[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.
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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.
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\1\ EPA Publication Number 211A-2001 (November, 1991).
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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.
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\2\ 59 FR 55930 (November 9, 1994).
3 61 FR 4600 (Feb. 7, 1996).
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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
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\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
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[[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.
P