines;
    (7) Regarding the averaging, banking, and trading provisions, the 
information specified in Sec. 91.208;
    (8) The proposed maintenance and use instructions the manufacturer 
will furnish to the ultimate purchaser of each new engine and the 
proposed emission control label;
    (9) all test data, for HC, CO and NOX, obtained by the 
manufacturer on each test engine;
    (10) a statement that the test engine(s), as described in the 
manufacturer's application for certification, has been tested in 
accordance with the applicable test procedures, utilizing the fuels and 
equipment described in the application,

[[Page 52108]]

and that on the basis of such tests the engine(s) conforms to the 
requirements of this part; and
    (11) an unconditional statement certifying that all engines in the 
engine family comply with all requirements of this part and the Clean 
Air Act.
    (e) At the Administrator's request, the manufacturer must supply 
such additional information as may be required to evaluate the 
application including, but not limited to, projected marine SI engine 
production.
    (f) (1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided the information 
specified therein is maintained by the engine manufacturer as required 
by Sec. 91.121, and amended, updated, or corrected as necessary.
    (2) For the purposes of this paragraph, Sec. 91.121(a)(1) includes 
all information specified in paragraph (d) of this section whether or 
not such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's records 
at any time.


Sec. 91.108   Certification.

    (a) If, after a review of the manufacturer's submitted application, 
or with respect to an existing technology OB/PWC engine manufacturer's 
summary information submitted pursuant to Sec. 91.107(a), information 
obtained from any inspection, and such other information as the 
Administrator may require, the Administrator determines that the 
application or summary information is complete and that the engine 
family meets the requirements of this part and the Clean Air Act, the 
Administrator shall issue a certificate of conformity for the engine 
family.
    (b) The Administrator shall give a written explanation when 
certification is denied. The manufacturer may request a hearing on a 
denial. (See Sec. 91.124 for procedure.)


Sec. 91.109   Requirement of certification--closed crankcase.

    (a) An engine's crankcase must be closed.
    (b) For purposes of this section, ``crankcase'' means the housing 
for the crankshaft and other related internal parts.


Sec. 91.110   Requirement of certification--prohibited controls.

    (a) An engine may not be equipped with an emission control device, 
system, or element of design for the purpose of complying with emission 
standards if such device, system, or element of design will cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
in its operation or function.
    (b) An engine with an emission control device, system, or element 
of design may not emit any noxious or toxic substance which would not 
be emitted in the operation of such engine in the absence of the 
device, system, or element of design except as specifically permitted 
by regulation.


Sec. 91.111   Requirement of certification--prohibition of defeat 
devices.

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


Sec. 91.112   Requirement of certification--adjustable parameters.

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


Sec. 91.113   Requirement of certification--emission control 
information label and engine identification number.

    (a) The engine manufacturer must affix at the time of manufacture a 
permanent and legible label identifying each engine. The label must 
meet the following requirements:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be durable and readable for the entire engine life;
    (3) Be secured to an engine part necessary for normal engine 
operation and not normally requiring replacement during engine life;
    (4) Be written in English; and
    (5) Be located so as to be readily visible to the average person 
after the engine is installed in the marine vessel.
    (b) If the marine vessel obscures the label on the engine, the 
marine vessel manufacturer must attach a supplemental label so that 
this label is readily visible to the average person. The supplemental 
label must:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be secured to a marine vessel part necessary for normal 
operation and not normally requiring replacement during the marine 
vessel life; and
    (3) Be identical to the label which was obscured.
    (c) The label must contain the following information:
    (1) The heading ``Emission Control Information;''
    (2) The full corporate name and trademark of the engine 
manufacturer;
    (3) The statement, ``This (vessel's engine or engine, as 
applicable) is certified to operate on (specify operating fuel(s));''
    (4) Identification of the Exhaust Emission Control System 
(Abbreviations may be used and must conform to the nomenclature and 
abbreviations provided in SAE J1930. This procedure has been 
incorporated by reference. See Sec. 91.6.;
    (5) All engine lubricant requirements;
    (6) date of manufacture [day(optional), month and year];
    (7) The statement ``This engine conforms to [model year] U.S. EPA 
regulations for marine SI engines.'';
    (8) Family Emission Limits (FELs);
    (9) EPA standardized engine family designation;
    (10) Engine displacement [in cubic centimeters]; and
    (11) Advertised power;
    (12) Engine tuneup specifications and adjustments. These should 
indicate the proper transmission position during tuneup, and 
accessories, if any, that should be in operation;
    (13) Fuel requirements;
    (14) Other information concerning proper maintenance and use or 
indicating compliance or noncompliance with other standards may be 
indicated on the label.
    (d) If there is insufficient space on the engine to accommodate a 
label

[[Page 52109]]

including all the information required in paragraph (c) of this 
section, the manufacturer may delete or alter the label as indicated in 
this paragraph. The information deleted from the label must appear in 
the owner's manual.
    (1) Exclude the information required in paragraphs (c) (3), (4), 
and (5) of this section. The fuel or lubricant may be specified 
elsewhere on the equipment.
    (2) Exclude the information required by paragraph (c)(6) of this 
section, if the date the engine was manufactured is stamped on the 
engine.
    (3) For existing technology OB/PWC only, exclude the information 
required by paragraphs (c) (10), (11), (13), and (14) of this section.
    (e) The Administrator may, upon request, waive or modify the label 
content requirements of paragraphs (c) and (d) of this section, 
provided that the intent of such requirements is met.
    (f) Engine Identification Number. Each engine must have a legible, 
unique engine identification number permanently affixed to or engraved 
on the engine.


Sec. 91.114  Requirement of certification--supplying production engines 
upon request.

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


Sec. 91.115  Certification procedure--determining engine power and 
engine families.

    (a) Engine power must be calculated using SAE J1228. This procedure 
has been incorporated by reference. See Sec. 91.6.
    (b) The manufacturer's product line must be divided into engine 
families as specified by paragraph (c) of this section, comprised of 
engines expected to have similar emission characteristics throughout 
their useful life periods.
    (c) To be classed in the same engine family, engines must be 
identical in all of the following applicable respects:
    (1) The combustion cycle;
    (2) The cooling mechanism;
    (3) The cylinder configuration (inline, vee, opposed, bore 
spacings, and so forth);
    (4) The number of cylinders;
    (5) The number of catalytic converters, location; volume, and 
composition; and
    (6) The thermal reactor characteristics.
    (d) At the manufacturer's request, engines identical in all the 
respects listed in paragraph (c) of this section may be further divided 
into different engine families if the Administrator determines that 
they may be expected to have different emission characteristics. This 
determination is based upon the consideration of features such as:
    (1) The bore and stroke;
    (2) The combustion chamber configuration;
    (3) The intake and exhaust timing method of actuation (poppet 
valve, reed valve, rotary valve, and so forth);
    (4) The intake and exhaust valve or port sizes, as applicable;
    (5) The fuel system;
    (6) The exhaust system; and
    (7) The method of air aspiration.
    (e) Where engines are of a type which cannot be divided into engine 
families based upon the criteria listed in paragraph (c) of this 
section, the Administrator shall establish families for those engines 
based upon the features most related to their emission characteristics.
    (f) Upon a showing by the manufacturer that the emission 
characteristics during the useful life are expected to be similar, 
engines differing in one or more of the characteristics in paragraph 
(c) of this section may be grouped in the same engine family.
    (g) Upon a showing by the manufacturer that the emission 
characteristics during the useful life are expected to be dissimilar, 
engines identical in all the characteristics in paragraph (c) of this 
section may be divided into separate engine families.


Sec. 91.116  Certification procedure--test engine selection.

    (a) The manufacturer must select, from each engine family, a test 
engine of a configuration that the manufacturer deems to be most likely 
to exceed the Family Emission Limit (FEL).
    (b) At the manufacturer's option, the criterion for selecting the 
worst case engine may be that engine configuration which has the 
highest weighted brake-specific fuel consumption over the appropriate 
engine test cycle.
    (c) The test engine must be constructed to be representative of 
production engines.


Sec. 91.117  Certification procedure--service accumulation.

    (a)(1) Any engine required to be tested under Sec. 91.118 must be 
operated with all emission control systems operating properly for a 
period sufficient to stabilize emissions prior to such testing.
    (2) A manufacturer may elect to consider emission levels as 
stabilized when the test engine has accumulated 12 hours of service.
    (b) No maintenance, other than recommended lubrication and filter 
changes, may be performed during service accumulation without the 
Administrator's approval.
    (c) Service accumulation is to be performed in a manner using good 
engineering judgment to ensure that emissions are representative of 
production engines.
    (d) The manufacturer must maintain, and provide to the 
Administrator if requested, records stating the rationale for selecting 
a service accumulation period different than 12 hours and records 
describing the method used to accumulate hours on the test engine(s).


Sec. 91.118  Certification procedure--testing.

    (a) Manufacturer testing. The manufacturer must test the test 
engine using the specified test procedures and appropriate test cycle. 
All test results must be reported to the Administrator.
    (1) The test procedures to be used are detailed in subpart E of 
this part.
    (2) Emission test equipment provisions are described in subpart D 
of this part.
    (b) Administrator testing. (1) The Administrator may require that 
any one or more of the test engines be submitted to the Administrator, 
at such place or places as the Administrator may designate, for the 
purposes of conducting emission tests. The Administrator may specify 
that testing will be conducted at the manufacturer's facility, in which 
case instrumentation and equipment specified by the Administrator must 
be made available by the manufacturer for test operations. Any testing 
conducted at a manufacturer's facility must be scheduled by the 
manufacturer as promptly as possible.
    (2)(i) Whenever the Administrator conducts a test on a test engine, 
the results of that test will, unless subsequently invalidated by the 
Administrator, comprise the official data for the engine and the 
manufacturer's data will not be used in determining compliance with the 
Family Emission Limit (FEL).
    (ii) Prior to the performance of such a test, the Administrator may 
adjust or cause to be adjusted any adjustable parameter of the test 
engine which the Administrator has determined to be subject to 
adjustment for testing, to any setting within the physically adjustable 
range of that parameter, to determine whether the engine conforms to 
the applicable Family Emission Limit (FEL).
    (iii) For those engine parameters which the Administrator has not

[[Page 52110]]

determined to be subject to adjustment for testing, the test engine 
presented to the Administrator for testing will be calibrated within 
the production tolerances applicable to the manufacturer specification 
shown on the engine label, as specified in the application for 
certification.
    (c) Use of carryover test data. In lieu of testing, the 
manufacturer may submit, with the Administrator's approval, emission 
test data used to certify substantially similar engine families in 
previous years. This ``carryover'' test data is only allowable if the 
data shows the test engine would fully comply with the applicable 
Family Emission Limit (FEL).
    (d) Scheduled maintenance during testing. No scheduled maintenance 
may be performed during testing of the engine.
    (e) Unscheduled maintenance on test engines. (1) Manufacturers may 
not perform any unscheduled engine, emission control system, or fuel 
system adjustment, repair, removal, disassembly, cleaning, or 
replacement on a test engine without the advance approval of the 
Administrator.
    (2) The Administrator may approve such maintenance if:
    (i) a preliminary determination has been made that a part failure 
or system malfunction, or the repair of such failure or malfunction, 
does not render the engine unrepresentative of engines in use, and does 
not require direct access to the combustion chamber; and
    (ii) a determination has been made that the need for maintenance or 
repairs is indicated by an overt malfunction such as persistent 
misfire, engine stall, overheating, fluid leakage, or loss of oil 
pressure.
    (3) Emission measurements may not be used as a means of determining 
the need for unscheduled maintenance under paragraph (e)(2) of this 
section.
    (4) The Administrator must have the opportunity to verify the 
extent of any overt indication of part failure (for example, misfire, 
stall), or an activation of an audible and/or visual signal, prior to 
the manufacturer performing any maintenance related to such overt 
indication or signal.
    (5) Unless approved by the Administrator prior to use, engine 
manufacturers may not use any equipment, instruments, or tools to 
identify malfunctioning, maladjusted, or defective engine components 
unless the same or equivalent equipment, instruments, or tools are 
available at dealerships and other service outlets and are used in 
conjunction with scheduled maintenance on such components.
    (6) If the Administrator determines that part failure or system 
malfunction occurrence and/or repair rendered the engine 
unrepresentative of production engines, the engine may not be used as a 
test engine.
    (7) Unless waived by the Administrator, complete emission tests are 
required before and after any engine maintenance which may reasonably 
be expected to affect emissions.
    (f) Engine failure. A manufacturer may not use as a test engine any 
engine which incurs major mechanical failure necessitating disassembly 
of the engine. This prohibition does not apply to failures which occur 
after completion of the service accumulation period.
    (g) In lieu of providing or generating emission data under this 
section for existing technology, the Administrator may allow the 
manufacturer to demonstrate (on the basis of previous emission tests, 
development tests, or other testing information) that the engine will 
conform with the applicable FEL.
    (h)(1) Manufacturers may select an FEL for existing technology OB/
PWC through: (i) model year 2000 based on the function 151+557/P 
0.9 where P=average power of an engine family in kW (sales 
weighted). The power of each configuration is the rated output in 
kilowatts as determined by SAE J1228. (This procedure has been 
incorporated by reference. See Sec. 91.6). The certificate of 
conformity would be conditioned by requirements that the manufacturer 
submit test data, as determined appropriate by the Administrator under 
Sec. 91.118(h) by the end of model year 2000; that the FEL is revised 
and approved by EPA to reflect the test data; that the credits 
associated with the engine family are recalculated based on the 
difference between the old FEL and the new FEL; and that the new FEL 
applies to all engines covered by the certificate of conformity; or
    (ii) Model year 2003 based on good engineering judgement.
    (2) Upon request by the manufacturer, the Administrator has the 
discretion to extend the time period set forth in paragraph (h)(1) of 
this section for a specific engine family up to model year 2005 if the 
Administrator determines that an engine family will be phased out of 
U.S. production by model year 2005. As a condition to being granted 
such an extension, the manufacturer must discontinue U.S. production 
according to the schedule upon which the Administrator based the 
extension. Failure to do so by the manufacturer will void the 
certificate of conformity ab initio.
    (i) A manufacturer request under paragraph (h)(2) of this section 
must be in writing and must apply to a specific engine family. The 
request must identify the engine family designation, the rationale 
supporting the FEL choice, the type of information used as a basis for 
the FEL (e.g., previous emission tests, development tests), the 
specific source of the information including when the information was 
generated, the schedule for phasing the engine family out of U.S. 
production, and any other information the Administrator may require.


Sec. 91.119  Certification procedure--use of special test procedures.

    (a) Use of special test procedures by EPA. The Administrator may 
establish special test procedures for any engine that the Administrator 
determines is not susceptible to satisfactory testing under the 
specified test procedures set forth in subpart E of this part.
    (b) Use of alternative test procedures by an engine manufacturer. 
(1) A manufacturer may elect to use an alternative test procedure 
provided that it yields results equivalent to the results from the 
specified test procedure in subpart E, its use is approved in advance 
by the Administrator, and the basis for equivalent results with the 
specified test procedures is fully described in the manufacturer's 
application.
    (2) An engine manufacturer electing to use alternate test 
procedures is solely responsible for the results obtained. The 
Administrator may reject data generated under test procedures which do 
not correlate with data generated under the specified procedures.


Sec. 91.120  Compliance with Family Emission Limits over useful life.

    (a) If all test engines representing an engine family have 
emissions, as determined in paragraph (c)(3)(iii) of this section, less 
than or equal to the applicable Family Emission Limit (FEL) for each 
pollutant as determined according to Sec. 91.104 (c), that family 
complies with the Family Emission Limit .
    (b) If any test engine representing an engine family has emissions 
(as determined in paragraph (c)(3)(iii) of this section, greater than 
the applicable Family Emission Limit for any pollutant as determined 
according to Sec. 91.104(c), that family will be deemed not in 
compliance with the Family Emission Limits.
    (c)(1) The engine Family Emission Limits (FELs) apply to the 
emissions of engines for their useful lives.
    (2) Since emission control efficiency generally decreases with the

[[Page 52111]]

accumulation of service on the engine, deterioration factors must be 
used in combination with emission data engine test results as the basis 
for determining compliance with the standards.
    (3)(i) Paragraph (c)(3)(ii) of this section describes the procedure 
for determining compliance of an engine with family emission limits, 
based on deterioration factors supplied by the manufacturer.
    (ii) Separate exhaust emission deterioration factors, determined by 
the manufacturer, must be supplied for each engine family. The 
deterioration factors must be applied as follows:
    (A) For marine spark-ignition engines not utilizing aftertreatment 
technology (for example, catalytic converters), the official exhaust 
emission results for each emission data engine at the selected test 
point are adjusted by adding the appropriate deterioration factor to 
the results. However, if the deterioration factor supplied by the 
manufacturer is less than zero, it is zero for the purposes of this 
paragraph.
    (B) For marine spark-ignition engines utilizing aftertreatment 
technology (for example, catalytic converters), the official exhaust 
emission results for each emission data engine at the selected test 
point are adjusted by multiplying the results by the appropriate 
deterioration factor. However, if the deterioration factor supplied by 
the manufacturer is less than one, it is one for the purposes of this 
paragraph.
    (iii) The emission values to compare with the Family Emission 
Limits (FELs) are the adjusted emission values of paragraph (c)(3)(ii) 
of this section, rounded to the same number of significant figures as 
contained in the applicable standard in accordance with ASTM E 29-93a, 
for each emission data engine. This procedure has been incorporated by 
reference. See Sec. 91.6.


Sec. 91.121  Certification procedure--recordkeeping.

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


Sec. 91.122  Amending the application and certificate of conformity.

    (a) The marine engine manufacturer must notify the Administrator
    (1) When either an engine is to be added to a certificate of 
conformity or changes are to be made to a product line covered by a 
certificate of conformity which may potentially affect emissions, 
emissions durability, an emission related part, or the durability of an 
emission related part. Notification occurs when the manufacturer 
submits and EPA receives a request to amend the original application 
prior to either producing such engines or making such changes to a 
product line. For existing technology OB/PWC engines only, notification 
may occur periodically but must occur at least on a quarterly basis and 
may be submitted summarily as determined by the Administrator.
    (2) When an FEL is changed for an engine family, as allowed under 
Sec. 91.203. Notification occurs when the manufacturer submits and EPA 
receives a request to amend the original application. The manufacturer 
may not change an FEL unless compliance under Sec. 91.207(b) is 
maintained through the use of the revised FEL.
    (b) The request to amend the engine manufacturer's existing 
certificate of conformity must include the following information:
    (1) A full description of the engine to be added or the change(s) 
to be made in production;
    (2) The manufacturer's proposed test engine selection(s); and
    (3) Engineering evaluations or reasons why the original test engine 
or FEL is or is not still appropriate.
    (c) The Administrator may require the engine manufacturer to 
perform tests on an engine representing the engine to be added or 
changed.
    (d) Decision by Administrator.
    (1) Based on the submitted request and data derived from such 
testing as the Administrator may require or conduct, the Administrator 
must determine whether the proposed addition or change would still be 
covered by the certificate of conformity then in effect.
    (2) If the Administrator determines that the new or changed 
engine(s) meets the requirements of this subpart and the Act, the 
appropriate certificate of conformity will be amended.
    (3) If the Administrator determines that the new or changed engines 
would not be covered by the certificate of conformity, the 
Administrator must provide a written explanation to the engine 
manufacturer of his or her decision not to amend the certificate. The 
manufacturer may request a hearing on a denial. See Sec. 91.125.
    (4) If the Administrator determines that the revised FEL meets the 
requirements of this subpart and the Act, the appropriate certificate 
of conformity will be amended to reflect the revised FEL. The 
certificate of conformity is revised conditional upon compliance under 
Sec. 91.207(b).
    (e)(1) Alternatively, an engine manufacturer may make changes in or 
additions to production engines concurrently with requesting to amend 
the application or certification of conformity as set forth in 
paragraph (b) of this section, if the manufacturer determines that all 
affected engines will

[[Page 52112]]

still meet applicable Family Emission Limits (FELs). The engine 
manufacturer must supply supporting documentation, test data, and 
engineering evaluations as appropriate to support its determination.
    (2) If, after a review, the Administrator determines additional 
testing is required, the engine manufacturer must provide required test 
data within 30 days or cease production of the affected engines.
    (3) If the Administrator determines that the affected engines do 
not meet applicable requirements, the Administrator will notify the 
engine manufacturer to cease production of the affected engines.


Sec. 91.123   Denial, revocation of certificate of conformity.

    (a) If, after review of the engine manufacturer's application, 
request for certification, information obtained from any inspection, 
and any other information the Administrator may require, the 
Administrator determines that the test engine or engine family does not 
meet applicable requirements or the Family Emission Limit (FEL), the 
Administrator will notify the manufacturer in writing, setting forth 
the basis for this determination.
    (b) Notwithstanding the fact that engines described in the 
application may comply with all other requirements of this subpart, the 
Administrator may deny the issuance of or revoke a previously issued 
certificate of conformity if the Administrator finds any one of the 
following infractions to be substantial:
    (1) The engine manufacturer submits false or incomplete 
information;
    (2) The engine manufacturer denies an EPA enforcement officer or 
EPA authorized representative the opportunity to conduct authorized 
inspections;
    (3) The engine manufacturer fails to supply requested information 
or amend its application to include all engines being produced;
    (4) The engine manufacturer renders inaccurate any test data which 
it submits or otherwise circumvents the intent of the Act or this part;
    (5) The engine manufacturer denies an EPA enforcement officer or 
EPA authorized representative reasonable assistance (as defined in 
Sec. 91.505); or
    (6) The engine manufacturer fails to initiate, perform or submit 
required data generated from the production line and in-use testing 
programs to EPA.
    (c) If any manufacturer knowingly commits an infraction specified 
in paragraph (b)(1), (b)(4), or (b)(6) of this section or knowingly 
commits any other fraudulent act which results in the issuance of a 
certificate of conformity, or fails to comply with the conditions 
specified in Secs. 91.203(f), 91.206(d), 91.208(c) or 91.209(g), the 
Administrator may void such certificate ab initio.
    (d) When the Administrator denies, revokes, or voids ab initio a 
certificate of conformity, the engine manufacturer will be provided a 
written determination. The manufacturer may request a hearing on the 
Administrator's decision.
    (e) Any revocation of a certificate of conformity extends no 
further than to forbid the introduction into commerce of those engines 
previously covered by the certificate which are still in the possession 
of the engine manufacturer, except in cases of such fraud or other 
misconduct that makes the certificate void ab initio.


Sec. 91.124   Request for hearing.

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


Sec. 91.125   Hearing procedures.

    The hearing procedures set forth in Secs. 91.513, 91.514, and 
91.515 apply to this subpart.


Sec. 91.126   Right of entry and access.

    Any engine manufacturer who has applied for certification of a new 
engine or engine family subject to certification testing under this 
subpart must admit or cause to be admitted to any applicable facilities 
during operating hours any EPA enforcement officer or EPA authorized 
representative as provided in Sec. 91.505.

Subpart C--Averaging, Banking, and Trading Provisions


Sec. 91.201   Applicability.

    The requirements of this subpart C are applicable to all marine 
spark-ignition engines subject to the provisions of subpart A of this 
part 91.


Sec. 91.202   Definitions.

    The definitions in subpart A of this part apply to this subpart. 
The following definitions also apply to this subpart:
    Averaging for marine SI engines means the exchange of emission 
credits among engine families within a given manufacturer's product 
line.
    Banking means the retention of marine SI engine emission credits by 
the manufacturer generating the emission credits for use in future 
model year averaging or trading as permitted by these regulations.
    Eligible sales means marine SI engines sold for purposes of being 
used in the United States and include any engine introduced into 
commerce in the U.S. to be sold for use in the U.S.
    Emission credits represent the amount of emission reduction or 
exceedance, by a marine SI engine family, below or above the applicable 
emission standard, respectively. Emission reductions below the standard 
are considered as ``positive credits,'' while emission exceedances 
above the standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a model year waiting to 
be reported to EPA at the end of the model year. ``Actual credits'' 
refer to emission credits based on actual applicable production/sales 
volume as contained in the end-of-year reports submitted to EPA. Some 
or all of these credits may be revoked if EPA review of the end-of-year 
reports or any subsequent audit action(s) uncovers problems or errors.
    Point of first retail sale means the point at which the engine is 
first sold directly to an end user. Generally, this point is the retail 
boat or engine dealer. If the engine is sold first to a boat or vessel 
manufacturer for installation in a boat or vessel, the boat or vessel 
manufacturer may be the point of first retail sale if the boat or 
vessel manufacturer can determine if the engine is or is not exported 
once they have sold the boat or vessel. If the boat or vessel 
manufacturer cannot determine if the engine is or is not exported once 
they have sold the boat or vessel, the engine is presumed to not be 
exported, unless the engine manufacturer can demonstrate otherwise. 
Engine manufacturers must include engines in their average if the 
engine is exported and subsequently imported into the United States 
installed in a boat or vessel and introduced into United States 
commerce.

[[Page 52113]]

    Trading means the exchange of marine engine emission credits 
between manufacturers.


Sec. 91.203   General provisions.

    (a) The certification averaging, banking, and trading provisions 
for hydrocarbon plus oxides of nitrogen emissions from eligible marine 
SI engines are described in this subpart.
    (b) A marine SI engine family must use the averaging provisions and 
may use the banking and trading provisions for hydrocarbon plus oxides 
of nitrogen emissions if it is subject to regulation under subpart B of 
this part with certain exceptions specified in paragraph (c) of this 
section.
    (c) Manufacturers of marine SI engines may not use the banking and 
trading provisions for new marine SI engines:
    (1) which are exported, or
    (2) which are subject to state engine emission standards unless the 
manufacturer demonstrates to the Administrator that inclusion of these 
engines in banking and trading is appropriate.
    (d) A manufacturer may certify marine SI engine families at Family 
Emission Limits (FELs) above or below the applicable emission standard, 
provided the summation of the manufacturer's projected balance of all 
credit transactions in a given model year is greater than or equal to 
zero, as determined under Sec. 91.207.
    (1) A manufacturer of an engine family with an FEL exceeding the 
applicable emission standard must obtain positive emission credits 
sufficient to address the associated credit shortfall via averaging, 
banking, or trading.
    (2) An engine family with an FEL below the applicable emission 
standard may generate positive emission credits for averaging, banking, 
or trading, or a combination thereof. Emission credits may not be used 
to offset an engine family's emissions that exceed its applicable FEL. 
Credits may not be used to remedy nonconformity determined by a 
production line testing, a Selective Enforcement Audit (SEA) or by 
recall (in-use) testing. However, in the case of a manufacturer 
production line testing or SEA failure, credits may be used to allow 
subsequent production of engines for the family in question if the 
manufacturer elects to recertify to a higher FEL. In the case of 
production line testing a manufacturer may revise the FEL based upon 
production line testing results obtained under subpart F and upon 
Administrator approval pursuant to Sec. 91.122(d).
    (e) Credits generated in a given model year may be used in the 
following three model years. Credits not used by the end of the third 
model year after being generated are forfeited. Credits generated in 
one model year may not be used for prior model years, unless allowed 
under Sec. 91.207.
    (f) Manufacturers must demonstrate compliance under the averaging, 
banking, and trading provisions for a particular model year by 270 days 
after the model year. An engine family generating negative credits for 
which the manufacturer does not obtain or generate an adequate number 
of positive credits from the same or previous model years will violate 
the conditions of the certificate of conformity. The certificate of 
conformity may be voided ab initio pursuant to Sec. 91.123 for this 
engine family.


Sec. 91.204  Averaging.

    (a) Negative credits from engine families with FELs above the 
applicable emission standard must be offset by positive credits from 
engine families below the applicable emission standard, as allowed 
under the provisions of this subpart. Averaging of credits in this 
manner is used to determine compliance under Sec. 91.207(b).
    (b) For model years through 2000, outboard credits may not be 
summed with personal watercraft credits, or vice versa, for purposes of 
compliance under Sec. 91.207, except manufacturers may, at their 
discretion, include personal watercraft credits with outboard credits 
upon demonstration to the satisfaction of the Administrator that the 
personal watercraft engine is installed in a hybrid vessel that is 
smaller than a typical sterndrive or inboard vessel and larger than a 
typical personal watercraft. For model year 2001 and later, 
manufacturers must sum credits generated from outboard and personal 
watercraft to determine compliance under Sec. 91.207.
    (c) Credits used in averaging may be obtained from credits 
generated by another engine family as allowed under Sec. 91.204(b), in 
the same model year, credits banked in the three previous model years, 
or credits obtained through trading.


Sec. 91.205  Banking.

    (a) A manufacturer of a marine SI engine family with an FEL below 
the applicable emission standard for a given model year may bank 
credits in that model year for use in averaging and trading in the 
following three model years. Negative credits must be banked according 
to the requirements under Sec. 91.207(c). Positive credits not used 
within the three model years after they are banked are forfeited.
    (1) early banking
    (i) For outboard engines in model year (MY) 1997, a manufacturer 
may bank positive emission credits if the following conditions are met: 
the manufacturer certifies their entire marine outboard engine product 
line for MY 1997 under the emission standards applicable to MY 1998, 
the manufacturer demonstrates compliance with the corporate average 
standard under Sec. 91.207(b), and the sum of positive and negative 
credits under Sec. 91.207 generates positive emission credits, when the 
following formula is used for purposes of the applicable standard in 
Sec. 91.207(a). The number of credits that may be banked under this 
paragraph is the number of positive emission credits generated under 
the provisions of the preceding sentence. Marine engines certified 
under the provisions of this paragraph are subject to all of the 
requirements of this part.

     Hydrocarbon Plus Oxides of Nitrogen Exhaust Emission Standards     
                        [Grams per kilowatt-hour]                       
------------------------------------------------------------------------
                            P<4.3 kW                                    
                             HC+NOX                                     
       Model year           Emission         P>4.3 kW HC+NOX emission   
                           standard by        standard by model year    
                           model year                                   
------------------------------------------------------------------------
1997...................             276  (0.959  x  (151 + 557/         
                                          P0.9)+1.22)                   
------------------------------------------------------------------------

    (ii) For personal watercraft engines in model year 1998, a 
manufacturer may bank positive emission credits if the following 
conditions are met: The manufacturer certifies their entire marine 
personal watercraft engine product line for MY 1998 under the emission 
standards applicable to 1998 model year outboard engine emission 
standards, the manufacturer demonstrates compliance with the corporate 
average standard under Sec. 91.207(b), and the sum of positive and 
negative credits under Sec. 91.207 generates positive emission credits, 
when the following formula is used for purposes of the applicable 
standard Sec. 91.207(a). The number of credits that may be banked under 
this paragraph is the number of positive emission credits generated 
under the provisions of the preceding sentence. Marine engines 
certified under the provisions of this paragraph are subject to all of 
the requirements of this part.

[[Page 52114]]



     Hydrocarbon Plus Oxides of Nitrogen Exhaust Emission Standards     
                        [Grams per kilowatt-hour]                       
------------------------------------------------------------------------
                            P<4.3 kW                                    
                             HC+NOX                                     
       Model year           emission        P> 4.3 kW HC+NOX emission   
                           standard by        standard by model year    
                           model year                                   
------------------------------------------------------------------------
1998...................             276  (0.959  x  (151 + 557/P0.9)) + 
                                          1.22)                         
------------------------------------------------------------------------

    (ii) For personal watercraft in model year 1997, a manufacturer may 
bank positive emission credits if the following conditions are met: the 
manufacturer certifies their entire marine personal watercraft engine 
product line for MY 1997 under the emission standards specified in the 
formula below for PWC, the manufacturer demonstrates compliance with 
the corporate average standard under Sec. 91.207(b), and the sum of 
positive and negative credits under Sec. 91.207 generates positive 
emission credits, when the following formula is used for purposes of 
the applicable standard in Sec. 91.207(a). The number of credits that 
may be banked under this paragraph is the number of positive emission 
credits generated under the provisions of the preceding sentence. 
Marine engines certified under the provisions of this paragraph are 
subject to all of the requirements of this part.

     Hydrocarbon Plus Oxides of Nitrogen Exhaust Emission Standards     
                        [Grams per kilowatt-hour]                       
------------------------------------------------------------------------
                            P<4.3 kW                                    
                             HC+NOX                                     
       Model year           emission        P> 4.3 kW HC+NOX emission   
                           standard by        standard by model year    
                           model year                                   
------------------------------------------------------------------------
1997...................             276  (0.959  x  (151 + 557/P0.9)) + 
                                          1.22)                         
------------------------------------------------------------------------

    (b) A manufacturer may bank actual credits only after the end of 
the model year and after EPA has reviewed the manufacturer's end-of-
year reports. During the model year and before submittal of the end-of-
year report, credits originally designated in the certification process 
for banking will be considered reserved and may be redesignated for 
trading or averaging in the end-of-year report and final report.
    (c) Credits declared for banking from the previous model year that 
have not been reviewed by EPA may be used in averaging or trading 
transactions. However, such credits may be revoked at a later time 
following EPA review of the end-of-year report or any subsequent audit 
actions.


Sec. 91.206   Trading.

    (a) A marine SI engine manufacturer may exchange emission credits 
with other marine SI engine manufacturers in trading. These credits 
must be used in the same averaging set as generated.
    (b) Credits for trading can be obtained from credits banked in the 
three previous model years or credits generated during the model year 
of the trading transaction. Traded credits expire if they are not used 
in averaging within three model years following the model year in which 
they were generated.
    (c) Traded credits can be used for averaging, banking, or further 
trading transactions.
    (d) In the event of a negative credit balance resulting from a 
transaction, both the buyer and the seller are liable, except in cases 
involving fraud. Certificates of all engine families participating in a 
negative trade may be voided ab initio pursuant to Sec. 91.123.


Sec. 91.207   Credit calculation and manufacturer compliance with 
emission standards.

    (a) For each engine family, certification emission credits 
(positive or negative) are to be calculated according to the following 
equation and rounded, in accordance with ASTM E29-93a, to the nearest 
gram. ASTM E29-93a has been incorporated by reference. See Sec. 91.6. 
Consistent units are to be used throughout the equation. The following 
equation is used to determine hydrocarbon plus oxides of nitrogen 
credit status for an engine family, whether generating positive credits 
or negative credits:
[GRAPHIC] [TIFF OMITTED] TR04OC96.004

Where:
sales = the number of eligible sales tracked to the point of first 
retail sale for the given engine family during the model year. Annual 
production projections are used to project credit availability for 
initial certification. Actual sales volume is used in determining 
actual credits for end of-year compliance determination.
t = time in model years
Power = the average power of an engine family in kW (sales weighted). 
The power of each configuration is the rated output in kilowatts as 
determined by SAE J1228. This procedure has been incorporated by 
reference. See Sec. 91.6.
max actual life = maximum actual life specific to the power rating and 
the application; max actual life = 2life
life = average actual life in years, specific to the 
power rating and the application as given below.
[GRAPHIC] [TIFF OMITTED] TR04OC96.054

Power = as defined above.
use = mean use in hours per year. For outboard engines,
use = 34.8 hrs /yr. For personal watercraft, 
use = 77.3 hrs/yr;

[[Page 52115]]

S(t)=cumulative fraction survived at time t;
S(t)=e-(t x 0.906/life)4.0
STD=the current and applicable marine SI engine emission standard in 
grams per kilowatt hour as determined in Sec. 91.104.
FEL=the family emission limit for the engine family in grams per 
kilowatt hour.

    (b) Manufacturer compliance with the corporate average emission 
standard is determined on a corporate average basis at the end of each 
model year. A manufacturer is in compliance when the sum of positive 
and negative emission credits it holds is greater than or equal to 
zero, except as allowed under paragraph (c) of this section.
    (c)(1) Outboard Engines
    (i) For model year 1998, a manufacturer is in compliance when the 
sum of positive credits and negative emission credits it holds is 
greater than or equal to zero, including
    (A) Credits generated in MY 1998 exceed 70% of the negative credits 
generated in MY 1998. The remaining negative credits (up to 30% of the 
total negative credits) must be banked.
    (ii) For model year 1999, a manufacturer is in compliance when the 
positive credits generated in MY 1999 exceed the sum of 80% of the 
negative credits generated in MY 1999 and the negative credits banked 
in 1998. The remaining negative credits (up to 20% of the total 
negative credits) must be banked.
    (iii) For model year 2000, a manufacturer is in compliance when the 
sum of positive and negative emission credits it holds is greater than 
or equal to zero, including
    (A) The negative credits banked in MY 1998 and MY 1999 and
    (B) Any adjustments to credits based on adjustments to FELs 
resulting from requirements in Sec. 91.118(h)(1)(i). Manufacturers do 
not have to recalculate compliance for model years 1998 and 1999.
    (2) Personal Watercraft Engines
    (i) For model year 1999, a manufacturer is in compliance when the 
positive credits generated in MY 1999 exceed 50% of the negative 
credits generated in MY 1999. The remaining negative credits (up to 50% 
of the total negative credits) must be banked.
    (ii) For model year 2000, a manufacturer is in compliance when the 
sum of positive and negative emission credits it holds is greater than 
or equal to zero, including
    (A) The negative credits banked in 1999 and
    (B) Any adjustments to credits based on adjustments to FELs 
resulting from requirements in Sec. 91.118(h)(1)(i). Manufacturers do 
not have to recalculate compliance for model year 1999.
    (d) When a manufacturer is not in compliance, the manufacturer will 
be in violation of these regulations and EPA may void ab initio the 
certificates of engine families for which the manufacturer has not 
obtained sufficient positive emission credits pursuant to Sec. 91.123.


Sec. 91.208  Certification.

    (a) In the application for certification a manufacturer must:
    (1) Submit a statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, cause the 
manufacturer to be in noncompliance under Sec. 91.207(b) when all 
credits are calculated for all the manufacturer's engine families.
    (2) Declare an FEL for each engine family for HC plus NOX. The 
FEL must have the same number of significant digits as the emission 
standard.
    (3) Indicate the projected number of credits generated/needed for 
this family; the projected applicable production/sales volume, by 
quarter; and the values required to calculate credits as given in 
Sec. 91.207.
    (4) Submit calculations in accordance with Sec. 91.207 of projected 
emission credits (positive or negative) based on quarterly production 
projections for each family.
    (5) (i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family or 
reserved) of the credits necessary to offset the credit deficit 
according to quarterly projected production.
    (ii) If the engine family is projected to generate credits, state 
specifically (manufacturer/engine family or reserved) where the 
quarterly projected credits will be applied.
    (b) All certificates issued are conditional upon manufacturer 
compliance with the provisions of this subpart both during and after 
the model year of production.
    (c) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be deemed void ab 
initio pursuant to Sec. 91.123.
    (d) The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-year reports, follow-up audits, and any other verification steps 
deemed appropriate by the Administrator.


Sec. 91.209  Maintenance of records.

    (a) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed records for each engine 
produced:
    (1) EPA engine family,
    (2) Engine identification number,
    (3) Engine model year and build date,
    (4) Power rating,
    (5) Purchaser and destination, and
    (6) Assembly plant.
    (b) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed records for each engine 
family:
    (1) EPA engine family identification code,
    (2) Family Emission Limit (FEL) or FELs where FEL changes have been 
implemented during the model year,
    (3) Power rating for each configuration tested,
    (4) Projected sales volume for the model year, and
    (5) Actual sales volume for the model year for each FEL where FEL 
changes have been implemented during the model year.
    (c) Any manufacturer producing an engine family participating in 
trading reserved credits must maintain the following records on a 
quarterly basis for each such engine family:
    (1) The engine family,
    (2) The actual quarterly and cumulative applicable production/sales 
volume,
    (3) The values required to calculate credits as given in 
Sec. 91.207,
    (4) The resulting type and number of credits generated/required,
    (5) How and where credit surpluses are dispersed, and
    (6) How and through what means credit deficits are met.
    (d) The manufacturer must retain all records required to be 
maintained under this section for a period of eight years from the due 
date for the end-of-model year report. Records may be retained as hard 
copy or reduced to microfilm, ADP diskettes, and so forth, depending on 
the manufacturer's record retention procedure; provided, that in every 
case all information contained in the hard copy is retained.
    (e) Nothing in this section limits the Administrator's discretion 
in requiring the manufacturer to retain additional

[[Page 52116]]

records or submit information not specifically required by this 
section.
    (f) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.
    (g) EPA may void ab initio a certificate of conformity for an 
engine family for which the manufacturer fails to retain the records 
required in this section or to provide such information to the 
Administrator upon request pursuant to Sec. 91.123.


Sec. 91.210  End-of-year and final reports.

    (a) End-of-year and final reports must indicate the engine family, 
the actual sales volume, the values required to calculate credits as 
given in Sec. 91.207, and the number of credits generated/required. 
Manufacturers must also submit how and where credit surpluses were 
dispersed (or are to be banked) and/or how and through what means 
credit deficits were met. Copies of contracts related to credit trading 
must be included or supplied by the broker, if applicable. The report 
must include a calculation of credit balances to show that the credit 
summation is equal to or greater than zero.
    (b) The sales volume for end-of-year and final reports must be 
based on the location of the point of first retail sale (for example, 
retail customer or dealer) also called the final product purchase 
location.
    (c)(1) End-of-year reports must be submitted within 90 days of the 
end of the model year to: Manager, Engine Compliance Programs Group 
(6403-J), US Environmental Protection Agency, 401 M Street SW, 
Washington, DC 20460.
    (2) Final reports must be submitted within 270 days of the end of 
the model year to: Manager, Engine Compliance Programs Group (6403-J), 
U.S. Environmental Protection Agency, 401 M Street SW, Washington, DC 
20460.
    (d) Failure by a manufacturer to submit any end-of-year or final 
reports in the specified time for all engines is a violation of 
Sec. 91.1103(a)(2) and section 213(d) of the Clean Air Act for each 
engine.
    (e) A manufacturer generating credits for banking only who fails to 
submit end-of-year reports in the applicable specified time period (90 
days after the end of the model year) may not use the credits until 
such reports are received and reviewed by EPA. Use of projected credits 
pending EPA review is not permitted in these circumstances.
    (f) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including errors in credit calculation, may be corrected in the 
final report up to 270 days from the end of the model year.
    (g) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year or final report previously submitted to EPA 
under this section, the manufacturer's credits and credit calculations 
must be recalculated. Erroneous positive credits will be void except as 
provided in paragraph (h) of this section. Erroneous negative credit 
balances may be adjusted by EPA.
    (h) If within 270 days of the end of the model year, EPA review 
determines a reporting error in the manufacturer's favor (that is, 
resulting in an increased credit balance) or if the manufacturer 
discovers such an error within 270 days of the end of the model year, 
EPA shall restore the credits for use by the manufacturer.


Sec. 91.211  Notice of opportunity for hearing.

    Any voiding of the certificate under Secs. 91.203(f), 91.206(d), 
91.207(d), 91.208(c), or Sec. 91.209(g) shall be made only after the 
manufacturer concerned is offered an opportunity for a hearing 
conducted in accordance with Secs. 91.512, 91.513 and 91.514 and, if a 
manufacturer requests such a hearing, will be made only after an 
initial decision by the Presiding Officer.

Subpart D--Emission Test Equipment Provisions


Sec. 91.301  Scope; applicability.

    (a) This subpart describes the equipment required in order to 
perform exhaust emission tests on new marine gasoline-fueled spark-
ignition propulsion engines subject to the provisions of subpart A of 
this part 91.
    (b) Exhaust gases are sampled while the test engine is operated 
using a steady state test cycle on an engine dynamometer. Exhaust gas 
sampling may be performed using either the raw gas sampling method or 
the constant volume sampling (CVS) method. The exhaust gases receive 
specific component analysis determining concentration of pollutant, 
exhaust volume, the fuel flow, and the power output during each mode. 
Emissions are reported on a gram per brake-kilowatt hour (g/kW-hr). See 
subpart E of this part for a complete description of the test 
procedure.
    (c) Additional information about system design, calibration 
methodologies, and so forth, for raw gas sampling can be found in part 
86, subpart D of this chapter. Examples for system design, calibration 
methodologies, and so forth, for dilute sampling can be found in part 
86, subpart N of this chapter.


Sec. 91.302  Definitions.

    The definitions in Sec. 91.3 apply to this subpart.


Sec. 91.303  Acronyms and abbreviations.

    (a) The acronyms and abbreviations in Sec. 91.5 apply to this 
subpart.
    (b) The symbols in Table 1 in appendix A of this subpart apply to 
this subpart.


Sec. 91.304  Test equipment overview.

    (a) All engines subject to this subpart are tested for exhaust 
emissions. Engines are operated on dynamometers meeting the 
specification given in Sec. 91.305.
    (b) The exhaust is tested for gaseous emissions using either a 
constant volume sampling (CVS) system as described in Sec. 91.414, or 
using the raw gas sampling system as described in Sec. 91.421. Both 
systems require analyzers (see paragraph (c) of this section) specific 
to the pollutant being measured.
    (c) Analyzers used are a non-dispersive infrared detector (NDIR) 
absorption type for carbon monoxide and carbon dioxide analysis; 
paramagnetic detector (PMD), zirconia (ZRDO), or electrochemical type 
(ECS) for oxygen analysis; a flame ionization detector (FID) or heated 
flame ionization detector (HFID) type for hydrocarbon analysis; and a 
chemiluminescent detector (CLD) or heated chemiluminescent detector 
(HCLD) for oxides of nitrogen analysis.


Sec. 91.305  Dynamometer specifications and calibration accuracy.

    (a) Dynamometer specifications. (1) The dynamometer test stand and 
other instruments for measurement of engine speed and torque must meet 
the accuracy requirements shown in Table 2 in appendix A to this 
subpart. The dynamometer must be capable of performing the test cycle 
described in Sec. 91.410.
    (b) Dynamometer calibration accuracy. (1) The dynamometer test 
stand and other instruments for measurement of engine torque and speed 
must meet the calibration frequency shown in Table 2 in appendix to 
this subpart.
    (2) A minimum of three calibration weights for each range used is 
required. The weights must be equally spaced and traceable to within 
0.5 percent of National Institute of Standards and Testing (NIST) 
weights. Laboratories located in foreign countries may certify 
calibration weights to local government bureau standards.

[[Page 52117]]

Sec. 91.306  Dynamometer torque cell calibration.

    (a)(1) Any lever arm used to convert a weight or a force through a 
distance into a torque must be used in a horizontal position for 
horizontal shaft dynamometers ( five degrees). For vertical 
shaft dynamometers, a pulley system may be used to convert the 
dynamometer's horizontal loading into the vertical plane.
    (2) Calculate the indicated torque (IT) for each calibration weight 
to be used by:

IT=Moment Arm (meters) X Calibration Weight (Newtons)

    (3) Attach each calibration weight specified in Sec. 91.305(b)(2) 
to the moment arm at the calibration distance determined in paragraph 
(a)(2) of this section. Record the power measurement equipment response 
(N-m) to each weight.
    (4) Compare the torque value measured to the calculated torque.
    (5) The measured torque must be within two percent of the 
calculated torque.
    (6) If the measured torque is not within two percent of the 
calculated torque, adjust or repair the system. Repeat steps in 
paragraphs (a)(1) through (a)(6) of this section with the adjusted or 
repaired system.
    (b) Option. A master load-cell or transfer standard may be used to 
verify the torque measurement system.
    (1) The master load-cell and read out system must be calibrated 
with weights specified in Sec. 91.305(b)(2).
    (2) Attach the master load-cell and loading system.
    (3) Load the dynamometer to a minimum of three equally spaced 
torque values as indicated by the master load-cell for each in-use 
range used.
    (4) The in-use torque measurement must be within two percent of the 
torque measured by the master system for each load used.
    (5) If the in-use torque is not within two percent of the master 
torque, adjust or repair the system. Repeat steps in paragraphs (b)(2) 
through (b)(4) of this section with the adjusted or repaired system.
    (c) Calibrated resistors may not be used for dynamometer torque 
transducer calibration, but may be used to span the transducer prior to 
engine testing.
    (d) Other engine dynamometer system calibrations such as speed are 
performed as specified by the dynamometer manufacturer or as dictated 
by good engineering practice.


Sec. 91.307  Engine cooling system.

    An engine cooling system is required with sufficient capacity to 
maintain the engine at normal operating temperatures as prescribed by 
the engine manufacturer. Auxiliary fan(s) may be used to maintain 
sufficient engine cooling during dynamometer operation.


Sec. 91.308  Lubricating oil and test fuel.

    (a) Lubricating oil. (1) Use the engine lubricating oil which meets 
the marine engine manufacturer's requirements for a particular engine 
and intended usage. Record the specifications of the lubricating oil 
used for the test.
    (2) For two-stroke engines, the fuel/oil mixture ratio must be that 
which is recommended by the manufacturer. If the flow rate of the oil 
in the engine is greater than two percent of the fuel flow rate, then 
the oil supplied to the engine must be added to the fuel flow in the 
emission calculations described in Sec. 91.419 and Sec. 91.426. Good 
engineering judgment may be used to estimate oil flow when oil 
injection is used.
    (b) Test fuels--certification. The manufacturer must use gasoline 
having the specifications or substantially equivalent specifications 
approved by the Administrator, as specified in Table 3 in appendix A of 
this subpart for exhaust emission testing of gasoline fueled engines. 
The specification range of the fuel to be used under this paragraph 
must be reported in accordance with Sec. 91.109(d).
    (c) Test fuels--service accumulation. (1) Unleaded gasoline 
representative of commercial gasoline which will be generally available 
through retail outlets must be used in service accumulation for 
gasoline-fueled marine engines. As an alternative, the certification 
test fuels specified under paragraph (b) of this section for engine 
service accumulation. Leaded fuel may not be used during service 
accumulation.
    (2) The octane rating of the gasoline used may not be higher than 
4.0 research octane numbers above the minimum recommended by the 
manufacturer and have a minimum sensitivity of 7.5 octane numbers, 
where sensitivity is defined as research octane number minus motor 
octane number.
    (d) Other fuels may be used for testing provided:
    (1) They are commercially viable,
    (2) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service,
    (3) Use of a fuel listed under paragraph (b) of this section would 
have a detrimental effect on emissions or durability; and
    (4) The Administrator provides written approval of the fuel 
specifications prior to the start of testing.


Sec. 91.309  Engine intake air temperature measurement.

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


Sec. 91.310  Engine intake air humidity measurement.

    This section refers to engines which are supplied with intake air 
other than the ambient air in the test cell (i.e., air which has been 
pumbed directly to the engine air intake system). For engines which use 
ambient test cell air for the engine intake air, the ambient testcell 
humidity measurement may be used.
    (a) Humidity conditioned air supply. Air that has had its absolute 
humidity altered is considered humidity-conditioned air. For this type 
of intake air supply, the humidity measurements must be made within the 
intake air supply system, and after the humidity conditioning has taken 
place.
    (b) Unconditioned air supply. Humidity measurements in 
unconditioned intake air supply must be made in the intake air stream 
entering the engine. Alternatively, the humidity measurements can be 
measured within the intake air stream entering the supply system.


Sec. 91.311  Test conditions.

    (a) General requirements. (1) Ambient temperature levels 
encountered by the test engine throughout the test sequence may not be 
less than 20  deg.C nor more than 30  deg.C.
    (2) Calculate all volumes and volumetric flow rates at standard 
conditions for temperature and pressure. Use these conditions 
consistently throughout all calculations. Standard conditions for 
temperature and pressure are 25  deg.C and 101.3 kPa.
    (b) Engine test conditions. Measure the absolute temperature 
(designated as T and expressed in Kelvin) of the engine air at the 
inlet to the engine and the dry atmospheric pressure (designated as 
ps and expressed in kPa. Determine the parameter f according to 
the following provisions:
    (1) Naturally aspirated and mechanically supercharged engines:
    [GRAPHIC] [TIFF OMITTED] TR04OC96.005
    

[[Page 52118]]


    (2) Turbocharged engine with or without cooling of inlet air:
    [GRAPHIC] [TIFF OMITTED] TR04OC96.006
    
    (3) For a test to be recognized as valid, the parameter f must be 
between the limits as shown below:

[GRAPHIC] [TIFF OMITTED] TR04OC96.007

Sec. 91.312  Analytical gases.

    (a) The shelf life of a calibration gas may not be exceeded. Record 
the expiration date stated by the gas supplier for each calibration 
gas.
    (b) Pure gases. The required purity of the gases is defined by the 
contamination limits given in parenthesis. The following gases must be 
available for operation.
    (1) Purified nitrogen, also referred to as ``zero-grade nitrogen'' 
(Contamination1 ppm C, 1 ppm CO, 400 
ppm CO2, 0.1 ppm NO)
    (2) Purified oxygen (Purity 99.5 percent vol O2)
    (3) Hydrogen-helium mixture (402 percent hydrogen, 
balance helium) (Contamination1 ppm C, 400 ppm 
CO)
    (4) Purified synthetic air, also referred to as ``zero gas'' 
(Contamination1 ppm C, 1 ppm CO, 400 
ppm CO2, 0.1 ppm NO) (Oxygen content between 18-21 
percent vol.)
    (c) Calibration and span gases. (1) Calibration gas values are to 
be derived from NIST ``Standard Reference Materials'' (SRM's) or other 
local gas standards and are to be single blends as specified in this 
subsection.
    (2) Mixtures of gases having the following chemical compositions 
must be available:
    C3H8 and purified synthetic air (dilute measurements); 
C3H8 and purified nitrogen (raw measurements);
    CO and purified nitrogen;
    NOX and purified nitrogen (the amount of NO2 contained in 
this calibration gas must not exceed five percent of the NO content);
    CO2 and purified nitrogen.

    Note: For the HFID or FID, the manufacturer may choose to use as 
a diluent span gas and the calibration gas either purified synthetic 
air or purified nitrogen. Any mixture of C3H8 and purified 
synthetic air which contains a concentration of propane higher than 
what a gas supplier considers to be safe may be substituted with a 
mixture of C3H8 and purified nitrogen. However, the 
manufacturer must be consistent in the choice of diluent (zero air 
or purified nitrogen) between the calibration and span gases. If a 
manufacturer chooses to use C3H8 and purified nitrogen for 
the calibration gases, then purified nitrogen must be the diluent 
for the span gases.

    (3) The true concentration of a span gas must be within 
 two percent of the NIST gas standard. The true 
concentration of a calibration gas must be within  one 
percent of the NIST gas standard. The use of precision blending devices 
(gas dividers) to obtain the required calibration gas concentrations is 
acceptable. Give all concentrations of calibration gas on a volume 
basis (volume percent or volume ppm).
    (4) The gas concentrations used for calibration and span may also 
be obtained by means of a gas divider, diluting with purified N2 
or with purified synthetic air. The accuracy of the mixing device must 
be such that the concentration of the diluted gases may be determined 
to within  two percent.
    (d) Oxygen interference check gases must contain propane with 350 
ppmC  75 ppmC hydrocarbon. Determine the concentration 
value to calibration gas tolerances by chromatographic analysis of 
total hydrocarbons plus impurities or by dynamic blending. Use nitrogen 
as the predominant diluent with the balance oxygen.
    (e) Fuel for the hydrocarbon flame ionization detector (HC-FID) 
must be a blend of 402 percent hydrogen with the balance 
being helium. The mixture shall contain less than one ppm equivalent 
carbon response; 98 to 100 percent hydrogen fuel may be used with 
advance approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen 
must be within one mole percent of the oxygen concentration of the 
burner air used in the latest oxygen interference check (percent 
O2I), see Sec. 91.316(d). If the difference in oxygen 
concentration is greater than one mole percent, then the oxygen 
interference must be checked and the analyzer adjusted if necessary, to 
meet the percent O2I requirements. The burner air must contain 
less than two ppmC hydrocarbon.


Sec. 91.313  Analyzers required.

    (a) Analyzers. Analyze measured gases with the following 
instruments:
    (1) Carbon monoxide (CO) analysis. (i) The carbon monoxide analyzer 
must be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (2) Carbon dioxide (CO2) analysis. (i) The carbon dioxide 
analyzer must be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (3) Oxygen (O2) analysis. Oxygen (O2) analyzers may be of 
the paramagnetic (PMD), zirconia (ZRDO) or electrochemical type (ECS).
    (4) Hydrocarbon (HC) analysis. (i) For Raw Gas Sampling, the 
hydrocarbon analyzer must be of the heated flame ionization (HFID) 
type. For constant volume sampling, the hydrocarbon analyzer may be of 
the flame ionization (FID) type or of the heated flame ionization 
(HFID) type.
    (ii) For the HFID system, if the temperature of the exhaust gas at 
the sample probe is below 190 deg. C, the temperature of the valves, 
pipe work, and so forth, must be controlled so as to maintain a wall 
temperature of 190 deg. C  11 deg. C. If the temperature of 
the exhaust gas at the sample probe is above 190 deg. C, the 
temperature of the valves, pipe work, and so forth, must be controlled 
so as to maintain a wall temperature greater than 180 deg. C.
    (iii) For the HFID analyzer, the detector, oven, and sample-
handling components within the oven must be suitable for continuous 
operation at temperatures to 200 deg. C. It must by capable of 
maintaining temperature within  5.5 deg. C of the set 
point.
    (iv) Fuel and burner air must conform to the specifications in 
Sec. 91.312.
    (v) The percent of oxygen interference must be less than three 
percent, as specified in Sec. 91.316(d).
    (5) Oxides of nitrogen (NOX) analysis. (i) This analysis 
device consists of the following items:
    (A) A NO2 to NO converter. The NO2 to NO converter 
efficiency must be at least 90 percent.
    (B) An ice bath located after the NOX converter (optional).
    (C) A chemiluminescent detector (CLD) or heated chemiluminescent 
detector (HCLD).
    (ii) The quench interference must be less than three percent as 
measured in Sec. 91.325.
    (b) Other gas analyzers yielding equivalent results may be used 
with advance approval of the Administrator.
    (c) The following requirements must be incorporated as indicated in 
systems used for testing under this subpart.
    (1) Carbon monoxide and carbon dioxide measurements must be made on 
a dry basis (for raw exhaust measurement only). Specific requirements 
for the means of drying the sample can be found in Sec. 91.313(e).
    (2) Calibration or span gases for the NOX measurement system 
must pass through the NO2 to NO converter.
    (d) The electromagnetic compatibility (EMC) of the equipment must 
be on a level as to minimize additional errors.
    (e) Gas drying. Chemical dryers are not an acceptable method of 
removing water from the sample. Water removal

[[Page 52119]]

by condensation is acceptable. If water is removed by condensation, the 
sample gas temperature or sample dew point must be monitored either 
within the water trap or downstream and its temperature must not exceed 
7 deg. C. A water trap performing this function is an acceptable 
method. Means other than condensation may be used only with prior 
approval from the Administrator.


Sec. 91.314  Analyzer accuracy and specifications.

    (a) Measurement accuracy--general. The analyzers must have a 
measuring range which allows them to measure the concentrations of the 
exhaust gas sample pollutants with the accuracies shown in Table 2 in 
appendix A to this subpart.
    (1) Precision. The precision of the analyzer must be, at worst, 
 one percent of full-scale concentration for each range 
used. The precision is defined as 2.5 times the standard deviation(s) 
of 10 repetitive responses to a given calibration or span gas.
    (2) Noise. The analyzer peak-to-peak response to zero and 
calibration or span gases over any 10-second period may not exceed two 
percent of full-scale chart deflection on all ranges used.
    (3) Zero drift. The analyzer zero-response drift during a one-hour 
period must be less than two percent of full-scale chart deflection on 
the lowest range used. The zero-response is defined as the mean 
response including noise to a zero-gas during a 30-second time 
interval.
    (4) Span drift. The analyzer span drift during a one-hour period 
must be less than two percent of full-scale chart deflection on the 
lowest range used. The analyzer span is defined as the difference 
between the span-response and the zero-response. The span-response is 
defined as the mean response including noise to a span gas during a 30-
second time interval.
    (b) Operating procedure for analyzers and sampling system. Follow 
the start-up and operating instructions of the instrument manufacturer. 
Adhere to the minimum requirements given in Sec. 91.316 to Sec. 91.325 
and Sec. 91.409.
    (c) Emission measurement accuracy--Bag sampling. (1) Good 
engineering practice dictates that exhaust emission sample analyzer 
readings below 15 percent of full scale chart deflection should 
generally not be used.
    (2) Some high resolution read-out systems, such as computers, data 
loggers, and so forth, can provide sufficient accuracy and resolution 
below 15 percent of full scale. Such systems may be used provided that 
additional calibrations are made to ensure the accuracy of the 
calibration curves. The following procedure for calibration below 15 
percent of full scale may be used:

    Note: If a gas divider is used, the gas divider must conform to 
the accuracy requirements as follows: The use of precision blending 
devices (gas dividers) to obtain the required calibration gas 
concentrations is acceptable, provided that the blended gases are 
accurate to within  1.5 percent of NIST gas standards or 
other gas standards which have been approved by the Administrator. 
This accuracy implies that primary gases used for blending must be 
``named'' to an accuracy of at least  1 percent, 
traceable to NIST or other approved gas standards.

    (i) Span the full analyzer range using a top range calibration gas. 
The span gases must be accurate to within  2 percent of 
NIST gas standards or other gas standards which have been approved by 
the Administrator.
    (ii) Generate a calibration curve according to, and meeting the 
requirements of the sections describing analyzer calibrations which are 
found in Secs. 91.316, 91.317, 91.318, and 91.320 of this chapter.
    (iii) Select a calibration gas (a span gas may be used for 
calibrating the CO2 analyzer) with a concentration between the two 
lowest non-zero gas divider increments. This gas must be ``named'' to 
an accuracy of  2 percent of NIST gas standards, or other 
standards approved by the Administrator.
    (iv) Using the calibration curve fitted to the points generated in 
paragraphs (c)(2) (i) and (ii) of this section, check the concentration 
of the gas selected in paragraph (c)(2)(iii) of this section. The 
concentration derived from the curve must be within  2.3 
percent ( 2.8 percent for CO2 span gas) of the gas' 
original named concentration.
    (v) Provided the requirements of paragraph (c)(2)(iv) of this 
section are met, use the gas divider with the gas selected in paragraph 
(c)(2)(iii) of this section and determine the remainder of the 
calibration points. Fit a calibration curve per Secs. 91.316, 91.317, 
91.318, and 91.320 of this chapter for the entire analyzer range.
    (d) Emission measurement accuracy--continuous sampling. Analyzers 
used for continuous analysis must be operated such that the measured 
concentration falls between 15 and 100 percent of full scale chart 
deflection. Exceptions to these limits are:
    (1) The analyzer's response may be less than 15 percent or more 
than 100 percent of full scale if automatic range change circuitry is 
used and the limits for range changes are between 15 and 100 percent of 
full scale chart deflection;
    (2) The analyzer's response may be less than 15 percent of full 
scale if:
    (i) Alternative in paragraph (c)(2) of this section is used to 
ensure that the accuracy of the calibration curve is maintained below 
15 percent; or
    (ii) The full scale value of the range is 155 ppmC or less; or
    (iii) The emissions from the engine are erratic and the integrated 
chart deflection value for the cycle is greater than 15 percent of full 
scale; or
    (iv) The contribution of all data read below the 15 percent level 
is less than 10 percent by mass of the final test results.


Sec. 91.315  Analyzer initial calibration.

    (a) Warming-up time. Follow the warm-up time according to the 
recommendations of the manufacturer. If not specified, a minimum of two 
hours should be allowed for warming up the analyzers.
    (b) NDIR and HFID analyzer. Tune and maintain the NDIR analyzer per 
the instrument manufacturer recommendations. The combustion flame of 
the HFID analyzer must be optimized in order to meet the specifications 
in Sec. 91.316(b).
    (c) Zero setting and calibration. Using purified synthetic air (or 
nitrogen), set the CO, CO2, NOX and HC analyzers at zero. 
Connect the appropriate calibrating gases to the analyzers and record 
the values. The same gas flow rates shall be used as when sampling 
exhaust.
    (d) Rechecking of zero setting. Recheck the zero setting and, if 
necessary, repeat the procedure described in paragraph (c) of this 
section.


Sec. 91.316  Hydrocarbon analyzer calibration.

    (a) Calibrate the FID and HFID hydrocarbon analyzer as described in 
this section. Operate the HFID to a set point  5.5  deg.C 
between 185 and 197  deg.C.
    (b) Initial and periodic optimization of detector response. Prior 
to introduction into service and at least annually thereafter, adjust 
the FID and HFID hydrocarbon analyzer for optimum hydrocarbon response 
as specified by this paragraph. Alternative methods yielding equivalent 
results may be used, if approved in advance by the Administrator.
    (1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see 
Sec. 91.312) and purified synthetic air or zero-grade nitrogen.
    (2) One of the following procedures is required for FID or HFID 
optimization:
    (i) The procedure outlined in Society of Automotive Engineers (SAE) 
paper

[[Page 52120]]

No. 770141, ``Optimization of Flame Ionization Detector for 
Determination of Hydrocarbons in Diluted Automobile Exhaust''; author, 
Glenn D. Reschke. This procedure has been incorporated by reference. 
See Sec. 91.6.
    (ii) The HFID optimization procedures outlined in Sec. 86.331-79 of 
this chapter.
    (iii) Alternative procedures may be used if approved in advance by 
the Administrator.
    (3) After the optimum flow rates have been determined, they are 
recorded for future reference.
    (c) Initial and periodic calibration. Prior to introduction into 
service and monthly thereafter, or within one month prior to the 
certification test, calibrate the FID or HFID hydrocarbon analyzer on 
all normally used instrument ranges, using the steps in this paragraph. 
Use the same flow rate and pressures as when analyzing samples. 
Introduce calibration gases directly at the analyzer. An optional 
method for dilute sampling described in Sec. 86.1310(b)(3)(i) of this 
chapter may be used.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with purified synthetic air or 
zero-grade nitrogen.
    (3) Calibrate on each used operating range with calibration gases 
having nominal concentrations between 10 and 90 percent of that range. 
A minimum of six evenly spaced points covering at least 80 percent of 
the 10 to 90 percent range (64 percent) is required (see following 
table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?  
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50?       
                                          percent, not 64 percent.      
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.                           
10, 25, 40, 55, 70, 85.................  Yes                            
10, 30, 50, 70, 90.....................  No, though equally spaced and  
                                          entire range covered, a       
                                          minimum of six points is      
                                          needed                        
------------------------------------------------------------------------

    (4) For each range calibrated, if the deviation from a least-
squares best-fit straight line is two percent or less of the value at 
each data point, calculate concentration values by use of a single 
calibration factor for that range. If the deviation exceeds two percent 
at any point, use the best-fit non-linear equation which represents the 
data to within two percent of each test point to determine 
concentration.
    (d) Oxygen interference optimization. Choose a range where the 
oxygen interference check gases will fall in the upper 50 percent. 
Conduct the test, as outlined in this paragraph, with the oven 
temperature set as required by the instrument manufacturer. Oxygen 
interference check gas specifications are found in Sec. 91.312(d).
    (1) Zero the analyzer.
    (2) Span the analyzer with the 21 percent oxygen blend.
    (3) Recheck zero response. If it has changed more than 0.5 percent 
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to 
correct the problem.
    (4) Introduce the five percent and 10 percent oxygen interference 
check gases.
    (5) Recheck the zero response. If it has changed more than 
 one percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (designated as 
percent O2I) for each mixture in paragraph (d)(4) of this section 
according to the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.008

Where:
A=hydrocarbon concentration (ppmC) of the span gas used in paragraph 
(d)(2) of this section.
B=hydrocarbon concentration (ppmC) of the oxygen interference check 
gases used in paragraph (d)(4) of this section.

    (7) The percent of oxygen interference (designated as percent 
O2I) must be less than plus-minus three percent for all 
required oxygen interference check gases prior to testing.
    (8) If the oxygen interference is greater than the specifications, 
incrementally adjust the air flow above and below the manufacturer's 
specifications, repeating paragraphs (d)(1) through (d)(7) of this 
section for each flow.
    (9) If the oxygen interference is greater than the specification 
after adjusting the air flow, vary the fuel flow and thereafter the 
sample flow, repeating paragraphs (d)(1) through (d)(7) of this section 
for each new setting.
    (10) If the oxygen interference is still greater than the 
specifications, repair or replace the analyzer, FID fuel, or burner air 
prior to testing. Repeat this section with the repaired or replaced 
equipment or gases.


Sec. 91.317  Carbon monoxide analyzer calibration.

    (a) Calibrate the NDIR carbon monoxide analyzer described in this 
section.
    (b) Initial and periodic interference check. Prior to its 
introduction into service and annually thereafter, check the NDIR 
carbon monoxide analyzer for response to water vapor and CO2:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance on the most 
sensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either purified 
synthetic air or zero-grade nitrogen.
    (3) Bubble a mixture of three percent CO2 in N2 through 
water at room temperature and record analyzer response.
    (4) An analyzer response of more than one percent of full scale for 
ranges

[[Page 52121]]

above 300 ppm full scale or more than three ppm on ranges below 300 ppm 
full scale requires corrective action. (Use of conditioning columns is 
one form of corrective action which may be taken.)
    (c) Initial and periodic calibration. Calibrate the NDIR carbon 
monoxide analyzer prior to its introduction into service and monthly 
thereafter.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either purified 
synthetic air or zero-grade nitrogen.
    (3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations between 10 and 
90 percent of that range. A minimum of six evenly spaced points 
covering at least 80 percent of the 10 to 90 range (64 percent) is 
required (see following table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?  
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50        
                                          percent, not 64 percent.      
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.                           
10, 25, 40, 55, 70, 85.................  Yes.                           
10, 30, 50, 70, 90.....................  No, though equally spaced and  
                                          entire range covered, a       
                                          minimum of six points is      
                                          needed.                       
------------------------------------------------------------------------

    (4) Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight 
line is two percent or less of the value at each data point, 
concentration values may be calculated by use of a single calibration 
factor for that range. If the deviation exceeds two percent at any 
point, use the best-fit non-linear equation which represents the data 
to within two percent of each test point to determine concentration.


Sec. 91.318   Oxides of nitrogen analyzer calibration.

    (a) Calibrate the chemiluminescent oxides of nitrogen analyzer as 
described in this section.
    (b) Initial and periodic interference. Prior to its introduction 
into service, and monthly thereafter, check the chemiluminescent oxides 
of nitrogen analyzer for NO2 to NO converter efficiency. Figure 2 
in appendix B of this subpart is a reference for the following 
paragraphs:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with purified synthetic 
air or zero-grade nitrogen.
    (3) Connect the outlet of the NOX generator to the sample 
inlet of the oxides of nitrogen analyzer which has been set to the most 
common operating range.
    (4) Introduce into the NOX generator analyzer-system an NO-in-
nitrogen (N2) mixture with an NO concentration equal to 
approximately 80 percent of the most common operating range. The 
NO2 content of the gas mixture must be less than 5 percent of the 
NO concentration.
    (5) With the oxides of nitrogen analyzer in the NO mode, record the 
concentration of NO indicated by the analyzer.
    (6) Turn on the NOX generator O2 (or air) supply and 
adjust the O2 (or air) flow rate so that the NO indicated by the 
analyzer is about 10 percent less than indicated in paragraph (b)(5) of 
this section. Record the concentration of NO in this NO+O2 mixture 
as value ``c.''
    (7) Switch the NOX generator to the generation mode and adjust 
the generation rate so that the NO measured on the analyzer is 20 
percent of that measured in paragraph (b)(5) of this section. There 
must be at least 10 percent unreacted NO at this point. Record the 
concentration of residual NO as value ``d.''
    (8) Switch the oxides of nitrogen analyzer to the NOX mode and 
measure total NOX. Record this value as ``a.''
    (9) Switch off the NOX generator but maintain gas flow through 
the system. The oxides of nitrogen analyzer will indicate the NOX 
in the NO+O2 mixture. Record this value as ``b.''
    (10) Turn off the NOX generator O2 (or air) supply. The 
analyzer will now indicate the NOX in the original NO-in-N2 
mixture. This value should be no more than 5 percent above the value 
indicated in paragraph (b)(4) of this section.
    (11) Calculate the efficiency of the NOX converter by 
substituting the concentrations obtained into the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.009

Where:
a=concentration obtained in paragraph (b)(8) of this section,
b=concentration obtained in paragraph (b)(9) of this section,
c=concentration obtained in paragraph (b)(6) of this section,
d=concentration obtained in paragraph (b)(7) of this section.

    If converter efficiency is not greater than 90 percent, corrective 
action is required.
    (c) Initial and periodic calibration. Prior to its introduction 
into service, and monthly thereafter, calibrate the chemiluminescent 
oxides of nitrogen analyzer on all normally used instrument ranges. Use 
the same flow rate as when analyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations between 10 and 90 
percent of that range. A minimum of six evenly spaced points covering 
at least 80 percent of the 10 to 90 percent range (64 percent) is 
required (see following table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?  
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50        
                                          percent, not 64 percent.      
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.                           
10, 25, 40, 55, 70, 85.................  Yes.                           
10, 30, 50, 70, 90.....................  No, though equally spaced and  
                                          entire range covered, a       
                                          minimum of six points is      
                                          needed.                       
------------------------------------------------------------------------


[[Page 52122]]

    (4) Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight 
line is two percent or less of the value at each data point, 
concentration values may be calculated by use of a single calibration 
factor for that range. If the deviation exceeds two percent at any 
point, use the best-fit non-linear equation which represents the data 
to within two percent of each test point to determine concentration.
    (d) The initial and periodic interference, system check, and 
calibration test procedures specified in Sec. 86.332-79 of this chapter 
may be used in lieu of the procedures specified in this section.


Sec. 91.319   NOX converter check.

    (a) The efficiency of the converter used for the conversion of 
NO2 to NO is tested as given in paragraphs (a)(1) through (a)(8) 
of this section (see Figure 2 in appendix B to this subpart).
    (1) Using the test setup as shown in Figure 2 in appendix B to this 
subpart (see also Sec. 91.318 of this chapter) and the procedures 
described in paragraphs (a)(2) through (a)(8) of this section, test the 
efficiency of converters by means of an ozonator.
    (2) Calibrate the HCLD in the most common operating range following 
the manufacturer's specifications using zero and span gas (the NO 
content of which must amount to about 80 percent of the operating range 
and the NO2 concentration of the gas mixture less than five 
percent of the NO concentration). The NOX analyzer must be in the 
NO mode so that the span gas does not pass through the converter. 
Record the indicated concentration.
    (3) Calculate the efficiency of the NOX converter as described 
in Sec. 91.318(b).
    (4) Via a T-fitting, add oxygen continuously to the gas flow until 
the concentration indicated is about 20 percent less than the indicated 
calibration concentration given in paragraph (a)(2) of this section. 
Record the indicated concentration as ``c''. The ozonator is kept 
deactivated throughout the process.
    (5) Activate the ozonator to generate enough ozone to bring the NO 
concentration down to about 20 percent (minimum 10 percent) of the 
calibration concentration given in paragraph (a)(2) of this section. 
Record the indicated concentration as ``d''.

    Note: If, with the analyzer in the most common range the 
NOX converter cannot give a reduction from 80 percent to 20 
percent, then use the highest range which will give the reduction.

    (6) Switch the NO analyzer to the NOX mode, which means that 
the gas mixture (consisting of NO, NO2, O2 and N2) now 
passes through the converter. Record the indicated concentration as 
``a''.
    (7) Deactivate the ozonator. The mixture of gases described in 
paragraph (a)(6) of this section passes through the converter into the 
detector. Record the indicated concentration as ``b''.
    (8) Switched to NO mode with the ozonator deactivated, the flow of 
oxygen or synthetic air is also shut off. The NOX reading of the 
analyzer may not deviate by more than  five percent of the 
theoretical value of the figure given in paragraph (a)(2) of this 
section.
    (b) The efficiency of the converter must be tested prior to each 
calibration of the NOX analyzer.
    (c) The efficiency of the converter may not be less than 90 
percent.


Sec. 91.320   Carbon dioxide analyzer calibration.

    (a) Prior to its introduction into service, and monthly thereafter, 
or within one month prior to the certification test, calibrate the NDIR 
carbon dioxide analyzer as follows:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
dioxide-in-N2 calibration or span gases having nominal 
concentrations between 10 and 90 percent of that range. A minimum of 
six evenly spaced points covering at least 80 percent of the 10 to 90 
percent range (64 percent) is required (see following table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?  
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50        
                                          percent, not 64 percent.      
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.                           
10, 25, 40, 55, 70, 85.................  Yes.                           
10, 30, 50, 70, 90.....................  No, though equally spaced and  
                                          entire range covered, a       
                                          minimum of six points is      
                                          needed.                       
------------------------------------------------------------------------

    (4) Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight 
line is two percent or less of the value at each data point, 
concentration values may be calculated by use of a single calibration 
factor for that range. If the deviation exceeds two percent at any 
point, use the best-fit non-linear equation which represents the data 
to within two percent of each test point to determine concentration.
    (b) The initial and periodic interference, system check, and 
calibration test procedures specified in Secs. 86.316, 86.319, 86.320, 
86.321, and 86.322 of this chapter may be used in lieu of the 
procedures in this section.


Sec. 91.321  NDIR analyzer calibration.

    (a) Detector optimization. If necessary, follow the manufacturer's 
instructions for initial start-up and basic operating adjustments.
    (b) Calibration curve. Develop a calibration curve for each range 
used as follows:
    (1) Zero the analyzer.
    (2) Span the analyzer to give a response of approximately 90 
percent of full-scale chart deflection.
    (3) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat the steps given in paragraphs (b)(1) and 
(b)(2) of this section.
    (4) Record the response of calibration gases having nominal 
concentrations between 10 and 90 percent of full-scale concentration. A 
minimum of six evenly spaced points covering at least 80 percent of the 
10 to 90 percent range (64 percent) is required (see following table).

------------------------------------------------------------------------
  Example calibration points (percent)     Acceptable for calibration?  
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50        
                                          percent, not 64 percent.      
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.                           

[[Page 52123]]

                                                                        
10, 25, 40, 55, 70, 85.................  Yes.                           
10, 30, 50, 70, 90.....................  No, though equally spaced and  
                                          entire range covered, a       
                                          minimum of six points is      
                                          needed.                       
------------------------------------------------------------------------

    (5) Generate a calibration curve. The calibration curve must be of 
fourth order or less, have five or fewer coefficients, and be of the 
form of equation (1) or (2). Include zero as a data point. Compensation 
for known impurities in the zero gas can be made to the zero-data 
point. The calibration curve must fit the data points within two 
percent of point or one percent of full scale, whichever is less.
[GRAPHIC] [TIFF OMITTED] TR04OC96.010

y=concentration
x=chart deflection

    (6) Option. A new calibration curve need not be generated if:
    (i) A calibration curve conforming to paragraph (b)(5) of this 
section exists;
    (ii) The responses generated in paragraph (b)(4) of this section 
are within one percent of full scale or two percent of point, whichever 
is less, of the responses predicted by the calibration curve for the 
gases used in paragraph (b)(4) of this section.
    (7) If multiple range analyzers are used, the lowest range used 
must meet the curve fit requirements below 15 percent of full scale.
    (c) Linear calibration criteria. If any range is within two percent 
of being linear, a linear calibration may be used. To determine if this 
criterion is met:
    (1) Perform a linear least-square regression on the data generated. 
Use an equation of the form y=mx, where x is the actual chart 
deflection and y is the concentration.
    (2) Use the equation z=y/m to find the linear chart deflection 
(designated as z) for each calibration gas concentration (designated as 
y).
    (3) Determine the linearity (designated as percent L) for each 
calibration gas by:
[GRAPHIC] [TIFF OMITTED] TR04OC96.011

    (4) The linearity criterion is met if the percent L is less than 
 two percent for each data point generated. For each 
emission test, use a calibration curve of the form Y=mx. The slope 
(designated as m) is defined for each range by the spanning process.


Sec. 91.322  Calibration of other equipment.

    Calibrate other test equipment as often as required by the 
manufacturer or as necessary according to good engineering practice.


Sec. 91.323  Analyzer bench checks.

    (a) Prior to initial use and after major repairs, verify that each 
analyzer complies with the specifications given in Table 2 in appendix 
A to this subpart.
    (b) If a stainless steel NO2 to NO converter is used, 
condition all new or replacement converters. The conditioning consists 
of either purging the converter with air for a minimum of four hours or 
until the converter efficiency is greater than 90 percent. The 
converter must be at operational temperature while purging. Do not use 
this procedure prior to checking converter efficiency on in-use 
converters.


Sec. 91.324  Analyzer leakage check.

    (a) Vacuum side leak check. (1) Check any location within the 
analysis system where a vacuum leak could affect the test results.
    (2) The maximum allowable leakage rate on the vacuum side is 0.5 
percent of the in-use flow rate for the portion of the system being 
checked. The analyzer flows and bypass flows may be used to estimate 
the in-use flow rates.
    (3) The sample probe and the connection between the sample probe 
and valve V2 (see Figure 1 in appendix B of this subpart) may be 
excluded from the leak check.
    (b) Pressure side leak check. Substantial leaks of the sample on 
the pressure side of the system may impact sample integrity if the 
leaks are of sufficient magnitude. As a safety precaution, it is good 
engineering practice to perform periodic pressure side leak checks on 
the sampling system.


Sec. 91.325  Analyzer interference checks.

    (a) Gases present in the exhaust other than the one being analyzed 
can interfere with the reading in several ways. Positive interference 
occurs in NDIR and PMD instruments when the interfering gas gives the 
same effect as the gas being measured, but to a lesser degree. Negative 
interference occurs in NDIR instruments by the interfering gas 
broadening the absorption band of the measured gas, and in CLD 
instruments by the interfering gas quenching the radiation. The 
interference checks described in this section are to be made initially 
and after any major repairs that could affect analyzer performance.
    (b) CO analyzer water and CO2 interference checks. Bubble 
through water at room temperature a CO2 span gas having a 
concentration of between 80 percent and 100 percent inclusive of full 
scale of the maximum operating range used during testing and record the 
analyzer response. For dry measurements, this mixture may be introduced 
into the sample system prior to the water trap. The analyzer response 
must not be more than one percent of full scale for ranges equal to or 
above 300 ppm or more than three ppm for ranges below 300 ppm.
    (c) NOX analyzer quench check. The two gases of concern for 
CLD (and HCLD) analyzers are CO2 and water vapor. Quench responses 
to these two gases are proportional to their concentrations and, 
therefore, require test techniques to determine quench at the highest 
expected concentrations experienced during testing.
    (1) NOX analyzer CO2 quench check. (i) Pass a CO2 
span gas having a concentration of 80 percent to 100 percent of full 
scale of the maximum operating range used during testing through the 
CO2 NDIR analyzer and record the value as ``a.''
    (ii) Dilute the CO2 span gas approximately 50 percent with NO 
span gas and pass through the CO2 NDIR and CLD (or HCLD). Record 
the CO2 and NO values as ``b'' and ``c'', respectively.
    (iii) Shut off the CO2 and pass only the NO span gas through 
the CLD (or HCLD). Record the NO value recorded as ``d.''

[[Page 52124]]

    (iv) Calculate the percent CO2 quench as follows, which may 
not exceed three percent:
[GRAPHIC] [TIFF OMITTED] TR04OC96.012

Where:
a=Undiluted CO2 concentration (percent)
b=Diluted CO2 concentration (percent)
c=Diluted NO concentration (ppm)
d=Undiluted NO concentration (ppm)
    (2) NOX analyzer water quench check. (i) This check applies to 
wet measurements only. Pass an NO span gas having a concentration of 80 
percent to 100 percent of full scale of a normal operating range 
through the CLD (or HCLD). Record the response as ``D.'' Bubble through 
water at room temperature the NO span gas and pass it through the CLD 
(or HCLD). Record the analyzers response as ``AR.'' Determine and 
record the analyzers absolute operating pressure and the bubbler water 
temperature. (It is important that the NO span gas contains minimal 
NO2 concentration for this check. No allowance for absorption of 
NO2 in water has been made in the following quench calculations.)
    (ii) Calculations for water quench must consider dilution of the NO 
span gas with water vapor and scaling of the water vapor concentration 
of the mixture to that expected during testing. Determine the mixture's 
saturated vapor pressure (designated as ``Pwb'') that corresponds to 
the bubbler water temperature. Calculate the water concentration 
(``Z1'', percent) in the mixture by the following equation:

Z1=100 x (Pwb/GP)

Where:

GP=the analyzer's standard operating pressure (pascals)

    (iii) Calculate the expected dilute NO span gas and water vapor 
mixture concentration (designated as ``D1'') by the following equation:

D1=D x (1Z1/100)


Sec. 91.326  Pre- and post-test analyzer calibration.

    Calibrate the operating range of each analyzer used during the test 
prior to and after each test in accordance with the following procedure 
(A chronic need for parameter adjustment can indicate a need for 
instrument maintenance.):
    (a) Make the calibration using a zero gas and a span gas whose 
nominal value is between 80 percent and 100 percent of full scale, 
inclusive, of the measuring range.
    (b) Use the same analyzer(s) flow rate and pressure as that used 
during exhaust emission test sampling.
    (c) Warm-up and stabilize the analyzer(s) before the calibration is 
made.
    (d) If necessary, clean and/or replace filter elements before 
calibration is made.
    (e) Calibrate analyzer(s) as follows:
    (1) Zero the analyzer using the appropriate zero gas. Adjust 
analyzer zero if necessary. Zero reading should be stable.
    (2) Span the analyzer using the appropriate span gas for the range 
being calibrated. Adjust the analyzer to the calibration set point if 
necessary.
    (3) Recheck zero and span set points.
    (4) If the response of the zero gas or span gas differs more than 
one percent of full scale, then repeat paragraphs (e)(1) through (3) of 
this section.


Sec. 91.327  Sampling system requirements.

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


Sec. 91.328  Measurement equipment accuracy/calibration frequency 
table.

    (a) The accuracy of measurements must be such that the maximum 
tolerances shown in Table 2 in appendix A to this subpart are not 
exceeded.
    (b) Calibrate all equipment and analyzers according to the 
frequencies shown in Table 2 in appendix A to this subpart.
    (c) Prior to initial use and after major repairs, bench check each 
analyzer (see Sec. 91.323).
    (d) Calibrate as specified in Sec. 91.306 and Secs. 91.315 through 
91.322.
    (e) At least monthly, or after any maintenance which could alter 
calibration, perform the following calibrations and checks.
    (1) Leak check the vacuum side of the system (see Sec. 91.324(a)).
    (2) Verify that the automatic data collection system (if used) 
meets the requirements found in Table 2 in appendix A to this subpart.
    (3) Check the fuel flow measurement instrument to insure that the 
specifications in Table 2 in appendix A to this subpart are met.
    (f) Verify that all NDIR analyzers meet the water rejection ratio 
and the CO2 rejection ratio as specified in Sec. 91.325.
    (g) Verify that the dynamometer test stand and power output 
instrumentation meet the specifications in Table 2 in appendix A to 
this subpart.


Sec. 91.329  Catalyst thermal stress test.

    (a) Oven characteristics. The oven used for termally stressing the 
test catalyst must be capable of maintaining a temperature of 500 
deg.C  5  deg.C and 1000  deg.C10  deg.C.
    (b) Evaluation gas composition. (1) A synthetic exhaust gas mixture 
is used for evaluating the effect of thermal stress on catalyst 
conversion efficiency.
    (2) The synthetic exhaust gas mixture must have the following 
composition:

------------------------------------------------------------------------
                                                   Volume     Parts per 
                  Constituent                     percent      million  
------------------------------------------------------------------------
Carbon Monoxide \1\...........................            1  ...........
Oxygen........................................          1.3  ...........
Carbon Dioxide................................            9  ...........

[[Page 52125]]

                                                                        
Water Vapor...................................           10  ...........
Sulfur Dioxide................................  ...........           20
Oxides of Nitrogen............................  ...........          280
Hydrogen......................................  ...........         3500
Hydrocarbon 1, 2..............................  ...........         4000
Nitrogen=Balance..............................  ...........  ...........
------------------------------------------------------------------------
\1\ Alternatively, the carbon monoxide and hydrocarbon proportions of   
  the mixture may be changed to 1.2% and 4650 ppm, respectively (using  
  on of these alternative concentrations requires that the other be used
  simultaneously).                                                      
\2\ Propylene/propane ratio=2/1.                                  

Appendix A to Subpart D of Part 91--Tables

                                   Table 1.--Symbols Used in Subparts D and E                                   
----------------------------------------------------------------------------------------------------------------
             Symbol                             Term                                    Unit                    
----------------------------------------------------------------------------------------------------------------
AYM.............................  Final weighted emission test      g/kW-hr                                     
                                   results.                                                                     
C3H8............................  Propane.........................  ............................................
CB..............................  Concentration of emission in      ppm                                         
                                   background sample.                                                           
CD..............................  Concentration of emission in      ppm                                         
                                   dilute sample.                                                               
CO..............................  Carbon monoxide.................  ............................................
CO2.............................  Carbon dioxide..................  ............................................
conc............................  Concentration (ppm by volume)...  ppm                                         
DXX.............................  Density of a specific emission    g/m3                                        
                                   (XX).                                                                        
DXX.............................  Volume concentration of a         percent                                     
                                   specific emission (XX) on a dry                                              
                                   basis.                                                                       
DF..............................  Dilution factor of dilute                                                     
                                   exhaust.                                                                     
D1..............................  Water vapor mixture               percent                                     
                                   concentration.                                                               
f...............................  Engine specific parameter         ............................................
                                   considering atmospheric                                                      
                                   conditions.                                                                  
GAIRD...........................  Intake air mass flow rate on dry  kg/h                                        
                                   basis.                                                                       
GFuel...........................  Fuel mass flow rate.............  kg/h                                        
GP..............................  Analyzer standard operating       Pa                                          
                                   pressure.                                                                    
Gs..............................  Mass of carbon measured during a  g                                           
                                   sampling period.                                                             
H...............................  Absolute humidity (water content  gr/kg                                       
                                   related to dry air).                                                         
H2..............................  Hydrogen........................  ............................................
i...............................  Subscript denoting an individual  ............................................
                                   mode.                                                                        
IT..............................  Indicated torque................  N-m                                         
K...............................  Wet to dry conversion factor....  ............................................
KH..............................  Humidity correction factor......  ............................................
KV..............................  Calibration coefficient for       ............................................
                                   critical flow venturi.                                                       
MXX.............................  Molecular weight of a specific    g/mole                                      
                                   molecule(XX).                                                                
mass............................  Pollutant mass flow.............  g/h                                         
MFUEL...........................  Mass of fuel consumed during a    g                                           
                                   sampling period.                                                             
N...............................  Pump revolutions during test      revs                                        
                                   period.                                                                      
N2..............................  Nitrogen........................  ............................................
NO..............................  Nitric oxide....................  ............................................
NO2.............................  Nitrogen dioxide................  ............................................
NOX.............................  Oxides of nitrogen..............  ............................................
O2..............................  Oxygen..........................  ............................................
O2I.............................  Oxygen concentration of the       percent                                     
                                   burner air.                                                                  
P...............................  Absolute pressure...............  kPa                                         
PAUX............................  Declared total power absorbed by  kW                                          
                                   auxiliaries fitted for the test.                                             
PB..............................  Total barometric pressure         kPa                                         
                                   (average of the pre-test and                                                 
                                   post-test values).                                                           
Pdew............................  Test ambient saturation vapor     kPa                                         
                                   pressure at the dew point.                                                   
Pe..............................  Absolute pump outlet pressure...  kPa                                         
PED.............................  Pressure drop between the inlet   kPa                                         
                                   and throat of metering venturi.                                              
Pi..............................  Pi=PM,i + PAUX,i................  ............................................
PM..............................  Maximum power measured at the     kW                                          
                                   test speed under test                                                        
                                   conditions.                                                                  
PP..............................  Absolute pump inlet pressure....  kPa                                         
PPI.............................  Inlet pressure depression of      kPa                                         
                                   venturi or pump.                                                             
PPO.............................  Pressure head at CVS pump outlet  kPa                                         
Ps..............................  Dry atmospheric pressure........  kPa                                         
PV..............................  Absolute venturi inlet pressure.  kPa                                         
Pwb.............................  Saturated vapor pressure........  Pa                                          
QC..............................  Volumetric flow rate of dilute    m3/hr                                       
                                   exhaust through CVS at STP.                                                  
QS..............................  Gas flow rate...................  m3/min                                      
RSTP............................  Ideal gas constant at STP.......  m3/mole                                     
R2..............................  Fuel carbon weight fraction.....  g/g                                         
STP.............................  Standard temperature and          ............................................
                                   pressure.                                                                    
t...............................  Elapsed time for test period....  sec.                                        
T...............................  Absolute temperature at air        deg.C                                      
                                   inlet.                                                                       
Ta..............................  Ambient temperature.............   deg.C                                      
TEI.............................  Air temperature in to metering     deg.C                                      
                                   venturi or flowmeter.                                                        
TK..............................  Absolute temperature............  K                                           

[[Page 52126]]

                                                                                                                
TP..............................  Absolute pump inlet temperature.   deg.C                                      
TPI.............................  Air temperature at CVS pump        deg.C                                      
                                   inlet.                                                                       
TPO.............................  Air temperature at CVS pump        deg.C                                      
                                   outlet.                                                                      
TV..............................  Absolute venturi inlet             deg.C                                      
                                   temperature.                                                                 
VO..............................  Pump flow.......................  m3/rev                                      
W...............................  Average mass flow of emissions..  g/hr                                        
WXX.............................  Mass rate of specific emission    g/hr                                        
                                   (XX).                                                                        
WXX.............................  Volume concentration in exhaust   ppm, ppmC, %                                
                                   of specific emission (XX) on                                                 
                                   wet basis.                                                                   
WF..............................  Weighing factor.................  ............................................
Z1..............................  Water concentration.............  percent                                     
.......................  Fuel specific factor                                                          
                                   representing the hydrogen to                                                 
                                   carbon ratio.                                                                
----------------------------------------------------------------------------------------------------------------


                              Table 2.--Measurement Accuracy Calibration Frequency                              
----------------------------------------------------------------------------------------------------------------
                                            Permissible deviation from reading \1\                              
     No.                Item          --------------------------------------------------  Calibration frequency 
                                               non-idle                   idle                                  
----------------------------------------------------------------------------------------------------------------
1...........  Engine speed...........  2%.........  2%.........  Monthly.               
2...........  Torque.................  5%.........  .......................  Monthly.               
3...........  Fuel consumption.......  1%.........  5%.........  Monthly.               
4...........  Air consumption........  2%.........  5%.........  As required.           
5...........  Coolant temperature....  2 deg. C...  Same...................  As required.           
6...........  Lubricant temperature..  2 deg. C...  Same...................  As required.           
7...........  Exhaust back pressure..  5%.........  Same...................  As required.           
8...........  Inlet depression.......  5%.........  Same...................  As required.           
9...........  Exhaust gas temperature  15 deg. C..  Same...................  As required.           
10..........  Air inlet temperature    2 deg. C...  Same...................  As required.           
               (combustion air).                                                                                
11..........  Atmospheric pressure...  0.5%.......  Same...................  As required.           
12..........  Humidity (combustion     3.0%.......  Same...................  As required.           
               air) (relative).                                                                                 
13..........  Fuel temperature.......  2 deg. C...  Same...................  As required.           
14..........  Temperature with regard  2 deg. C...  Same...................  As required.           
               to dilution system.                                                                              
15..........  Dilution air humidity..  3% absolute  Same...................  As required.           
16..........  HC analyzer............  2% \2\.....  Same...................  Monthly.               
17..........  CO analyzer............  2% \2\.....  Same...................  Monthly.               
18..........  NOX analyzer...........  2% \2\.....  Same...................  Monthly.               
19..........  NOX converter check....  90%....................  Same...................  Monthly.               
20..........  CO2 analyzer...........  2% \2\.....  Same...................  Monthly.               
----------------------------------------------------------------------------------------------------------------
\1\ All accuracy requirements pertain to the final recorded value which is inclusive of the data acquisition    
  system.                                                                                                       
\2\ If reading is under 100 ppm then the accuracy shall be 2 ppm.                                   


                   Table 3.--Test Fuel Specifications                   
------------------------------------------------------------------------
                                                              Procedure 
               Item                  Property    Tolerance    (ASTM) \1\
------------------------------------------------------------------------
Sulfur, ppm max..................         1000  ...........       D 2622
Benzene, max. percent............          1.5  ...........       D 3606
RVP, psi.........................          8.6  0.6        D 323
Octane, R+M/2....................         89.9  3.1       D 2699
                                                                  D 2700
IBP,  deg. C.....................         32.8  11.0         D 86
10% point,  deg. C...............         53.3  5.5         D 86
50% point,  deg. C...............        101.7  8.3         D 86
90% point,  deg. C...............        160.0  11.1         D 86
End Point, max.  deg. C..........        212.8  ...........         D 86
Phosphorus, g/l, max.............         0.02  ...........       D 3231
Lead, g/l, max...................         0.02  ...........  ...........
Manganese, g/l, max..............        0.004  ...........  ...........
Aromatics, max. percent..........           35  ...........       D 1319
Olefins, max. percent............           10  ...........       D 1319
Saturates, percent...............       remain  ...........      D 1319 
------------------------------------------------------------------------
\1\ All ASTM Procedures in this table have been incorporated by         
  reference. See Sec.  91.6.                                            

BILLING CODE 6560-50-P

[[Page 52127]]

Appendix B to Subpart D of Part 91--Figures
[GRAPHIC] [TIFF OMITTED] TR04OC96.013


[[Page 52128]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.014



BILLING CODE 6560-50-C

[[Page 52129]]

Subpart E--Gaseous Exhaust Test Procedures


Sec. 91.401  Scope; applicability.

    (a) This subpart describes the procedures to follow in order to 
perform exhaust emission tests on new marine gasoline-fueled spark-
ignition propulsion engines subject to the provisions of subpart A of 
this part 91. Provisions specific to raw gas sampling are in 
Secs. 91.414 through 91.419, provisions specific to constant volume 
sampling are in Secs. 91.420 through 91.426. All other sections in this 
subpart apply to both raw gas sampling and constant volume sampling 
unless indicated otherwise.
    (b) Requirements for emission test equipment and calibrating this 
equipment are found in subpart D of this part.


Sec. 91.402  Definitions.

    The definitions in Secs. 91.3, 91.102, and 91.302 apply to this 
subpart.


Sec. 91.403  Symbols and abbreviations.

    (a) The abbreviations in Sec. 91.5 apply to this subpart.
    (b) The symbols in Table 1 in appendix A to subpart D apply to this 
subpart.


Sec. 91.404  Test procedure overview.

    (a) The test consists of prescribed sequences of engine operating 
conditions to be conducted on an engine dynamometer or equivalent load 
and speed measurement device. The exhaust gases generated during engine 
operation are sampled either raw or dilute, and specific components are 
analyzed through the analytical system.
    (b) The tests are designed to determine the brake-specific 
emissions of hydrocarbons, carbon monoxide, and oxides of nitrogen. The 
test consists of one idle mode and four power modes with an exponential 
relationship between torque and speed which span the typical operating 
range of spark-ignition marine propulsion engines. These procedures 
require the determination of the concentration of each pollutant, fuel 
flow, and the power output during each mode. The measured values are 
weighted and used to calculate the grams of each pollutant emitted per 
brake kilowatt hour (g/kW-hr).
    (c)(1) When an engine is tested for exhaust emissions the complete 
engine is tested, with all emission control devices installed and 
functioning.
    (2) Additional accessories (for example, oil cooler, alternators, 
and so forth) may be installed, but such accessory loading will be 
considered parasitic in nature and observed power is used in the 
emission calculation.
    (d) All emission control systems installed on or incorporated in 
the application must be functioning during all procedures in this 
subpart. In cases of component malfunction or failure, no maintenance 
is allowed without prior approval from the Administrator in accordance 
with Sec. 91.118.


Sec. 91.405  Recorded information.

    (a) Record the information described in this section for each test 
where applicable.
    (b) Test data; general. (1) Engine identification number.
    (2) Engine emissions control system.
    (3) Test operator(s).
    (4) Number of hours of operation accumulated on the engine prior to 
beginning the warm-up portion of the test (to the nearest tenth hour).
    (5) Fuel identification.
    (6) For two-stroke engines, fuel/oil mixture ratio.
    (7) Date of most recent analytical assembly calibration.
    (8) All pertinent instrument information such as tuning, gain, 
serial numbers, detector number, and calibration curve numbers. As long 
as this information is traceable, it may be summarized by system number 
or analyzer identification numbers.
    (c) Test data; pre-test. (1) Date and time of day.
    (2) Test number.
    (3) Barometric pressure; as an option, barometric pressure can be 
measured as a modal measurement instead of or in addition to a pre- and 
post-test measurement.
    (4) Recorder chart or equivalent. Identify for each test segment 
zero traces for each range used, and span traces for each range used.
    (d) Test data; modal. (1) Recorder chart or equivalent. Identify 
for each test mode the emission concentration traces and the associated 
analyzer range(s).
    (2) Observed engine torque.
    (3) Observed engine rpm.
    (4) Engine intake air flow, if applicable.
    (5) Test cell temperature and humidity for each mode.
    (6) For raw gas testing; fuel flow for each mode. Fuel flow 
measurement is not required for dilute testing but is allowed. If the 
fuel flow measurement is a volume measurement system, record the fuel 
temperature in the measurement system for fuel density corrections to 
the mass flow rate. If the fuel temperature is within 3  deg.C of the 
calibration temperature, no density correction is required.
    (7) Engine intake temperature and humidity for each mode, if 
applicable.
    (8) Exhaust sample line temperature, if applicable.
    (e) Test data; post-test. (1) Recorder chart or equivalent. 
Identify the hang-up check.
    (2) Recorder chart or equivalent. Identify the zero traces for each 
range used and the span traces for each range used.
    (3) Total number of hours of operation accumulated on the engine 
(to the nearest tenth hour).
    (4) Barometric pressure, post-test segment.


Sec. 91.406  Engine parameters to be measured and recorded.

    Measure or calculate, then record, the engine parameters in Table 1 
in appendix A of this subpart.


Sec. 91.407  Engine inlet and exhaust systems.

    (a) The marine engine manufacturer is liable for emission 
compliance over the full range of restrictions that are specified by 
the manufacturer for that particular engine.
    (b) The air inlet filter system and exhaust muffler system 
combination used on the test engine must be the systems expected to 
yield the highest emission levels.


Sec. 91.408  Pre-test procedures.

    (a) Engine service accumulation and stabilization procedure. Use 
the service accumulation procedure determined by the manufacturer for 
exhaust emission stabilizing of an engine, consistent with good 
engineering practice (see Sec. 91.117).
    (1) The manufacturer determines, for each engine family, the number 
of hours at which the engine exhaust emission control system 
combination is stabilized for emission testing. However, this 
stabilization procedure may not exceed 12 hours. The manufacturer must 
maintain, and provide to the Administrator upon request, a record of 
the rationale used in making this determination. If the manufacturer 
can document that, at some time prior to the full 12 hour service 
accumulation period, the engine emissions are decreasing for the 
remainder of the 12 hours, the service accumulation may be completed at 
that time. The manufacturer may elect to accumulate 12 hours on each 
test engine within an engine family without making this determination.
    (2) During service accumulation, the fuel and lubricants specified 
in Sec. 91.308 must be used.
    (3) Engine maintenance during service accumulation is allowed only 
in accordance with Sec. 91.117.
    (b) Engine pre-test preparation. (1) Drain and charge the fuel 
tank(s) with

[[Page 52130]]

the specified test fuel (see Sec. 91.308) to 50 percent of the tank's 
nominal capacity. If an external fuel tank is used, the engine fuel 
inlet system pressure must be typical of what the engine will see in 
use.
    (2) Operate the engine on the dynamometer measuring the fuel 
consumption (fuel consumption required only for raw gas sampling 
method) and torque before and after the emission sampling equipment is 
installed, including the sample probe, using mode 1 from Table 2 in 
appendix A of this subpart. The emission sampling equipment may not 
significantly affect the operational characteristics of the engine 
(typically, the results should agree within five percent).
    (c) Analyzer pre-test procedures. (1) If necessary, warm up and 
stabilize the analyzer(s) before calibrations are performed.
    (2) Replace or clean the filter elements and then vacuum leak check 
the system per Sec. 91.324(a). If necessary, allow the heated sample 
line, filters, and pumps to reach operating temperature.
    (3) Perform the following system checks:
    (i) If necessary, check the sample-line temperature. Heated FID 
sample line temperature must be maintained between 110  deg.C and 230 
deg.C, a heated NOX sample line temperature must be maintained 
between 60  deg.C and 230  deg.C.
    (ii) Check that the system response time has been accounted for 
prior to sample collection data recording.
    (iii) A hang-up check is permitted.
    (4) Check analyzer zero and span before and after each test at a 
minimum. Further, check analyzer zero and span any time a range change 
is made or at the maximum demonstrated time span for stability for each 
analyzer used.
    (d) Check system flow rates and pressures and reset if necessary.


Sec. 91.409  Engine dynamometer test run.

    (a) Engine and dynamometer start-up.
    (1) Only adjustments in accordance with Sec. 91.118 may be made to 
the test engine prior to starting a test.
    (2) If necessary, warm up the dynamometer as recommended by the 
dynamometer manufacturer ore good engineering practice.
    (3) At the manufacturer's option, the engine can be run with the 
throttle in a fixed position or by using the engine's governor (if the 
engine is manufactured with a governor). In either case, the engine 
speed and load must meet the requirements specified in paragraph 
(b)(12) of this section.
    (b) Each test consists of the following:
    (1) Record the general test data as specified in Sec. 91.405.
    (2) Precondition the engine in the following manner;
    (i) Operate the engine at idle for 2 to 3 minutes;
    (ii) Operate the engine at a power greater than or equal to 50 
percent power at the rated speed for 5 to 7 minutes;
    (iii) Operate the engine at rated speed and maximum power for 25 to 
30 minutes;
    (iv) Option. For four-stroke engines, where appropriate, it is 
permitted to precondition the engine at rated speed and maximum power 
until the oil and water temperatures are stabilized. The temperatures 
are defined as stabilized if they are maintained within 2 percent of 
point for 2 minutes. The engine must be operated a minimum of 10 
minutes for this option. This optional procedure may be substituted for 
step in paragraphs (b)(2)(iii) of this section;
    (v) Option. If the engine has been operating on service 
accumulation for a minimum of 40 minutes, the service accumulation may 
be substituted for steps in paragraphs (b)(2) (i) through (iii) of this 
section.
    (3) Record all pre-test data specified in Sec. 91.405(c).
    (4) Start the test cycle (see Sec. 91.410) within 10 minutes of the 
completion of the steps required by paragraph (b)(2) of this section.
    (5) During the first mode calculate the torque corresponding to 
71.6, 46.5, and 25.3 percent of the maximum observed torque for the 
rated speed (see Table 2 in appendix A of this subpart).
    (6) Once engine speed and load are set for a mode, run the engine 
for a sufficient period of time to achieve thermal stability. At the 
manufacturers option, determine and document the appropriate criterion 
for thermal stability for each engine family.
    (7) Record all modal data specified in Sec. 91.405(e) for a minimum 
time period of the last two minutes of each mode. Longer averaging 
periods are acceptable, but the data averaged must be from a continuous 
time period. The duration of time during which this data is recorded is 
referred to as the ``sampling period.'' The data collected during the 
sampling period is used for modal emission calculations.
    (8) Continuously record the analyzer's response to the exhaust gas 
during the sampling period.
    (9) Modes may be repeated.
    (10) If a delay of more than one hour occurs between the end of one 
mode and the beginning of another mode, the test is void and must be 
restarted as described at paragraph (b)(1) of this section.
    (11) The engine speed and load must be maintained within the 
requirements of Sec. 91.410 during the sampling period for each mode. 
If this requirement is not met, the mode is void and must be restarted.
    (12) If at any time during a mode, the test equipment malfunctions 
or the specifications in Sec. 91.410 can not be met, the test is void, 
and must be aborted. Corrective action should be taken and the test 
restarted.
    (13) Fuel flow and air flow during the idle condition may be 
determined just prior to or immediately following the dynamometer 
sequence, if longer times are required for accurate measurements. If 
the dilute sampling method (Constant Volume Sampling) is used, neither 
fuel flow nor air flow measurements are required.
    (c) Exhaust gas measurements. (1) Measure HC, CO, CO2, and 
NOX concentration in the exhaust sample.
    (2) Each analyzer range that may be used during a test segment must 
have the zero and span responses recorded prior to the start of the 
test. Only the range(s) used to measure the emissions during the test 
is required to have its zero and span recorded after the completion of 
the test. Depending on the stability of each individual analyzer, more 
frequent zero checks or spans between modes may be necessary.
    (3) It is permitted to change filter elements between test 
segments.
    (4) A leak check is permitted between modes.
    (5) A hang-up check is permitted between modes (see Sec. 91.413).
    (6) If, during the emission measurement portion of a mode, the 
value of the gauges downstream of the NDIR analyzer(s) G3 or G4 (See 
Figure 1 in appendix B of subpart D of this part) differs by more than 
0.5 kPa, the mode is void.


Sec. 91.410  Engine test cycle.

    (a) The 5-mode cycle specified in Table 2 in appendix A to this 
subpart shall be followed in dynamometer operation tests of marine 
engines.
    (b) During each non-idle mode the specified speed and load shall be 
held to within 50 rpm or  two percent of point, 
whichever is greater. During each idle mode the engine speed shall be 
held within 75 rpm or  five percent of the 
manufacturers specified idle speed, whichever is greater. For direct 
drive products (no neutral gear), it is acceptable to have an accessory 
load on the engine during the idle mode provided that the engine speed 
is within  five percent of the manufacturers specified idle 
speed and the accessory

[[Page 52131]]

load is representative of in use operation.
    (c) If the operating conditions specified in paragraph (b) of this 
section for modes 2, 3, 4, and 5 cannot be maintained, the 
Administrator may authorize deviations from the specified load 
conditions. Such deviations shall not exceed 10 percent of the maximum 
torque at the test speed. The minimum deviations, above and below the 
specified load, necessary for stable operation shall be determined by 
the manufacturer and approved by the Administrator prior to the test 
run.
    (d) Do not include power generated during the idle mode (mode 5) in 
the calculation of emissions results.


Sec. 91.411  Post-test analyzer procedures.

    (a) Perform a hang-up check within 60 seconds of the completion of 
the last mode in the test. Use the following procedure:
    (1) Introduce a zero-grade gas or room air into the sample probe or 
valve V2 (see Figure 1 in appendix B of subpart D of this part) to 
check the ``hangup zero'' response. Simultaneously start a time 
measurement.
    (2) Select the lowest HC range used during the test.
    (3) Within four minutes of beginning the time measurement in 
paragraph (a)(1) of this section, the difference between the zero gas 
response and the hang-up zero response shall not be greater than 5.0 
percent of full scale or 10 ppmC whichever is greater.
    (b) Begin the analyzer span checks within six minutes after the 
completion of the last mode in the test. Record for each analyzer the 
zero and span response for each range used during the preceding test or 
test segment.
    (c) If during the test, the filter element(s) were replaced or 
cleaned, a vacuum check must be performed per Sec. 91.324(a) 
immediately after the span checks. If the vacuum side leak check does 
not meet the requirements of Sec. 91.324(a) the test is void.
    (d) Read and record the post-test data specified in Sec. 91.405(e).
    (e) For a valid test, the analyzer drift between the before-segment 
and after-segment span checks for each analyzer must meet the following 
requirements:
    (1) The span drift (defined as the change in the difference between 
the zero response and the span response) must not exceed two percent of 
full-scale chart deflection for each range used.
    (2) The zero response drift must not exceed two percent of full-
scale chart deflection for each range used above 155 ppm (or ppm C), or 
three percent of full-scale chart deflection for each range below 155 
ppm (or ppm C).


Sec. 91.412  Data logging.

    (a) A computer or any other automatic data collection (ADC) 
device(s) may be used as long as the system meets the requirements of 
this subpart.
    (b) Determine from the data collection records the analyzer 
responses corresponding to the end of each mode.
    (c) Record data at a minimum of one Hz (one time per second).
    (d) Determine the final value for power by averaging the 
individually calculated power points for each value of speed and torque 
recorded during the sampling period. As an alternative, the final value 
for power can be calculated from the average values for speed and 
torque, collected during the sampling period.
    (e) Determine the final value for CO2, CO, HC, and NOX 
concentrations by averaging the concentration of each point taken 
during the sample period for each mode.


Sec. 91.413  Exhaust sample procedure--gaseous components.

    (a) Automatic data collection equipment requirements. The analyzer 
response may be read by automatic data collection (ADC) equipment such 
as computers, data loggers, etc. If ADC equipment is used the following 
is required:
    (1) For dilute grab (``bag'') analysis, the analyzer response must 
be stable at greater than 99 percent of the final reading for the 
dilute exhaust sample bag. A single value representing the average 
chart deflection over a 10-second stabilized period shall be stored.
    (2) For continuous analysis systems, a single value representing 
the average integrated concentration over a cycle shall be stored. 
Alternatively, the ADC may store the individual instantaneous values 
collected during the measurement period.
    (3) The chart deflections or average integrated concentrations 
required in paragraphs (a)(1) and (a)(2) of this section may be stored 
on long-term computer storage devices such as computer tapes, storage 
discs, punch cards, and so forth, or they may be printed in a listing 
for storage. In either case a chart recorder is not required and 
records from a chart recorder, if they exist, need not be stored.
    (4) If ADC equipment is used to interpret analyzer values, the ADC 
equipment is subject to the calibration specifications of the analyzer 
as if the ADC equipment is part of analyzer system.
    (b) Data records from any one or a combination of analyzers may be 
stored as chart recorder records.
    (c) Grab sample analysis. For dilute grab sample analysis perform 
the following sequence:
    (1) Calibrate analyzers using the procedure described in 
Sec. 91.326.
    (2) Record the most recent zero and span response as the pre-
analysis value.
    (3) Measure HC, CO, CO2, and NOX background 
concentrations in the sample bag(s) and background sample bag(s) using 
the same flow rates and pressures.
    (4) Good engineering practice dictates that analyzers used for 
continuous analysis should be operated such that the measured 
concentration falls between 15 percent and 100 percent of full scale.
    (5) A post-analysis zero and span check of each range must be 
performed and the values recorded. The number of events that may occur 
between the pre and post checks is not specified. However, the 
difference between pre-analysis zero and span values (recorded in 
paragraph (c)(5) or (c)(6) of this section) versus those recorded for 
the post-analysis check may not exceed the zero drift limit or the span 
drift limit of 2 percent of full scale chart deflection for any range 
used. Otherwise the test is void.
    (d) Continuous sample analysis. For continuous sample analysis, 
perform the following sequence:
    (1) Calibrate analyzers using the procedures described in 
Sec. 91.326.
    (2) Leak check portions of the sampling system that operate at 
negative gauge pressures when sampling, and allow heated sample lines, 
filters, pumps, and so forth to stabilize at operating temperature.
    (3) Option: Determine the hang-up for the FID or HFID sampling 
system:
    (i) Zero the analyzer using zero air introduced at the analyzer 
port.
    (ii) Flow zero air through the overflow sampling system. Check the 
analyzer response.
    (iii) If the overflow zero response exceeds the analyzer zero 
response by two percent or more of the FID or HFID full-scale 
deflection, hang-up is indicated and corrective action must be taken 
(see paragraph (e) of this section).
    (iv) The complete system hang-up check specified in paragraph (f) 
of this section is recommended as a periodic check.
    (4) Obtain a stable zero reading.
    (5) Good engineering practice dictates that analyzers used for 
continuous analysis should be operated such that the measured 
concentration falls between 15 percent and 100 percent of full scale.

[[Page 52132]]

    (6) Record the most recent zero and span response as the pre-
analysis values.
    (7) Collect background HC, CO, CO2, and NOX in a sample 
bag (for dilute exhaust sampling only, see Sec. 91.422).
    (8) Perform a post-analysis zero and span check for each range used 
at the conditions specified in paragraph (d)(1) of this section. Record 
these responses as the post-analysis values.
    (9) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed three 
percent for HC, or two percent for NOX, CO, and CO2, of full 
scale chart deflection, or the test is void. (If the HC drift is 
greater than three percent of full-scale chart deflection, hydrocarbon 
hang-up is likely.)
    (10) Determine background levels of NOX, CO, or CO2 (for 
dilute exhaust sampling only) by the grab (``bag'') technique outlined 
in paragraph (c) of this section.
    (e) Hydrocarbon hang-up. If HC hang-up is indicated, the following 
sequence may be performed:
    (1) Fill a clean sample bag with background air.
    (2) Zero and span the HFID at the analyzer ports.
    (3) Analyze the background air sample bag through the analyzer 
ports.
    (4) Analyze the background air through the entire sample probe 
system.
    (5) If the difference between the readings obtained is two ppm or 
more, clean the sample probe and the sample line.
    (6) Reassemble the sample system, heat to specified temperature, 
and repeat the procedure in paragraphs (e)(1) through (e)(5) of this 
section.


Sec. 91.414  Raw gaseous exhaust sampling and analytical system 
description.

    (a) Schematic drawing. An example of a sampling and analytical 
system which may be used for testing under this subpart is shown in 
Figure 4 in appendix B of this subpart. All components or parts of 
components that are wetted by the sample or corrosive calibration gases 
shall be either chemically cleaned stainless steel or inert material 
(e.g., polytetrafluoroethylene resin). The use of ``gauge savers'' or 
``protectors'' with nonreactive diaphragms to reduce dead volumes is 
permitted.
    (b) Sample probe. (1) The sample probe shall be a straight, closed 
end, stainless steel, multi-hole probe. The inside diameter shall not 
be greater than the inside diameter of the sample line + 0.03 cm. The 
wall thickness of the probe shall not be greater than 0.10 cm. The 
fitting that attaches the probe to the exhaust pipe shall be as small 
as practical in order to minimize heat loss from the probe.
    (2) The probe shall have a minimum of three holes. The spacing of 
the radial planes for each hole in the probe must be such that they 
cover approximately equal cross-sectional areas of the exhaust duct. 
The angular spacing of the holes must be approximately equal. The 
angular spacing of any two holes in one plane may not be 180 deg. 
 20 deg. (i.e., section C-C of Figure 1 in appendix B of 
this subpart). The holes should be sized such that each has 
approximately the same flow. If only three holes are used, they may not 
all be in the same radial plane.
    (3) The exhaust gas probe must be located in a position which 
yields a well mixed, homogeneous sample of the engine exhaust. The 
probe must extend radially through the exhaust duct prior to where the 
exhaust mixes with the cooling water. The cooling water flow may be 
rerouted if necessary to obtain an emission sample provided that the 
modification has no significant effect on the performance or emissions 
characteristics of the engine. The probe must pass through the 
approximate center and must extend across at least 80 percent of the 
diameter of the duct. The exact position of the probe may vary from 
engine family to engine family.
    (c) Sample transfer line. (1) The maximum inside diameter of the 
sample line shall not exceed 1.32 cm.
    (2) If valve V2 in Figure 1 of appendix B of Subpart D of this part 
is used, the sample probe must connect directly to valve V2 in Figure 1 
of appendix B of subpart D of this part. The location of optional valve 
V2 may not be greater than 1.22 m from the exhaust duct.
    (3) The location of optional valve V16 in Figure 1 of appendix B of 
subpart D of this part may not be greater than 61 cm from the sample 
pump. The leakage rate for this section on the pressure side of the 
sample pump may not exceed the leakage rate specification for the 
vacuum side of the pump.
    (d) Venting. All vents including analyzer vents, bypass flow, and 
pressure relief vents of regulators should be vented in such a manner 
to avoid endangering personnel in the immediate area.
    (e) Any variation from the specifications in this subpart including 
performance specifications and emission detection methods may be used 
only with prior approval by the Administrator.
    (f) Additional components, such as instruments, valves, solenoids, 
pumps, switches, and so forth, may be employed to provide additional 
information and coordinate the functions of the component systems.
    (g) The following requirements must be incorporated in each system 
used for raw testing under this subpart.
    (1) Take the sample for all components with one sample probe and 
split it internally to the different analyzers.
    (2) Heat the sample transport system from the engine exhaust pipe 
to the HC analyzer for the raw gas sampling method as indicated in 
Figure 1 in appendix B of subpart D of this part. The NOX analyzer 
for the raw gas sampling method may be heated as indicated in Figure 1 
in appendix B of subpart D of this part. The HC analyzer and the 
NOX analyzer for the dilute sampling method may be heated as 
indicated in Figure 1 in appendix B of subpart D of this part.


Sec. 91.415  Raw gaseous sampling procedures.

    Fit all heated sampling lines with a heated filter to extract solid 
particles from the flow of gas required for analysis. The sample line 
for HC measurement must be heated. The sample line for CO, CO2, 
and NOX may be heated or unheated.


Sec. 91.416  Intake air flow measurement specifications.

    (a) If used, the engine intake air flow measurement method used 
must have a range large enough to accurately measure the air flow over 
the engine operating range during the test. Overall measurement 
accuracy must be  two percent of full-scale value of the 
measurement device for all modes except the idle mode. For the idle 
mode, the measurement accuracy shall be plus-minus five percent or 
less of the full-scale value. The Administrator must be advised of the 
method used prior to testing.
    (b) When an engine system incorporates devices that affect the air 
flow measurement (such as air bleeds, air injection, pulsed air, and so 
forth) that result in understated exhaust emission results, make 
corrections to the exhaust emission results to account for such 
effects.


Sec. 91.417  Fuel flow measurement specifications.

    (a) Fuel flow measurement is required only for raw testing but is 
allowed for dilute testing.
    (b) The fuel flow rate measurement instrument must have a minimum 
accuracy of  two percent of full-scale flow rate for each 
measurement range used.

[[Page 52133]]

Sec. 91.418  Data evaluation for gaseous emissions.

    For the evaluation of the gaseous emissions recording, record the 
last two minutes of each mode and determine the average values for HC, 
CO, CO2, and NOX during each mode from the average 
concentration readings determined from the corresponding calibration 
data.


Sec. 91.419  Raw emission sampling calculations.

    (a) Derive the final test results through the steps described in 
this section.
    (b) Air and fuel flow method. If both air and fuel flow mass rates 
are measured, the following equations are used to determine the 
weighted emission values for the test engine:
[GRAPHIC] [TIFF OMITTED] TR04OC96.015

Where:
WHC = Mass rate of HC in exhaust [g/hr],
GAIRD = Intake air mass flow rate on dry basis [g/hr],
GFUEL = Fuel mass flow rate [g/hr],
MHCexh = Molecular weight of hydrocarbons in the exhaust; see the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.016

Where:
=Hydrocarbon/carbon atomic ratio of the fuel.
Mexh=Molecular weight of the total exhaust; see the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.017

Where:
WHC = HC volume concentration in exhaust, ppmC wet
WCO = CO percent concentration in the exhaust, wet
DCO = CO percent concentration in the exhaust, dry
WCO2 = CO2 percent concentration in the exhaust, wet
DCO2 = CO2 percent concentration in the exhaust, dry
WNOX = NO volume concentration in exhaust, ppm wet
WH2 = H2 percent concentration in exhaust, wet
K = correction factor to be used when converting dry measurements to a 
wet basis. Therefore, wet concentration = dry concentration  x  K, 
where K is:
[GRAPHIC] [TIFF OMITTED] TR04OC96.018

DH2 = H2 percent concentration in exhaust, dry, calculated 
from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.019

WCO = Mass rate of CO in exhaust, [g/hr]
MCO = Molecular weight of CO = 28.01
WNOx = Mass rate of NOX in exhaust, [g/hr]
MNO2 = Molecular weight of NO2 = 46.01
KH = Factor for correcting the effects of humidity on NO2 
formation for four-stroke gasoline engines; see the equation below:
[GRAPHIC] [TIFF OMITTED] TR04OC96.020

Where:
H = specific humidity of the intake air in grams of moisture per 
kilogram of dry air.
    For two-stroke gasoline engines, KH should be set to 1.
    (c) Fuel flow method. The following equations are to be used when 
fuel flow is selected as the basis for mass emission calculations using 
the raw gas method.

[[Page 52134]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.021


Where:
WHC = Mass rate of HC in exhaust, [g/hr]
MF = Molecular weight of test fuel; see following equation:

[GRAPHIC] [TIFF OMITTED] TR04OC96.022

GFUEL = Fuel mass flow rate, [g/hr]
TC = Total carbon; see following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.023

WHC = HC volume concentration in exhaust, ppmC wet
WCO = CO percent concentration in the exhaust, wet
DCO = CO percent concentration in the exhaust, dry
WCO2 = CO2 percent concentration in the exhaust, wet
DCO2 = CO2 percent concentration in the exhaust, dry
WNOx = NO volume concentration in exhaust, ppm wet
WH2 = H2 percent concentration in exhaust, wet
K = correction factor to be used when converting dry measurements to a 
wet basis. Therefore, wet concentration = dry concentration  x  K, 
where K is:
[GRAPHIC] [TIFF OMITTED] TR04OC96.024

DH2 = H2 percent concentration in exhaust, dry, calculated 
from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.025

WCO = Mass rate of CO in exhaust, [g/hr]
MCO = Molecular weight of CO = 28.01
WNOx = Mass rate of NOX in exhaust, [g/hr]
MNO2 = Molecular weight of NO2 = 46.01
KH = Factor for correcting the effects of humidity on NO2 
formation for four-stroke gasoline engines; see the equation below:
[GRAPHIC] [TIFF OMITTED] TR04OC96.026

Where:
H = specific humidity of the intake air in grams of moisture per 
kilogram of dry air.
    For two-stroke gasoline engines, KH should be set to 1.
    (d) The final reported emission test results must be computed by 
using the following formula for each individual gas component:
[GRAPHIC] [TIFF OMITTED] TR04OC96.027

Where:
Ywm = Weighted mass emission level (HC, CO, NOx) for a test 
[g/kW-hr].
Wi = Average mass flow rate (WHC, WCO, WNOx) of an 
emission from the test engine during mode i, [g/hr].
fi = Weighting factors for each mode according to Sec. 91.410(a)
Pi = Average power measured during mode i, [kW], calculated 
according to the formula given in Sec. 91.423(b). Power for the idle 
mode shall always be zero for this calculation.
    (e) The final reported weighted brake-specific fuel consumption 
(WBSFC) shall be computed by use of the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.028

Where:
WBSFC = Weighted brake-specific fuel consumption in grams of fuel per 
kilowatt-hour (g/kW-hr).
Fi = Fuel mass flow rate of the engine during mode i, [g/hr].
fi = Weighting factors for each mode according to Sec. 91.410(a)
Pi = Average power measured during mode i, [kW], calculated 
according to the formula given in Sec. 91.423(b). Power for the idle 
mode shall always be zero for this calculation.


Sec. 91.420  CVS concept of exhaust gas sampling system.

    (a) A dilute exhaust sampling system is designed to directly 
measure the true mass of emissions in engine exhaust without the 
necessity of measuring either fuel flow or intake air flow. This is 
accomplished by diluting the exhaust produced by an engine under test 
with ambient background air and measuring the total diluted exhaust 
flow rate and the concentration of emissions within the dilute flow. 
Total mass flow of an emission is then easily calculated.
    (b) A constant volume sampler (CVS) is typically used to control 
the total amount of dilute flow through the system. As the name 
implies, a CVS restricts flow to a known value dependent only on the 
dilute exhaust temperature and pressure.
    (c) For the testing described in this subpart, a CVS must consist 
of: A mixing tunnel into which the engine exhaust and dilutant 
(background) air are dumped; a dilute exhaust flow metering system; a 
dilute exhaust sample port; a background sample port; a dilute exhaust 
sampling system; and a background sampling system.
    (1) Mixing tunnel. The mixing tunnel must be constructed such that 
complete mixing of the engine exhaust and background air is assured 
prior to the sampling probe.
    (2) Exhaust flow metering system. A dilute exhaust flow metering 
system must be used to control the total flow rate of the dilute engine 
exhaust as described in Sec. 91.421.
    (3) Exhaust sample port. A dilute exhaust sample port must be 
located in or downstream of the mixing tunnel at a point where complete 
mixing of the engine exhaust and background air is assured.
    (4) Background sample port. A dilute background sample port must be 
located in the stream of background air before it is mixed with the 
engine exhaust. The

[[Page 52135]]

background probe must draw a representative sample of the background 
air during each sampling mode.
    (5) Exhaust sampling system. The dilute exhaust sampling system 
controls the flow of samples from the mixing tunnel to the analyzer 
system. This could be either a continuous sampling system or grab (bag) 
sampling system. If a critical flow venturi (CFV) is used on the dilute 
exhaust sample probe, this system must assure that the sample CFV is in 
choke flow during testing. If no CFV is used, this system must assure a 
constant volumetric flow rate through the dilute exhaust sample probe 
or must incorporate electronic flow compensation.
    (6) Background sampling system. The background sampling system 
controls the flow of samples from the background air supply to the 
analyzer system. This could be either a continuous sampling system or 
grab (bag) sampling system. This system must assure a constant 
volumetric flow rate through the background sample probe.


Sec. 91.421  Dilute gaseous exhaust sampling and analytical system 
description.

    (a) General. The exhaust gas sampling system described in this 
section is designed to measure the true mass emissions of engine 
exhaust. This system utilizes the Constant volume Sampling (CVS) 
concept (described in Sec. 91.420) of measuring mass emissions of HC, 
NOx, CO, and CO2. Grab sampling for individual modes is an 
acceptable method of dilute testing for all constituents, HC, NOx, 
CO, and CO2. Continuous dilute sampling is not required for any of 
the exhaust constituents, but is allowable for all. Heated sampling is 
not required for any of the constituents, but is allowable for HC and 
NOx. The mass of gaseous emissions is determined from the sample 
concentration and total flow over the test period. As an option, the 
measurement of total fuel mass consumed over a cycle may be substituted 
for the exhaust measurement of CO2. General requirements are as 
follows:
    (1) This sampling system requires the use of a Positive 
Displacement Pump--Constant Volume Sampler (PDP-CVS) system with a heat 
exchanger, or a Critical Flow Venturi--Constant Volume Sampler (CFV-
CVS) system with CVS sample probes and/or a heat exchanger or 
electronic flow compensation. Figure 2 in appendix B of this subpart is 
a schematic drawing of the PDP-CVS system. Figure 3 in appendix B of 
this subpart is a schematic drawing of the CFV-CVS system.
    (2) The HC analytical system requires:
    (i) Grab sampling (see Sec. 91.420, and Figure 2 or Figure 3 in 
appendix B of this subpart) and analytical capabilities (see 
Sec. 91.423, and Figure 4 in appendix B of this subpart), or
    (ii) Continuously integrated measurement of diluted HC meeting the 
minimum requirements and technical specifications contained in 
paragraph (b)(2) of this section.
    (iii) The dilute HC analytical system for marine spark-ignition 
engines does not require a heated flame ionization detector (HFID).
    (iv) If used, the HFID sample must be taken directly from the 
diluted exhaust stream through a heated probe and integrated 
continuously over the test cycle.
    (v) The heated probe must be located in the sampling system far 
enough downstream of the mixing area to ensure a uniform sample 
distribution across the CVS duct at the sampling zone.
    (3) The CO and CO2 analytical system requires:
    (i) Grab sampling (see Sec. 91.420, and Figure 2 or Figure 3 in 
appendix B of this subpart) and analytical capabilities (see 
Sec. 91.423, and Figure 4 in appendix B of this subpart), or
    (ii) Continuously integrated measurement of diluted CO and CO2 
meeting the minimum requirements and technical specifications contained 
in paragraph (b)(4) of this section.
    (4) The NOX analytical system requires:
    (i) Grab sampling (see Sec. 91.420, and Figure 2 or Figure 3 in 
appendix B of this subpart) and analytical capabilities (see 
Sec. 91.423, and Figure 4 in appendix B of this subpart), or
    (ii) A continuously integrated measurement of diluted NOX 
meeting the minimum requirements and technical specifications contained 
in paragraph (b)(4) of this section.
    (5) Since various configurations can produce equivalent results, 
exact conformance with these drawings is not required. Additional 
components such as instruments, valves, solenoids, pumps, and switches 
may be used to provide additional information and coordinate the 
functions of the component systems. Other components, such as snubbers, 
which are not needed to maintain accuracy on some systems, may be 
excluded if their exclusion is based upon good engineering judgment.
    (6) Other sampling and/or analytical systems may be used if shown 
to yield equivalent results and if approved in advance by the 
Administrator.
    (b) Component description. The components necessary for exhaust 
sampling must meet the following requirements:
    (1) Exhaust dilution system. The PDP-CVS must conform to all of the 
requirements listed for the exhaust gas PDP-CVS in Sec. 91.420 of this 
chapter. The CFV-CVS must conform to all of the requirements listed for 
the exhaust gas CFV-CVS in Sec. 91.420. In addition, the CVS must 
conform to the following requirements:
    (i) The flow capacity of the CVS must be sufficient to maintain the 
diluted exhaust stream in the dilution system at a temperature of 190 
deg.C or less at the sampling zone for hydrocarbon measurement and as 
required to prevent condensation at any point in the dilution system. 
Gaseous emission samples may be taken directly from this sampling 
point.
    (ii) For the CFV-CVS, either a heat exchanger or electronic flow 
compensation is required (see Figure 3 in appendix B of this subpart).
    (iii) For the CFV-CVS when a heat exchanger is used, the gas 
mixture temperature, measured at a point immediately ahead of the 
critical flow venturi, must be within 11  deg.C of the 
average operating temperature observed during the test with the 
simultaneous requirement that condensation does not occur. The 
temperature measuring system (sensors and readout) must have an 
accuracy and precision of 2  deg.C. For systems utilizing a 
flow compensator to maintain proportional flow, the requirement for 
maintaining constant temperature is not necessary.
    (2) Continuous HC measurement system. (i) The continuous HC sample 
system (as shown in Figure 2 or 3 in appendix B of this subpart) uses 
an ``overflow'' zero and span system. In this type of system, excess 
zero or span gas spills out of the probe when zero and span checks of 
the analyzer are made.
    (ii) No other analyzers may draw a sample from the continuous HC 
sample probe, line, or system, unless a common sample pump is used for 
all analyzers and the sample line system design reflects good 
engineering practice.
    (iii) The overflow gas flow rates into the sample line must be at 
least 105 percent of the sample system flow rate.
    (iv) The overflow gases must enter the sample line as close as 
practical to the outside surface of the CVS duct or dilution system.
    (v) The continuous HC sampling system consists of a probe (which 
for a HFID analyzer must raise the sample to the specified temperature) 
and, where used, a sample transfer system (which

[[Page 52136]]

for a HFID must maintain the specified temperature). The HFID 
continuous hydrocarbon sampling system (exclusive of the probe) must:
    (A) Maintain a wall temperature of 190 deg. C  11 deg. 
C as measured at every separately controlled heated component (that is, 
filters, heated line sections), using permanent thermocouples located 
at each of the separate components.
    (B) Have a wall temperature of 190 deg. C  11 deg. C 
over its entire length. The temperature of the system is demonstrated 
by profiling the thermal characteristics of the system where possible 
at initial installation and after any major maintenance performed on 
the system. The profiling is to be accomplished using the insertion 
thermocouple probing technique. The system temperature must be 
monitored continuously during testing at the locations and temperature 
described in Sec. 91.421(b)(2).
    (C) Maintain a gas temperature of 190 deg. C  11 deg. C 
immediately before the heated filter and HFID. Determine these gas 
temperatures by a temperature sensor located immediately upstream of 
each component.
    (vi) The continuous hydrocarbon sampling probe:
    (A) Is defined as the first 25.4 to 76.2 cm of the continuous 
hydrocarbon sampling system.
    (B) Has a 0.483 cm minimum inside diameter.
    (C) Is installed in the dilution system at a point where the 
dilution air and exhaust are well mixed and provide a homogenous 
mixture.
    (D) Is sufficiently distant (radially) from other probes and the 
system wall so as to be free from the influence of any wakes or eddies.
    (E) For a continuous HFID sample probe, the probe must increase the 
gas stream temperature to 190 deg. C  11 deg. C at the exit 
of the probe. Demonstrate the ability of the probe to accomplish this 
using the insertion thermocouple technique at initial installation and 
after any major maintenance. Demonstrate compliance with the 
temperature specification by continuously recording during each test 
the temperature of either the gas stream or the wall of the sample 
probe at its terminus.
    (vii) The response time of the continuous measurement system must 
be taken into account when logging test data.
    (3) Sample mixing. (i) configure the dilution system to ensure a 
well mixed, homogeneous sample prior to the sampling probe(s).
    (ii) Make the temperature of the diluted exhaust stream inside the 
dilution system sufficient to prevent water condensation.
    (iii) Direct the engine exhaust downstream at the point where it is 
introduced into the dilution system.
    (4) Continuously integrated NOX, CO, and CO2 measurement 
systems. (i) Sample probe requirements:
    (A) The sample probe for continuously integrated NOX, CO, and 
CO2 must be in the same plane as the continuous HC probe, but 
sufficiently distant (radially) from other probes and the tunnel wall 
so as to be free from the influences of any wakes or eddies.
    (B) The sample probe for continuously integrated NOX, CO, and 
CO2 must be heated and insulated over the entire length, to 
prevent water condensation, to a minimum temperature of 55 deg. C. 
Sample gas temperature immediately before the first filter in the 
system must be at least 55 deg. C.
    (ii) Conform to the continuous NOX, CO, or CO2 sampling 
and analysis system to the specifications of part 86, subpart D of this 
chapter with the following exceptions and revisions:
    (A) Heat the system components requiring heating only to prevent 
water condensation, the minimum component temperature is 55 deg. C.
    (B) Coordinate analysis system response time with CVS flow 
fluctuations and sampling time/test cycle offsets, if necessary.
    (C) Use only analytical gases conforming to the specifications of 
Sec. 91.312 for calibration, zero and span checks.
    (D) Use a calibration curve conforming to Sec. 91.321 for CO and 
CO2 and Sec. 91.318 for NOX for any range on a linear 
analyzer below 155 ppm.
    (iii) Convert the chart deflections or voltage output of analyzers 
with non-linear calibration curves to concentration values by the 
calibration curve(s) specified in Sec. 91.321 before flow correction 
(if used) and subsequent integration takes place.


Sec. 91.423  Exhaust gas analytical system; CVS grab sample.

    (a) Schematic drawings. Figure 4 in appendix B of this subpart is a 
schematic drawing of the exhaust gas analytical system used for 
analyzing CVS grab ``bag'' samples from spark-ignition engines. Since 
various configurations can produce accurate results, exact conformance 
with the drawing is not required. Additional components such as 
instruments, valves, solenoids, pumps and switches may be used to 
provide additional information and coordinate the functions of the 
component systems. Other components such as snubbers, which are not 
needed to maintain accuracy in some systems, may be excluded if their 
exclusion is based on good engineering judgement.
    (b) Major component description. The analytical system, Figure 4 in 
Appendix B of this subpart, consists of a flame ionization detector 
(FID) or a heated flame ionization detector (HFID) for the measurement 
of hydrocarbons, nondispersive infrared analyzers (NDIR) for the 
measurement of carbon monoxide and carbon dioxide, and a 
chemiluminescence detector (CLD) (or heated CLD (HCLD)) for the 
measurement of oxides of nitrogen. The exhaust gas analytical system 
shall conform to the following requirements:
    (1) The CLD (or HCLD) requires that the nitrogen dioxide present in 
the sample be converted to nitric oxide before analysis. Other types of 
analyzers may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.
    (2) If CO instruments are used which are essentially free of 
CO2 and water vapor interference, the use of the conditioning 
column may be deleted. (See Secs. 91.317 and 91.320.)
    (3) A CO instrument will be considered to be essentially free of 
CO2 and water vapor interference if its response to a mixture of 
three percent CO2 in N2, which has been bubbled through water 
at room temperature, produces an equivalent CO response, as measured on 
the most sensitive CO range, which is less than one percent of full 
scale CO concentration on ranges above 300 ppm full scale or less than 
3 ppm on ranges below 300 ppm full scale. (See Sec. 91.317.)
    (c) Alternate analytical systems. Analysis systems meeting the 
specifications and requirements of this subpart for dilute sampling may 
be used upon approval of the Administrator.
    (d) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.


Sec. 91.424  Dilute sampling procedure--CVS calibration.

    (a) The CVS is calibrated using an accurate flowmeter and 
restrictor valve. (1) The flowmeter calibration shall be traceable to 
the National Institute for Standards and Testing (NIST), and will serve 
as the reference value (NIST ``true'' value) for the CVS calibration.)

    (Note: In no case should an upstream screen or other restriction 
which can affect the flow be used ahead of the flowmeter unless 
calibrated throughout the flow range with such a device.)


[[Page 52137]]


    (2) The CVS calibration procedures are designed for use of a 
``metering venturi'' type flowmeter. Large radius or American Society 
of Mechanical Engineers (ASME) flow nozzles are considered equivalent 
if traceable to NIST measurements. Other measurement systems may be 
used if shown to be equivalent under the test conditions in this 
section and traceable to NIST measurements.
    (3) Measurements of the various flowmeter parameters are recorded 
and related to flow through the CVS.
    (4) Procedures used by EPA for both PDP-CVS and CFV-CVS are 
outlined below. Other procedures yielding equivalent results may be 
used if approved in advance by the Administrator.
    (b) After the calibration curve has been obtained, verification of 
the entire system may be performed by injecting a known mass of gas 
into the system and comparing the mass indicated by the system to the 
true mass injected. An indicated error does not necessarily mean that 
the calibration is wrong, since other factors can influence the 
accuracy of the system (e.g., analyzer calibration, leaks, or HC 
hangup). A verification procedure is found in paragraph (e) of this 
section.
    (c) PDP-CVS calibration. (1) The following calibration procedure 
outlines the equipment, the test configuration, and the various 
parameters which must be measured to establish the flow rate of the CVS 
pump.
    (i) All the parameters related to the pump are simultaneously 
measured with the parameters related to a flowmeter which is connected 
in series with the pump.
    (ii) The calculated flow rate, in cm3/s, (at pump inlet 
absolute pressure and temperature) can then be plotted versus a 
correlation function which is the value of a specific combination of 
pump parameters.
    (iii) The linear equation which relates the pump flow and the 
correlation function is then determined.
    (iv) In the event that a CVS has a multiple speed drive, a 
calibration for each range used must be performed.
    (2) This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Two conditions must be maintained to assure 
the accuracy and integrity of the calibration curve:
    (i) The temperature stability must be maintained during 
calibration. (Flowmeters are sensitive to inlet temperature 
oscillations; this can cause the data points to be scattered. Gradual 
changes in temperature are acceptable as long as they occur over a 
period of several minutes.)
    (ii) All connections and ducting between the flowmeter and the CVS 
pump must be absolutely void of leakage.
    (3) During an exhaust emission test the measurement of these same 
pump parameters enables the user to calculate the flow rate from the 
calibration equation.
    (4) Connect a system as shown in Figure 5 in appendix B of this 
subpart. Although particular types of equipment are shown, other 
configurations that yield equivalent results may be used if approved in 
advance by the Administrator. For the system indicated, the following 
measurements and accuracies are required:

                                                              Calibration Data Measurements                                                             
--------------------------------------------------------------------------------------------------------------------------------------------------------
               Parameter                               Symbol                             Units                        Sensor-readout tolerances        
--------------------------------------------------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)........  PB...............................  kPa..............................   0.34 kPa                    
Ambient temperature....................  TEI..............................   deg.C...........................   0.28  deg.C                 
Air temperature into metering venturi..  TEI..............................   deg.C...........................   1.11  deg.C                 
Pressure drop between the inlet and      PED..............................  kPa..............................   0.012 kPa                   
 throat of metering venturi.                                                                                                                            
Air flow...............................  QS...............................  m3/min...........................   0.5 percent of NIST value   
Air temperature at CVS pump inlet......  PTI..............................   deg.C...........................   1.11  deg.C                 
Pressure depression at CVS pump inlet..  PPI..............................  kPa..............................   0.055 kPa                   
Pressure head at CVS pump outlet.......  PPO..............................  kPa..............................   0.055 kPa                   
Air temperature at CVS pump outlet       PTO..............................   deg.C...........................     1.11  deg.C                           
 (optional).                                                                                                                                            
Pump revolutions during test period....  N................................  Revs.............................   1 Rev.                      
Elapsed time for test period...........  t................................  s................................   0.5 s.                      
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (5) After the system has been connected as shown in Figure 5 of 
appendix B of this subpart, set the variable restrictor in the wide 
open position and run the CVS pump for 20 minutes. Record the 
calibration data.
    (6) Reset the restrictor valve to a more restricted condition in an 
increment of pump inlet depression that will yield a minimum of six 
data points for the total calibration. Allow the system to stabilize 
for 3 minutes and repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point is calculated in 
standard cubic feet per minute 20  deg.C, 101.3 kPa from the flowmeter 
data using the manufacturer's prescribed method.
    (ii) The air flow rate is then converted to pump flow, Vo, in 
cubic meter per revolution at absolute pump inlet temperature and 
pressure:
[GRAPHIC] [TIFF OMITTED] TR04OC96.029

Where:
VO=Pump flow, m3/rev at TP, PP,
QS=Meter air flow rate in standard cubic meters per minute, 
standard conditions are 20  deg.C, 101.3 kPa.
n=Pump speed in revolutions per minute.
Tp=Pump inlet temperature in Kelvin,=PTI+273 [ deg.K].
PP=Absolute pump inlet pressure, kPa.
=PP-PPI
Where:
PP=barometric pressure, kPa.
PPI=Pump inlet depression, kPa.

    (iii) The correlation function at each test point is then 
calculated from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR04OC96.030

Where:
XO=correlation function.
p = The pressure differential from pump inlet to pump 
outlet, kPa.
=PE-PP.
PE=Absolute pump outlet pressure, [kPa]
=PB+PPO
Where:
PPO=Pressure head at pump outlet, kPa (inches fluid).

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

[[Page 52138]]

VO = DO - M(XO)
    DO and M are the intercept and slope constants, respectively, 
describing the regression line.
    (8) A CVS system that has multiple speeds should be calibrated on 
each speed used. The calibration curves generated for the ranges will 
be approximately parallel and the intercept values, DO, will increase 
as the pump flow range decreases.
    (9) If the calibration has been performed carefully, the calculated 
values from the equation will be within  0.50 percent of 
the measured value of VO. Values of M will vary from one pump to 
another, but values of DO for pumps of the same make, model and 
range should agree within  three percent of each other. 
Calibrations should be performed at pump start-up and after major 
maintenance to assure the stability of the pump slip rate. Analysis of 
mass injection data will also reflect pump slip stability.
    (d) CFV-CVS calibration. (1) Calibration of the CFV is based upon 
the flow equation for a critical venturi.
    (i) Gas flow is a function of inlet pressure and temperature:
    [GRAPHIC] [TIFF OMITTED] TR04OC96.031
    
QS=flow rate [m3/min.].
KV=calibration coefficient.
P=absolute pressure [kPa].
TK=absolute temperature [ deg.K].

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

                                                              Calibration Data Measurements                                                             
--------------------------------------------------------------------------------------------------------------------------------------------------------
               Parameter                               Symbol                             Units                                Tolerances               
--------------------------------------------------------------------------------------------------------------------------------------------------------
Barometric Pressure (corrected)........  PB...............................  kPa..............................   0.34 kPa                    
Air Temperature into flow meter........  TEI..............................   deg.C...........................   0.28  deg.C                 
Pressure drop between the inlet and      PED..............................  kPa..............................   0.012 kPa                   
 throat of metering venturi.                                                                                                                            
Air flow...............................  QS...............................  m3/min...........................   0.5 percent of NIST value   
CVS inlet depression...................  PPI..............................  kPa..............................   0.055 kPa                   
Pressure head at CVS pump outlet.......  PPO..............................  kPa..............................   0.055 kPa                   
Temperature at venturi inlet...........  TV...............................   deg.C...........................   2.22  deg.C                 
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (4) Set up equipment as shown in Figure 6 in appendix B of this 
subpart and eliminate leaks. (Leaks between the flow measuring devices 
and the critical flow venturi will seriously affect the accuracy of the 
calibration.)
    (5) Set the variable flow restrictor to the open position, start 
the blower, and allow the system to stabilize. Record data from all 
instruments.
    (6) Vary the flow restrictor and make at least eight readings 
across the critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibration are to 
be used in the following calculations:
    (i) The air flow rate (designated as Qs) at each test point is 
calculated in standard cubic feet per minute from the flow meter data 
using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each test 
point:
[GRAPHIC] [TIFF OMITTED] TR04OC96.032

QS=Flow rate in standard cubic meter per minute, at the standard 
conditions of 20  deg.C, 101.3 kPa.
TV=Temperature at venturi inlet,  deg.K.
PV=Pressure at venturi inlet, kPA
=PB-PPI
Where:

 PPI = Venturi inlet pressure depression, kPa.

    (iii)Plot KV as a function of venturi inlet pressure. For 
choked flow, KV will have a relatively constant value. As pressure 
decreases (vacuum increases), the venturi becomes unchoked and KV 
decreases. (See Figure 7 in appendix B of this subpart)
    (iv) For a minimum of eight points in the critical region calculate 
an average KV and the standard deviation.
    (v) If the standard deviation exceeds 0.3 percent of the average 
KV, take corrective action.
    (e) CVS system verification. The following ``gravimetric'' 
technique can be used to verify that the CVS and analytical instruments 
can accurately measure a mass of gas that has been injected into the 
system. (Verification can also be accomplished by constant flow 
metering using critical flow orifice devices.)
    (1) Obtain a small cylinder that has been charged with 99.5 percent 
or greater propane or carbon monoxide gas (CAUTION--carbon monoxide is 
poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01 
grams.
    (3) Operate the CVS in the normal manner and release a quantity of 
pure propane into the system during the sampling period (approximately 
five minutes).
    (4) The calculations are performed in the normal way except in the 
case of propane. The density of propane (0.6109 kg/m\3\carbon atom is 
used in place of the density of exhaust hydrocarbons.
    (5) The gravimetric mass is subtracted from the CVS measured mass 
and then divided by the gravimetric mass to determine the percent 
accuracy of the system.
    (6) Good engineering practice requires that the cause for any 
discrepancy greater than  two percent must be found and 
corrected.


Sec. 91.425  CVS calibration frequency.

    Calibrate the CVS positive displacement pump or critical flow 
venturi following initial installation, major maintenance or as 
necessary when indicated by the CVS system verification (described in 
Sec. 91.424(e)).


Sec. 91.426  Dilute emission sampling calculations.

    (a) The final reported emission test results must be computed by 
use of the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.033

Where:

Awm=Weighted mass emission level (HC, CO, CO2, or NOX) 
for a test [g/kW-hr].
Wi=Average mass flow rate of an emission from a test engine during 
mode i [g/hr].
WFi = Weighting factor for each mode i as defined in 
Sec. 91.410(a).
Pi = Gross average power generated during mode i [kW] calculated 
from the following equation (power for the idle mode shall always be 
zero for this calculation):

[[Page 52139]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.034


speed = average engine speed measured during mode i [rev./minute]
torque = average engine torque measured during mode i [N-m]
KHi = Humidity correction factor for mode i. This correction 
factor only affects calculations for NOX and is equal to one for 
all other emissions. KHi is also equal to one for all two-stroke 
engines.
    (b) The mass flow rate (Wi) of an emission for mode i is 
determined from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.035

Where:
Qi = Volumetric flow rate of the dilute exhaust through the CVS at 
standard conditions [m3/hr at STP].
D = Density of a specific emission (DHC, DCO, DCO2, 
DNOx) in the exhaust [g/m3].
DFi = Dilution factor of the dilute exhaust during mode i.
CDi = Concentration of the emission (HC, CO, NOX) in the 
dilute exhaust extracted from the CVS during mode i [ppm].
CBi = Concentration of the emission (HC, CO, NOX) in the 
background sample during mode i [ppm].
STP = Standard temperature and pressure. All volumetric calculations 
made for the equations in this section are to be corrected to a 
standard temperature of 20  deg.C and 101.3 kPa.

    (c) Densities for emissions that are to be measured for this test 
procedure are:

DHC = 576.8 g/m3
DNOX = 1912 g/m3
DCO = 1164 g/m3
DCO2 = 1829 g/m3

    (1) The value of DHC above is calculated based on the 
assumption that the fuel used has a carbon to hydrogen ratio of 1:1.85. 
For other fuels, DHC can be calculated from the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.036

Where:
MHC = Molecular weight of the hydrocarbon molecule divided by the 
number of carbon atoms in the molecule [g/mole].
RSTP = Ideal gas constant for a gas at STP = 0.024065 [m3-
mole].

(2) The idealized molecular weight of the exhaust hydrocarbons, ie., 
the molecular weight of the hydrocarbon molecule divided by the number 
of carbon atoms in the molecule, MHC can be calculated from the 
following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.037

Where:
MC = Molecular weight of carbon = 12.01 [g/mole].
MH = Molecular weight of hydrogen = 1.008 [g/mole].
 = Hydrogen to carbon ratio of the test fuel.

    (3) The value of DNOx above assumes that NOX in entirely 
in the form of NO2.
    (d) The dilution factor (DF) is the ratio of the volumetric flow 
rate of the background air to that of the raw engine exhaust. The 
following formula is used to determine DF:
[GRAPHIC] [TIFF OMITTED] TR04OC96.038

Where:
CD HC = Concentration of HC in the dilute sample [ppm].
CD CO = Concentration of CO in the dilute sample [ppm].
CD CO2 = Concentration of CO2 in the dilute sample [ppm].

    (e) The humidity correction factor KH is an adjustment made to 
the measured NOX. This corrects for the sensitivity that a spark-
ignition engine has to the humidity of its combustion air. The 
following formula is used to determine KH for NOX 
calculations:
[GRAPHIC] [TIFF OMITTED] TR04OC96.039

Where:
H = Absolute humidity of the engine intake air [grams of water per 
kilogram of dry air].

    (f) The absolute humidity of the engine intake air H is calculated 
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.040

Where:
Pdew = Saturated vapor pressure at the dew point temperature 
[kPa].
Pb = Barometric pressure [kPa].
    (g) The fuel mass flow rate Fi can be either measured or 
calculated using the following formula:
[GRAPHIC] [TIFF OMITTED] TR04OC96.041

Where:
Mf = Mass of fuel consumed by the engine during the mode [g].
T = Duration of the sampling period [hr].

    (h) The mass of fuel consumed during the mode sampling period, 
MFUEL can be calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.042

Where:
GS = Mass of carbon measured during the mode sampling period [g].
R2 = The fuel carbon weight fraction, which is the mass of carbon 
in fuel per mass of fuel [g/g].

    (i) The grams of carbon measured during the mode GS can be 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.043

Where:
HCmass = mass of hydrocarbon emissions for the mode sampling 
period [g].
COmass = mass of carbon monoxide emissions for the mode sampling 
period [g].
CO2 mass = mass of carbon dioxide emissions for the mode sampling 
period [g].
 = The atomic hydrogen to carbon ratio of the fuel.


Sec. 91.427  Catalyst thermal stress resistance evaluation.

    (a)(1) The purpose of the evaluation procedure specified in this 
section is to determine the effect of thermal stress on catalyst 
conversion efficiency. The thermal stress is imposed on the test 
catalyst by exposing it to quiescent heated air in an oven. The 
evaluation of the effect of such stress on catalyst performance is 
based on the resultant degradation of the efficiency with which the 
conversions of specific pollutants are promoted. The application of 
this evaluation procedure involves the several steps that are described 
in the following paragraphs.

[[Page 52140]]

    (2) The engine manufacturer need not submit catalyst conversion 
efficiency data for pollutants that the catalyst being tested was not 
designed to reduce/oxidize. The engine manufacturer must specify the 
pollutants that the catalyst will be converting and submit catalyst 
conversion efficiency data on only those pollutants.
    (b) Determination of initial conversion efficiency.
    (1) A synthetic exhaust gas mixture having the composition 
specified in Sec. 91.329 is heated to a temperature of 450  deg.C 
plus-minus 5  deg.C and passed through the new test catalyst or, 
optionally, a test catalyst that has been exposed to temperatures less 
than or equal to 500  deg.C for less than or equal to two hours, under 
flow conditions that are representative of anticipated in-use 
conditions.
    (2) The concentration of each pollutant of interest, that is, 
hydrocarbons, carbon monoxide, or oxides of nitrogen, in the effluent 
of the catalyst is determined by means of the instrumentation that is 
specified for exhaust gas analysis in subpart D of this part.
    (3) The conversion efficiency for each pollutant is determined by:
    (i) Subtracting the effluent concentration from the initial 
concentration,
    (ii) Dividing this result by the initial concentration,
    (iii) Multiplying this result by 100 percent.
    (c) Imposition of thermal stress.
    (1) The catalyst is placed in an oven that has been pre-heated to 
1000  deg.C and the temperature of the air in the oven is maintained at 
1000  deg.C plus-minus 10  deg.C for six hours. Optionally, the 
catalyst may instead be placed in an oven having a 90% nitrogen/10% 
water vapor environment that has been pre-heated to at least 850  deg.C 
and the temperature of the nitrogen/water vapor environment in the oven 
is maintained at 850  deg.C plus-minus 10  deg.C for six hours.
    (2) The catalyst is removed from the oven and allowed to cool to 
room temperature.
    (d) Determination of final conversion efficiency. The steps listen 
in paragraph (b) of this section are repeated.
    (e) Determination of conversion efficiency degradation.
    (1) The final conversion efficiency determined in paragraph (c) of 
this section is subtracted from the initial conversion efficiency 
determined in paragraph (b) of this section.
    (2) This result is divided by the initial conversion efficiency.
    (3) This result is multiplied by 100 percent.
    (f) Determination of compliance with degradation limit. The percent 
degradation determined in paragraph (e) of this section must not be 
greater than 20 percent.

Appendix A to Subpart E of Part 91--Tables

     Table 1--Parameters To Be Measured or Calculated and Recorded.     
------------------------------------------------------------------------
                  Parameter                              Units          
------------------------------------------------------------------------
Airflow rate (dry), if applicable...........  g/h                       
Fuel flow rate..............................  g/h                       
Engine speed................................  rpm                       
Engine torque output........................  Nbullet.m                 
Power output................................  kW                        
Air inlet temperature.......................   deg.C                    
Air humidity................................  mg/kg                     
Coolant temperature (liquid cooled).........   deg.C                    
Exhaust mixing chamber surface temperature,    deg.C                    
 if applicable.                                                         
Exhaust sample line temperature, if            deg.C                    
 applicable.                                                            
Total accumulated hours of engine operation.  h                         
Barometric pressure.........................  kPa                       
------------------------------------------------------------------------


      Table 2.--Test Cycle and Weighting Factors for Marine Engines     
------------------------------------------------------------------------
                                                     Engine             
                                         Engine     torque as           
                                       speed as a       a               
                                       percentage  percentage     Mode  
               Mode No.                 of engine  of maximum  weighting
                                          rated     torque at    factor 
                                          speed       rated             
                                                      speed             
------------------------------------------------------------------------
1....................................         100       100         0.06
2....................................          80        71.6       0.14
3....................................          60        46.5       0.15
4....................................          40        25         0.25
5....................................        idle         0         0.40
------------------------------------------------------------------------


BILLING CODE 6560-50-P

[[Page 52141]]

Appendix B to Subpart E of Part 91--Figures
[GRAPHIC] [TIFF OMITTED] TR04OC96.044


[[Page 52142]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.045



[[Page 52143]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.046



[[Page 52144]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.047



[[Page 52145]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.048



[[Page 52146]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.049



[[Page 52147]]

[GRAPHIC] [TIFF OMITTED] TR04OC96.050



BILLING CODE 6560-50-P

[[Page 52148]]

Subpart F--Manufacturer Production Line Testing Program


Sec. 91.501  Applicability.

    (a) The requirements of this subpart F are applicable to all marine 
spark-ignition engines subject to the provisions of subpart A of this 
part 91.
    (b) The Administrator may waive the provisions of this subpart for 
a manufacturer or a specific engine family, as specified in paragraphs 
(b) (1), (2) and (3) of this section.
    (1) The provisions of this subpart are waived for existing 
technology OB/PWC through model year 2003.
    (2) Upon request by a manufacturer, the Administrator may waive the 
provisions of this subpart for existing technology OB/PWC for a 
specific engine family through model year 2005 if the Administrator 
determines that the engine family will be phased out of production for 
sale in the U.S. by the end of model year 2005. As a condition to 
receiving such a waiver for either model year 2004, 2005 or both, the 
manufacturer must discontinue production of engines for sale in the 
U.S. according to a schedule determined by the Administrator upon 
granting this waiver. Failure to do so by the manufacturer will void ab 
initio the applicable certificate of conformity.
    (3) A manufacturer request under paragraph (b)(2) of this section 
must be in writing and apply to a specific engine family. The request 
must identify the engine family designation, a written rationale 
supporting the FEL choice, the type of information used as a basis for 
the FEL (e.g., previous emission tests, development tests), the 
specific source of the information including when the information was 
generated, the requested schedule for phasing the engine family out of 
production, and any other information the Administrator may require.


Sec. 91.502  Definitions.

    The definitions in subpart A of this part apply to this subpart. 
The following definitions also apply to this subpart.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.


Sec. 91.503  Production Line Testing by the Manufacturer.

    (a) Manufacturers of marine SI engines shall test production line 
engines from each engine family according to the provisions of this 
subpart.
    (b) Production line engines must be tested using the test procedure 
specified in subpart E of this part that was used in certification 
unless an alternate procedure is approved by the Administrator. Any 
adjustable engine parameter must be set to values or positions that are 
within the range recommended to the ultimate purchaser, unless 
otherwise specified by the Administrator. The Administrator may specify 
values within or without the range recommended to the ultimate 
purchaser.


Sec. 91.504  Maintenance of records; submittal of information.

    (a) The manufacturer of any new marine SI engine subject to any of 
the provisions of this subpart must establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines in accordance with Sec. 91.503. Subpart D of this part sets 
forth relevant equipment requirements in Secs. 91.306, 91.308, 91.309, 
and 91.313.
    (2) Individual records. These records pertain to each production 
line test conducted pursuant to this subpart and include:
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the test engine 
when the test began and ended;
    (iii) The names of all supervisory personnel involved in the 
conduct of the production line test;
    (iv) A record and description of any adjustment, repair, 
preparation or modification performed prior to and/or subsequent to 
approval by the Administrator pursuant to Sec. 91.507(b)(1), giving the 
date, associated time, justification, name(s) of the authorizing 
personnel, and names of all supervisory personnel responsible for the 
conduct of the repair;
    (v) If applicable, the date the engine was shipped from the 
assembly plant, associated storage facility or port facility, and the 
date the engine was received at the testing facility;
    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, in accordance with the record requirements 
specified in Sec. 91.405.
    (vii) A brief description of any significant events during testing 
not otherwise described under paragraph (a)(2) of this section, 
commencing with the test engine selection process and including such 
extraordinary events as engine damage during shipment.
    (3) The manufacturer must establish, maintain and retain general 
records, pursuant to paragraph (a)(1) of this section, for each test 
cell that can be used to perform emission testing under this subpart.
    (b) The manufacturer must retain all records required to be 
maintained under this subpart for a period of one year after completion 
of all testing required for the engine family in a model year. Records 
may be retained as hard copy (i.e., on paper) or reduced to microfilm, 
floppy disk, or some other method of data storage, depending upon the 
manufacturer's record retention procedure; provided, that in every 
case, all the information contained in the hard copy is retained.
     (c) The manufacturer must, upon request by the Administrator, 
submit the following information with regard to engine production:
    (1) Projected production or actual production for each engine 
configuration within each engine family for which certification has 
been requested and/or approved,
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production or actually produced.
    (d) Nothing in this section limits the Administrator's discretion 
to require a manufacturer to establish, maintain, retain or submit to 
EPA information not specified by this section.
    (e) All reports, submissions, notifications, and requests for 
approval made under this subpart must be addressed to: Manager, Engine 
Compliance Programs Group 6403J, U.S. Environmental Protection Agency, 
401 M Street SW, Washington, DC 20460.
    (f) The manufacturer must electronically submit the results of its 
production line testing using an EPA information format. The 
Administrator may exempt manufacturers from this requirement upon 
written request with supporting justification.


Sec. 91.505  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this or other subparts of this 
part, one or more EPA enforcement officers may enter during operating 
hours and upon presentation of credentials any of the following places:
    (1) Any facility, including ports of entry, where any engine to be 
introduced into commerce or any

[[Page 52149]]

emission-related component is manufactured, assembled, or stored;
    (2) Any facility where any test conducted pursuant to this or any 
other subpart or any procedure or activity connected with such test is 
or was performed;
    (3) Any facility where any test engine is present; and
    (4) Any facility where any record required under Sec. 91.504 or 
other document relating to this subpart or any other subpart of this 
part is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers are authorized to perform the 
following inspection-related activities:
    (1) To inspect and monitor any aspect of engine manufacture, 
assembly, storage, testing and other procedures, and to inspect and 
monitor the facilities in which these procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including test engine selection, preparation and service 
accumulation, emission test cycles, and maintenance and verification of 
test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection, and testing of an engine; and
    (4) To inspect and photograph any part or aspect of any engine and 
any component used in the assembly thereof that is reasonably related 
to the purpose of the entry.
    (c) EPA enforcement officers are authorized to obtain reasonable 
assistance without cost from those in charge of a facility to help the 
officers perform any function listed in this subpart and they are 
authorized to request the manufacturer to make arrangements with those 
in charge of a facility operated for the manufacturer's benefit to 
furnish reasonable assistance without cost to EPA.
    (1) Reasonable assistance includes, but is not limited to, 
clerical, copying, interpretation and translation services; the making 
available on an EPA enforcement officer's request of personnel of the 
facility being inspected during their working hours to inform the EPA 
enforcement officer of how the facility operates and to answer the 
officer's questions; and the performance on request of emission tests 
on any engine which is being, has been, or will be used for production 
line or other testing.
    (2) By written request, signed by the Assistant Administrator for 
Air and Radiation, and served on the manufacturer, a manufacturer may 
be compelled to cause the personal appearance of any employee at such a 
facility before an EPA enforcement officer. Any such employee who has 
been instructed by the manufacturer to appear will be entitled to be 
accompanied, represented, and advised by counsel.
    (d) EPA enforcement officers are authorized to seek a warrant or 
court order authorizing the EPA enforcement officers to conduct the 
activities authorized in this section, as appropriate, to execute the 
functions specified in this section. EPA enforcement officers may 
proceed ex parte to obtain a warrant or court order whether or not the 
EPA enforcement officers first attempted to seek permission from the 
manufacturer or the party in charge of the facility(ies) in question to 
conduct the activities authorized in this section.
    (e) A manufacturer must permit an EPA enforcement officer(s) who 
presents a warrant or court order to conduct the activities authorized 
in this section as described in the warrant or court order. The 
manufacturer must also cause those in charge of its facility or a 
facility operated for its benefit to permit entry and access as 
authorized in this section pursuant to a warrant or court order whether 
or not the manufacturer controls the facility. In the absence of a 
warrant or court order, an EPA enforcement officer(s) may conduct the 
activities authorized in this section only upon the consent of the 
manufacturer or the party in charge of the facility(ies) in question.
    (f) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit an EPA enforcement officer(s) to conduct the 
activities authorized in this section if the officer(s) appears without 
a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions where local law does not 
prohibit an EPA enforcement officer(s) from conducting the entry and 
access activities specified in this section. EPA will not attempt to 
make any inspections which it has been informed local foreign law 
prohibits.


Sec. 91.506  Engine sample selection.

    (a) At the start of each model year, the marine SI engine 
manufacturer will begin to randomly select engines from each engine 
family for production line testing at a rate of one percent. Each 
engine will be selected from the end of the assembly line.
    (1) For newly certified engine families: After two engines are 
tested, the manufacturer will calculate the required sample size for 
the model year according to the Sample Size Equation in paragraph (b) 
of this section.
    (2) For carry-over engine families: After one engine is tested, the 
manufacturer will combine the test with the last test result from the 
previous model year and then calculate the required sample size for the 
model year according to the Sample Size Equation in paragraph (b) of 
this section.
    (b)(1) Manufacturers will calculate the required sample size for 
the model year for each engine family using the Sample Size Equation 
below. N is calculated from each test result. The number N indicates 
the number of tests required for the model year for an engine family. 
N, is recalculated after each test. Test results used to calculate the 
variables in the Sample Size Equation must be final deteriorated test 
results as specified in Sec. 91.509(c).
[GRAPHIC] [TIFF OMITTED] TR04OC96.051

where:
N=required sample size for the model year.
t95=95% confidence coefficient. It is dependent on the actual 
number of tests completed, n, as specified in the table in paragraph 
(b)(2) of this section. It defines one-tail, 95% confidence intervals.
=actual test sample standard deviation calculated from the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR04OC96.052

xi=emission test result for an individual engine
x=mean of emission test results of the actual sample
FEL=Family Emission Limit
n=The actual number of tests completed in an engine family

    (2) Actual Number of Tests (n) & 1-tail Confidence Coefficients 
(t95)

------------------------------------------------------------------------
        n          t95           n          t95          n          t95 
------------------------------------------------------------------------
2                  6.31  12                 1.80  22                1.72
3                  2.92  13                 1.78  23                1.72
4                  2.35  14                 1.77  24                1.71
5                  2.13  15                 1.76  25                1.71
6                  2.02  16                 1.75  26                1.71
7                  1.94  17                 1.75  27                1.71
8                  1.90  18                 1.74  28                1.70
9                  1.86  19                 1.73  29                1.70
10                 1.83  20                 1.73  30                1.70
11                 1.81  21                 1.72                   1.645
------------------------------------------------------------------------

    (3) A manufacturer must distribute the testing of the remaining 
number of

[[Page 52150]]

engines needed to meet the required sample size N, evenly throughout 
the remainder of the model year.
    (4) After each new test, the required sample size, N, is 
recalculated using updated sample means, sample standard deviations and 
the appropriate 95% confidence coefficient.
    (5) A manufacturer must continue testing and updating each engine 
family's sample size calculations according to paragraphs (b)(1) 
through (b)(4) of this section until a decision is made to stop testing 
as described in paragraph (b)(6) of this section or a noncompliance 
decision is made pursuant to Sec. 91.510(b).
    (6) If, at any time throughout the model year, the calculated 
required sample size, N, for an engine family is less than or equal to 
the actual sample size, n, and the sample mean, x, for HC+NOX is 
less than or equal to the FEL, the manufacturer may stop testing that 
engine family.
    (7) If, at any time throughout the model year, the sample mean, x, 
for HC+NOX is greater than the FEL, the manufacturer must continue 
testing that engine family at the appropriate maximum sampling rate.
    (8) The maximum required sample size for an engine family 
(regardless of the required sample size, N, as calculated in paragraph 
(b)(1) of this section) is the lesser of thirty tests per model year or 
one percent of projected annual production for that engine family for 
that model year.
    (9) Manufacturers may elect to test additional randomly chosen 
engines. All additional randomly chosen engines tested in accordance 
with the testing procedures specified in Sec. 91.507 must be included 
in the Sample Size and Cumulative Sum equation calculations as defined 
in paragraph (b)(1) of this section and Sec. 91.508(a), respectively.
    (c) The manufacturer must produce and assemble the test engines 
using its normal production and assembly process for engines to be 
distributed into commerce.
    (d) No quality control, testing, or assembly procedures will be 
used on any test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in production or assembly 
procedures.


Sec. 91.507  Test procedures.

    (a)(1) For marine SI engines subject to the provisions of this 
subpart, the prescribed test procedures are specified in subpart E of 
this part.
    (2) The Administrator may, on the basis of a written application by 
a manufacturer, prescribe test procedures other than those specified in 
paragraph (a)(1) of this section for any marine engine he or she 
determines is not susceptible to satisfactory testing using procedures 
specified in paragraph (a)(1) of this section.
    (b)(1) The manufacturer may not adjust, repair, prepare, or modify 
any test engine and may not perform any emission test on any test 
engine unless this adjustment, repair, preparation, modification and/or 
test is documented in the manufacturer's engine assembly and inspection 
procedures and is actually performed by the manufacturer or unless this 
adjustment, repair, preparation, modification and/or test is required 
or permitted under this subpart or is approved in advance by the 
Administrator.
    (2) The Administrator may adjust or require to be adjusted any 
engine parameter which the Administrator has determined to be subject 
to adjustment for certification, production line testing and Selective 
Enforcement Audit testing, to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator, 
prior to the performance of any test. However, if the idle speed 
parameter is one which the Administrator has determined to be subject 
to adjustment, the Administrator may not adjust it or require that it 
be adjusted to any setting which causes a lower engine idle speed than 
would have been possible within the physically adjustable range of the 
idle speed parameter if the manufacturer had accumulated 12 hours of 
service on the engine under paragraph (c) of this section, all other 
parameters being identically adjusted for the purpose of the 
comparison. The manufacturer may be requested to supply information 
necessary to establish an alternate minimum idle speed. The 
Administrator, in making or specifying these adjustments, may consider 
the effect of the deviation from the manufacturer's recommended setting 
on emission performance characteristics as well as the likelihood that 
similar settings will occur on in-use engines. In determining 
likelihood, the Administrator may consider factors such as, but not 
limited to, the effect of the adjustment on engine performance 
characteristics and information from similar in-use engines.
    (c) Service Accumulation. (1) Prior to performing exhaust emission 
production line testing, the manufacturer may accumulate on each test 
engine a number of hours of service equal to the greater of 12 hours or 
the number of hours the manufacturer accumulated during certification 
on the emission data engine for each engine family.
    (2) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of 
production line engines.
    (d) The manufacturer may not perform any maintenance on test 
engines after selection for testing.
    (e) If an engine is shipped to a remote facility for production 
line testing, and an adjustment or repair is necessary because of 
shipment, the engine manufacturer must perform the necessary adjustment 
or repair only after the initial test of the engine, except in cases 
where the Administrator has determined that the test would be 
impossible or unsafe to perform or would permanently damage the engine. 
Engine manufacturers must report to the Administrator, in the quarterly 
report required by Sec. 91.509(e), all adjustments or repairs performed 
on test engines prior to each test.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or 
its deletion from the test sequence.
    (g) Testing. A manufacturer must test engines with the test 
procedure specified in subpart E of this part to demonstrate compliance 
with the applicable FEL. If alternate procedures were used in 
certification, then those alternate procedures must be used in 
production line testing.
    (h) Retesting. (1) If an engine manufacturer reasonably determines 
that an emission test of an engine is invalid, the engine may be 
retested. Emission results from all tests must be reported to EPA. The 
engine manufacturer must also include a detailed explanation of the 
reasons for invalidating any test in the quarterly report required in 
Sec. 91.509(e). In the event a retest is performed, a request may be 
made to the Administrator, within ten days of the end of the production 
quarter, for permission to substitute the after-repair test results for 
the original test results. The Administrator will either affirm or deny 
the request by the engine manufacturer within ten working days from 
receipt of the request.


Sec. 91.508  Cumulative Sum (CumSum) Procedure

    (a) Manufacturers must construct the following CumSum Equation for

[[Page 52151]]

HC+NOX for each engine family. Test results used to calculate the 
variables in the CumSum Equation must be final deteriorated test 
results as defined in Sec. 91.509(c).

Ci = max[0 0R (Ci-1 + Xi - (FEL + F))]
Where:

Ci = The current CumSum statistic
Ci-1 = The previous CumSum statistic. Prior to any testing, the 
CumSum statistic = 0 (i.e. C0 = 0)
Xi = The current emission test result for an individual engine
FEL = Family Emission Limit
F = 0.25 x 

    After each test, Ci is compared to the action limit, H, the 
quantity which the CumSum statistic must exceed, in two consecutive 
tests, before the engine family may be determined to be in 
noncompliance for purposes of Sec. 91.510.

H = The Action Limit. It is 5.0 x , and is a function of the 
standard deviation, .
 = is the sample standard deviation and is recalculated after 
each test.

    (b) After each engine is tested, the CumSum statistic shall be 
promptly updated according to the CumSum Equation in paragraph (a) of 
this section.
    (c)(1) If, at any time during the model year, a manufacturer amends 
the application for certification for an engine family as specified in 
paragraph (a) of Sec. 91.122 by performing an engine family 
modification (i.e. a change such as a running change involving a 
physical modification to an engine, a change in specification or 
setting, the addition of a new configuration, or the use of a different 
deterioration factor) with no changes to the FEL, all previous sample 
size and CumSum statistic calculations for the model year will remain 
unchanged.
    (2) If, at any time during the model year, a manufacturer amends 
the application for certification for an engine family as specified in 
paragraph (a) of Sec. 91.122 by modifying its FEL as a result of an 
engine family modification, the manufacturer must continue its 
calculations by inserting the new FEL into the sample size equation as 
specified in Sec. 91.506(b)(1) and into the CumSum equation in 
paragraph (a) of this section. All previous calculations remain 
unchanged. If the sample size calculation indicates that additional 
tests are required, then those tests must be performed. The CumSum 
statistic recalculation must not indicate that the family has exceeded 
the action limit for two consecutive tests. The manufacturer's final 
credit report as required by Sec. 91.210 must break out the credits 
that result from each FEL and corresponding CumSum analysis for each 
FEL set.
    (3) If, at any time during the model year, a manufacturer amends 
the application for certification for an engine family as specified in 
paragraph (a) of Sec. 91.122 by modifying its FEL without performing an 
engine modification, all previous sample size and CumSum statistic 
calculations for the model year must be recalculated using the new FEL. 
If the sample size calculation indicates that additional tests are 
required, then those tests must be performed. The CumSum statistic 
recalculation must not indicate that the family has exceeded the action 
limit for two consecutive tests.
    (4) If, at any time after the end of the model year but prior to 
the manufacturer's final credit report submittal as specified in 
Sec. 91.210, a manufacturer changes an FEL for an entire family, or for 
an affected part of the year's production, as specified in paragraph 
(a) of Sec. 91.122, in cases where there were one or more mid-year 
engine family modifications, all previous sample size and CumSum 
statistic calculations for the model year, or part of the model year 
affected by an engine family change, must be recalculated using the new 
FEL. The sample size equation must not indicate a larger number of 
tests than were appropriately performed using the previous FEL and the 
CumSum statistic recalculation must not exceed the action limit in two 
consecutive tests. The manufacturer's final credit report as required 
by Sec. 91.210 must break out the credits that result from each FEL and 
corresponding CumSum analysis for each FEL set.


Sec. 91.509  Calculation and reporting of test results.

    (a) Initial test results are calculated following the applicable 
test procedure specified in paragraph (a) of Sec. 91.507. The 
manufacturer rounds these results, in accordance with ASTM E29-93a, to 
the number of decimal places contained in the applicable emission 
standard expressed to one additional significant figure. (ASTM E29-93a 
has been incorporated by reference. See Sec. 91.6.)
    (b) Final test results are calculated by summing the initial test 
results derived in paragraph (a) of this section for each test engine, 
dividing by the number of tests conducted on the engine, and rounding 
in accordance with ASTM E29-93a to the same number of decimal places 
contained in the applicable standard expressed to one additional 
significant figure.
    (c) The final deteriorated test results for each test engine are 
calculated by applying the appropriate deterioration factors, derived 
in the certification process for the engine family, to the final test 
results, and rounding in accordance with ASTM E29-93a to the same 
number of decimal places contained in the applicable standard expressed 
to one additional significant figure.
    (d) If, at any time during the model year, the CumSum statistic 
exceeds the applicable action limit, H, in two consecutive tests, the 
engine family may be determined to be in noncompliance and the 
manufacturer must notify EPA within two working days of such exceedance 
by the CumSum statistic.
    (e) Within 30 calendar days of the end of each quarter, each engine 
manufacturer must submit to the Administrator a report which includes 
the following information:
    (1) The location and description of the manufacturer's or other's 
exhaust emission test facilities which were utilized to conduct testing 
reported pursuant to this section;
    (2) Total production and sample sizes, N and n, for each engine 
family;
    (3) The FEL against which each engine family was tested;
    (4) A description of the process to obtain engines on a random 
basis;
    (5) A description of the test engines;
    (6) For each test conducted,
    (i) A description of the test engine, including:
    (A) Configuration and engine family identification,
    (B) Year, make, and build date,
    (C) Engine identification number, and
    (D) Number of hours of service accumulated on engine prior to 
testing;
    (ii) Location where service accumulation was conducted and 
description of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all exhaust 
emission tests, whether valid or invalid, and the reason for 
invalidation, if applicable;
    (iv) A complete description of any adjustment, modification, 
repair, preparation, maintenance, and/or testing which was performed on 
the test engine, was not reported pursuant to any other paragraph of 
this subpart, and will not be performed on all other production 
engines;
    (v) A CumSum analysis, as required in Sec. 91.508, of the 
production line test results for each engine family;
    (vi) Any other information the Administrator may request relevant 
to the determination whether the new engines being manufactured by the 
manufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued;

[[Page 52152]]

    (7) For each failed engine as defined in Sec. 91.510(a), a 
description of the remedy and test results for all retests as required 
by Sec. 91.511(g);
    (8) The date of the end of the engine manufacturer's model year 
production for each engine family; and
    (9) The following signed statement and endorsement by an authorized 
representative of the manufacturer:

    This report is submitted pursuant to sections 213 and 208 of the 
Clean Air Act. This production line testing program was conducted in 
complete conformance with all applicable regulations under 40 CFR 
part 91 et seq. No emission-related changes to production processes 
or quality control procedures for the engine family tested have been 
made during this production line testing program that affect engines 
from the production line. All data and information reported herein 
is, to the best of (Company Name) knowledge, true and accurate. I am 
aware of the penalties associated with violations of the Clean Air 
Act and the regulations thereunder. (Authorized Company 
Representative.)


Sec. 91.510  Compliance with criteria for production line testing.

    (a) A failed engine is one whose final deteriorated test results 
pursuant to Sec. 91.509(c), for HC + NOX exceeds the applicable 
Family Emission Limit (FEL).
    (b) An engine family may be determined to be in noncompliance, if 
at any time throughout the model year, the CumSum statistic, Ci, 
for HC+NOX, is greater than the action limit, H, for two 
consecutive tests.


Sec. 91.511  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is automatically suspended with 
respect to any engine failing pursuant to paragraph (a) of Sec. 91.510 
effective from the time that testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformity for 
an engine family which is determined to be in noncompliance pursuant to 
Sec. 90.510(b). This suspension will not occur before fifteen days 
after the engine family is determined to be in noncompliance.
    (c) If the results of testing pursuant to these regulations 
indicate that engines of a particular family produced at one plant of a 
manufacturer do not conform to the regulations with respect to which 
the certificate of conformity was issued, the Administrator may suspend 
the certificate of conformity with respect to that family for engines 
manufactured by the manufacturer at all other plants.
    (d) Notwithstanding the fact that engines described in the 
application for certification may be covered by a certificate of 
conformity, the Administrator may suspend such certificate immediately 
in whole or in part if the Administrator finds any one of the following 
infractions to be substantial:
    (1) The manufacturer refuses to comply with any of the requirements 
of this subpart.
    (2) The manufacturer submits false or incomplete information in any 
report or information provided to the Administrator under this subpart.
    (3) The manufacturer renders inaccurate any test data submitted 
under this subpart.
    (4) An EPA enforcement officer is denied the opportunity to conduct 
activities authorized in this subpart and a warrant or court order is 
presented to the manufacturer or the party in charge of the facility in 
question.
    (5) An EPA enforcement officer is unable to conduct activities 
authorized in Sec. 91.505 because a manufacturer has located its 
facility in a foreign jurisdiction where local law prohibits those 
activities.
    (e) The Administrator shall notify the manufacturer in writing of 
any suspension or revocation of a certificate of conformity in whole or 
in part. A suspension or revocation is effective upon receipt of the 
notification or fifteen days from the time an engine family is 
determined to be in noncompliance pursuant to Sec. 91.510(b), whichever 
is later, except that the certificate is immediately suspended with 
respect to any failed engines as provided for in paragraph (a) of this 
section.
    (f) The Administrator may revoke a certificate of conformity for an 
engine family after the certificate has been suspended pursuant to 
paragraph (b) or (c) of this section if the proposed remedy for the 
nonconformity, as reported by the manufacturer to the Administrator, is 
one requiring a design change or changes to the engine and/or emission 
control system as described in the application for certification of the 
affected engine family.
    (g) Once a certificate has been suspended for a failed engine, as 
provided for in paragraph (a) of this section, the manufacturer must 
take the following actions before the certificate is reinstated for 
that failed engine:
    (1) Remedy the nonconformity;
    (2) Demonstrate that the engine conforms to the Family Emission 
Limit by retesting the engine in accordance with these regulations; and
    (3) Submit a written report to the Administrator, after successful 
completion of testing on the failed engine, which contains a 
description of the remedy and test results for each engine in addition 
to other information that may be required by this part.
    (h) Once a certificate for a failed engine family has been 
suspended pursuant to paragraph (b), (c) or (d) of this section, the 
manufacturer must take the following actions before the Administrator 
will consider reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the engines, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
future occurrences of the problem, and states the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with the regulations 
of this part by testing as many engines as needed so that the CumSum 
statistic, as calculated in Sec. 91.508(a), falls below the action 
limit. Such testing must comply with the provisions of this part. If 
the manufacturer elects to continue testing individual engines after 
suspension of a certificate, the certificate is reinstated for any 
engine actually determined to be in conformance with the Family 
Emission Limits through testing in accordance with the applicable test 
procedures, provided that the Administrator has not revoked the 
certificate pursuant to paragraph (f) of this section.
    (i) Once the certificate has been revoked for an engine family, if 
the manufacturer desires to continue introduction into commerce of a 
modified version of that family, the following actions must be taken 
before the Administrator may issue a certificate for that modified 
family:
    (1) If the Administrator determines that the proposed change(s) in 
engine design may have an effect on emission performance deterioration, 
the Administrator shall notify the manufacturer, within five working 
days after receipt of the report in paragraph (h)(1) of this section, 
whether subsequent testing under this subpart will be sufficient to 
evaluate the proposed change or changes or whether additional testing 
will be required; and
    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer must demonstrate that the modified 
engine family does in fact conform with the regulations of this part by 
testing as many engines as needed from the modified engine family so 
that the CumSum statistic, as calculated in

[[Page 52153]]

Sec. 91.508(a) using the newly assigned FEL if applicable, falls below 
the action limit. When both of these requirements are met, the 
Administrator shall reissue the certificate or issue a new certificate, 
as the case may be, to include that family. As long as the CumSum 
statistic remains above the action limit, the revocation remains in 
effect.
    (j) At any time subsequent to a suspension of a certificate of 
conformity for a test engine pursuant to paragraph (a) of this section, 
but not later than 15 days (or such other period as may be allowed by 
the Administrator) after notification of the Administrator's decision 
to suspend or revoke a certificate of conformity in whole or in part 
pursuant to paragraphs (b), (c), or (f) of this section, a manufacturer 
may request a hearing as to whether the tests have been properly 
conducted or any sampling methods have been properly applied.
    (k) Any suspension of a certificate of conformity under paragraph 
(d) of this section:
    (1) Shall be made only after the manufacturer concerned has been 
offered an opportunity for a hearing conducted in accordance with 
Secs. 91.512, 91.513, and 91.514 and
    (2) Need not apply to engines no longer in the possession of the 
manufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section and prior to the commencement of a 
hearing under Sec. 91.512, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend or revoke the 
certificate was based on erroneous information, the Administrator shall 
reinstate the certificate.
    (m) To permit a manufacturer to avoid storing non-test engines 
while conducting subsequent testing of the noncomplying family, a 
manufacturer may request that the Administrator conditionally reinstate 
the certificate for that family. The Administrator may reinstate the 
certificate subject to the following condition: the manufacturer must 
commit to recall all engines of that family produced from the time the 
certificate is conditionally reinstated if the CumSum statistic does 
not fall below the action limit and must commit to remedy any 
nonconformity at no expense to the owner.


Sec. 91.512  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator's decision 
to suspend or revoke a certificate or disputes the basis for an 
automatic suspension pursuant to Sec. 91.511(a), the manufacturer may 
request a public hearing.
    (b) The manufacturer's request shall be filed with the 
Administrator not later than 15 days after the Administrator's 
notification of his or her decision to suspend or revoke, unless 
otherwise specified by the Administrator. The manufacturer shall 
simultaneously serve two copies of this request upon the Manager of the 
Engine Compliance Programs Group and file two copies with the Hearing 
Clerk for the Agency. Failure of the manufacturer to request a hearing 
within the time provided constitutes a waiver of the right to a 
hearing. Subsequent to the expiration of the period for requesting a 
hearing as of right, the Administrator may, in his or her discretion 
and for good cause shown, grant the manufacturer a hearing to contest 
the suspension or revocation.
    (c) A manufacturer shall include in the request for a public 
hearing:
    (1) A statement as to which engine configuration(s) within a family 
is to be the subject of the hearing;
    (2) A concise statement of the issues to be raised by the 
manufacturer at the hearing, except that in the case of the hearing 
requested under Sec. 91.511(j), the hearing is restricted to the 
following issues:
    (i) Whether tests have been properly conducted (specifically, 
whether the tests were conducted in accordance with applicable 
regulations under this part and whether test equipment was properly 
calibrated and functioning);
    (ii) Whether sampling plans and statistical analyses have been 
properly applied (specifically, whether sampling procedures and 
statistical analyses specified in this subpart were followed and 
whether there exists a basis for distinguishing engines produced at 
plants other than the one from which engines were selected for testing 
which would invalidate the Administrator's decision under 
Sec. 91.511(c));
    (3) A statement specifying reasons why the manufacturer believes it 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the manufacturer's 
position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.


Sec. 91.513  Administrative procedures for public hearing.

    (a) The Presiding Officer shall be an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as 
amended).
    (b) The Judicial Officer shall be an officer or employee of the 
Agency appointed as a Judicial Officer by the Administrator, pursuant 
to this section, who shall meet the qualifications and perform 
functions as follows:
    (1) Qualifications. A Judicial Officer may be a permanent or 
temporary employee of the Agency who performs other duties for the 
Agency. The Judicial Officer shall not be employed by the Office of 
Enforcement and Compliance Assurance or have any connection with the 
preparation or presentation of evidence for a hearing held pursuant to 
this subpart. The Judicial Officer shall be a graduate of an accredited 
law school and a member in good standing of a recognized Bar 
Association of any state or the District of Columbia.
    (2) Functions. The Administrator may consult with the Judicial 
Officer or delegate all or part of the Administrator's authority to act 
in a given case under this section to a Judicial Officer, provided that 
this delegation does not preclude the Judicial Officer from referring 
any motion or case to the Administrator when the Judicial Officer 
determines such referral to be appropriate.
    (c) For the purposes of this section, one or more Judicial Officers 
may be designated by the Administrator. As work requires, a Judicial 
Officer may be designated to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requested under 
Sec. 91.511(j), when it clearly appears from the data and other 
information contained in the request for a hearing that no genuine and 
substantial question of fact or law exists with respect to the issues 
specified in Sec. 91.512(c)(2), the Administrator may enter an order 
denying the request for a hearing and reaffirming the original decision 
to suspend or revoke a certificate of conformity.
    (2) In the case of a hearing requested under Sec. 91.512 to 
challenge a suspension of a certificate of conformity for the reason(s) 
specified in Sec. 91.511(d), when it clearly appears from the data and 
other information contained in the request for the hearing that no 
genuine and substantial question of fact or law exists with respect to 
the issue of whether the refusal to comply with this subpart was caused 
by conditions and circumstances outside the control of the 
manufacturer, the Administrator may enter an order denying the request 
for a hearing and suspending the certificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of this 
section has the force and effect of a final decision of the

[[Page 52154]]

Administrator, as issued pursuant to Sec. 91.515.
    (4) If the Administrator determines that a genuine and substantial 
question of fact or law does exist with respect to any of the issues 
referred to in paragraphs (d)(1) and (d)(2) of this section, the 
Administrator shall grant the request for a hearing and publish a 
notice of public hearing in the Federal Register or by such other means 
as the Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section and Sec. 91.512(c) must be filed with the Hearing Clerk of the 
Agency. Filing is considered timely if mailed, as determined by the 
postmark, to the Hearing Clerk within the time allowed by this section 
and Sec. 91.512(b). If filing is to be accomplished by mailing, the 
documents must be sent to the address set forth in the notice of public 
hearing referred to in paragraph (d)(4) of this section.
    (2) To the maximum extent possible, testimony will be presented in 
written form. Copies of written testimony will be served upon all 
parties as soon as practicable prior to the start of the hearing. A 
certificate of service will be provided on or accompany each document 
or paper filed with the Hearing Clerk. Documents to be served upon the 
Manager of the Engine Compliance Programs Group must be sent by 
registered mail to: Manager, Engine Compliance Programs Group 6403-J, 
U.S. Environmental Protection Agency, 401 M Street SW., Washington, DC 
20460. Service by registered mail is complete upon mailing.
    (f) Computation of Time. (1) In computing any period of time 
prescribed or allowed by this section, except as otherwise provided, 
the day of the act or event from which the designated period of time 
begins to run is not included. Saturdays, Sundays, and federal legal 
holidays are included in computing the period allowed for the filing of 
any document or paper, except that when the period expires on a 
Saturday, Sunday, or federal legal holiday, the period is extended to 
include the next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act is computed from the time of service, except 
that when service is accomplished by mail, three days will be added to 
the prescribed period.
    (g) Consolidation. The Administrator or the Presiding Officer in 
his or her discretion may consolidate two or more proceedings to be 
held under this section for the purpose of resolving one or more issues 
whenever it appears that consolidation will expedite or simplify 
consideration of these issues. Consolidation does not affect the right 
of any party to raise issues that could have been raised if 
consolidation had not occurred.
    (h) Hearing Date. To the extent possible hearings under Sec. 91.512 
will be scheduled to commence within 14 days of receipt of the request 
for a hearing.


Sec. 91.514  Hearing procedures.

    The procedures provided in Sec. 86.1014-84(i) to (s) apply for 
hearings requested pursuant to Sec. 91.512 regarding suspension, 
revocation, or voiding of a certificate of conformity.


Sec. 91.515  Appeal of hearing decision.

    The procedures provided in Sec. 86.1014-84(t) to (aa) apply for 
appeals filed with respect to hearings held pursuant to Sec. 91.514.


Sec. 91.516  Treatment of confidential information.

    Except for information required by Sec. 91.509(e)(2) and 
Sec. 91.509 (e)(6)(vi), information submitted to EPA pursuant to 
Sec. 91.509(e) shall be made available to the public upon request by 
EPA notwithstanding any claim of confidentiality made by the submitter. 
The provisions for treatment of confidential information described in 
Sec. 91.7 apply to the information required by Sec. 91.509(e)(2) and 
all other information submitted pursuant to this subpart.

Subpart G--Selective Enforcement Auditing Regulations


Sec. 91.601  Applicability.

    The requirements of subpart G are applicable to all marine SI 
engines subject to the provisions of subpart A of part 91.


Sec. 91.602  Definitions.

    The definitions in subpart A and subpart F of this part apply to 
this subpart. The following definitions also apply to this subpart.
    Acceptable quality level (AQL) means the maximum percentage of 
failing engines that can be considered a satisfactory process average 
for sampling inspections.
    Inspection criteria means the pass and fail numbers associated with 
a particular sampling plan.


Sec. 91.603  Applicability of part 91, subpart F.

    (a) For purposes of selective enforcement audits conducted under 
this subpart, marine SI engines subject to provisions of subpart B of 
this part are subject to regulations specified in subpart F of this 
part, except:
    (1) Section 91.501 does not apply.
    (2) Section 91.503 does not apply. See Sec. 91.605.
    (3) Section 91.506 does not apply. See Sec. 91.606.
    (4) Section 91.507 does not apply. See Sec. 91.607.
    (5) Section 91.508 does not apply.
    (6) Paragraphs (d) and (e)(6)(v) and references to ``sample sizes, 
N and n'' of Sec. 91.509 do not apply.
    (7) The introductory text in Sec. 91.509 does not apply. The 
following text applies:
    ``Within 5 working days after completion of testing of all engines 
pursuant to a test order.''
    (8) The introductory text of Sec. 91.509(e)(9) does not apply. The 
following text applies:
    The following signed statement and endorsement by an authorized 
representative of the manufacturer:

    This report is submitted pursuant to Sections 213 and 208 of the 
Clean Air Act. This Selective Enforcement Audit was conducted in 
complete conformance with all applicable regulations under 40 CFR 
Part 91 et seq and the conditions of the test order. No emission-
related changes to production processes or quality control 
procedures for the engine family tested have been made between 
receipt of the test order and conclusion of the audit. All data and 
information reported herein is, to the best of (Company Name) 
knowledge, true and accurate. I am aware of the penalties associated 
with violations of the Clean Air Act and the regulations thereunder. 
(Authorized Company Representative.)

    (9) Section 91.510 does not apply. See Sec. 91.608.


Sec. 91.604  Test orders.

    (a) A test order addressed to the manufacturer is required for any 
testing under this subpart.
    (b) The test order is signed by the Assistant Administrator for Air 
and Radiation or his or her designee. The test order must be delivered 
in person by an EPA enforcement officer or EPA authorized 
representative to a company representative or sent by registered mail, 
return receipt requested, to the manufacturer's representative who 
signed the application for certification submitted by the manufacturer, 
pursuant to the requirements of the applicable section of subpart B of 
this part. Upon receipt of a test order, the manufacturer must comply 
with all of the provisions of this subpart and instructions in the test 
order.
    (c) Information included in test order. (1) The test order will 
specify the engine family to be selected for testing, the 
manufacturer's engine assembly plant or

[[Page 52155]]

associated storage facility or port facility (for imported engines) 
from which the engines must be selected, the time and location at which 
engines must be selected, and the procedure by which engines of the 
specified family must be selected. The test order may specify the 
configuration to be audited and/or the number of engines to be selected 
per day. Engine manufacturers are required to select a minimum of four 
engines per day unless an alternate selection procedure is approved 
pursuant to Sec. 91.606(a), or unless total production of the specified 
configuration is less than four engines per day. If total production of 
the specified configuration is less than four engines per day, the 
manufacturer selects the actual number of engines produced per day.
    (2) The test order may include alternate families to be selected 
for testing at the Administrator's discretion in the event that engines 
of the specified family are not available for testing because those 
engines are not being manufactured during the specified time or are not 
being stored at the specified assembly plant, associated storage 
facilities, or port of entry.
    (3) If the specified family is not being manufactured at a rate of 
at least two engines per day in the case of manufacturers specified in 
40 CFR 89.607(g)(1), or one engine per day in the case of manufacturers 
specified in 40 CFR 89.607(g)(2), over the expected duration of the 
audit, the Assistant Administrator or her or his designated 
representative may select engines of the alternate family for testing.
    (4) In addition, the test order may include other directions or 
information essential to the administration of the required testing.
    (d) A manufacturer may submit a list of engine families and the 
corresponding assembly plants, associated storage facilities, or (in 
the case of imported engines) port facilities from which the 
manufacturer prefers to have engines selected for testing in response 
to a test order. In order that a manufacturer's preferred location be 
considered for inclusion in a test order for a particular engine 
family, the list must be submitted prior to issuance of the test order. 
Notwithstanding the fact that a manufacturer has submitted the list, 
the Administrator may order selection at other than a preferred 
location.
    (e) Upon receipt of a test order, a manufacturer must proceed in 
accordance with the provisions of this subpart.


Sec. 91.605  Testing by the Administrator.

    (a) The Administrator may require by test order under Sec. 91.604 
that engines of a specified family be selected in a manner consistent 
with the requirements of Sec. 91.606 and submitted to the Administrator 
at the place designated for the purpose of conducting emission tests. 
These tests will be conducted in accordance with Sec. 91.607 to 
determine whether engines manufactured by the manufacturer conform with 
the regulations with respect to which the certificate of conformity was 
issued.
    (b) Designating official data. (1) Whenever the Administrator 
conducts a test on a test engine or the Administrator and manufacturer 
each conduct a test on the same test engine, the results of the 
Administrator's test comprise the official data for that engine.
    (2) Whenever the manufacturer conducts all tests on a test engine, 
the manufacturer's test data is accepted as the official data, provided 
that if the Administrator makes a determination based on testing 
conducted under paragraph (a) of this section that there is a 
substantial lack of agreement between the manufacturer's test results 
and the Administrator's test results, no manufacturer's test data from 
the manufacturer's test facility will be accepted for purposes of this 
subpart.
    (c) If testing conducted under Sec. 91.604 is unacceptable under 
paragraph (b)(2) of this section, the Administrator must:
    (1) Notify the manufacturer in writing of the Administrator's 
determination that the test facility is inappropriate for conducting 
the tests required by this subpart and the reasons therefor; and
    (2) Reinstate any manufacturer's data upon a showing by the 
manufacturer that the data acquired under Sec. 91.604 was erroneous and 
the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the Administrator 
reconsider the determination in paragraph (b)(2) of this section based 
on data or information which indicates that changes have been made to 
the test facility and these changes have resolved the reasons for 
disqualification.


Sec. 91.606  Sample selection.

    (a) Engines comprising a test sample will be selected at the 
location and in the manner specified in the test order. If a 
manufacturer determines that the test engines cannot be selected in the 
manner specified in the test order, an alternative selection procedure 
may be employed, provided the manufacturer requests approval of the 
alternative procedure prior to the start of test sample selection, and 
the Administrator approves the procedure.
    (b) The manufacturer must produce and assemble the test engines of 
the family selected for testing using its normal production and 
assembly process for engines to be distributed into commerce. If, 
between the time the manufacturer is notified of a test order and the 
time the manufacturer finishes selecting test engines, the manufacturer 
implements any change(s) in its production or assembly processes, 
including quality control, which may reasonably be expected to affect 
the emissions of the engines selected, then the manufacturer must, 
during the audit, inform the Administrator of such changes. If the test 
engines are selected at a location where they do not have their 
operational and emission control systems installed, the test order will 
specify the manner and location for selection of components to complete 
assembly of the engines. The manufacturer must assemble these 
components onto the test engines using normal assembly and quality 
control procedures as documented by the manufacturer.
    (c) No quality control, testing, or assembly procedures will be 
used on the test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in production or assembly 
procedures pursuant to paragraph (b) of this section.
    (d) The test order may specify that an EPA enforcement officer(s) 
or authorized representative(s), rather than the manufacturer, select 
the test engines according to the method specified in the test order.
    (e) The order in which test engines are selected determines the 
order in which test results are to be used in applying the sampling 
plan in accordance with Sec. 91.608.
    (f) The manufacturer must keep on hand all untested engines, if 
any, comprising the test sample until a pass or fail decision is 
reached in accordance with Sec. 91.608(e). The manufacturer may ship 
any tested engine which has not failed the requirements as set forth in 
Sec. 91.608(b). However, once the manufacturer ships any test engine, 
it relinquishes the prerogative to conduct retests as provided in 
Sec. 91.607(i).


Sec. 91.607  Test procedures.

    (a)(1) For marine SI engines subject to the provisions of this 
subpart, the prescribed test procedures are the test

[[Page 52156]]

procedures as specified in subpart E of this part.
    (2) The Administrator may, on the basis of a written application by 
a manufacturer, prescribe test procedures other than those specified in 
paragraph (a)(1) of this section for any marine engine he or she 
determines is not susceptible to satisfactory testing using the 
procedures specified in paragraph (a)(1) of this section.
    (b)(1) The manufacturer may not adjust, repair, prepare, or modify 
the engines selected for testing and may not perform any emission tests 
on engines selected for testing pursuant to the test order unless this 
adjustment, repair, preparation, modification, and/or tests are 
documented in the manufacturer's engine assembly and inspection 
procedures and are actually performed or unless these adjustments and/
or tests are required or permitted under this subpart or are approved 
in advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted any engine 
parameter which the Administrator has determined to be subject to 
adjustment for certification and Selective Enforcement Audit testing in 
accordance with Sec. 91.112, to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator 
in accordance with Sec. 91.112, prior to the performance of any tests. 
However, if the idle speed parameter is one which the Administrator has 
determined to be subject to adjustment, the Administrator may not 
adjust it to any setting which causes a lower engine idle speed than 
would have been possible within the physically adjustable range of the 
idle speed parameter if the manufacturer had accumulated 12 hours of 
service on the engine under paragraph (c) of this section, all other 
parameters being identically adjusted for the purpose of the 
comparison. The manufacturer may be requested to supply information 
needed to establish an alternate minimum idle speed. The Administrator, 
in making or specifying these adjustments, may consider the effect of 
the deviation from the manufacturer's recommended setting on emission 
performance characteristics as well as the likelihood that similar 
settings will occur on in-use engines. In determining likelihood, the 
Administrator may consider factors such as, but not limited to, the 
effect of the adjustment on engine performance characteristics and 
information from similar in-use engines.
    (c) Service Accumulation. Prior to performing exhaust emission 
testing on an SEA test engine, the manufacturer may accumulate on each 
engine a number of hours of service equal to the greater of 12 hours or 
the number of hours the manufacturer accumulated during certification 
on the emission data engine corresponding to the family specified in 
the test order.
    (1) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of 
normal production engines. This service accumulation must be consistent 
with the new engine break-in instructions contained in the applicable 
owner's manual.
    (2) The manufacturer must accumulate service at a minimum rate of 6 
hours per engine during each 24-hour period, unless otherwise approved 
by the Administrator.
    (i) The first 24-hour period for service begins as soon as 
authorized checks, inspections, and preparations are completed on each 
engine.
    (ii) The minimum service accumulation rate does not apply on 
weekends or holidays.
    (iii) If the manufacturer's service or target is less than the 
minimum rate specified (6 hours per day), then the minimum daily 
accumulation rate is equal to the manufacturer's service target.
    (3) Service accumulation must be completed on a sufficient number 
of test engines during consecutive 24-hour periods to assure that the 
number of engines tested per day fulfills the requirements of 
paragraphs (g)(1) and (g)(2) of this section.
    (d) The manufacturer may not perform any maintenance on test 
engines after selection for testing, nor may the Administrator allow 
deletion of any engine from the test sequence, unless requested by the 
manufacturer and approved by the Administrator before any engine 
maintenance or deletion.
    (e) The manufacturer must expeditiously ship test engines from the 
point of selection to the test facility. If the test facility is not 
located at or in close proximity to the point of selection, the 
manufacturer must assure that test engines arrive at the test facility 
within 24 hours of selection. The Administrator may approve more time 
for shipment based upon a request by the manufacturer accompanied by a 
satisfactory justification.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or 
its deletion from the test sequence.
    (g) Whenever a manufacturer conducts testing pursuant to a test 
order issued under this subpart, the manufacturer must notify the 
Administrator within one working day of receipt of the test order as to 
which test facility will be used to comply with the test order. If no 
test cells are available at a desired facility, the manufacturer must 
provide alternate testing capability satisfactory to the Administrator.
    (1) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of 7,500 or greater must 
complete emission testing at a minimum rate of two engines per 24-hour 
period, including each voided test and each smoke test.
    (2) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of less than 7,500 must 
complete emission testing at a minimum rate of one engine per 24-hour 
period, including each voided test and each smoke test.
    (3) The Administrator may approve a lower daily rate of emission 
testing based upon a request by a manufacturer accompanied by a 
satisfactory justification.
    (h) The manufacturer must perform test engine selection, shipping, 
preparation, service accumulation, and testing in such a manner as to 
assure that the audit is performed in an expeditious manner.
    (i) Retesting. (1) The manufacturer may retest any engines tested 
during a Selective Enforcement Audit once a fail decision for the audit 
has been reached in accordance with Sec. 91.608(e).
    (2) The Administrator may approve retesting at other times based 
upon a request by the manufacturer accompanied by a satisfactory 
justification.
    (3) The manufacturer may retest each engine a total of three times. 
The manufacturer must test each engine or vehicle the same number of 
times. The manufacturer may accumulate additional service before 
conducting a retest, subject to the provisions of paragraph (c) of this 
section.
    (j) A manufacturer must test engines with the test procedure 
specified in subpart E of this part to demonstrate compliance with the 
exhaust emission standard (or applicable FEL) for HC+NOX. If 
alternate procedures were used in certification pursuant to 
Sec. 91.119, then those alternate procedures must be used.

[[Page 52157]]

Sec. 91.608  Compliance with acceptable quality level and passing and 
failing criteria for selective enforcement audits.

    (a) The prescribed acceptable quality level is 40 percent.
    (b) A failed engine is one whose final test results pursuant to 
Sec. 91.509(b), for HC+NOX, exceed the applicable family emission 
level.
    (c) The manufacturer must test engines comprising the test sample 
until a pass decision is reached for HC+NOX or a fail decision is 
reached for HC+NOX. A pass decision is reached when the cumulative 
number of failed engines, as defined in paragraph (b) of this section, 
for HC+NOX is less than or equal to the pass decision number, as 
defined in paragraph (d) of this section, appropriate to the cumulative 
number of engines tested. A fail decision is reached when the 
cumulative number of failed engines for HC+NOX is greater than or 
equal to the fail decision number, as defined in paragraph (d) of this 
section, appropriate to the cumulative number of engines tested.
    (d) The pass and fail decision numbers associated with the 
cumulative number of engines tested are determined by using the tables 
in Appendix A to this subpart, ``Sampling Plans for Selective 
Enforcement Auditing of Marine Engines,'' appropriate to the projected 
sales as made by the manufacturer in its report to EPA under 
Sec. 91.504(c)(1). In the tables in Appendix A to this subpart, 
sampling plan ``stage'' refers to the cumulative number of engines 
tested. Once a pass or fail decision has been made for HC+NOX, the 
number of engines with final test results exceeding the emission 
standard for HC+NOX shall not be considered any further for the 
purposes of the audit.
    (e) Passing or failing of an SEA occurs when the decision is made 
on the last engine required to make a decision under paragraph (c) of 
this section.
    (f) The Administrator may terminate testing earlier than required 
in paragraph (c) of this section.

Appendix A to Subpart G of Part 91--Sampling Plans for Selective 
Enforcement Auditing of Marine Engines

                   Table 1.--Sampling Plan Code Letter                  
------------------------------------------------------------------------
         Annual engine family sales                   Code letter       
------------------------------------------------------------------------
20-50.......................................  AA.1                      
120-99......................................  A.                        
100-299.....................................  B.                        
300-299.....................................  C.                        
500 or greater..............................  D.                        
------------------------------------------------------------------------
\1\ A manufacturer may optionally use either the sampling plan for code 
  letter ``AA'' or sampling plan for code letter ``A'' for Selective    
  Enforcement Audits of engine families with annual sales between 20 and
  50 engines. Additionally, the manufacturer may switch between these   
  plans during the audit.                                               


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


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


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


              Table 5.--Sampling Plan for Code Letter ``C''             
                      [Sample inspection criteria]                      
------------------------------------------------------------------------
         Stage                   Pass No.                Fail No.       
------------------------------------------------------------------------
1......................            (\1\)                    (\2\)       
2......................            (\1\)                    (\2\)       
3......................            (\1\)                    (\2\)       
4......................            (\1\)                    (\2\)       
5......................                0                    (\2\)       
6......................                0                        6       
7......................                1                        7       
8......................                2                        7       
9......................                2                        8       
10.....................                3                        9       
11.....................                3                        9       
12.....................                4                       10       
13.....................                4                       10       
14.....................                5                       11       
15.....................                5                       11       
16.....................                6                       12       
17.....................                6                       12       
18.....................                7                       13       
19.....................                7                       13       
20.....................                8                       14       

[[Page 52158]]

                                                                        
21.....................                8                       14       
22.....................                9                       15       
23.....................               10                       15       
24.....................               10                       16       
25.....................               11                       16       
26.....................               11                       17       
27.....................               12                       17       
28.....................               12                       18       
29.....................               13                       18       
30.....................               13                       19       
31.....................               14                       19       
32.....................               14                       20       
33.....................               15                       20       
34.....................               15                       21       
35.....................               16                       21       
36.....................               16                       22       
37.....................               17                       22       
38.....................               18                       23       
39.....................               18                       23       
40.....................               19                       24       
41.....................               19                       24       
42.....................               20                       25       
43.....................               20                       25       
44.....................               21                       26       
45.....................               21                       27       
46.....................               22                       27       
47.....................               22                       27       
48.....................               23                       27       
49.....................               23                       27       
50.....................               26                      27        
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.                    
\2\ Test sample failure not permitted at this stage.                    


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

Subpart H--Importation of Nonconforming Marine Engines


Sec. 91.701  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
marine SI engines for which the Administrator has promulgated 
regulations under this part prescribing emission standards, including 
engines incorporated into marine vessels or equipment, that are offered 
for importation or imported into the United States, but which engines, 
at the time of importation or being offered for importation are not 
covered by certificates of conformity issued under section 213 and 
section 206(a) of the Clean Air Act as amended (that is, which are 
nonconforming marine engines as defined in Sec. 91.702), and this part. 
Compliance with regulations under this subpart does not relieve any 
person or entity from compliance with other applicable provisions of 
the Clean Air Act.
    (b) Regulations prescribing further procedures for the importation 
of marine SI engines and marine vessels or equipment into the customs 
territory of the United States, as defined in 19 U.S.C. 1202, are set 
forth in U.S. Customs Service regulations.


Sec. 91.702  Definitions.

    The definitions in subpart A of this part apply to this subpart. 
The following definitions also apply to this subpart.
    Certificate of conformity. The document issued by the Administrator 
under section 213 and section 206(a) of the Act.
    Nonconforming marine engine. A marine SI engine which is not 
covered by a certificate of conformity prior to importation or being 
offered for importation (or for which such coverage has not been 
adequately demonstrated to EPA). Also, a marine SI engine which was 
originally covered by a certificate of conformity, but subsequently 
altered or modified such that it is no longer in a certified 
configuration.
    Original engine manufacturer (OEM). The entity which originally 
manufactured the marine engine.
    United States. United States includes the customs territory of the 
United States as defined in 19 U.S.C. 1202, and the Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands.


Sec. 91.703  Admission.

    (a) A nonconforming marine SI engine offered for importation may 
only be imported into the United States under Sec. 91.704, provided 
that an exemption or exclusion is granted by the Administrator. Final 
admission shall not be granted unless the marine SI engine is exempted 
or excluded under Sec. 91.704.
    (b) In order to obtain admission the importer must submit to the 
Administrator a written request for approval containing the following:
    (1) Identification of the importer of the marine SI engine and the 
importer's address, telephone number, and taxpayer identification 
number;
    (2) Identification of the marine SI engine owner, the owner's 
address, telephone number, and taxpayer identification number;
    (3) Identification of the marine SI engine including make, model, 
identification number, and original production year;
    (4) Information indicating under what provision of these 
regulations the marine SI engine is to be imported;
    (5) Identification of the place(s) where the subject marine SI 
engine is to be stored;
    (6) Authorization for EPA enforcement officers to conduct 
inspections or testing otherwise

[[Page 52159]]

permitted by the Act or regulations thereunder; and
    (7) Such other information as is deemed necessary by the 
Administrator.


Sec. 91.704  Exemptions and exclusions.

    (a) Individuals and businesses are eligible to import nonconforming 
marine SI engines into the United States only under the provisions of 
this section.
    (b) Notwithstanding other requirements of this subpart, a 
nonconforming marine SI engine entitled to one of the temporary 
exemptions of this paragraph may be conditionally admitted into the 
United States if prior written approval for the conditional admission 
is obtained from the Administrator. Conditional admission must be under 
bond. The Administrator may request that the U.S. Customs Service 
require a specific bond amount to ensure compliance with the 
requirements of the Act and this subpart. A written request for 
approval from the Administrator must contain the identification 
required in Sec. 91.703(b) and information that demonstrates that the 
importer is entitled to the exemption. Noncompliance with provisions of 
this section may result in the forfeiture of the total amount of the 
bond or exportation of the marine engine. The following temporary 
exemptions are permitted by this paragraph:
    (1) Exemption for repairs or alterations. Upon written approval by 
EPA, a person may conditionally import under bond a nonconforming 
marine SI engine solely for purpose of repair(s) or alteration(s). The 
marine SI engines may not be operated in the United States other than 
for the sole purpose of repair or alteration. It may not be sold or 
leased in the United States and must be exported upon completion of the 
repair(s) or alteration(s).
    (2) Testing exemption. A nonconforming test marine SI engine may be 
conditionally imported under bond by a person subject to the 
requirements of Sec. 91.1005. A test marine SI engine may be operated 
in the United States provided that the operation is an integral part of 
the test. This exemption is limited to a period not exceeding one year 
from the date of importation unless a request is made by the 
appropriate importer, and subsequently granted by EPA, concerning the 
marine engine in accordance with Sec. 91.1005(f) for a subsequent one-
year period.
    (3) Display exemptions. (i) A nonconforming marine engine intended 
solely for display may be conditionally imported under bond subject to 
the requirements of Sec. 91.1007.
    (ii) A display marine engine may be imported by any person for 
purposes related to a business or the public interest. Such purposes do 
not include collections normally inaccessible or unavailable to the 
public on a daily basis, display of a marine engine at a dealership, 
private use, or other purpose that the Administrator determines is not 
appropriate for display exemptions. A display marine engine may not be 
sold or leased in the United States and may not be operated in the 
United States except for the operation incident and necessary to the 
display purpose.
    (iii) A temporary display exemption is granted for 12 months or for 
the duration of the display purpose, whichever is shorter. Extensions 
of up to 12 months each are available upon approval by the 
Administrator. In no circumstances, however, may the total period of 
exemption exceed 36 months.
    (c) Notwithstanding any other requirement of this subpart, a marine 
SI engine may be finally admitted into the United States under this 
paragraph if prior written approval for such final admission is 
obtained from the Administrator. A request for approval is to contain 
the identification information required in Sec. 91.703(b) (except for 
Sec. 91.703(b)(5)) and information that demonstrates that the importer 
is entitled to the exemption. The following exemptions are permitted by 
this paragraph:
    (1) National security exemption. A nonconforming marine engine may 
be imported under the national security exemption found at 
Sec. 91.1008.
    (2) Exemption for marine engines identical to United States 
certified versions. (i) Any person (including businesses) is eligible 
for importing a nonconforming marine SI engine into the United States 
under the provisions of this paragraph. An exemption will be granted if 
the applicant demonstrates to the satisfaction of the Administrator 
that the marine engine:
    (A) Is owned by the importer;
    (B) Is not offered for importation for the purpose of resale; and
    (C) Is proven to be identical, in all material respects, to a 
marine SI engine of the same or later model year certified by the 
Original Engine Manufacturer for sale in the United States or is proven 
to have been modified to be identical, in all material respects, to a 
marine engine of the same or later model year certified by the OEM for 
sale in the United States according to complete written instructions 
provided by the OEM's United States representative, or his/her 
designee.
    (ii) Proof of conformity.
    (A) Documentation submitted pursuant to this section for the 
purpose of proving conformity of individual marine engines is to 
contain sufficiently organized data or evidence demonstrating that the 
marine engine identified pursuant to Sec. 91.703(b) is identical, in 
all material respects, to a marine engine identified in an OEM's 
application for certification.
    (B) If the documentation does not contain all the information 
required by this part, or is not sufficiently organized, EPA will 
notify the importer of any areas of inadequacy and that the 
documentation will not receive further consideration until the required 
information or organization is provided.
    (C) If EPA determines that the documentation does not clearly or 
sufficiently demonstrate that a marine engine is eligible for 
importation under this paragraph, EPA will notify the importer in 
writing.
    (D) If EPA determines that the documentation clearly and 
sufficiently demonstrates that a marine engine is eligible for 
importation under this paragraph, EPA will grant approval for final 
admission in writing.
    (d) Foreign diplomatic and military personnel may conditionally 
import a nonconforming marine engine without bond. At the time of 
conditional admission, the importer must submit to the Administrator 
the written report required in Sec. 91.703(b) (except for information 
required by Sec. 91.703(b)(5)) and a statement from the U.S. Department 
of State confirming qualification for this exemption. Foreign military 
personnel may, in lieu of a statement from the U.S. Department of 
State, submit to the Administrator a copy of their orders for duty in 
the United States. The marine SI engine may not be sold or leased in 
the United States and must be exported if the individual's diplomatic 
status or the foreign military orders for duty in the U.S. are no 
longer applicable, as determined by the Department of State, unless 
subsequently brought into conformity with U.S. emission requirements in 
accordance with Sec. 91.704(c)(2).
    (e) Competition exclusion. A nonconforming marine engine may be 
conditionally imported by any person provided the importer demonstrates 
to the Administrator that the marine engine is used to propel a marine 
vessel used solely for competition and obtains prior written approval 
from the Administrator. A nonconforming engine imported pursuant to 
this paragraph may not be operated in the United States except for that 
operation incident and necessary for the competition

[[Page 52160]]

purpose, unless subsequently brought into conformity with United States 
emission requirements in accordance with Sec. 91.704(c)(2).
    (f) An application for exemption and exclusion provided for in 
paragraphs (b), (c), and (e) of this section shall be mailed to: U.S. 
Environmental Protection Agency, Office of Mobile Sources, Engine 
Programs & Compliance Division (6403-J), 401 M Street, SW., Washington, 
DC 20460, Attention: Imports.


Sec. 91.705  Prohibited acts; penalties.

    (a) The importation of a marine SI engine, including a marine 
engine incorporated into marine vessels or equipment, which is not 
covered by a certificate of conformity other than in accordance with 
this subpart and the entry regulations of the U.S. Customs Service is 
prohibited. Failure to comply with this section is a violation of 
Sec. 91.1103(a)(1) and section 213(d) of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of a marine engine may not:
    (1) Register, license, or operate the marine engine in the United 
States;
    (2) Sell or lease or offer the marine engine for sale or lease;
    (c) A marine SI engine conditionally admitted pursuant to 
Sec. 91.704 (b), (d) or (e) and not granted final admission by the end 
of the period of conditional admission, or within such additional time 
as the Administrator and the U.S. Customs Service may allow, is deemed 
to be unlawfully imported into the United States in violation of 
Sec. 91.1103(a)(1), section 213(d) and section 203 of the Act, unless 
the marine engine has been delivered to the U.S. Customs Service for 
export or other disposition under applicable Customs laws and 
regulations. A marine SI engine not so delivered is subject to seizure 
by the U.S. Customs Service.
    (d) An importer who violates Sec. 91.1103(a)(1), section 213(d) and 
section 203 of the Act is subject to a civil penalty under Sec. 91.1106 
and section 205 of the Act of not more than $25,000 for each marine 
engine subject to the violation. In addition to the penalty provided in 
the Act, where applicable, a person or entity who imports an engine 
under the exemption provisions of Sec. 91.704(b) and, who fails to 
deliver the marine engine to the U.S. Customs Service by the end of the 
period of conditional admission is liable for liquidated damages in the 
amount of the bond required by applicable Customs laws and regulations.


Sec. 91.706  Treatment of confidential information.

    The provisions for treatment of confidential information as 
described in Sec. 91.7 apply.

Subpart I--In-Use Testing and Recall Regulations


Sec. 91.801  Applicability.

    The requirements of subpart I are applicable to all marine SI 
engines subject to the provisions of subpart A of part 91.
    (a) Marine engines subject to provisions of subpart B of this part 
are subject to recall regulations specified in 40 CFR part 85, subpart 
S, except for the items set forth in this subsection.
    (b) Reference to section 214 of the Clean Air Act in 40 CFR 
85.1801(a) does not apply. Reference to section 216 of the Clean Air 
Act does apply.
    (c) Reference to section 202 of the Act in 40 CFR 85.1802(a) does 
not apply. Reference to section 213 of the Act does apply.
    (d) Reference to ``family particulate emission limits as defined in 
Part 86 promulgated under section 202 of the Act'' in 40 CFR 85.1803(a) 
and 85.1805(a)(1) does not apply. Family emission limits as defined in 
40 CFR part 89 promulgated under section 213 of the Act does apply.
    (e) Add the following paragraph to 40 CFR 85.1805 (a)(9): A 
telephone number provided by the manufacturer, which may be used to 
report difficulty in obtaining recall repairs.
    (f) The requirements of the Manufacturer In-use testing program set 
forth in Secs. 91.803 through 91.805 are waived for existing technology 
OB/PWC as defined in Sec. 91.3 through model year 2003.
    (1) The Administrator has the discretion to waive the requirements 
of the Manufacturer In-use testing program set forth in sections 91.803 
through 91.805 for existing technology OB/PWC for a specific engine 
family up to model year 2005 if, upon the request of the manufacturer, 
the Administrator determines that the engine family will be phased out 
of U.S. production by model year 2005. As a condition to receiving such 
a waiver for either model year 2004 or 2005 or both, the manufacturer 
must discontinue U.S. production according to the schedule upon which 
the Administrator based the waiver. Failure to do so by the 
manufacturer will void ab initio the certificate of conformity.
    (2) A manufacturer request under paragraph (f)(1) of this section 
must be in writing and must apply to a specific engine family. The 
request must identify the engine family designation, the schedule for 
phasing the engine family out of U.S. production, and any other 
information the Administrator may require.


Sec. 91.802  Definitions.

    (a) For the purposes of this subpart, except as otherwise provided, 
the definitions in subpart A of this part apply to this subpart.
    (b) The definitions of 40 CFR Part 85, subpart S, Sec. 85.1801 also 
apply to this Part.


Sec. 91.803  Manufacturer In-use testing program.

    (a) EPA shall annually identify engine families and those 
configurations within families which the manufacturer must then subject 
to in-use testing as described below. For each model year, EPA may 
identify a number of engine families that is no greater than twenty-
five percent of the number of engine families to which this subpart is 
applicable produced in that model year.
    (b) For each engine family identified by EPA, engine manufacturers 
shall perform emission testing of an appropriate sample of in-use 
engines from each engine family. Manufacturers shall submit data from 
this in-use testing to EPA.
    (c) Number of engines to be tested. An engine manufacturer shall 
test in-use engines from each engine family identified by EPA. Engines 
to be tested shall have accumulated between half and three-quarters of 
the family's useful life. The number of engines to be tested by a 
manufacturer will be determined by the following method:
    (1) A minimum of four (4) engines per family provided that no 
engine fails any standard. For each failing engine, two more engines 
shall be tested until the total number of engines equals ten (10).
    (2) For engine families of less than 500 engines for the identified 
model year or for engine manufacturers who make less than or equal to 
2,000 for that model year, a minimum of two (2) engines per family 
provided that no engine fails any standard. For each failing engine, 
two more engines shall be tested until the total number of engines 
equals ten (10).
    (3) If an engine family was certified using carry over emission 
data and has been previously tested under paragraph (c) (1) or (2) of 
this section (and EPA has not ordered a recall for that family), then 
only one engine for that family must be tested. If that one engine 
fails any pollutant, testing must be conducted as outlined at paragraph 
(c) (1) or (2) of this section, whichever is appropriate.

[[Page 52161]]

    (d) At the discretion of the Administrator, an engine manufacturer 
may test more engines than the minima described in paragraph (c) of 
this section or may concede failure before testing a total of ten (10) 
engines.
    (e) The Administrator will consider failure rates, average emission 
levels and the existence of any defects among other factors in 
determining whether to pursue remedial action under this subpart. The 
Administrator may order a recall pursuant to Secs. 91.807-91.814 before 
testing reaches the tenth engine.
    (f) The Administrator may approve an alternative to manufacturer 
in-use testing, where:
    (1) engine family production is less than or equal to 200 per year; 
or
    (2) engines cannot be obtained for testing because they are used 
substantially in craft which are not conducive to engine removal such 
as large vessels where the engine can not be removed without 
dismantling either the engine or the vessel; or
    (3) other compelling circumstances associated with the structure of 
the industry and uniqueness of marine engine applications. Such 
alternatives shall be designed to determine whether the engine family 
is in compliance in-use.
    (g) Collection of in-use engines. The engine manufacturer shall 
procure in-use engines which have been operated for between half and 
three-quarters of the engine's useful life. The engine manufacturer may 
test engines from more than one model year in a given year. The 
manufacturer shall begin testing within twelve calendar months after 
receiving notice that EPA has identified a particular engine family for 
testing and shall complete testing of such engine family within twelve 
calendar months from the start of such testing. Test engines may be 
procured from sources associated with the engine manufacturer (i.e., 
manufacturer established fleet engines, etc.) or from sources not 
associated with the manufacturer (i.e., consumer-owned engines, 
independently-owned fleet engines, etc.).


Sec. 91.804  Maintenance, procurement and testing of in-use engines.

    (a) A test engine must have a maintenance and use history 
representative of actual in-use conditions.
    (1) To comply with this requirement a manufacturer must obtain 
information from the end users regarding the accumulated usage, 
maintenance, operating conditions, and storage of the test engines.
    (2) Documents used in the procurement process must be maintained as 
required in Sec. 91.121.
    (b) The manufacturer may perform minimal set-to-spec maintenance on 
components of a test engine that are not subject to parameter 
adjustment. Maintenance may include only that which is listed in the 
owner's instructions for engines with the amount of service and age of 
the acquired test engine. Documentation of all maintenance and 
adjustments shall be maintained and retained as required by 
Sec. 91.121.
    (c) At least one valid emission test, according to the test 
procedure outlined in subpart E of this part, is required for each in-
use engine.
    (d) The Administrator may waive portions or requirements of the 
test procedure, if any, that are not necessary to determine in-use 
compliance.
    (e) If a selected in-use engine fails to comply with any applicable 
emission standards, the manufacturer shall determine the reason for 
noncompliance. The manufacturer must report all such reasons of 
noncompliance within fifteen days of completion of testing.


Sec. 91.805  In-use test program reporting requirements.

    (a) The manufacturer shall electronically submit to the 
Administrator within three (3) months of completion of testing all 
emission testing results generated from the in-use testing program. The 
following information must be reported for each test engine:
    (1) Engine family,
    (2) Model,
    (3) Engine serial number,
    (4) Date of manufacture,
    (5) Estimated hours of use,
    (6) Date and time of each test attempt,
    (7) Results (if any) of each test attempt,
    (8) Results of all emission testing,
    (9) Summary of all maintenance and/or adjustments performed,
    (10) Summary of all modifications and/or repairs,
    (11) Determinations of noncompliance.
    (b) The manufacturer must electronically submit the results of its 
in-use testing with a pre-approved information heading. The 
Administrator may exempt manufacturers from this requirement upon 
written request with supporting justification.
    (c) All testing reports and requests for approvals made under this 
subpart shall be addressed to: Manager, Engine Compliance Programs 
Group 6403-J, U.S. Environmental Protection Agency, 401 M Street SW., 
Washington, DC 20460.
    (d) The Administrator may approve and/or require modifications to a 
manufacturer's in-use testing programs.


Sec. 91.806  Voluntary emissions recall.

    (a) Prior to an EPA ordered recall, the manufacturer may perform a 
voluntary emissions recall pursuant to regulations at Sec. 91.904 of 
this part. Such manufacturer is subject to the reporting requirements 
at Sec. 91.905 of this part.
    (b) Once EPA determines that a substantial number of engines fail 
to conform with the requirements of section 213 of the Act or this 
part, the manufacturer will not have the option of a voluntary 
emissions recall.

Subpart J--Emission-related Defect Reporting Requirements, 
Voluntary Emission Recall Program


Sec. 91.901  Applicability.

    The requirements of this subpart J are applicable to all marine 
engines subject to the provisions of subpart A of this part 91. The 
requirement to report emission-related defects affecting a given class 
or category of engines remains applicable for five years from the end 
of the model year in which such engines were manufactured.


Sec. 91.902  Definitions.

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


Sec. 91.903  Applicability to Part 85, subpart T.

    (a) Marine SI engines subject to provisions of subpart A of this 
part are subject to emission defect reporting requirements specified in 
40 CFR Part 85, subpart T, except for the items set forth in this 
section.
    (b) 40 CFR 85.1901 does not apply. See Sec. 91.901.
    (c) Reference to the Clean Air Act, 42 U.S.C. 1857 in 40 CFR 
85.1902(a) does not apply. Reference to the Clean Air Act, 42 U.S.C. 
7401 does apply.
    (d) Reference to the ``approved Application for Certification 
required by 40 CFR 86.077-22 and like provisions of Part 85 and Part 86 
of Title 40 of the Code of Federal Regulations'' does not apply. 
Reference to the approved application for certification required by 
91.108 and like provisions of Part 91 does apply.
    (e) Reference to section 202(d) of the Act in Sec. 85.1902(c) does 
not apply. Reference to section 202(d) and section 213 of the Act does 
apply.
    (f) Reference to section 214 of the Act in Sec. 85.1902(e) and (f) 
does not apply. Reference to section 216 of the Act does apply.

[[Page 52162]]

Sec. 91.904  Voluntary emission recall.

    (a) A manufacturer, prior to initiating a voluntary emission recall 
program, must submit to the EPA the following information for a 15 day 
review and comment period:
    (1) A description of each class or category of engines recalled, 
including the number of engines to be recalled, the model year, and 
such other information as may be required to identify the engines 
recalled;
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments, or other changes to be made to 
correct the engines affected by the emission-related defect;
    (3) A description of the method by which the manufacturer will 
notify engine owners including copies of any letters of notification to 
be sent to engine owners;
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
recall plan, and a description of the proof to be required of an engine 
owner to demonstrate compliance with any such conditions;
    (5) A description of the procedure to be followed by engine owners 
to obtain correction of the nonconformity. This may include designation 
of the date on or after which the owner can have the nonconformity 
remedied, the time reasonably necessary to perform the labor to remedy 
the defect, and the designation of facilities at which the defect can 
be remedied;
    (6) A description of the class of persons other than dealers and 
authorized warranty agents of the manufacturer who will remedy the 
defect; and
    (7) A description of the system by which the manufacturer will 
assure that an adequate supply of parts is available to perform the 
repair under the plan.
    (b) The manufacturer must submit at least one report on the 
progress of the recall campaign. This report is submitted one year from 
the date notification begins and includes the following information:
    (1) The methods used to notify both engine owners, dealers and 
other individuals involved in the recall campaign;
    (2) The number of engines known or estimated to be affected by the 
emission-related defect and an explanation of the means by which this 
number was determined;
    (3) The number of engines actually receiving repair under the plan;
    (4) The number of engine owners, dealers, and other individuals 
involved in the recall campaign that have been notified and the number 
of engines that have actually received repair; and
    (5) The number of engines determined to be ineligible for remedial 
action due to a failure to properly maintain or use such engines.


Sec. 91.905  Reports, voluntary recall plan filing, record retention.

    (a) The defect report, voluntary recall plan, and the voluntary 
recall progress report shall be sent to: Manager, Engine Compliance 
Programs Group 6403-J, Environmental Protection Agency, 401 M St. SW, 
Washington, DC 20460.
    (b) The information gathered by the manufacturer to compile the 
reports must be retained for not less than five years from the date of 
the manufacture of the engines and must be made available to duly 
authorized officials of the EPA upon request.


Sec. 91.906  Responsibility under other legal provisions preserved.

    The filing of any report under the provisions of this subpart will 
not affect a manufacturer's responsibility to file reports or 
applications, obtain approval, or give notice under any provision of 
law.


Sec. 91.907  Disclaimer of production warranty applicability.

    (a) The act of filing an Emission Defect Information Report is 
inconclusive as to the existence of a defect subject to the warranty 
provided by section 207(a) of the Act.
    (b) A manufacturer may include on each page of its Emission Defect 
Information Report a disclaimer stating that the filing of a Defect 
Information Report pursuant to these regulations is not conclusive as 
to the applicability of the warranty provided by subpart M of this 
part.

Subpart K--Exclusion and Exemption of Marine SI Engines


Sec. 91.1001  Applicability.

    The requirements of this subpart K are applicable to all marine 
spark-ignition propulsion engines subject to the provisions of subpart 
A of this part 91.


Sec. 91.1002  Definitions.

    The definitions in subpart A of this part apply to this subpart. 
The following definitions also apply to this subpart:
    Exemption means exemption from the prohibitions of Sec. 91.1103.
    Export exemption means an exemption granted under Sec. 91.1104(b) 
for the purpose of exporting new marine SI engines.
    National security exemption means an exemption which may be granted 
under Sec. 91.1104(b) for the purpose of national security.
    Manufacturer-owned marine engine means an uncertified marine SI 
engine owned and controlled by a marine SI engine manufacturer and used 
in a manner not involving lease or sale by itself or in a marine vessel 
or piece of equipment employed from year to year in the ordinary course 
of business for product development, production method assessment, or 
market promotion purposes.
    Testing exemption means an exemption which may be granted under 
Sec. 91.1104(b) for the purpose of research, investigations, studies, 
demonstrations or training, but not including national security.


Sec. 91.1003  Exclusions based on section 216(10) of the Act.

    (a) For the purpose of determining the applicability of section 
216(10) of the Act, any marine SI engine as that term is defined in 
subpart A of this part, is deemed a nonroad engine.
    (b) EPA will maintain a list of models of marine SI engines, and 
the marine vessels which use such engines, that have been determined to 
be excluded because they are used solely for competition. This list 
will be available to the public and may be obtained by writing to the 
following address: Group Manager, Engine Compliance Programs Group, 
Engine Programs and Compliance Division (6403J), Environmental 
Protection Agency, 401 M Street SW, Washington, DC 20460.
    (c) Upon written request with supporting documentation, EPA will 
make written determinations as to whether certain engines are or are 
not marine SI engines. Engines that are determined not to be marine SI 
engines are excluded from regulations under this part but may be 
subject to regulations under another part.


Sec. 91.1004  Who may request an exemption.

    (a) Any person may request a testing exemption under Sec. 91.1005.
    (b) Any marine SI engine manufacturer may request a national 
security exemption under Sec. 91.1008.
    (c) For marine SI engine manufacturers, marine SI engines for 
export purposes are exempt without application, subject to the 
provisions of Sec. 91.1009.
    (d) For eligible manufacturers, as determined by Sec. 91.1006, 
manufacturer-owned marine SI engines are exempt without application, 
subject to the provisions of Sec. 91.1006.
    (e) For any person, display marine SI engines are exempt without 
application, subject to the provisions of Sec. 91.1007.

[[Page 52163]]

Sec. 91.1005  Testing exemption.

    (a) Any person requesting a testing exemption must demonstrate the 
following:
    (1) That the proposed test program has a purpose which constitutes 
an appropriate basis for an exemption in accordance with 
Sec. 91.1104(b);
    (2) That the proposed test program necessitates the granting of an 
exemption;
    (3) That the proposed test program is reasonable in scope; and
    (4) That the proposed test program exhibits a degree of control 
consonant with the purpose of the program and the EPA's monitoring 
requirements.
    (5) Paragraphs (b), (c), (d), and (e) of this section describe what 
constitutes a sufficient demonstration for each of the four identified 
elements.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose would be research, investigations, studies, 
demonstrations, or training, but not national security. A concise 
statement of purpose is a required item of information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under Sec. 91.1103. In appropriate 
circumstances, time constraints may be a sufficient basis for 
necessity, but the cost of certification alone, in the absence of 
extraordinary circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of 
engines. In this regard, required items of information include:
    (1) An estimate of the program's duration.
    (2) The maximum number of marine engines involved.
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the test;
    (2) The site of the test;
    (3) The duration and accumulated engine operation associated with 
the test;
    (4) The ownership arrangement with regard to the engines involved 
in the test;
    (5) The intended final disposition of the engines;
    (6) The manner in which the engine identification numbers will be 
identified, recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer of new marine SI engines may request a testing 
exemption to cover marine SI engines intended for use in test programs 
planned or anticipated over the course of a subsequent one-year period. 
Unless otherwise required by the Manager, Engine Compliance Programs 
Group, a manufacturer requesting such an exemption need only furnish 
the information required by paragraphs (a)(1) and (d)(2) of this 
section along with a description of the recordkeeping and control 
procedures that will be employed to assure that the engines are used 
for purposes consistent with section 91.1104(b).


Sec. 91.1006  Manufacturer-owned exemption and precertification 
exemption.

    (a) Except as provided in paragraph (b) of this section, any 
manufacturer-owned marine SI engine, as defined by Sec. 91.1002, is 
exempt from compliance with Sec. 91.1103, without application, if the 
manufacturer complies with the following terms and conditions:
    (1) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed information on each exempted 
engine:
    (i) engine identification number,
    (ii) use of the engine on exempt status and
    (iii) final disposition of any engine removed from exempt status.
    (2) The manufacturer must provide right of entry and access to 
these records to EPA authorized representatives as outlined in 
Sec. 91.505.
    (3) Unless the requirement is waived or an alternative procedure is 
approved by the Director, Engine Programs & Compliance Division, the 
manufacturer must permanently affix a label to each marine engine on 
exempt status. This label should:
    (i) Be affixed in a readily visible portion of the engine,
    (ii) Be attached in such a manner that it cannot be removed without 
destruction or defacement,
    (iii) State in the English language/and in block letters and 
numerals of a color that contrasts with the background of the label, 
the following information:
    (A) The label heading ``Emission Control Information;''
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement, engine family identification, and model 
year of engine; or person or office to be contacted for further 
information about the engine;
    (D) The statement ``This marine SI engine is exempt from the 
prohibitions of 40 CFR 91.1103.''
    (4) No provision of paragraph (a)(3) of this section prevents a 
manufacturer from including any other information it desires on the 
label.


Sec. 91.1007  Display exemption.

    An uncertified marine SI engine is a display engine when it is to 
be used solely for display purposes, will only be operated incident and 
necessary to the display purpose, and will not be sold unless an 
applicable certificate of conformity has been received or the engine 
has been finally admitted pursuant to subpart H of this part. A display 
engine is exempt without application.


Sec. 91.1008  National security exemption.

    (a)(1) Any marine SI engine, otherwise subject to this part, which 
is used in a vessel that exhibits substantial features ordinarily 
associated with military combat such as armor and/or permanently 
affixed weaponry and which will be owned and/or used by an agency of 
the federal government with responsibility for national defense, will 
be exempt from these regulations for purposes of national security. No 
request for exemption is necessary.
    (2) Manufacturers may request a national security exemption for any 
marine SI engine, otherwise subject to this part, which does not meet 
the conditions described in paragraph (a)(1) of this section. A 
manufacturer requesting a national security exemption must state the 
purpose for which the exemption is required and the request must be 
endorsed by an agency of the federal government charged with 
responsibility for national defense.
    (b) EPA will maintain a list of models of marine SI engines (and 
the vessels which use them) that have been granted a national security 
exemption under paragraph (a)(2) of this section. This list will be 
available to the public and may be obtained by writing to the following 
address: Manager, Engine Compliance Programs Group 6403-J, 
Environmental Protection Agency, 401 M Street SW, Washington, DC 20460.


Sec. 91.1009  Export exemptions.

    (a) A new marine SI engine intended solely for export, and so 
labeled or tagged on the outside of the container and on the engine 
itself, is subject to the provisions of Sec. 91.1103, unless the 
importing country has emission standards for new marine engines which 
differ from EPA standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards, whatsoever, is deemed to be

[[Page 52164]]

a country having emission standards which differ from EPA standards.
    (c) EPA will maintain a list of foreign countries that have in 
force marine SI emission standards identical to U.S. EPA standards and 
have so notified EPA. This list may be obtained by writing to the 
following address: Manager, Engine Compliance Programs Group 6403-J, 
Environmental Protection Agency, 401 M Street, SW., Washington, DC. 
20460. New marine SI engines exported to such countries must comply 
with EPA certification regulations.
    (d) It is a condition of any exemption for the purpose of export 
under Sec. 91.1004(b) that such exemption be void ab initio with 
respect to a new marine SI engine intended solely for export if such 
marine SI engine is sold, or offered for sale, to an ultimate purchaser 
in the United States for purposes other than export.


Sec. 91.1010  Granting of exemptions.

    (a) If upon completion of the review of an exemption request made 
pursuant to Sec. 91.1005 or Sec. 91.1008, EPA determines it is 
appropriate to grant such an exemption, a memorandum of exemption will 
be prepared and submitted to the person requesting the exemption. The 
memorandum shall set forth the basis for the exemption, its scope, and 
such terms and conditions as are deemed necessary. Such terms and 
conditions shall generally include, but are not limited to, agreements 
by the applicant to conduct the exempt activity in the manner described 
to EPA, create and maintain adequate records accessible to EPA at 
reasonable times, employ labels for the exempt engines setting forth 
the nature of the exemption, take appropriate measures to assure that 
the terms of the exemption are met, and advise EPA of the termination 
of the activity and the ultimate disposition of the engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
is deemed to cover any subject engine only to the extent that the 
specified terms and conditions are complied with. A breach of any term 
or condition causes the exemption to be void ab initio with respect to 
any engine. Consequently, the causing or the performing of an act 
prohibited under Sec. 91.1103(a) (1) or (3), other than in strict 
conformity with all terms and conditions of this exemption renders the 
person to whom the exemption is granted, and any other person to whom 
the provisions of Sec. 91.1103 are applicable, liable under sections 
204 and 205 of the Act.


Sec. 91.1011  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/or the exemption request review procedure should be addressed to: 
Manager, Engine Compliance Programs Group 6403J, Environmental 
Protection Agency, 401 M Street, SW., Washington, DC 20460.


Sec. 91.1012  Treatment of confidential information.

    The provisions for treatment of confidential information described 
in Sec. 91.7 apply to this subpart.

Subpart L--Prohibited Acts and General Enforcement Provisions


Sec. 91.1101  Applicability.

    The requirements of subpart L are applicable to all marine engines 
and vessels subject to the provisions of subpart A of this part 91.


Sec. 91.1102  Definitions.

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


Sec. 91.1103  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1)(i) In the case of a manufacturer of new marine SI engines or 
vessels for distribution in commerce, the sale, the offering for sale, 
or the introduction, or delivery for introduction, into commerce, of 
any new marine SI engine manufactured after the applicable effective 
date under this part unless such engine is covered by a certificate of 
conformity issued (and in effect) under regulations found in this part.
    (ii) In the case of any person, except as provided by regulation of 
the Administrator, the importation into the United States of any new 
marine SI engine manufactured after the applicable effective date under 
this part unless such engine is covered by a certificate of conformity 
issued (and in effect) under regulations found in this part.
    (2)(i) For a person to fail or refuse to permit access to or 
copying of records or to fail to make reports or provide information 
required under Sec. 91.1104.
    (ii) For a person to fail or refuse to permit entry, testing or 
inspection authorized under Sec. 91.118, 91.505 or 91.1104.
    (iii) For a person to fail or refuse to perform tests, or to have 
tests performed as required under Sec. 91.118 or Sec. 91.1104.
    (iv) For a person to fail to establish or maintain records as 
required under Sec. 91.1104.
    (3)(i) For a person to remove or render inoperative a device or 
element of design installed on or in a marine engine in compliance with 
regulations under this part prior to its sale and delivery to the 
ultimate purchaser, or for a person knowingly to remove or render 
inoperative such a device or element of design after the sale and 
delivery to the ultimate purchaser; or
    (ii) For a person to manufacture, sell or offer to sell, or 
install, a part or component intended for use with, or as part of, a 
marine SI engine, where a principal effect of the part or component is 
to bypass, defeat, or render inoperative a device or element of design 
installed on or in a marine SI engine in compliance with regulations 
issued under this part, and where the person knows or should know that 
the part or component is being offered for sale or installed for this 
use or put to such use.
    (4) For a manufacturer of a new marine SI engine subject to 
standards prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver into commerce, 
a marine SI engine unless the manufacturer has complied with the 
requirements of Sec. 91.1203.
    (ii) To sell, offer for sale, or introduce or deliver into 
commerce, a marine SI engine unless a label or tag is affixed to the 
engine in accordance with regulations under this part.
    (iii) To provide directly or indirectly in any communication to the 
ultimate purchaser or a subsequent purchaser that the coverage of a 
warranty under the Act is conditioned upon use of a part, component, or 
system manufactured by the manufacturer or a person acting for the 
manufacturer or under its control, or conditioned upon service 
performed by such persons, except as provided in subpart M of this 
part.
    (iv) To fail or refuse to comply with the terms and conditions of 
the warranty under subpart M of this part.
    (5) For a manufacturer of new marine vessels or equipment to 
distribute in commerce, sell, offer for sale, or introduce into 
commerce, marine vessels or equipment which contain an engine not 
covered by a certificate of conformity.
    (b) For the purposes of enforcement of this part, the following 
apply:
    (1) Nothing in paragraph (a) of this section is to be construed to 
require the use of manufacturer parts in maintaining or repairing a 
marine SI engine.
    (2) Actions for the purpose of repair or replacement of a device or 
element of design or any other item are not

[[Page 52165]]

considered prohibited acts under Sec. 91.1103(a) if the actions are a 
necessary and temporary procedure, the device or element is replaced 
upon completion of the procedure, and the action results in the proper 
functioning of the device or element of design.
    (3) Actions for the purpose of a conversion of a marine SI engine 
for use of a clean alternative fuel (as defined in Title II of the Act) 
are not considered prohibited acts under Sec. 91.1103(a) if:
    (i) The engine complies with the applicable standard when operating 
on the alternative fuel, and the device or element is replaced upon 
completion of the conversion procedure, and
    (ii) In the case of engines converted to dual fuel or flexible use, 
the action results in proper functioning of the device or element when 
the marine SI engine operates on conventional fuel.


Sec. 91.1104  General enforcement provisions.

    (a) Information collection provisions. (1) Every manufacturer of 
new marine SI engines and other persons subject to the requirements of 
this part must establish and maintain records, perform tests where such 
testing is not otherwise reasonably available under this part, make 
reports and provide information the Administrator may reasonably 
require to determine whether the manufacturer or other person has acted 
or is acting in compliance with this part or to otherwise carry out the 
provisions of this part, and must, upon request of an officer or 
employee duly designated by the Administrator, permit the officer or 
employee at reasonable times to have access to and copy such records.
    (2) For purposes of enforcement of this part, an officer or 
employee duly designated by the Administrator, upon presenting 
appropriate credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of the 
manufacturer, or of any person whom the manufacturer engaged to perform 
any activity required under paragraph (a)(1) of this section, for the 
purposes of inspecting or observing any activity conducted pursuant to 
paragraph (a)(1) of this section, and
    (ii) To inspect records, files, papers, processes, controls, and 
facilities used in performing an activity required by paragraph (a)(1) 
of this section, by the manufacturer or by a person whom the 
manufacturer engaged to perform the activity.
    (b) Exemption provision. The Administrator may exempt a new marine 
engine from compliance with Sec. 91.1103 upon such terms and conditions 
as the Administrator may find necessary for the purpose of export, 
research, investigations, studies, demonstrations, or training, or for 
reasons of national security.
    (c) Importation provision. (1) A new marine SI engine, or vessel 
offered for importation or imported by a person in violation of 
Sec. 91.1103 shall be refused admission into the United States, but the 
Secretary of the Treasury and the Administrator may, by joint 
regulation, provide for deferring a final determination as to admission 
and authorizing the delivery of such a marine SI engine offered for 
import to the owner or consignee thereof upon such terms and conditions 
(including the furnishing of a bond) as may appear to them appropriate 
to insure that the marine SI engine will be brought into conformity 
with the standards, requirements, and limitations applicable to it 
under this part.
    (2) If a marine SI engine is finally refused admission under this 
paragraph, the Secretary of the Treasury shall cause disposition 
thereof in accordance with the customs laws unless it is exported, 
under regulations prescribed by the Secretary, within 90 days of the 
date of notice of the refusal or additional time as may be permitted 
pursuant to the regulations.
    (3) Disposition in accordance with the customs laws may not be made 
in such manner as may result, directly or indirectly, in the sale, to 
the ultimate consumer, of a new marine SI engine that fails to comply 
with applicable standards of the Administrator under this part.
    (d) Export provision. A new marine SI engine intended solely for 
export, and so labeled or tagged on the outside of the container and on 
the engine itself, shall be subject to the provisions of Sec. 91.1103, 
except that if the country that is to receive the engine has emission 
standards that differ from the standards prescribed under subpart B of 
this part, then the engine must comply with the standards of the 
country that is to receive the engine.


Sec. 91.1105  Injunction proceedings for prohibited acts.

    (a) The district courts of the United States have jurisdiction to 
restrain violations of Sec. 91.1103.
    (b) Actions to restrain such violations must be brought by and in 
the name of the United States. In an action, subpoenas for witnesses 
who are required to attend a district court in any district may run 
into any other district.


Sec. 91.1106  Penalties.

    (a) Violations. A violation of the requirements of this subpart is 
a violation of the applicable provisions of the Act, including sections 
203 and 213(d), and is subject to the penalty provisions thereunder.
    (1) A person who violates Sec. 91.1103 (a)(1), (a)(4), or (a)(5), 
or a manufacturer or dealer who violates Sec. 91.1103(a)(3)(i), is 
subject to a civil penalty of not more than $25,000 for each violation.
    (2) A person other than a manufacturer or dealer who violates 
Sec. 91.1103(a)(3)(i) or any person who violates Sec. 91.1103(a)(3)(ii) 
is subject to a civil penalty of not more than $2,500 for each 
violation.
    (3) A violation with respect to Sec. 91.1103 (a)(1), (a)(3)(i), 
(a)(4), or (a)(5) constitutes a separate offense with respect to each 
marine SI engine.
    (4) A violation with respect to Sec. 91.1103(a)(3)(ii) constitutes 
a separate offense with respect to each part or component. Each day of 
a violation with respect to Sec. 91.1103(a)(6) constitutes a separate 
offense.
    (5) A person who violates Sec. 91.1103 (a)(2) or (a)(6) is subject 
to a civil penalty of not more than $25,000 per day of violation.
    (b) Civil actions. The Administrator may commence a civil action to 
assess and recover any civil penalty under paragraph (a) of this 
section.
    (1) An action under this paragraph may be brought in the district 
court of the United States for the district in which the violation is 
alleged to have occurred or in which the defendant resides or has the 
Administrator's principal place of business, and the court shall have 
jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessed 
under this paragraph, the court is to take into account the gravity of 
the violation, the economic benefit or savings (if any) resulting from 
the violation, the size of the violator's business, the violator's 
history of compliance with Title II of the Act, action taken to remedy 
the violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are required to 
attend a district court in any district may run into any other 
district.
    (c) Administrative assessment of certain penalties.--(1) 
Administrative penalty authority. In lieu of commencing a civil action 
under paragraph (b) of this section, the Administrator shall assess any 
civil penalty prescribed in paragraph (a) of this section, except that 
the maximum amount of penalty sought against each violator in a penalty 
assessment proceeding can not exceed $200,000,

[[Page 52166]]

unless the Administrator and the Attorney General jointly determine 
that a matter involving a larger penalty amount is appropriate for 
administrative penalty assessment. Any such determination by the 
Administrator and the Attorney General is not subject to judicial 
review. Assessment of a civil penalty is made by an order made on the 
record after opportunity for a hearing held in accordance with the 
procedures found at part 22 of this chapter. The Administrator may 
compromise, or remit, with or without conditions, any administrative 
penalty which may be imposed under this section.
    (2) Determining amount. In determining the amount of any civil 
penalty assessed under this subsection, the Administrator is to take 
into account the gravity of the violation, the economic benefit or 
savings (if any) resulting from the violation, the size of the 
violator's business, the violator's history of compliance with Title II 
of the Act, action taken to remedy the violation, the effect of the 
penalty on the violator's ability to continue in business, and such 
other matters as justice may require.
    (3) Effect of administrator's action. (i) Action by the 
Administrator under this paragraph does not affect or limit the 
Administrator's authority to enforce any provisions of this part; 
except that any violation with respect to which the Administrator has 
commenced and is diligently prosecuting an action under this part, or 
for which the Administrator has issued a final order not subject to 
further judicial review and for which the violator has paid a penalty 
assessment under this part may not be the subject of a civil penalty 
action under paragraph (b) of this section.
    (ii) No action by the Administrator under this part affects a 
person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this subsection is to 
become final 30 days after its issuance unless a petition for judicial 
review is filed under paragraph (c)(5) of this section.
    (5) Judicial review. (i) A person against whom a civil penalty is 
assessed in accordance with this subsection may seek review of the 
assessment in the United States District Court for the District of 
Columbia or for the district in which the violation is alleged to have 
occurred, in which such person resides, or where the person's principle 
place of business is located, within the 30-day period beginning on the 
date a civil penalty order is issued. The person must simultaneously 
send a copy of the filing by certified mail to the Administrator and 
the Attorney General.
    (ii) The Administrator must file in the court within 30 days a 
certified copy, or certified index, as appropriate, of the record on 
which the order was issued. The court is not to set aside or remand any 
order issued in accordance with the requirements of this paragraph 
unless substantial evidence does not exist in the record, taken as a 
whole, to support the finding of a violation or unless the 
Administrator's assessment of the penalty constitutes an abuse of 
discretion, and the court is not to impose additional civil penalties 
unless the Administrator's assessment of the penalty constitutes an 
abuse of discretion. In any proceedings, the United States may seek to 
recover civil penalties assessed under this section.
    (6) Collection. (i) If any person fails to pay an assessment of a 
civil penalty imposed by the Administrator as provided in this part 
after the order making the assessment has become final or after a court 
in an action brought under paragraph (c)(5) of this section has entered 
a final judgment in favor of the Administrator, the Administrator is to 
request that the Attorney General bring a civil action in an 
appropriate district court to recover the amount assessed (plus 
interest at rates established pursuant to section 6621(a)(2) of the 
Internal Revenue Code of 1986 from the date of the final order or the 
date of final judgment, as the case may be). In such an action, the 
validity, amount, and appropriateness of the penalty is not subject to 
review.
    (ii) A person who fails to pay on a timely basis the amount of an 
assessment of a civil penalty as described in paragraph (c)(6)(i) of 
this section is required to pay, in addition to that amount and 
interest, the United States' enforcement expenses, including attorney's 
fees and costs for collection proceedings, and a quarterly nonpayment 
penalty for each quarter during which the failure to pay persists. The 
nonpayment penalty is an amount equal to 10 percent of the aggregate 
amount of that person's penalties and nonpayment penalties which are 
unpaid as of the beginning of such quarter.


Sec. 91.1107  Warranty provisions.

    (a) The manufacturer of each marine SI engine must warrant to the 
ultimate purchaser and each subsequent purchaser that the engine is 
designed, built, and equipped so as to conform at the time of sale with 
applicable regulations under section 213 of the Act, and is free from 
defects in materials and workmanship which cause such engine to fail to 
conform with applicable regulations for its warranty period (as 
determined under Sec. 91.1203).
    (b) In the case of an engine part, the manufacturer or rebuilder of 
the part may certify according to Sec. 85.2112 of this chapter that use 
of the part will not result in a failure of the engine to comply with 
emission standards promulgated in this part.
    (c) For the purposes of this section, the owner of any engine 
warranted under this part is responsible for the proper maintenance of 
the engine. Proper maintenance includes replacement and service, at the 
owner's expense at a service establishment or facility of the owner's 
choosing, such items as spark plugs, points, condensers, and any other 
part, item, or device related to emission control (but not designed for 
emission control) under the terms of the last sentence of section 
207(a)(3) of the Act, unless such part, item, or device is covered by 
any warranty not mandated by this Act.


Sec. 91.1108  In-use compliance provisions.

    (a) Effective with respect to marine engine and vessels 
manufactured during model years 1997 and after:
    (1) If the Administrator determines that a substantial number of 
any class or category of engines, although properly maintained and 
used, do not conform to the regulations prescribed under section 213 of 
the Act when in actual use throughout their useful life (as defined 
under Sec. 91.105(a)), the Administrator shall immediately notify the 
manufacturer of such nonconformity and require the manufacturer to 
submit a plan for remedying the nonconformity of the engines with 
respect to which such notification is given.
    (i) The manufacturer's plan shall provide that the nonconformity of 
any such engines which are properly used and maintained will be 
remedied at the expense of the manufacturer.
    (ii) If the manufacturer disagrees with such determination of 
nonconformity and so advises the Administrator, the Administrator shall 
afford the manufacturer and other interested persons an opportunity to 
present their views and evidence in support thereof at a public 
hearing. Unless, as a result of such hearing, the Administrator 
withdraws such determination of nonconformity, the Administrator shall, 
within 60 days after the completion of such hearing, order the 
manufacturer to provide prompt notification of such nonconformity in 
accordance with paragraph (a)(2) of this section. The manufacturer 
shall comply in all respects with the requirements of subpart I of this 
part.

[[Page 52167]]

    (2) Any notification required to be given by the manufacturer under 
paragraph (a)(1) of this section with respect to any class or category 
of engines shall be given to dealers, ultimate purchasers, and 
subsequent purchasers (if known) in such manner and containing such 
information as required in subparts I and J of this part.
    (3)(i) The manufacturer shall furnish with each new engine written 
instructions for the proper maintenance and use of the engine by the 
ultimate purchaser as required under Sec. 91.1204. The manufacturer 
shall provide in boldface type on the first page of the written 
maintenance instructions notice that maintenance, replacement, or 
repair of the emission control devices and systems may be performed by 
any engine repair establishment or individual using any engine part 
which has been certified as provided in Sec. 91.1107(b).
    (ii) The instruction under paragraph (a)(3)(i) of this section must 
not include any condition on the ultimate purchaser's using, in 
connection with such engine, any component or service (other than a 
component or service provided without charge under the terms of the 
purchase agreement) which is identified by brand, trade, or corporate 
name. Subject instructions also must not directly or indirectly 
distinguish between service performed by the franchised dealers of such 
manufacturer, or any other service establishments with which such 
manufacturer has a commercial relationship, and service performed by 
independent engine repair facilities with which such manufacturer has 
no commercial relationship.
    (iii) The prohibition of paragraph (a)(3)(ii) of this section may 
be waived by the Administrator if:
    (A) The manufacturer satisfies the Administrator that the engine 
will function properly only if the component or service so identified 
is used in connection with such engine, and
    (B) The Administrator finds that such a waiver is in the public 
interest.
    (iv) In addition, the manufacturer shall indicate by means of a 
label or tag permanently affixed to the engine that the engine is 
covered by a certificate of conformity issued for the purpose of 
assuring achievement of emission standards prescribed under section 213 
of the Act. This label or tag shall also contain information relating 
to control of emissions as prescribed under Sec. 91.113.
    (b) The manufacturer bears all cost obligation a dealer incurs as a 
result of a requirement imposed by paragraph (a) of this section. The 
transfer of any such cost obligation from a manufacturer to a dealer 
through franchise or other agreement is prohibited.
    (c) If a manufacturer includes in an advertisement a statement 
respecting the cost or value of emission control devices or systems, 
the manufacturer shall set forth in the statement the cost or value 
attributed to these devices or systems by the Secretary of Labor 
(through the Bureau of Labor Statistics). The Secretary of Labor, and 
his or her representatives, has the same access for this purpose to the 
books, documents, papers, and records of a manufacturer as the 
Comptroller General has to those of a recipient of assistance for 
purposes of section 311 of the Act.
    (d) Any inspection of a engine for purposes of paragraph (a)(1) of 
this section, after its sale to the ultimate purchaser, is to be made 
only if the owner of such vehicle or engine voluntarily permits such 
inspection to be made, except as may be provided by any state or local 
inspection program.

Subpart M--Emission Warranty and Maintenance Instructions


Sec. 91.1201  Applicability.

    The requirements of this subpart M are applicable to all engines 
subject to the provisions of subpart A of this part 91.


Sec. 91.1202  Definitions.

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


Sec. 91.1203  Emission warranty, warranty period.

    (a) Warranties imposed by this subpart shall be phased in according 
to the following schedule.
    (1) For model years 1998-2000, and for MY 1997 engine families 
certified pursuant to Sec. 91.205, all emission related components 
shall be warranted for a period of one year of engine use.
    (2) For model years 2001-2003:
    (i) Emission related components shall be warranted for a period of 
one year of engine use.
    (ii) Specified major emission control components shall be warranted 
for a period of three years or 200 hours of engine use, whichever 
occurs first.
    (3) For model years 2004 and beyond:
    (i) Emission-related components shall be warranted for a period of 
two years or 200 hours of engine use, whichever occurs first.
    (ii) Specified major emission control components shall be warranted 
for a period of three years or 200 hours of engine use, whichever 
occurs first.
    (b) The manufacturer of each new marine SI engine must warrant to 
the ultimate purchaser and each subsequent purchaser, that the engine 
is designed, built, and equipped so as to conform at the time of sale 
with applicable regulations under section 213 of the Act, and the 
engine is free from defects in materials and workmanship which cause 
such engine to fail to conform with applicable regulations for its 
warranty period.
    (c) In the case of a marine SI engine part, the manufacturer or 
rebuilder of the part may certify according to Sec. 85.2112 ot this 
chapter that use of the part will not result in a failure of the engine 
to comply with emission standards promulgated in this part.
    (d) For the purposes of this section, the owner of any marine SI 
engine warranted under this part is responsible for the proper 
maintenance of the engine as stated in the manufacturer's written 
instructions. Proper maintenance generally includes replacement and 
service, at the owner's expense at a service establishment or facility 
of the owner's choosing, such items as spark plugs, points, condensers, 
and any other part, item, or device related to emission control (but 
not designed for emission control) under the terms of the last sentence 
of section 207(a)(3) of the Act, unless such part, item, or device is 
covered by any warranty not mandated by this Act.


Sec. 91.1204  Furnishing of maintenance and use instructions to 
ultimate purchaser.

    (a) The manufacturer must furnish or cause to be furnished to the 
ultimate purchaser of each new marine SI engine written instructions 
for the maintenance and use needed to assure proper functioning of the 
emission control system.
    (b) The manufacturer must provide in boldface type on the first 
page of the written maintenance instructions notice that maintenance, 
replacement, or repair of the emission control devices and systems may 
be performed by any marine SI engine repair establishment or 
individual.
    (c) The instructions under paragraph (a) of this section will not 
include any condition on the ultimate purchaser's using, in connection 
with such engine, any component or service (other than a component or 
service provided without charge under the terms of the purchase 
agreement) which is identified by brand, trade, or corporate name. Such 
instructions also will not directly or indirectly distinguish between 
service performed by the franchised dealers of such manufacturer or any 
other service establishments with which such manufacturer has a 
commercial relationship and service performed by independent marine 
engine repair

[[Page 52168]]

facilities which such manufacturer has no commercial relationship.
    (d) The prohibition of paragraph (c) of this section may be waived 
by the Administrator if:
    (1) The manufacturer satisfies the Administrator that the engine 
will function properly only if the component or service so identified 
is used in connection with such engine, and
    (2) The Administrator finds that such a waiver is in the public 
interest.

Subpart N--In-Use Credit Program for New Marine Engines


Sec. 91.1301  Applicability.

    Marine SI engines subject to the provisions of subpart A of this 
part 91 are eligible to participate in the in-use credit program 
described in this subpart.


Sec. 91.1302  Definitions.

    The definitions in subpart A of this part apply to this subpart. 
The following definitions shall also apply to this subpart:
    Averaging means the exchange of marine engine in-use emission 
credits among engine families within a given manufacturer's product 
line.
    Banking means the retention of marine engine in-use emission 
credits by the manufacturer generating the emission credits for use in 
future model year averaging or trading as permitted by these 
regulations.
    Carry-over engine family means an engine family which undergoes 
certification using carryover test data from previous model years. See 
Sec. 91.118(c).
    Emission credits or in-use credits represent the amount of emission 
reduction or exceedance, for each regulated pollutant, by a marine 
engine family below or above, respectively, the applicable 
certification family emission limit (FEL) to which the engine family is 
certified. Emission reductions below the FEL are considered ``positive 
credits,'' while emission exceedances above the FEL are considered 
``negative or required credits.''
    Banked credits refer to positive emission credits based on actual 
applicable production/sales volume as contained in the end of model 
year in-use testing reports submitted to EPA. Some or all of these 
banked credits may be revoked if EPA review of the end of model year 
in-use testing reports or any subsequent audit action(s) uncovers 
problems or errors.
    Trading means the exchange of marine SI engine in-use emission 
credits between manufacturers and/or brokers.
    Compliance level for an engine family is determined by averaging 
the in-use test results from each engine.


Sec. 91.1303  General provisions.

    (a) The in-use credit program for eligible marine engines is 
described in this subpart. Participation in this program is voluntary.
    (b) A marine SI engine family is eligible to participate in the in-
use credit program if it is subject to regulation under subpart B of 
this part with certain exceptions specified in paragraph (c) of this 
section.
    (c) Marine SI engines may not participate in the in-use averaging, 
banking, and trading program if they are delivered to a ``point of 
first retail sale'' outside of the U.S., as defined in Sec. 91.202.
    (d) Credits generated and used in the marine engine certification 
averaging, banking, and trading program pursuant to the provisions of 
subpart C of this part are not interchangeable with credits generated 
and used in the marine engine in-use credit program.
    (e) An engine family with a compliance level, as determined by in-
use testing pursuant to subpart I of this part and paragraph (h) of 
this section, below the applicable FEL to which the engine family is 
certified may generate emission credits for averaging, banking, or 
trading in the in-use credit program.
    (f) Positive credits generated in a given model year may be used in 
that model year and/or in any subsequent model year.
    (g) A manufacturer of an engine family with a compliance level 
exceeding the applicable FEL to which the engine family is certified, 
may, prior to the date of the report required under paragraph (j) of 
this section use previously banked credits, purchase credits from 
another manufacturer, or perform additional testing pursuant to 
paragraph (i) of this section to address (as calculated elsewhere in 
this subpart) the associated credit deficit (negative credits or a need 
for credits).
    (h) A manufacturer may carry-over an in-use credit deficit up to 
and including model year 2003. Beginning with model year 2004, all 
manufacturers must have a zero or positive credit balance.
    (i) A manufacturer must notify EPA of plans to test additional 
engine families beyond the maximum 25% required in subpart I of this 
part for the in-use testing program. Such notice must be submitted 30 
days prior to initiation of service accumulation. EPA may approve, with 
adequate justification, the use of an existing fleet for additional 
testing. If the additional testing discovers an engine family to be in 
noncompliance with the applicable FEL, the testing must be treated as 
if it were a failure of the normal in-use testing requirement of an 
engine family.
    (j) Manufacturers must demonstrate a zero or positive credit 
balance under the in-use credit program for a particular model year 
within 90 days of the end of the in-use testing of that model year's 
engine families, or at the same time as the final certification AB&T 
report (required under Sec. 91.210), whichever is later.


Sec. 91.1304  Averaging.

    (a) A manufacturer may use averaging across engine families to 
demonstrate a zero or positive credit balance for a model year. 
Positive credits to be used in averaging may be obtained from credits 
generated by another engine family of the same model year, credits 
banked in previous model years, or credits obtained through trading.
    (b) Beginning in model year 2004, credits used to demonstrate a 
zero or positive credit balance must be used at a rate of 1.1 to 1.


Sec. 91.1305  Banking.

    (a) A manufacturer of a marine SI engine family with an in-use 
compliance level below the applicable FEL to which the engine family is 
certified for a given model year may bank positive in-use credits for 
that model year for use in in-use averaging and trading.
    (b) A manufacturer may consider credits banked 30 days after the 
submission of the report required by Sec. 91.1309(a). During the 30 day 
period EPA will work with the manufacturer to correct any error in 
calculating banked credits, if necessary.


Sec. 91.1306  Trading.

    (a) A marine engine manufacturer may exchange positive in-use 
emission credits with other marine engine manufacturers through 
trading.
    (b) In-use credits for trading can be obtained from credits banked 
for model years prior to the model year of the engine family requiring 
in-use credits.
    (c) Traded in-use credits can be used for averaging, banking, or 
further trading transactions.
    (d) Unless otherwise approved by EPA, a manufacturer that generates 
positive in-use credits must wait 30 days after it has both completed 
in-use testing for the model year for which the credits were generated 
and submitted the report required by Sec. 91.1309(a) before it may 
transfer credits to another manufacturer or broker.
    (e) In the event of a negative credit balance resulting from a 
transaction,

[[Page 52169]]

both the buyer and the seller are liable, except in cases involving 
fraud. Engine families participating in a negative trade may be subject 
to recall under subpart I of this part.


Sec. 91.1307  Credit calculation.

    For each participating engine family, emission credits (positive or 
negative) are to be calculated according to the following equation and 
rounded, in accordance with ASTM E29-93a, to the nearest gram. ASTM 
E29-93a has been incorporated by reference. See Sec. 91.6. Consistent 
units are to be used throughout the equation. The following equation is 
used to determine the credit status for an engine family whether 
generating positive or negative in-use emission credits:
[GRAPHIC] [TIFF OMITTED] TR04OC96.053

Where:

S(t)=cumulative fraction survived at time t;
life=average useful life in years, specific to the power 
rating and the application as given below.
[GRAPHIC] [TIFF OMITTED] TR04OC96.055

Power=the average power of an engine family in kW (sales weighted). The 
power of each configuration is the rated output in kilowatts as 
determined by SAE J1228. This procedure has been incorporated by 
reference. See Sec. 91.6.
t=time in model years
max useful life=maximum useful life specific to the power rating and 
the application; max useful life = 2life
sales = the number of eligible sales tracked to the point of first 
retail sale in the U.S. for the given engine family during the model 
year.
FEL=the family emission limit for the engine family in grams per 
kilowatt hour.
CL=compliance level of the in-use testing in g/kW-hr.
use=mean use in hours per year. For outboard engines, 
use=34.8 hrs /yr. For personal watercraft, 
use=77.3 hrs/yr;
AF=adjustment factor for the number of tests conducted

No. eng. tested.........................   2*, 4       6       8      10
Adjustment factor.......................      .5     .75      .9       1
------------------------------------------------------------------------

    * Small volume manufacturer


Sec. 91.1308  Maintenance of records.

    (a) Any manufacturer that is participating in the in-use credit 
program set forth in this subpart shall establish, maintain, and retain 
the records required by Sec. 91.209 with respect to its participation 
in the in-use credit program.
    (b) EPA may void ab initio a certificate of conformity for an 
engine family for which the manufacturer fails to retain the records 
required under this section or to provide such information to the 
Administrator upon request.


Sec. 91.1309  Reporting requirements.

    (a) Any manufacturer who participates in the in-use credit program 
is required to submit an end of the model year in-use testing report 
either within 90 days of the end of the model year in-use testing of a 
given model year's engine families, or at the same time as the final 
certification AB&T report (required under Sec. 91.210), whichever is 
later. The end of the model year in-use testing report must contain the 
required information and show the calculated credits from all the in-
use testing conducted by the manufacturer for a given model year.
    (b) Reports shall be submitted to: Manager, Engine Compliance 
Programs Group 6403-J, U.S. Environmental Protection Agency, 401 M 
Street, SW., Washington, DC 20460.
    (c) A manufacturer that fails to submit a timely report as required 
in paragraph (a) of this section will be considered to not have 
participated in the in-use credit program.
    (d) If EPA or the manufacturer determines that a reporting error 
occurred on an end of model year report previously submitted to EPA 
under this subpart, or an engine family in-use testing report submitted 
to EPA under subpart I, the manufacturer's credits and credit 
calculations will be recalculated. Erroneous positive credits will be 
void. Erroneous negative credits may be adjusted by EPA. An update of 
previously submitted ``point of first retail sale'' information is not 
considered an error and no increase in the number of credits will be 
allowed unless an actual error occurred in the calculation of credits 
due to an error in the ``point of first retail sale'' information from 
the time of the original end of model year report.


Sec. 91.1310  Notice of opportunity for hearing.

    Any voiding of an engine family's certificate of conformity under 
Sec. 91.1308(b) of this subpart will occur only after the manufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Sec. Sec. 91.512, 91.513, 91.514 and 91.515.
[FR Doc. 96-23063 Filed 10-3-96; 8:45 am]
BILLING CODE 6560-50-P