[Federal Register Volume 60, Number 127 (Monday, July 3, 1995)]
[Rules and Regulations]
[Pages 34582-34657]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-14221]
[[Page 34581]]
_______________________________________________________________________
Part II
Environmental Protection Agency
_______________________________________________________________________
40 CFR Parts 9 and 90
Control of Air Pollution; Emission for New Nonroad Spark-ignition
Engines At or Below 19 Kilowatts; Final Rule
Federal Register / Vol. 60, No. 127 / Monday, July 3, 1995 / Rules
and Regulations
[[Page 34582]]
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 9 and 90
[FRL-5217-6]
RIN 2060-AF78
Control of Air Pollution; Emission Standards for New Nonroad
Spark-ignition Engines At or Below 19 Kilowatts
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final rule.
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SUMMARY: This action establishes the first phase of regulations to
control emissions from new nonroad spark-ignition engines at or below
19 kilowatts (25 horsepower). Regulatory requirements will for the
first time control emissions from these engines, which cause or
contribute to nonattainment of National Ambient Air Quality Standards
for carbon monoxide (CO) and ozone. These engines are used principally
in lawn and garden equipment. The new standards are expected to result
in a 32 percent reduction in hydrocarbon (HC) emissions and a 7 percent
reduction in CO emissions from these engines in the year 2020, when
complete fleet turnover is projected. A second phase of regulations
addressing emissions from these engines is currently under development.
EFFECTIVE DATE: This rule becomes effective on August 2, 1995. The
incorporation by reference of certain publications listed in the
regulations is approved by the Director of the Federal Register as of
August 2, 1995.
ADDRESSES: Materials relevant to this rulemaking are contained in EPA
Air Docket LE-131: Docket No. A-93-25 at the U.S. Environmental
Protection Agency, room M-1500, 401 M Street SW., Washington, DC 20460.
The docket may be inspected at this location from 8:30 a.m. until 5:30
p.m. weekdays. The docket office also may be reached by telephone:
(202) 260-7548 (or fax (202) 260-4400). As provided in 40 CFR part 2, a
reasonable fee may be charged by EPA for photocopying.
FOR FURTHER INFORMATION CONTACT: Lisa Snapp, Office of Mobile Sources,
Certification Division, (313) 741-7900.
An informational workshop will be held at 10 a.m. on Thursday,
August 10, 1995, at the Sheraton Inn, 3200 Boardwalk, Ann Arbor,
Michigan; for more information, contact Linda Zirkelbach, Office of
Mobile Sources, Certification Division, (313) 668-4567.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Obtaining Copies of Documents
II. Legal Authority and Background
III. Description of the Action
A. Overview
B. General Enforcement Provisions
C. Program Description
IV. Public Participation
A. Model Year Definition and Effective Date
B. Definition of Handheld Equipment, Snowthrowers, and Two-
stroke Lawnmowers
C. Requirements Applicable to Vehicle and Equipment
Manufacturers
D. CO Standard
E. Labeling
V. Environmental Benefit Assessment
VI. Economic Effects
A. Industry Cost Impacts
B. Consumer Cost Impacts
C. Cost-Effectiveness
VII. Administrative Requirements
A. Administrative Designation and Regulatory Analysis
B. Paperwork Reduction Act
C. Unfunded Mandates Act
D. Regulatory Flexibility Act
I. Obtaining Copies of Documents
The proposed regulatory language (which was not published with the
notice of proposed rulemaking for this rule), the final rulemaking
(both preamble and regulatory language), the Regulatory Support
Document (RSD), and the Response to Comments (RTC) are available
electronically on the Technology Transfer Network (TTN). TTN is an
electronic bulletin board system (BBS) operated by EPA's Office of Air
Quality Planning and Standards. Users are able to access and download
TTN files on their first call. After logging onto TTN BBS, to navigate
through the BBS to the files of interest, the user must enter the
appropriate command at each of a series of menus. The steps required to
access information on this rulemaking are listed below. The service is
free, except for the cost of the phone call.
TTN BBS: 919-541-5742 (1,200-14,400 bps, no parity, eight data bits,
one stop bit)
Voice help: 919-541-5384;
Internet address: TELNET ttnbbs.rtpnc.epa.gov;
Off-line: Mondays from 8:00-12:00 Noon ET;
1. Technology Transfer Network Top Menu;
GATEWAY TO TTN TECHNICAL AREAS (Bulletin Boards);
Command: T;
2. TTN TECHNICAL INFORMATION AREAS;
OMS--Mobile Sources Information;
Command: M;
3. OMS BBS ==== MAIN MENU;
FILE TRANSFERS;
Rulemaking & Reporting;
Command: K;
4. RULEMAKING PACKAGES;
<6> Non-Road;
Command: 6;
5. Non-Road Rulemaking Area;
File area # 2 . . . Non-Road Engines;
Command: 2;
6. Non-Road Engines.
At this stage, the system will list all available nonroad engine
files. To download a file, select a transfer protocol which will match
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 TTN BBS with the oodbye
command.
II. Legal Authority and Background
Authority for the actions set forth in this rule is granted to EPA
by sections 202, 203, 204, 205, 206, 207, 208, 209, 213, 215, 216, and
301(a) of the Clean Air Act as amended (``CAA'' or ``Act'') (42 U.S.C.
7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and
7601(a)).
On May 16, 1994, the Agency published a Notice of Proposed
Rulemaking (NPRM) for this rule.1 That proposed rule contains
substantial information relevant to the matters discussed throughout
this final rule. The reader is referred to that document for additional
background information and discussion of various issues.
\1\ 59 FR 25399 (May 16, 1994).
The Nonroad Engine and Vehicle Emission Study 2 (``Nonroad
Study'') required by section 213(a)(1) of the Act was completed in
November 1991. The Agency was required by section 213(a)(2) of the Act
to determine whether emissions of CO, oxides of nitrogen (NOX),
and volatile organic compounds (VOCs) from new and existing nonroad
engines, equipment, and vehicles are significant contributors to ozone
and CO concentrations in more than one area that has failed to attain
the national ambient air quality standards for ozone and CO. This
significance determination was finalized
[[Page 34583]]
on June 17, 1994 (59 FR 31306) and is incorporated by reference into
this final rulemaking. In that same Federal Register notice, the first
set of regulations for a class or category of nonroad engines that
cause or contribute to such air pollution, required by section
213(a)(3), was promulgated for new nonroad compression-ignition (CI)
engines at or above 37 kilowatts (kW). Today's action continues to
implement section 213(a)(3) by establishing emission standards and
other requirements for another class or category of nonroad engines
that causes or contributes to such air pollution: nonroad spark-
ignition (SI) engines at or below 19 kW, hereafter referred to as
``small SI engines.''
\2\ The Nonroad Study is available in EPA Air Docket #A-91-24.
It is also available through the National Technical Information
Service, referenced as document PB 92-126960.
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These standards reflect the greatest degree of emission reduction
achievable through the application of technology that EPA has
determined will be available for small SI engines, considering the cost
of applying such technology within available lead time and noise,
energy, and safety factors associated with such technology.
According to the Nonroad Study, nonroad engines, equipment, and
vehicles contribute an average of 10 percent of summer VOCs in the
nineteen ozone nonattainment areas included in the study. Small SI
engines are the source of half of those nonroad summer VOC emissions.
In the sixteen CO nonattainment areas included in the study, nonroad
engines, equipment, and vehicles account on average for 9 percent of
winter CO emissions. Small SI engines are the source of 56 percent of
the nonroad winter CO contribution, according to the study.
The Agency initiated a convening process to determine the best way
to work with industry and other interested parties in developing
regulations for small SI engines. The conveners interviewed individuals
in leadership roles in key organizations to determine what parties were
interested in these regulations, what issues were important to
interested parties, and whether a consultative rulemaking process would
be feasible and appropriate. The convening report recommended an
exploratory meeting of interested parties to discuss a consultative
process.3 After two such meetings, it was suggested that EPA
consider a two-phased approach to regulation of small SI engines. In
the first phase, EPA would propose regulations for new small SI engines
through the normal regulatory process rather than a consultative
process. The Phase 1 regulations would be similar to the Regulation for
1995 and Later Utility and Lawn and Garden Equipment Engines issued by
the California Air Resource Board (CARB), modified as necessary to meet
CAA requirements (for example, EPA's proposal could modify CARB's
program by including engines preempted from regulation in California).
The Phase 1 proposal would be completed as soon as possible, but no
later than spring of 1995. The second phase of regulation could be
developed through the consultative process of regulatory negotiation,
and could include issues such as useful life, in-use emissions,
evaporative emissions, refueling emissions, test procedure, and market-
based incentive programs. The Phase 2 negotiations were anticipated to
begin in Fall 1993 and continue for approximately 18 months. The Agency
decided to proceed with this phased approach.
\3\ A copy of the convening report, dated August 24, 1992, is
available in the docket for this rulemaking.
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The settlement of Sierra Club v. Browner, Civ. No. 93-0197 NHJ
(D.D.C. 1993) required EPA to propose emission standards for small SI
engines by April 1994 and to promulgate such standards by May 30, 1995.
In accordance with the terms of the settlement, the EPA Administrator
signed the Phase 1 NPRM on April 29, 1994; the NPRM was published on
May 16, 1994 (59 FR 25399).
A public hearing was held on June 21, 1994. The close of the
comment period on the NPRM was extended from July 15, 1994, to August
5, 1994.
III. Description of the Action
The general provisions of this rule are briefly described in this
section.
A. Overview
This rule initiates federal regulation of emissions of HC,
NOX, and CO from certain new nonroad SI engines that have a gross
power output at and below 19 kW.4 A spark-ignition engine is an
internal combustion engine in which the air/fuel mixture is ignited in
the combustion chamber by an electric spark.
\4\ To convert kilowatts to horsepower multiply kW by 1.34 and
round to the same number of significant digits. For example, 3.5 kW
* 1.34 = 4.7 hP.
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This rule has the following regulatory scheme:
Designation of product lines into groups of engines with
similar emission characteristics (such groups are called engine
families),
Manufacturer emission testing of selected engines with a
specified test procedure to demonstrate compliance with new engine
emission standards,
Labeling of engines, and alternatively, equipment labeling
if the engine label becomes obscured when placed in the equipment,
Submission of an application for certification for each
engine family,
Inclusion of various certification requirements such as
the prohibition of defeat devices,
Issuance of an emission certificate of conformity for each
engine family,
Prohibition against offering for sale in the United States
engines not certified by EPA,
Requirement that equipment manufacturers use the
appropriate handheld or nonhandheld certified engine in their
equipment,
Recordkeeping and reporting requirements,
EPA Administrator testing provisions,
Design warranty provisions and prohibition on tampering,
Inclusion of all new farm and construction engines at or
below 19 kW, state regulation of which is preempted under the CAA,
Development of a voluntary engine manufacturer's program
to evaluate in-use emission deterioration,
Requirement that if catalysts are used in an engine
family, catalyst durability must be confirmed by means of the
evaluation procedure that is specified in this notice,
Defect reporting and voluntary recall,
Importation provisions,
General prohibitions and enforcement provisions, and
Production line Selective Enforcement Auditing (SEA).
Certain elements of EPA's on-highway program are not being promulgated
in this Phase 1 rule, including:
No certification requirement for engine durability
demonstration,
No performance warranty,
No averaging, banking, and trading program, and
No useful life determination, in-use standards,5 nor
mandatory recall.
\5\ However, 40 CFR 90.105 specifies that a useful life period
will be promulgated by 1997. In-use standards and enforcement are
expected to be included in Phase 2.
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B. General Enforcement Provisions
As authorized in the CAA, EPA will enforce nonroad standards in a
manner similar to on-highway standards. Section 213(d) of the Act
provides that the standards promulgated under section 213 ``shall be
subject to sections [206, 207, 208, and 209], with such modifications
of the applicable regulations implementing such sections
[[Page 34584]]
as the Administrator deems appropriate, and shall be enforced in the
same manner as standards prescribed under section [202].'' 6
Section 206 specifies requirements for motor vehicles and motor vehicle
engine compliance testing and certification. Section 207 requires
manufacturers to warrant compliance by motor vehicles and motor vehicle
engines in actual use. Section 208 requires recordkeeping by
manufacturers of new motor vehicles or new motor vehicle engines and
authorizes EPA to collect information and require reports. Finally,
section 209 preempts states or any political subdivisions from
enforcing standards relating to control of emissions, certification,
inspection, or any other approval relating to the control of emissions
of new motor vehicles or new motor vehicle engines, unless specifically
authorized to do so by EPA. Section 209 also preempts states or any
political subdivision from enforcing any standard or other requirement
relating to the control of emissions from new nonroad engines or new
nonroad vehicles.
\6\ 42 U.S.C. 7547(d).
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Pursuant to this authority, EPA is in today's action promulgating
regulations that require manufacturers of new small SI engines to
obtain certification and that subject them to Selective Enforcement
Auditing. Any manufacturer of a new small SI engine is responsible for
obtaining from the Administrator a certificate of conformity covering
any engine introduced into commerce in the United States.
The Agency is also finalizing general enforcement provisions and
certain prohibited acts similar to those established for on-highway
vehicles under sections 203, 204, 205, and 208 of the CAA. Section 203
specifies prohibited acts; section 204 provides for federal court
injunctions of violations of section 203(a); section 205 provides for
assessment of civil penalties for violations of section 203; and
section 208 provides the Agency with information collection authority.
The general enforcement language of section 213(d) provides the
Agency's authority for applying sections 203, 204, 205, 206, and 208 of
the CAA to new small SI engines and equipment.
As applied to nonroad engines, vehicles, and equipment under
section 213(d), Phase 1 prohibited acts include, but are not limited
to:
An engine manufacturer's introduction into commerce of new
small SI engines that are not covered by a certificate of conformity
issued by EPA,
The introduction into commerce of new small SI equipment
and vehicles that do not incorporate the appropriate nonhandheld or
handheld certified nonroad engine,
Tampering with emission control devices or elements of
design installed on or in a small SI engine, and
Failure to provide information to the Agency if requested.
The Agency is also establishing regulations, under the authority of
section 205 of the Act, which set forth the maximum statutory penalties
for violating the prohibitions.
The Agency is promulgating general information collection
provisions similar to current on-highway provisions under section 208
of the Act which include, but are not limited to, the manufacturer's
responsibility to provide information to EPA, perform testing if
requested by EPA, and maintain records. In addition, emission system
defect reporting regulations require manufacturers to report to EPA
specific emission system-related defects that affect a given class or
category of engines. Agency enforcement personnel are authorized to
gain entry and access to various facilities under section 208 and
today's action includes these entry and access provisions.
This rule's information requirements are similar to those set forth
in the nonroad large CI rule,7 but are reduced from the on-highway
program requirements.
\7\ 59 FR 31306 (June 17, 1994).
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The Agency is authorized under section 217 of the CAA to establish
fees to recover compliance program costs associated with sections 206
and 207. In the future EPA will propose to establish fees for this
nonroad compliance program, after determining associated costs of the
compliance program.
C. Program Description
This section describes several features of EPA's Phase 1 small SI
engine and vehicle and equipment compliance program. Some specific
issues related to the program which require in-depth discussion are
highlighted in section IV. of this preamble (``Public Participation'');
all issues commented upon are addressed in detail in the Response to
Comments document, located in the docket. In particular, the Response
to Comments document should be consulted for more information dealing
with issues that are not discussed under the Public Participation
section of this document but that have seen a significant change in EPA
position between the NPRM and the final rule (specifically, the
selection of the worst-case emitter, the voluntary in-use testing
program, the absence of a cap on noise, and the catalyst durability
requirements).
1. Applicability
This rule applies to new nonroad SI engines that have a gross power
output rated at or below 19 kW and are manufactured during or after the
1997 model year, for use in the United States. The scope of this rule
encompasses a broad range of small SI engine applications, including
farm and construction equipment, which individual states are preempted
from regulating under section 209(e)(1) of the CAA. New engines that
are covered by this rule are used in a large and varied assortment of
vehicles and equipment including lawnmowers, string trimmers, edgers,
chain saws, commercial turf equipment, small construction equipment,
and lawn and garden tractors.
2. Scope: Exemptions and Exclusions
Pursuant to section 203(b)(1) of the CAA, the Agency is
promulgating exemptions and exclusions from this new small SI engine
regulation similar to those existing for on-highway engines and nonroad
large CI engines. Nonroad engines used solely for competition or combat
are excluded from regulation in accordance with the CAA. Exemptions
have been established for purposes of research, investigations,
studies, demonstrations, training, or for reasons of national security.
Such exemptions may be obtained either categorically, that is without
application to the Administrator, or by submitting a written
application to the Administrator. Export exemptions and manufacturer-
owned engine exemptions will be granted without application. Testing
exemptions, display exemptions, and national security exemptions must
be obtained by application.
The rule also explicitly limits its coverage such that it does not
extend to the small SI engines described below:
(1) Engines used to propel marine vessels, as defined in the
General Provisions of the United States Code, 1 U.S.C. 3 (1992); this
definition of ``vessel'' includes every description of watercraft or
other artificial contrivance used, or capable of being used, as a means
of transportation on water 8;
\8\ The Agency proposed appropriate methods of regulating
emissions from these engines separately; the NPRM was published on
November 9, 1994 at 59 FR 55930.
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(2) Engines used in underground mining or engines used in
underground mining equipment and regulated by the Mining Safety and
Health
[[Page 34585]]
Administration (MSHA) in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and
75;
(3) Engines used in motorcycles and regulated in 40 CFR part 86,
subpart E;
(4) Engines used in aircraft, as that term is defined in 40 CFR
87.1(a);
(5) Engines used in recreational vehicles. Recreational vehicles
are defined as engines which have no speed governor and which have a
rated speed of greater than or equal to 5,000 revolutions per minute
(rpm). Engines used in recreational vehicles, by definition, are not
used to propel marine vessels, and they cannot be capable of meeting
the criteria to be categorized as a Class III, IV, or V engine under
this rule.
3. Model Year and Effective Date
The model year definition employed for the engines covered by this
rulemaking is the same as that employed for on-highway certification. A
model year includes January 1 of the calendar year for which it is
designated, but does not include a January 1 for any other calendar
year. The maximum duration of a model year is one calendar year plus
364 days.
This rule is effective with model year 1997. A manufacturer may
choose to produce both certified engine families and uncertified engine
families during annual production periods that start before September
1, 1996. Annual production periods commencing prior to September 1,
1996 must not exceed twelve months in duration; this limitation is only
applicable for the start-up of this program. Engines manufactured in a
production period commencing on or after September 1, 1996 must be
certified. The sole exception among regulated engines is for Class V
engines that are preempted from regulation in the State of California;
for these engines, the effective date of the rule is January 1, 1998.
New replacement engines manufactured after the applicable effective
date are subject to this rule. The Agency is not establishing a
separate effective date for nonroad equipment and vehicle
manufacturers. However, as long as they do not stockpile noncertified
engines, equipment and vehicle manufacturers may continue to use
noncertified engines built prior to the effective date until
noncertified engine inventories are used up.
4. Engine Classes
Engine classes are specified both by engine displacement, as
measured in cubic centimeters (cc), and by the type of equipment the
engine powers--either handheld or nonhandheld. There are five engine
classes covered by this rule. Each has a unique set of emission
standards. Nonhandheld engine classes are: Class I--engines less than
225 cc in displacement; and Class II--engines greater than or equal to
225 cc in displacement. Engines powering equipment defined as handheld
are classified as Class III: engines less than 20 cc in displacement,
or Class IV: engines equal to or greater than 20 cc and less than 50 cc
in displacement, or Class V: engines equal to or greater than 50 cc in
displacement. The emission standards promulgated today are considered
Phase 1 new small SI engine standards.
5. Handheld Engine Qualifications
Small SI engines are categorized as either handheld or nonhandheld,
depending on the use of the equipment in which the engine is installed.
A handheld engine must meet at least one of the following four
conditions:
(1) The engine must be used in a piece of equipment that is carried
by the operator throughout the performance of the intended function(s).
(2) The engine must be used in a piece of equipment that must
operate multipositionally, such as upside-down and/or sideways, to meet
its intended function(s).
(3) The engine must be used in a one-person auger for which the
combined engine and equipment dry weight is under 20 kilograms (kg).
(4) The engine must be used in a piece of equipment, other than an
augur, for which the combined engine and equipment dry weight is under
14 kg, no more than two wheels are present, and at least one of the
following attributes is also present:
The operator must alternately provide support or carry the
equipment throughout the performance of its intended function(s).
The operator must provide support or attitudinal control
for the equipment throughout the performance of its intended
function(s).
The engine is used in a hand portable generator or pump.
6. Emission Standards
Under this rule, exhaust emissions from new nonroad small SI
engines must not exceed the standards applicable to their engine
families based on their engine class, as listed in Table 1.
Table 1.--Exhaust Emission Standards
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Engine characteristics Pollutant (gram per kilowatt-hour)
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Displacement
Class Application (cubic cm) HC + NOX HC CO NOX
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I Nonhandheld............... <225 16.1="" 469="" ii="" nonhandheld...............="">225 13.4 469
III Handheld.................. <20 295="" 805="" 5.36="" iv="" handheld..................="">20, 241 805 5.36
<50 v="" handheld..................="">50 161 603 5.36
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The Agency is providing exceptions to nonhandheld standards for
engines used in two types of nonhandheld equipment. Engines used in
two-stroke snowthrowers and engines used in two-stroke lawnmowers are
allowed to comply with the handheld standards. In addition, the number
of two-stroke lawnmower engines allowed to meet handheld standards is
subject to a declining annual production cap; any excess annual
production would have to meet nonhandheld standards. Moreover,
manufacturers of engines used exclusively in snowthrowers and ice-
augers will be required to certify to and comply with only the
applicable nonhandheld or handheld CO standard, and will not have to
meet the HC standards, either nonhandheld or handheld, unless they opt
to certify to those standards. The Agency has decided to finalize the
combined HC + NOX standard for Classes I and II while requiring
that the individual test results for HC and NOX also be submitted,
as proposed.
The Agency has not addressed standards for air toxics in this
action.
[[Page 34586]]
7. Engine Family Categorization
For the purpose of demonstrating emission compliance, EPA is
requiring that manufacturers of small SI engines divide their product
line into groups of engines, called engine families, which are composed
of engines having identical physical characteristics and similar
emission characteristics. Small SI engine families are determined by
using the same criteria currently used to define on-highway motorcycle
engine families.
To be placed in the same engine family, engines are required to be
identical in all the following applicable respects:
(1) Combustion cycle;
(2) Cooling mechanism;
(3) The cylinder configuration (inline, vee, opposed bore spacings,
and so forth);
(4) The number of cylinders;
(5) The engine class;
(6) The number of catalytic converters (location, volume, and
composition), and
(7) The thermal reactor characteristics.
At the manufacturer's option, engines identical in all the above
respects could be further divided into different engine families if the
Administrator determined that such engines were expected to have
different emission characteristics. This determination would be based
on a number of features, such as the intake and exhaust valve or port
size, the fuel system, exhaust system, and method of air aspiration.
8. Certificate of Conformity, Requirements of Certification
Each manufacturer of a new nonroad small SI engine is responsible
for obtaining from the Administrator a certificate of conformity
covering any engine introduced into commerce in the United States,
before such engine is sold, offered for sale, introduced or delivered
for introduction into commerce, or imported into the United States.
Section 203 of the CAA does not prohibit the production of engines,
vehicles, or equipment before a certificate of conformity is issued. An
engine, a vehicle, or equipment may be covered by the certificate
provided:
The engine conformed in all material respects to the
engine described in the application for the certificate of conformity,
and
The engine, vehicle, or equipment was not sold, offered
for sale, introduced into commerce, or delivered for introduction into
commerce prior to the effective date of the certificate of conformity.
The Agency has established a number of requirements that an engine
manufacturer must satisfy prior to granting a certificate of
conformity. Engines equipped with adjustable operating parameters must
comply with all the applicable emission standards over the full range
of operating parameters and adjustments. Use of any device on a nonroad
engine which senses operation outside normal emission test conditions
and reduces the ability of the emission control system to control the
engine's emissions is a prohibited act that is subject to civil
penalties.
Use of defeat devices is a prohibited act subject to civil
penalties. The Agency reserves the right to require testing of a
certification test engine over a modified test procedure if EPA
suspects a defeat device is being used by an engine manufacturer on a
particular engine.
Finally, EPA is requiring that all engine crankcases be closed to
preclude the emissions that occur when a crankcase is vented to the
atmosphere. Since most currently produced engines do have closed
crankcases, EPA believes this requirement will impact relatively few
manufacturers.
9. Certification Procedures--Application Process
Each engine manufacturer must submit an application to EPA
requesting a certificate of conformity for each engine family for every
model year. The Agency will issue certificates to cover production for
a single model year. An application must be submitted every model year
even when the engine family does not change from the previous
certificate, although representative test data may be reused in the
succeeding model year's application.
The test engine(s) representing an engine family must demonstrate
that its emissions are less than or equal to each separate emission
standard. If the emissions from the test engine are below the
applicable standards and all other requirements of the regulation are
met (including the information required in 40 CFR part 90), EPA will
issue a certificate of conformity for that engine family.
The application must provide EPA with sufficient information to
assess the appropriate test results and determine the physical and
emission characteristics of the engine family, as well as compliance
with the applicable emission standards. It is important that the engine
manufacturer succinctly, fully, and accurately submit all pertinent
information to EPA and maintain internal records which can be easily
accessed if such access is determined to be necessary by EPA.
If changes to an engine family configuration occur after the
application is submitted which cause the changed version to be the
engine family's worst case emitter, then emission testing of the
changed version is required. Additionally, the Administrator may
require a manufacturer to conduct testing of a changed version that is
not a worst case emitter to demonstrate compliance.
10. Certification Procedures--Testing Overview and Preliminaries
The emission level used to certify an engine family must be equal
to the highest emission test level reported for any engine
configuration in that family. The engine manufacturer is responsible
for selecting and testing one engine from each engine family which is
most likely to be that engine family's worst case emitter. The Agency
expects that the worst case engine would normally be that engine
configuration which has the highest weighted brake-specific fuel
consumption over the certification test cycle, but will allow the
manufacturer to submit data from another engine if it can support its
contention that the alternative engine represents the worst case
emitter. The Agency may verify the test results by requiring
Administrator testing of this engine, or it may opt to test any
available test engine representing other configurations in the engine
family if it believes the manufacturer did not make a good faith effort
to select the worst case emitter.
Before the manufacturer carries out emission testing, it must
perform a number of hours of service accumulation on each test engine
over the dynamometer cycle of its choice, based on good engineering
practices (for example, an operational cycle representative of typical
``break-in'' of a new production engine in actual use). For each engine
family, the manufacturer must determine the number of hours required to
stabilize the emissions of the test engine, but this stabilization
period cannot exceed twelve hours. The manufacturer must maintain and
provide in its application to the Administrator a record of the
rationale used both in making the dynamometer cycle selection and in
making the service accumulation hours determination.
The manufacturer must conduct emission tests of the selected
engine(s) using the test procedure established in 40 CFR part 90.
However, this rulemaking does provide for EPA review and approval of
special test procedures if the small SI engine is not capable of
[[Page 34587]]
being satisfactorily tested under the established test procedures.
The Agency does not require engine manufacturers to maintain any
certification test engine after a certificate has been granted;
however, the manufacturer may find it useful to do so for future
showings to EPA. For example, a manufacturer may use such engines for
back-to-back testing when running changes occur and the manufacturer
wishes to show that no significant emissions impact has resulted.
11. Certification Procedures--Fuels
For the purposes of Phase 1 nonroad small SI compliance testing,
EPA has decided to allow the optional use of Indolene fuel in addition
to the Clean Air Act Baseline (CAAB) fuel that was specified in the
proposal. (Indolene is the trade name for the fuel specified at 40 CFR
86.113 for most light-duty compliance test procedures, referred to as
``Otto-cycle test fuel'' in the regulations.) Since the CARB regulation
allows the use of either Indolene or Phase 2 fuel, a test performed
using Indolene could be used to satisfy both federal and CARB
requirements for small SI engines. The Agency reserves the right to
perform confirmatory testing as well as selective enforcement audits on
either CAAB or Indolene, regardless of which fuel the manufacturer
chooses for its data submittal.
This rule sets forth no special standards nor test procedures for
engines that utilize fuels other than gasoline. These regulations apply
regardless of the fuel utilized by a small SI engine, so long as the
engine otherwise meets the criteria for coverage under this rule. The
Agency will consider whether additional guidance or regulation is
appropriate regarding any relevant issues brought to its attention
concerning engines that use fuels other than gasoline. The Agency
requests that such concerns be relayed to EPA as they arise.
The Agency may revisit the fuel specifications issue in a future
small nonroad engine rulemaking, depending upon the standards and
technology anticipated to be necessary for compliance.
12. Certification Procedures--Emission Test Procedure for HC, CO, and
NOX
The rule establishes a single test procedure that includes a test
cycle for measuring HC, CO, and NOX. There are three different
cycles available: one cycle applies to all Class III, IV, and V engines
(Cycle C), while two cycles are permissible for use with Class I and II
engines (Cycles A and B).
Cycle B can be used for those Class I and II engine families in
which 100 percent of the engines are sold with a governor that
maintains engine speed within 2 percent of rated speed
(the manufacturer-specified maximum power of an engine) under all
operating conditions. Cycle B is a six-mode steady state cycle
consisting of five power modes at rated speed and one no-load mode at
idle speed. For all other Class I and II engines, Cycle A is required.
Cycle A is identical to Cycle B, except the five power modes are run at
intermediate engine speed (85 percent of rated speed).
The engine manufacturer must use Cycle C for engines falling into
Classes III, IV, and V. Cycle C is a two-mode steady state cycle
consisting of one power mode (at rated speed) and one no-load mode at
idle speed. The test modes for each cycle must be run in a prescribed
order.
The methods used to measure the gaseous emissions of HC, CO, and
NOX for all small engines are independent of engine type and test
cycle. Manufacturers may sample emissions using either the Raw Gas
Method or the Constant Volume Sampling Method. Using either method,
each test engine must be stabilized at each mode before emission
measurement began. After stabilizing the power output during each mode,
the concentration of each pollutant, exhaust volume, and fuel flow is
determined. The measured values are weighted and then used to calculate
the grams of exhaust pollutant emitted per kilowatt-hour.
13. Confirmatory Testing Options
The Agency's confirmatory testing provisions set forth in this rule
allow EPA flexibility in determining when and where engine testing may
occur. The Agency may require confirmatory engine testing at any given
location, including at a manufacturer's facility, and may also require
the manufacturer to make available specified instrumentation and
equipment. Any testing conducted at a manufacturer's facility must be
scheduled by the manufacturer as promptly as possible. Authorized EPA
personnel must be given access to the facilities to observe such
testing.
14. Retention of Information; Amendments to the Application
The manufacturer is responsible for retaining certain information
applicable to each test engine, along with copies of the submitted
applications for individual certificates of conformity. The
manufacturer must also submit an amendment to the application or
certificate of conformity whenever additional small SI engines are
added to an engine family or changes are made to a product line covered
by a certificate of conformity. Notification normally would occur prior
to either producing such engines or making such changes to a product
line.
15. Selective Enforcement Auditing Program
The small SI engine SEA program, authorized by CAA section 213, is
an emission compliance program for new production nonroad engines that
allows EPA to issue an SEA test order for any engine family for which
EPA has issued a certificate of conformity. Failure of an SEA may
result in suspension or revocation of the certificate of conformity for
that engine family. To have the certificate reinstated subsequent to a
suspension, or reissued subsequent to a revocation, the manufacturer
must demonstrate by showing passing data that improvements,
modifications, or replacements have brought the family into compliance.
The manufacturer may challenge EPA's suspension or revocation decision
based on application of the sampling plans or the manner in which tests
were conducted.
16. No Useful Life Period, In-use Enforcement, or Mandatory In-use
Testing Program
The final rule does not determine a small SI engine useful life
period or establish an in-use enforcement program. However, as further
explained in the Response to Comments document, the Agency is allowing
a voluntary in-use testing program modeled on the testing program it
proposed in the NPRM. The Agency will not require approval of in-house
test programs voluntarily created by manufacturers nor creation of such
programs. Instead, the Agency will provide guidance according to the
testing program proposed in the NPRM to those manufacturers who choose
to conduct a program by which they could test a sample of engines while
in-use.
Although EPA has promulgated no in-use emission standards for Phase
1 engines, it anticipates that manufacturers would take appropriate
actions to prevent recurrence of in-use noncompliance should it be
discovered. Voluntary in-use testing will not be a requirement that
needs to be fulfilled under a conditional certificate program.
Therefore, the conditional certificate program that was proposed for
Phase 1 is not being adopted.
One commenter suggested that a voluntary testing program be
developed
[[Page 34588]]
in place of a mandatory program to develop meaningful data. EPA agrees
that this type of a program is more appropriate for Phase 1 and will
allow manufacturers to become familiar with an in-use testing program.
Because the Agency has chosen not to promulgate an in-use standard or
useful life period within this rule, it has decided that a mandatory
in-use testing program conducted by manufacturers is unnecessary at
this time.
17. Labeling
The engine manufacturer is responsible for proper labeling of
engines from each engine family. Manufacturers must label every engine
covered by this rulemaking, but they are not required to supply unique
numbers for each engine. The label indicates that the engine can meet
the standards appropriate to its class.
The Agency has decided that an engine label that meets the labeling
requirements for engines sold in the state of California will be
accepted as meeting federal labeling requirements, provided the label
states that it meets federal standards.
This action also requires that equipment and vehicle manufacturers
apply a supplemental label to the equipment or vehicle if the engine
label is obscured.
18. Importation Restrictions
Nonconforming small SI engines, vehicles, and equipment will
generally 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 repairs and
alterations, testing, pre-certification, display, national security,
and hardship. In addition, nonconforming small SI engines that are
exempted from importation restrictions include engines greater than 20
original production years old, engines used solely in competition, and
certain engines proven to be identical, in all material respects, to
their corresponding United States certified versions.
Today's action will permit individuals to import on a single
occasion up to three nonconforming small SI engines, vehicles, or
equipment items for personal use (and not for purposes of resale).
After an individual's limit of three, or after the first importation,
additional small SI engines, vehicles, or equipment will not be
permitted to be imported under this rule unless otherwise provided
under another exemption or exclusion.
The Agency has also decided not to establish an independent
commercial importers (ICI) program for small SI engines.
19. Defect Reporting and Voluntary Recall
The Agency is adopting the proposed emission defect reporting
regulations which require a manufacturer to report emission-related
defects that affect a given class or category of small SI engines
whenever it identifies the existence of a specific emission-related
defect in twenty-five or more engines in a single engine family
manufactured in the same model year. However, no report need be filed
with EPA if the defect is corrected prior to the sale of the affected
engines to the ultimate purchaser.
The Agency requires that individual manufacturers establish
voluntary recall programs, when appropriate. It has established limited
guidelines for engine manufacturers to follow when undertaking such a
program.
20. Emission Defect Warranty Requirements
The emission defect warranty will be provided by engine
manufacturers for the first two years of engine use, which is
harmonious with the two-year warranty period set forth in California's
lawn and garden regulations. The warranty requirements are consistent
with emission defect warranty policies developed for on-highway
vehicles, located in section 207(a) of the Act. Manufacturers of new
nonroad engines must warrant to the ultimate purchaser and each
subsequent purchaser that such engine was (1) designed, built, and
equipped so as to conform at the time of sale with applicable
regulations under section 213 of the Act, and (2) free from defects in
materials and workmanship which cause such engine to fail to conform
with applicable regulations for its warranty period.
21. Prohibited Acts; Tampering
The Agency is adopting provisions that will prohibit introducing
engines into commerce in the United States which are not covered by a
certificate of conformity issued by EPA. Additionally it will be a
prohibited act to use a regulated but uncertified nonroad engine in
nonroad vehicles or equipment. It is also a prohibited act for any
person to tamper with any emission-related component or system
installed on or in a small SI engine. 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, 1974.9)
\9\ EPA Air Docket #A-93-25, item II-B-01.
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Adjustments outside of manufacturer's suggested parameters,
installation of replacement parts, or installation of add-on parts
might not necessarily be considered to be tampering so long as
regulated emissions do not increase and engine durability is not
adversely impacted as a result of such adjustments, replacement parts,
or add-on parts. For example, a manufacturer may install conversion
kits so that engines are capable of utilizing alternative fuels if
testing has been conducted according to the procedures specified in
subpart E of part 90 to ensure that regulated emissions will not
increase as a result of the conversion and use of alternative fuels. A
manufacturer is not required to send documentation that emissions do
not increase to EPA, but should be able to provide such documentation
upon request. EPA's tampering enforcement policy memorandum cited above
addresses these issues and should be used as a reference to determine
whether they constitute tampering or are allowable under the provisions
of this rule.
22. Catalyst Durability
Although EPA has not established full emission control system
durability demonstration requirements in the rulemaking, it expects
manufacturers to design such systems to be durable; that is, to be
effective in realizing emission reduction benefits under normal in-use
operating conditions not only when the engines are new, but also during
operation in-use, over time. While full emission control system
durability demonstration requirements are expected to be included in
the Phase 2 regulations for small SI engines, EPA has concerns that
certain emission control components, namely catalysts, warrant separate
consideration.
Therefore, EPA is adopting durability demonstration requirements
for catalysts in this rule. If catalysts are used in an engine family
to meet the emission standards of this regulation, the engine
manufacturer must affirm that the durability of the catalysts has been
confirmed on the basis of the evaluation procedure that is specified in
this rulemaking. The requirements adopted by EPA differ in some ways
from the proposal (regarding thermal stress testing requirements,
exhaust gas composition for testing of three-way catalysts, and
deterioration limits) that are discussed in more detail in the Response
to Comments.
[[Page 34589]]
23. No Cap on Noise
While EPA proposed that noise produced by new small SI engines
would not be allowed to increase over current levels as a result of the
proposed emission standards, it has decided not to promulgate such a
requirement. Although EPA continues to believe noise control is
important, without standards and test procedures, such a requirement is
not enforceable. The Agency expects that the types of modifications to
current engine design that will be performed to assure compliance with
emission standards will not impact noise levels. However, EPA may
regulate engine noise if it becomes aware that noise levels do actually
increase subsequent to promulgation of this rulemaking.
24. No Averaging, Banking, and Trading Program
This rule does not extend averaging, banking, and trading, nor any
of the elements of such a program, to the certification program for the
engines subject to this regulation. Averaging, banking, and trading are
being discussed as options for Phase 2.
IV. Public Participation and Comment
The Agency received submissions during the comment period for the
NPRM from thirty-three commenters. Copies of all of the written
comments submitted to EPA, as well as records of all oral comments
received during the comment period, can be obtained from the docket for
this rule (see ADDRESSES).
This section responds to certain comments received from the public
on major issues. The docket also contains a ``Response to Comments''
document that provides a more detailed summary of the comments,
including many issues not covered in this preamble because they were
minor or less contentious issues, and EPA's rationale for its
responses.
A. Model Year Definition and Effective Date
This rule will become effective beginning with the 1997 model year.
The Agency proposed an effective date of August 1, 1996 for
implementation of this rulemaking. Regarding the definition of model
year, EPA requested comment on three options: (1) a model year
beginning August 1 and ending July 31 of the succeeding year, (2) a
model year like that in the on-highway program, beginning January 2 of
one year and ending December 31 of the succeeding year, and (3) a model
year like that in the on-highway program, but beginning August 1 and
ending July 31 of the second succeeding year.
Several states, associations of state and local air officials, and
an environmental association supported an effective date of January 1,
1996. They noted that delayed implementation of this rule decreases the
value of a phased approach to small engine regulation by eroding the
near-term benefits of a program intended largely to provide near-term
benefits. A state, an environmental association, and associations of
state and local air officials that are participants in the regulatory
negotiation for the second phase of small engine regulation stated that
their agreement to participate in the negotiated rulemaking was based
partly on a January 1, 1996 effective date for the Phase 1 rulemaking.
Several states and a manufacturer supported the proposed effective
date of August 1, 1996. One state argued that manufacturers have had
ample notice of the fact that they would be regulated, and that to
delay would reward parties that have not devoted resources in good
faith to develop cleaner engines. Another state commented that it would
have to adopt California's regulation for SI engines under 25
horsepower to get the SIP credits it needs if the federal rule's
effective date is delayed.
Several manufacturers and industry associations supported an August
1, 1997 effective date, citing lead time considerations. An association
pointed out that the interval between promulgation of the final rule in
May 1995 and the effective date of August 1, 1996 would provide only
one year of lead time prior to implementation, which it considered to
be insufficient for engine manufacturers to retool to achieve emission
compliance for implementation of nationwide standards.
Another industry association and a manufacturer commented that an
August effective date does not coincide with the production cycle for
all engines covered by this rule; many operate on a calendar year
basis. That association supported setting an effective date two years
after California's regulations become effective (e.g., January 1, 1997)
for products that are not preempted in California and an effective date
two years after this Phase 1 rule takes effect (e.g., January 1, 1999)
for products that are preempted in California. The association cited
lead time concerns, particularly in regard to products that are
preempted from regulation in California. One manufacturer supported a
January 1998 effective date for engines used in products that are
preempted from regulation in California, arguing that the additional
lead time is critical to prevent disruptions in supply since most
attention has been focused on engine development for non-preempted
products.
Comments on the definition of model year were received from
manufacturers and industry, state and local air officials, and an
environmental association. All comments supported the on-highway model
year definition.
The Agency has decided upon a model year 1997 effective date and
has adopted the on-highway model year definition. The 1997 model year
will run from January 2, 1996 to December 31, 1997.
The Agency acknowledges industry's need for sufficient lead time.
It also acknowledges the need of states to realize reductions of air
pollutant emissions, and to adhere to schedules mandated in the CAA for
reasonable further progress toward VOC reductions from 1990 levels and
for attainment of the National Ambient Air Quality Standard for ozone.
The model year 1997 effective date provides additional lead time for
those manufacturers that take advantage of the flexibility allowed by
the model year definition; it also allows early introduction of
complying products by manufacturers that are in a position to produce
complying products earlier in the model year rather than later.
The Agency is allowing additional lead time for Class V engines
covered by this rule that are used in farm and construction equipment
or vehicles which CAA section 209(e)(1)(A) preempts from state
regulation. The effective date for such Class V engines is January 1,
1998.
Under the final rule, the model year includes January 1 of the
calendar year for which it is designated and does not include a January
1 of any other calendar year. The maximum duration of a model year is
one calendar year plus 364 days. A certificate of conformity is issued
for each engine family introduced into commerce for a single model
year. The annual production period within a model year for any specific
model within an engine family begins either: (1) when such engine is
first produced, or (2) on January 2 of the calendar year preceding the
year for which the model year is designated, whichever date is later.
The annual production period ends either: (1) when the last such engine
is produced, or (2) on December 31 of the calendar year for which the
model year is named, whichever date is sooner.
Introducing a specific model year engine into commerce prior to or
after the model year for which the certificate is issued and in effect
is a prohibited act. However, in recognition of the fact
[[Page 34590]]
that some manufacturers will be in a position to ship certified engines
prior to January 2, 1996, EPA is making an exception for engine
families that are certified by EPA prior to January 2, 1996; such
engine families may enter commerce prior to January 2, 1996, once a
certificate of conformity has been issued. Engines produced after
December 31 of the calendar year for which the model year is named are
not covered by the certificate of conformity for that model year. A new
certificate of conformity demonstrating compliance with applicable
standards must be obtained for such engines, even if they are identical
to engines built before December 31.
To provide maximum flexibility in the start-up of this program, the
Agency is interpreting the Phase 1 model year definition somewhat
differently than in the on-highway program. For the 1997 model year
only, manufacturers may choose to produce both certified and
uncertified engine families during annual production periods that begin
prior to September 1, 1996. All engines manufactured during annual
production periods that begin on or after September 1, 1996 must be
certified. In addition, annual production periods that begin prior to
September 1, 1996 may not exceed twelve months in length, to ensure
that all engines are certified no later than calendar year 1997. The
Agency has determined that flexibility in the interpretation of the
model year definition for program start-up is necessary in fairness to
manufacturers both to provide additional lead time and to account for
the variability in production periods of the small SI engine industry.
For example, a manufacturer of lawnmower engines with an annual
production period from July 1996 to June 1997 might choose to certify
two-thirds of its engine families by July 1996, with the remainder of
its production being uncertified. Normally, the manufacturer must
certify all its engines in every annual production period; the enhanced
flexibility provided by this special interpretation, which allows the
manufacturer to choose when to begin certifying in production periods
beginning before September 1, 1996, is for the start-up of this program
only.
The lawnmower manufacturer in the example above may call the engine
families certified in calendar year 1996 either model year 1996 or
model year 1997 engines; the advantage to calling them model year 1997
engines is that they can then be built past December 31, 1996.
Similarly, the lawnmower engine families certified in calendar year
1997 may be called model year 1997 or model year 1998 engines, but only
model year 1998 engines may be built beyond December 31, 1997.
Another example is a string trimmer engine manufacturer that
operates on a January to December production period. The manufacturer
may choose to certify any portion of its engine families in January
1996, and must certify all its engine families in January 1997.
The Agency expects that manufacturers will federally certify a
substantial number of engine families in calendar year 1996 to take
maximum advantage of ``green'' marketing strategies. Most of the engine
families covered by this regulation will already have been certified to
California standards prior to model year 1997. No data are available
for EPA to accurately predict the percentage of small engine families
that will be certified in calendar year 1996. For purposes of state
implementation plan submittals, EPA is estimating that half will be
certified in calendar year 1996.
Under no circumstances should the model year definition be
interpreted to allow existing models to ``skip'' annual certification
by pulling ahead the production of every other model year. While this
situation, to the Agency's knowledge, has not occurred in the past, a
practice of producing vehicles or equipment for a two-year period would
violate the Congressional intent of annual certification based upon an
annual production period. The Agency is not currently setting forth
rules for how to determine when abuse has occurred, since this has not
been a problem to date. However, the Agency is requiring that engine
manufacturers certify annually based on an annual production period.
B. Definition of Handheld Equipment, Snowthrowers, and Two-stroke
Lawnmowers
1. Definition and General Provisions
The Agency proposed that small SI engines be categorized as either
handheld or nonhandheld, depending on the usage of the equipment in
which the engine is installed. To qualify as handheld, it was proposed
that the engine be required to meet at least one of three criteria. In
summary, the criteria are that the engine must be used in a piece of
equipment that is carried by the operator; or that it is operate
multipositionally; or that it is used in a two-wheeled piece of
equipment having a combined engine and equipment dry weight under 14 kg
and also has certain other specific attributes (for the criteria in
detail, see section III.C.5. of this preamble, ``Handheld Engine
Qualifications'').
Comments on this issue submitted by state and environmental
organizations suggested that EPA tighten the definition to further
limit the extent of the handheld category and prevent abuse of the
classifications, while manufacturers and their organizations suggested
loosening the definition to allow the equipment of concern to their
group to fall into the handheld category.
The Agency is retaining its handheld equipment definition largely
as proposed, with the only changes being the addition of a fourth
category for one-person augers under 20 kg and the elimination of the
term ``exclusively'' from the category for pumps and generators. Based
on an extensive review of product literature, the Agency believes that
this revised definition adequately describes those types of equipment
that are legitimately handheld while excluding nonhandheld
applications.
As described more fully in the preamble to the proposed rule, the
necessity for a distinction between handheld and nonhandheld equipment
is based in part on the substantial difference between emissions from
current four-stroke and two-stroke engines, which is an inherent result
of their design differences. Although two-stroke engines have
significantly higher emissions, their use is necessary in some
applications because they are generally lighter for the same rated
power and can be used in any orientation, unlike their four-stroke
counterparts. Of course, the Agency is not requiring the use of either
two-stroke or four-stroke engines in any particular type of equipment.
If technological advances are such that two-stroke engines can meet the
nonhandheld standards, manufacturers are free to utilize that
technology or any other technology that can meet the standards. The
distinction between handheld and nonhandheld equipment is not to
specifically limit the use of any type of engine but, rather, to limit
emissions as much as is achievable while recognizing the unique needs
of handheld applications.
The Agency is sympathetic to comments that it should coordinate its
handheld definition with CARB. Nevertheless, it believes that its
definition clarifies and expands on the CARB definition in ways
important to the federal program. Given the different mandates of the
two organizations and the specific air quality problems of the State of
California, EPA believes it is not inappropriate for the definitions to
be slightly different.
[[Page 34591]]
Also, an investigation into the types of equipment each definition
would cover reveals that there is a very high degree of overlap.
Equipment types considered by the EPA to be handheld include, but are
not limited to, string trimmers, hedge clippers, brush cutters, hover
mowers, leaf blowers, chain saws, clearing saws, and concrete, masonry,
and cutoff saws.10 These equipment types meet EPA's general
definition of handheld equipment, while pumps, generators,
snowthrowers,11 edgers, cultivators, tillers, continuous diggers,
and trenchers must be under 14 kg and have no more than two wheels to
be considered handheld, and augers must be under 20 kg and be intended
for one-person use to be considered handheld.
\10\ The Agency is aware that concrete/masonry/cutoff saws are
sometimes attached to carts for extended or heavy-duty cuts. This
occasional use does not negate their overall status as handheld
equipment. The Agency agrees with the comment that such saws are
often used multipositionally, and thus fall into the general
handheld category. Thus, the 14 kg weight limit does not apply. The
same is true for hover mowers.
\11\ Certain snowthrowers that do not meet the handheld
definition are nevertheless allowed to meet the handheld, rather
than nonhandheld, CO standards. Engines used exclusively in
snowthrowers will not be required to meet the HC standards, either
handheld or nonhandheld, unless manufacturers of these engines opt
to certify to those standards. See below for further discussion.
---------------------------------------------------------------------------
Some commenters suggested that equipment weighing 14 kg is too
heavy to be handheld, but did not suggest an acceptable alternative
weight. Others felt it was too light for an upper limit. The Agency
agrees that 14 kg is indeed heavy for some uses and some consumers, but
also believes that certain pieces of equipment at that weight would be
used in a handheld manner (such as lightweight edgers and tillers). It
is likely that market forces would limit the manufacture and sale of
``handheld'' equipment that is too heavy for the typical consumer of
such products. Indeed, a review of product literature indicates that 14
kg appears to be the break point that the market has chosen between
equipment types powered with two-stroke engines and those powered by
four-stroke.12 13
\12\ For augers, this break point is 20 kg.
\13\ See note to docket summarizing product weights, dated 2/17/
95, by Lisa Snapp, U. S. Environmental Protection Agency. (EPA Air
Docket #A-93-25.)
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Additionally, for products not falling into the general handheld
definition (that is, products not carried throughout use and not used
multipositionally), a product weight of less than 14 kg is not
sufficient to qualify as handheld. Such products are also limited to no
more than two wheels and must need some degree of operator carrying,
support or attitudinal control in order to qualify as handheld; that
is, they must not be completely ground-supported. The Agency believes
that these additional constraints will prevent true nonhandheld
equipment from inadvertently falling into the handheld category.
On the other hand, the mere fact of some degree of ground support
should not disqualify a piece of equipment from the handheld category.
Some lightweight products requiring some level of ground support,
including products with one or two wheels, would typically be
considered handheld by the general public. Equipment such as
lightweight snowthrowers, tillers and edgers with up to two wheels
would require some carrying, support or attitudinal control; lawnmowers
and three- and four-wheeled edgers, conversely, would be completely
ground-supported and thus not handheld.14
\14\ Additionally, the use of lawnmowers and, similarly, three-
and four-wheeled edgers on hillsides is not considered to be
multipositional use and, hence, they do not qualify as handheld
equipment. Nevertheless, certain lawnmowers are allowed to meet the
handheld, rather than nonhandheld, standards. See below for further
discussion.
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Some commenters stated that pumps and generators under 14 kg should
not qualify as handheld. The categorization was intended primarily for
small pumps and generators that would be transported into remote areas,
and is hereby retained. The State of California has a special provision
allowing such equipment with non-certified engines to be purchased by
emergency response organizations. The Agency is taking a somewhat
different route toward a similar end, while making these pieces of
equipment more widely available but subject to the handheld standards.
The Agency wishes to clarify that all pumps and generators under 14
kg with no more than two wheels will be categorized as handheld
equipment. The phrase ``the engine is used exclusively in a generator
or pump'' was not meant to preclude handheld status for pumps and
generators with engine models that are also used in other pieces of
handheld equipment. The Agency agrees that the term ``exclusively'' in
the handheld definition is superfluous and it has been removed.
For this rule, only earth and ice augers that are under 20 kg
(including a bit of typical size for that model) and are sold for use
primarily by one person will be considered handheld.15 Two person
augers, and any auger of 20 kg or more (including the bit) must meet
the nonhandheld standards. The Agency believes that this slight
broadening of the definition reasonably responds to the needs of auger
manufacturers to provide both a lightweight and a high-strength, high-
power product during the time frame of the Phase 1 regulations. Light
weight is important for one person to be able to counter the torque
generated by the drilling operation, hold the auger vertically, lift it
from the hole, and carry it to and from the drilling location. Also, in
contrast to truly nonhandheld equipment, augers have no frame or wheels
and, thus, require continuous operator support during use. In contrast
to other equipment that is clearly handheld, however, augers are of a
heavier construction to withstand greater forces during use, and are
used for very short bursts of time, so that the 14 kg weight limitation
is not applicable. A review of product literature and manufacturer
comments indicate that an upper limit of 20 kg would include most or
all one-person augers currently on the market.
\15\ All ice augers, whether or not they qualify as handheld,
will not be required to meet the HC standards, unless manufacturers
of engines used in those products certify to the HC standards. Under
today's rule, ice augers will only be subject to the applicable
handheld or nonhandheld CO standard. See below for further
discussion.
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Auger manufacturers are predominantly small companies and,
therefore, are somewhat constrained in their ability to quickly re-
engineer their product, acquire a new engine source, and absorb the
costs of a four-stroke engine. It is for this reason, coupled with the
technological reasons cited above, that the Agency is allowing one-
person augers under 20 kg to meet the handheld definition for this
Phase 1 regulation of small SI engines. However, this definition will
not necessarily be carried into future regulation of small SI engines,
such as in the Phase 2 negotiated rulemaking activities currently
underway.
2. Snowthrowers
The Agency proposed that snowthrowers meeting the handheld
definition be considered handheld equipment; all other snowthrowers
would be considered nonhandheld. In general, industry either opposed
regulating snowthrowers for HC emissions or favored relaxed emission
standards for two-stroke snowthrowers, while environmental and state
and local air officials' associations favored more stringent standards.
One industry commenter argued that EPA should at a minimum exempt
snowthrowers from the hydrocarbon standards, since emissions from
snowthrowers do not demonstrably contribute to summertime ozone
[[Page 34592]]
nonattainment concentrations. According to the commenter, Phase I
accomplishes no demonstrable purpose by regulating snowthrower
hydrocarbon emissions, as snowthrowers are used exclusively during the
winter and reductions achieved by regulating snowthrowers would have no
benefit for areas seeking reductions in order to attain the ozone NAAQS
during the high ozone season.
Industry commented that there are no snowthrowers with SI engines
that weigh under 14 kg. As a result, all snowthrowers covered by the
proposal would be subject to nonhandheld standards. According to
industry, if snowthrowers with two-stroke engines must comply with
nonhandheld standards, EPA would effectively be banning such equipment
and placing an unreasonable hardship on that segment of industry. The
Nonroad Study indicates that 26 percent of snowthrowers have two-stroke
engines.
Industry offered three main lines of reasoning for the position
that all two-stroke snowthrowers should be considered handheld. First,
snowthrower manufacturers assumed that Phase 1 standards would mirror
CARB's standards, including its special exceptions. Second,
snowthrowers do not contribute to summer ozone nonattainment. Third,
two-stroke snowthrowers have design, performance, and operational
characteristics that fill a unique market niche, and have many of the
attributes of handheld equipment.
The unique design, performance, and operational characteristics
cited by industry include size, weight, maneuverability, and ease of
storage and transport. Two-stroke snowthrowers have only two wheels
(neither of which touch the ground during operation), and operators
must provide continual support and attitudinal control by raising and
tilting the equipment in order for it to perform.
Industry commenters noted that two-stroke snowthrowers use a 5.4 kg
(12 pound) engine and a single belt-drive system, eliminating the
weight of additional belts and pulleys. Moreover, almost all two-stroke
snowthrowers are ``single-stage,'' according to industry comments,
meaning that they use an auger to gather snow and expel it from a
single chamber. By contrast, almost all four-stroke snowthrowers are
two-stage units that use an auger to gather snow into one chamber and a
separate impeller to discharge it from a second chamber, according to
comments. The engines in four-stroke snowthrowers weigh between 11 kg
(25 pounds) and 27 kg (60 pounds). According to information submitted
by industry, the overall weights of two-stroke snowthrowers range from
16.3 kg (36 pounds) to 39.9 kg (88 pounds); the average weight of the
two-stroke models listed was 29.5 kg (65 pounds). In EPA's opinion, a
product line ranging in weight from 16.3 to 39.9 kg cannot fairly be
considered light in weight, or specifically designed to be lifted or
carried, and EPA is not inclined to raise the weight limit in the
handheld definition to 30 kg to accommodate such equipment.
Environmental and state and local air officials' associations
opposed handheld status for two-stroke snowthrowers. They expressed
concern about the high levels of unburned air toxics emitted by two-
stroke engines, given operator proximity. The associations pointed out
that for larger snowthrowers, four-stroke models are available, and for
the small two-wheeled version, electric models are available.
Since EPA agreed to undertake a phased approach to small engine
regulation in March 1993 (see 59 FR 25399 at 25400-25401 for a detailed
explanation), EPA has maintained that its Phase 1 program would be
compatible with CARB's and incorporate compatible emission standards,
where it is appropriate to do so in a nationally, rather than
regionally, applicable regulation.
After considering the comments, the Agency has concluded that the
HC standard will be optional for snowthrowers. This is because, as is
discussed in the preamble to the proposed rule (see 59 FR at 25416) and
by industry comments, snowthrowers are operated only in the winter,
which means that they do not measurably impact ozone nonattainment
concentrations and thus need not be subject to stringent control
requirements aimed at controlling ozone nonattainment. On a national
level, ozone nonattainment is primarily a seasonal problem that occurs
during warm sunny weather. Regulating HC and emissions from products
used exclusively in the winter, such as snowthrowers, will not advance
the Agency's mission to correct this seasonal problem. EPA recognizes
that California will be regulating HC emissions from snowthrowers, and
today's decision should in no way prejudice California's efforts. The
Agency notes that California faces a uniquely difficult problem in that
its ozone nonattainment season is year round, and that Congress has
recognized California's potential need to adopt measures that are more
stringent than those that apply in the nation as a whole. EPA, instead,
must promulgate regulations that apply nationally in scope and that
address the air quality problems that face the nation generally.
Under today's rule, while manufacturers of snowthrowers will still
be required to certify to and comply with applicable CO standards, they
will be required to certify to the HC standard only where they opt to
become subject to those standards. The Agency expects that many
snowthrowers will in fact be certified to meet the HC standards, since
the technology necessary to meet those standards will be readily
available to snowthrower manufacturers and since manufacturers may wish
to be able to take advantage of ``green marketing'' opportunities.
However, the Agency does not believe it is appropriate at this time to
absolutely require all snowthrowers to be certified to meet a standard
that is meant to address ambient air quality problems that do not exist
when when these products are in use. This decision in no way affects
snowthrower manufacturer responsibilities with respect to the CO
standards. Moreover, if an engine manufacturer produces an engine that
is used in snowthrowers and in other products that are not used
exclusively in the winter, that engine must be certified to the
applicable HC standard. Finally, today's decision applies only with
respect to regulating snowthrowers under this Phase I rule, and does
not prejudge how the Agency will approach this issue in Phase 2.
The Agency is persuaded by comments describing the design,
performance, and operational characteristics of two-stroke snowthrowers
that two-stroke snowthrowers form a distinct product class from four-
stroke snowthrowers. As two-stroke snowthrowers are a distinct product
class that depends on a relatively lighter-weight product, EPA does not
consider four-stroke technology to be generally available technology
for the more light-weight two-stroke snowthrowers.
The Agency shares the concerns raised by commenters about operator
proximity to high levels of unburned air toxics emitted by two-stroke
engines in a regulatory manner. However, EPA lacks sufficient data to
address those concerns at this time.
The Agency agrees with comments that two-stroke snowthrowers would
meet the third prong of the handheld definition but for the weight
criterion. Rather than amend the weight criterion in the handheld
definition to include two-stroke snowthrowers, however, EPA is
providing an exception to nonhandheld standards that will require
[[Page 34593]]
two-stroke snowthrowers to comply with handheld standards. The
exception is based on the distinction between two- and four-stroke
snowthrowers as product classes. This result is consistent with CARB.
3. Lawnmowers
Under EPA's proposal, all lawnmowers would be classified as
nonhandheld equipment. The Agency requested comment on four options for
providing relief for two-stroke lawnmower engine manufacturers.
Two industry manufacturer associations, a dealer association, and
one manufacturer recommended that EPA allow two-stroke lawnmower engine
manufacturers to meet handheld standards. They commented that two-
stroke lawnmower engines would effectively be eliminated from the
market under the proposal.
The manufacturer that commented would be particularly impacted by
the requirement that lawnmower engines meet nonhandheld standards
because it is the largest producer of two-stroke lawnmower engines. It
argued that the definition of handheld and nonhandheld should not be
used to discriminate against engines according to their application, to
bypass the requirement of technological feasibility, to distort the
competitive balance of the industry by banning major products, nor to
place disproportionate burdens on one company as the price of
maintaining an important product line.
A state commented that it sees no reason to grant special
concessions to some manufacturers because their current product line
uses a more polluting technology than their competitors; such a policy
would penalize those manufacturers that have pursued cleaner
technologies, according to this comment. Complying four-stroke engines
are available and a sufficient number of manufacturers participate in
the market to ensure competition, this comment stated.
Environmental and state and local air officials' associations
expressed strong opposition to the options for relief for two-stroke
lawnmowers; given that approximately 90 percent of lawnmowers sold in
the United States already rely on four-stroke technology,16 it can
not be argued that four-stroke engines are not available technology for
all lawnmowers, according to these groups.
\16\ See Table 2-03, ``Inventory A & B National Population
Estimates'' from the Nonroad Engine and Vehicle Emission Study
(Report USEPA Office of Air and Radiation document #21A-2001,
November 1991). The Nonroad Study is available in EPA Air Docket #A-
91-24. It is also available through the National Technical
Information Service, referenced as document PB 92-126960.
---------------------------------------------------------------------------
Environmental and state and local air officials' associations
commented that manufacturers have had ample opportunity to react to
requirements that might reasonably have been expected. These
manufacturers participated in the process that led to the December 1990
adoption of CARB's standards and have already enjoyed a four year
period in which to take appropriate action. Those associations also
commented that such regulatory relief would compromise the
effectiveness of Phase 1, and thereby undermine their acceptance of the
phased approach to regulation of small engines.
The Agency is promulgating its proposal that lawnmowers be
classified as nonhandheld equipment. However, in response to the
industry comments, EPA is providing an exception to the nonhandheld
standard to allow two-stroke lawnmower engine manufacturers to produce
a declining percentage of two-stroke lawnmower engines that meet
handheld standards until model year 2003. This relief for two-stroke
lawnmower engine manufacturers is justified by the economic hardship to
current manufacturers of two-stroke lawnmowers that would result if
two-stroke lawnmowers were required to meet nonhandheld standards upon
the effective date of Phase 1, and by the need for additional lead time
for current manufacturers of two-stroke lawnmowers to develop mowers
that meet nonhandheld standards; EPA has concluded that handheld
standards are the most stringent standards achievable for lawnmowers
currently using two-stroke engines in the near term given these
economic hardship and lead time considerations.
Economic hardship that would result if two-stroke lawnmowers were
required to meet nonhandheld standards is documented in two sets of
comments from an engine and equipment manufacturer. It stated that it
would be forced to close a manufacturing plant that employs 230 people
unless some form of relief from the requirement that all lawnmowers
comply with nonhandheld standards is granted. The plant is devoted to
two-stroke engine operations, according to the comments. The
manufacturer commented that the declining production option would avoid
closure of the plant and maintain a minimally necessary market presence
for its two-stroke lawnmowers during Phase 1. The manufacturer stated
that its principal goal and long-term strategy is to develop technology
that will enable two-stroke lawnmower engines to meet Phase 2
nonhandheld standards. Reducing sales below 50 percent would destroy
the market for the product before Phase 2 technology could be
implemented, and reduce plant utilization to unacceptable levels,
according to the manufacturer.
The need for additional lead time was a common theme among industry
commenters, although only one two-stroke mower engine manufacturer
addressed the difficulty, if not impossibility, of two-stroke mowers
meeting nonhandheld standards by the effective date of Phase 1.
According to this manufacturer, it is not technologically feasible for
two-stroke engines to meet nonhandheld standards at this time. The
manufacturer argued in its comments that more engineering effort is
required for two-stroke lawnmower engines to meet handheld standards
than for four-stroke engines to meet nonhandheld standards. It said
that this is partly due to the difference in duty cycles for handheld
and nonhandheld engines, with handheld engines having the advantage of
a higher horsepower divisor than is obtained under the variable
nonhandheld load specifications. The manufacturer stated that it is an
engineering uncertainty whether and how valve-control techniques
developed in the past, to enhance power output for smaller two-stroke
engines used in products such as chain saws, might be used to reduce
emissions in lawnmowers. Finally, the manufacturer claimed that while
it is conceivable that its technology development could permit the
introduction of engines meeting the Phase 1 nonhandheld standards
during Phase 1, the prospect of this occurring before the year 2001 is
remote.
CAA section 213(a)(3) specifies that nonroad emission standards
must achieve the greatest degree of emission reduction achievable
through the application of technology that the Administrator determines
will be available, giving appropriate consideration to cost, lead time,
noise, energy and safety. Taking into account the economic hardship and
lead time considerations discussed above, EPA has determined that
handheld standards subject to a declining production cap are the most
stringent emission standards achievable for lawnmowers that currently
use two-stroke engines.
Under the declining production cap, two-stroke lawnmower engine
manufacturers that wish to continue producing two-stroke lawnmower
engines must establish a production baseline. The production baseline
is the highest number of two-stroke
[[Page 34594]]
lawnmower engines produced in a single annual production period from
1992 through 1994. Documentation verifying the production baseline must
be submitted to EPA with the application for certification. In model
year 1997, two-stroke lawnmower engine manufacturers may produce 100
percent of their production baseline, which must be certified to
handheld standards. In model year 1998, two-stroke lawnmower engine
manufacturers may produce 75 percent of their production baseline. From
model year 1999 until model year 2003, two-stroke lawnmower engine
manufacturers may produce 50 percent of their production baseline in
each annual production period. In model year 2003, two-stroke lawnmower
engine manufacturers must meet either Phase 1 nonhandheld standards or
Phase 2 nonhandheld standards, whichever are applicable.
Although EPA's approach is not consistent with CARB regulations,
which require all lawnmowers to meet nonhandheld standards with no
exceptions, EPA believes there are two valid reasons for the
distinction. First, Congress has recognized the need for California to
maintain its own mobile source emission control program (see section
209 of the CAA) because it faces difficult and distinct air pollution
problems and, as a result, may need to adopt measures more stringent
than those that apply in the nation as a whole. Second, EPA's nonroad
emission standards are not allowed to be more stringent than is
achievable after consideration of cost and lead time according to
section 213(a)(3) of the CAA. Although California is constrained by
similar criteria per the authorization criteria of section 209(e),
consideration of such criteria is limited to the State of California.
The Agency must consider cost and lead time when nonroad emission
regulations affect the nation as a whole. The Agency has concluded that
in order for it to meet the section 213(a)(3) requirements to consider
cost and lead time in setting its nationally applicable standard, EPA
must provide for this limited relief for manufacturers of lawnmowers
that use two-stroke engines. This conclusion in no way prejudges
whether California should grant similar relief.
In contrast to the its treatment of two-stroke versus four-stroke
snowthrowers, EPA is not distinguishing two-stroke and four-stroke
lawnmowers as separate products, but rather is recognizing the
technological infeasibility of two-stroke engines used in lawnmowers
meeting the nonhandheld standard by the effective date. The Agency
agrees with commenters that four-stroke technology is generally
available for lawnmowers, and that two-stroke engines are more
polluting than four-stroke engines.
Still, although four-stroke technology is theoretically available
for all lawnmowers, it is not immediately available for manufacturers
of two-stroke lawnmower engines. Due to the cost and lead time concerns
outlined above, EPA is providing a reasonable opportunity for two-
stroke lawnmower engine manufacturers to come into compliance with
nonhandheld standards.
4. Ice Augers
Under EPA's proposal, all earth and ice augers would have been
subject to the applicable handheld or nonhandheld CO and HC standards.
In the preamble to the proposed rule, in discussing snowthrowers, EPA
noted that the exclusively wintertime use of snowthrowers argues
against regulating emissions of HC from those products. In today's
rule, EPA is in fact exempting snowthrowers from the requirement to
certify to and comply with the HC standard, due to the fact that they
do not demonstrably contribute to ozone nonattainment concentrations.
For the same reasons, today's rule exempts ice augers from the
requirement to certify to and comply with HC standards, while still
requiring them to meet the applicable CO standard. Like snowthrowers,
ice augers are clearly used only during the winter, and the Agency does
not believe it would be reasonable to subject them to stringent control
requirements aimed at addressing summertime ozone nonattainment
problems. At their option, ice auger manufacturers will be able to
certify to HC standards, if they find that complying technology is
available and wish to take advantage of ``green marketing''
opportunities. This relief, however, is provided only for ice augers.
Earth augers, since they are in fact used during the ozone
nonattainment season, will be required to certify to applicable HC
standards. Moreover, if a manufacturer produces an engine that is used
in ice augers and other products that are not used exclusively in the
winter, that engine must be certified to meet the applicable HC
standard. Finally, today's decision applies only with respect to
regulating ice augers under this Phase I rule, and does not prejudge
how the Agency will approach this issue in Phase 2.
C. Requirements Applicable to Vehicle and Equipment Manufacturers
1. Requirement To Use Certified Engines
The Agency proposed that vehicle and equipment manufacturers using
small nonroad engines must use appropriate handheld or nonhandheld
certified engines, and prohibited the introduction into commerce of
nonroad vehicles and equipment lacking appropriate certified engines
after the effective date. The Agency received comments both supporting
and questioning its authority to require the use of certified engines.
One industry association commented that EPA has no authority to require
the use of certified engines. A manufacturer and an industry
association commented that EPA's authority under CAA section 213 does
not extend to equipment. A state, an association of state and local air
officials, and an environmental association supported the requirement
that equipment manufacturers use complying engines.
Several industry associations commented that the prohibition on
introducing into commerce vehicles and equipment lacking appropriate
certified engines after the effective date could impose a substantial
hardship on industry and is unnecessary to prevent stockpiling.
According to their comments, equipment manufacturers now minimize the
period they store engines to avoid the substantial costs associated
with financing and warehousing inventoried engines. Two associations
asked EPA to clarify that neither equipment manufacturers nor dealers
have any special obligation to convert their inventories to use
certified engines.
The Agency is finalizing the requirement that nonroad vehicle and
equipment manufacturers use appropriate handheld or nonhandheld
certified engines, effective with the 1997 model year. In EPA's view,
the most effective way to ensure that certified engines are used in
nonroad vehicles and equipment is to require such engines to be used.
CAA sections 213, 216, and 301 provide authority for this requirement,
since EPA is required to establish standards that apply to nonroad
engines and the vehicles and equipment in which they are used.
2. Separate Effective Date
The Agency requested comment on a separate effective date for
vehicle and equipment manufacturers, due to concern about inventories
of noncertified engines that could not be incorporated into vehicles or
equipment by the effective date. Most comments did not support a
separate effective date.
The Agency is not establishing a separate effective date for
nonroad vehicle or equipment manufacturers. The Agency recognizes that
certified engines are not likely to be available in the numbers needed
by nonroad vehicle and equipment manufacturers on the effective date,
and that these manufacturers will continue to use noncertified engines
built prior to the effective date until noncertified engine inventories
are used up and certified engines are available. As long as vehicle and
equipment manufacturers do not inventory engines outside of normal
business practices (that is, as long as they do not stockpile
noncertified engines), they will be considered to be in compliance. The
Agency is adding language to 40 CFR 90.1003(b)(4) to this effect.
Neither vehicle and equipment manufacturers nor dealers have any
obligation under this regulation to convert their inventories to
products with certified engines.
D. CO Standard
An association of engine manufacturers requested an increase in the
CO emission standard for Class I and II engines from the proposed level
of 402 g/kW-hr to 469 g/kW-hr. In summary, it requested that the
standard be raised so that industry can provide consumers, original
equipment manufacturers, and commercial and industrial users with a
more complete selection of engines (specifically mass market engines--
the largest market for small engines) that can meet the Phase 1 HC +
NOX limits and perform acceptably under nearly all operating
conditions.17
[[Page 34595]]
\17\ The association states that engine manufacturers have been
working for several years to develop products that will meet the
Phase 1 standards. Improvements in engine design have been made
sufficient to comply with the HC+NOX standard, but not meet the
402 g/kW-hr CO standard.
---------------------------------------------------------------------------
The Agency had to decide whether or not to grant this request based
on its assessment of the technological feasibility of providing an
adequate supply of Class I and II engines that could comply with the
proposed 402 g/kW-hr CO level for the entire nation. Based on the
information submitted, which is available in the docket for this
rulemaking, the Agency has decided that 469 g/kW-hr is the lowest
achievable CO standard for Classes I and II, given cost and lead time
constraints, and has set the standard accordingly.
An association of equipment manufacturers argued that 402 g/kW-hr
is too stringent for Class V engines and suggested that 603 g/kW-hr
would be a more appropriate standard. The Agency requested and received
further data and information to establish the appropriate limit for
these engines. Additionally, an EPA-performed benefits analysis showed
that the CO emission contribution in 2020 from Class V engines
complying with a 603 g/kW-hr standard would decrease the benefits of
this rule by only 0.7 percent when compared with the proposed standard
of 402 g/kW-hr. The environmental impact of this change is low due to
the small number of engines in this category.
Based on the technological feasibility information submitted and
the small benefits impact, EPA has concluded that the proposed 402 g/
kW-hr standard is not achievable for Phase 1 Class V engines. The
Agency has therefore decided to raise the CO standard for Class V
engines from the proposed 402 g/kW-hr to 603 g/kW-hr, which EPA
believes is the most stringent standard achievable for Phase 1 Class V
engines. Most, if not all, Class V engines are preempted from state
regulation as farm and construction equipment. Therefore, compatibility
with CARB is not of such importance for this engine class. However,
this position on Class V CO standards is applicable only to Phase 1 and
remains to be determined in upcoming Phase 2 regulations.
E. Labeling
The Agency received several comments on its proposed labeling
requirements. After considering the comments, EPA has decided to
provide equipment manufacturers with some additional flexibility
requested by commenters regarding compatibility with CARB's labeling
requirements. To reduce manufacturer burden and increase consistency
with CARB's requirements, EPA will accept a label that has been
approved by CARB and that contains language indicating federal
standards have also been met. The Agency will accept any of the
following: (1) A label for 50-state engine families having language
compatible with both CARB and EPA requirements, (2) a CARB label with
additional language to meet federal requirements for the 49-state
label, and (3) the EPA label.
The Agency will retain the provision described in the NPRM that
requires equipment and vehicle manufacturers to apply a supplemental
label if the original engine label is obscured. This provision is
consistent with CARB's approach, and ensures that owners, dealers, and
repair personnel will have access to necessary engine information
without disassembling the original vehicle or equipment.
In addition, EPA has dropped the unique engine identification
number requirement. Based on information supplied by engine
manufacturers and their associations, EPA has determined that the
information to be gained by requiring the unique number did not justify
the additional capital and administrative costs to the manufacturers.
Because no useful life time period or in-use standard is being
established, the Agency has decided to allow in-use testing and recall
on a voluntary basis for Phase 1 and, as a result, there is no need for
EPA to require the unique engine identification number.
V. Environmental Benefit Assessment
The Agency has determined that the standards set in this rule will
reduce emissions of HC and CO and, despite attendant increased
emissions of NOX, will help most areas come into compliance with
the National Ambient Air Quality Standards for ozone and, to a lesser
extent, CO. Table 2 provides a summary of the annual nationwide
emission impacts expected from this rule, beginning with the first full
year of implementation.18 Percentage reductions shown are as
compared to the projected levels from small SI engines if this rule
were not put into place. Note that annual emission reductions increase
greatly in the first few years of the program and level off as fleet
turnover is achieved; complete turnover is projected by the year 2020.
The underlying analysis and complete table of emission reductions are
provided in the Regulatory Support Document (RSD), a copy of which is
in the public docket for this rulemaking.
\18\ These figures are based on the assumption that
manufacturers of engines used in snowthrowers and ice augers will
opt to certify such engines to meet the applicable HC standards. To
the extent that this does not occur, estimated annual HC reductions,
and estimated annual NOX increases, would be reduced.
[[Page 34596]]
Table 2.--Environmental Impact
----------------------------------------------------------------------------------------------------------------
Annual HC reduction Annual CO reduction Annual NOX increase
Year --------------------------------------------------------------------------------
Tons Percent Tons Percent Tons Percent
----------------------------------------------------------------------------------------------------------------
1997........................... 102,800 13.1 244,600 2.7 11,000 67.5
2000........................... 221,600 26.9 538,700 5.5 23,900 137.6
2003........................... 262,700 30.5 651,400 6.3 27,800 150.7
2020........................... 339,000 32.4 865,200 6.7 36,300 154.4
----------------------------------------------------------------------------------------------------------------
VI. Economic Effects
The total national average annual cost of this rule is estimated to
be approximately $70 million. If catalysts become necessary, the
average annual cost is estimated to be approximately $87 million. The
net present value of pollution control capital costs is estimated by
EPA to be approximately $28 million. Energy impacts are expected to be
positive, freeing up approximately $8 million for other uses in the
economy.
The following summary presents aggregate costs broken down by
engines used in nonhandheld and those used in handheld
equipment.19 For greater detail of expected cost impacts, see the
RSD.
\19\ These estimate costs are based on the assumption that
manufacturers of engines used in snowthrowers and ice augers will
opt to certify such engines to meet the applicable HC standards. To
the extent that this does not occur, estimated industry cost impacts
and consumer cost impacts would be reduced, and cost-effectiveness
of the program would not be significantly changed, if at all.
---------------------------------------------------------------------------
A. Industry Cost Impacts
Industry will bear pollution control costs that are moderate:
roughly 6 percent for handheld and 2 percent for nonhandheld equipment
relative to current production costs. The level of pollution control
costs is largely due to the high levels of pollution emitted by these
engines, especially two-stroke engines, and the relatively outdated
state of the technology compared to on-highway engines. However, the
costs are still small in absolute terms, and it is anticipated that
these costs will be passed through to consumers in higher product
prices.
The Agency estimates that there will be no long run negative
impacts on employment as a result of this rule, as costs can be
recovered through increased prices. Any potential decreases in
employment that might occur due to obsolescence of product line should
be offset by increased production of engines meeting emission
standards. Total demand for these products has traditionally been
relatively inelastic and, thus, industry sales volume is not expected
to decrease.
On average, the cost to the engine manufacturer to install the
necessary emission control technology will be approximately $2 per
engine used in nonhandheld equipment and $3.50 per engine used in
handheld equipment. This includes variable hardware and production
costs, assuming that catalytic converters will not be needed to comply
with proposed standards. However, engine manufacturers may voluntarily
decide to use catalysts on a percentage of engines at risk of only
marginally complying. Should this occur, EPA estimates that the
additional variable hardware costs will be about $4 per catalyst-
equipped engine. Since catalysts are not expected to be used much, the
overall sales-weighted average increase due to catalyst usage is
estimated to be about $1 for engines used in nonhandheld equipment and
marginal for engines used in handheld equipment. It should be noted
that the costs between manufacturers will likely vary.
B. Consumer Cost Impacts
Consumers will find small increases in retail prices for most
equipment powered by these engines. The initial purchase price to the
consumer will, however, be partially or, in some cases, completely
offset by savings in fuel and maintenance costs. Thus, over time,
environmentally friendly equipment will become less costly to
consumers.
The retail price of equipment that uses nonhandheld engines ranges
from $90 to $9,000, and the retail price of equipment that uses
handheld engines ranges from $60 to $1,000. The sales-weighted average
increase in retail cost to the consumer due to the rule in 2003 is
estimated to be about $5 for nonhandheld equipment and $7 for handheld
equipment. If catalysts are necessary, the values in 2003 are about $7
for both nonhandheld and handheld equipment. The retail price effects
for a specific engine will likely be more or less these values,
depending on the technology of the engine; these are average, sales-
weighted costs, not indicative of the price increase specific to any
particular manufacturer's engine or equipment.
This rule is expected to decrease fuel consumption significantly.
The average sales-weighted engine is expected to experience a 26
percent decrease in fuel consumption for nonhandheld equipment and a 13
percent decrease in fuel consumption for handheld equipment. These
decreases are translated into small discounted lifetime sales-weighted
fuel savings of approximately $3 for nonhandheld equipment and marginal
for handheld equipment.
The Agency expects that the engines produced to meet the proposed
emission standards will be of higher quality than current engines: the
parts and raw materials will be more durable and less likely to
malfunction, as discussed in the RSD. This will result in equipment
that lasts longer and is operational a higher percentage of the time;
however, EPA is unable to quantify the attendant decrease in consumer
cost or increase in useful life at this time. The Agency requested
comments on the potential decrease in maintenance costs and increase in
useful life, but none were received that shed light on this topic.
Considering that the fuel savings offset the average increase in
retail price per engine, the average sales-weighted lifetime increase
in cost will be about $6.50 per handheld engine, while nonhandheld
engines will realize a lifetime savings of about $2.50 per engine. This
does not include the lifetime savings in maintenance costs, which
should further benefit the consumer.
C. Cost-Effectiveness
Based upon the costs and benefits described above, EPA has prepared
a cost-effectiveness analysis and has performed a Regulatory Impact
Analysis (RIA) for this rule, which is contained in the RSD. Presented
here is a summary of the cost-effectiveness of the small SI engine
Phase 1 program, assuming catalysts are not used.
If all program costs are allocated to HC, this rule has a cost-
effectiveness of $280 per ton of HC reduced.
[[Page 34597]]
Alternatively, if all program costs are allocated to CO, the cost-
effectiveness is $113 per ton of CO reduced. If the costs of the
program are equally split between HC and CO, the cost-effectiveness is
$140 per ton of HC reduced and $57 per ton of CO reduced. These cost-
effectiveness numbers are significantly lower than costs per ton of
other available control strategies. The cost-effectiveness estimates,
underlying quantitative methodology, and comparisons to other available
control strategies are explained further in the RSD.
In summary, the cost-effectiveness of the rule is favorable
relative to the cost-effectiveness of several other control measures
required under the Clean Air Act. To the extent that cost-effective
nationwide controls are applied to small SI engines, the need to apply
more expensive additional controls to other mobile and stationary
sources of air pollution may be reduced in the future.
VII. Administrative Requirements
A. Administrative Designation and Regulatory Analysis
Under Executive Order 12866,20 the Agency must determine
whether the regulatory action is ``significant'' and therefore subject
to OMB review 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:
\20\ 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 entitlement, grants,
user fees, or loan programs or the rights and obligations of recipients
thereof;
(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, it has been
determined that this rule is a ``significant regulatory action''
because this rulemaking adversely affects in a material way a sector of
the economy, namely manufacturers of small SI engines, particularly the
manufacturers who specialize in the production of small handheld
engines. Further, EPA believes that an RIA is important for this rule
because small SI engines have not previously been regulated. As such,
this action was submitted to OMB for review. Changes made in response
to OMB suggestions or recommendations are documented in the public
record.
B. Paperwork Reduction Act
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. Copies of the
ICR document may be obtained from Sandy Farmer, Information Policy
Branch, EPA, 401 M Street, SW (PM-223Y), Washington, DC 20460 or by
calling (202) 260-2740.
Table 3 provides a listing of this rulemaking's information
collection requirements along with the appropriate information
collection request (ICR) numbers. The cost of this burden has been
incorporated into the cost estimate for this rule.
The Agency has estimated that the public reporting burden for the
collection of information required under this rule would average
approximately 5,800 hours annually for a typical engine
manufacturer.21 The hours spent by a manufacturer on information
collection activities in any given year would be highly dependent upon
manufacturer specific variables, such as the number of engine families,
production changes, emission defects, etc.
\21\ This estimate is based on the assumption that manufacturers
of engines used in snowthrowers and ice augers will opt to certify
those engines to meet the applicable HC standards. To the extent
that this does occur, the Agency does not estimate the average
reporting burden will change.
Table 3.--Public Reporting Burden
------------------------------------------------------------------------
OMB control
EPA ICR No. Type of information no.
------------------------------------------------------------------------
1695.02...................... Certification............... 2060-0338
0282.06...................... Emission Defect Information. 2060-0048
1673.01...................... Importation of Nonconforming 2060-0294
Engines.
1674.01...................... Selective Enforcement 2060-0295
Auditing.
0012.07...................... Engine Exclusion 2060-0124
Determination.
0095.03...................... Pre-certification and 2060-0007
Testing Exemption.
1675.01...................... In-use Testing (proposed; 2060-0292
not finalized).
------------------------------------------------------------------------
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.''
C. Unfunded Mandates Act
Section 202 of the Unfunded Mandates Reform Act of 1995 (``Unfunded
Mandates Act'') (signed into law on March 22, 1995) requires that the
Agency prepare a budgetary impact statement before promulgating a rule
that includes a Federal mandate that may result in expenditure by
State, local, and tribal governments, in aggregate, or by the private
sector, of $100 million or more in any one year. Section 203 requires
the Agency to establish a plan for obtaining input from and informing,
educating, and advising any small governments that may be significantly
or uniquely affected by the rule.
Under section 205 of the Unfunded Mandates Act, the Agency must
identify and consider a reasonable number of regulatory alternatives
before promulgating a rule for which a budgetary impact statement must
be prepared. The Agency must select from those alternatives the least
costly, most cost-effective, or least burdensome alternative that
achieves the objectives of the rule, unless the Agency explains why
this alternative is not selected or the selection of this alternative
is inconsistent with law.
Because this final rule is estimated to result in the expenditure
by State, local, and tribal governments or the private sector of less
than $100 million in any one year, the Agency has not prepared a
budgetary impact statement or specifically addressed the selection of
the least costly, most cost-effective or least burdensome alternative.
Because small governments will not be significantly or uniquely
affected by this rule, the Agency is not required to develop a plan
with regard to small governments.
D. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601, et seq.) requires EPA
to consider potential impacts of proposed regulations on small business
``entities.'' If a preliminary analysis indicates that a proposed
regulation would have a significant economic impact on 20 percent or
more of small entities, then a regulatory flexibility analysis must be
prepared.
[[Page 34598]]
The Agency has recently adopted a new approach to regulatory
flexibility: for purposes of EPA's implementation of the Act, any
impact is a significant impact, and any number of small entities is a
substantial number.22 Thus, EPA will consider regulatory options
for every regulation subject to the Act that can reasonably be expected
to have an impact on small entities. In light of this new approach, EPA
has determined that this rule will have a significant effect on a
substantial number of small entities. As a result, EPA tailored this
rule to minimize the cost burdens imposed on smaller engine
manufacturers. (See ``Small Entities'' in the Response to Comments for
more discussion and comments.)
\22\ Habicht, F. Henry II, Deputy Administrator, Internal EPA
Memorandum, ``Revised Guidelines for Implementing the Regulatory
Flexibility Act,'' April 9, 1992.
---------------------------------------------------------------------------
The regulations contain certification requirements for new engines,
Selective Enforcement Auditing provisions for the testing of production
engines, and prohibitions on incorrect engine use for equipment
manufacturers. For example, the SEA program is structured such that
manufacturers with lower annual production volumes have a decreased
testing burden. Even though consideration was given to small entities
in developing the requirements of this rule, it has recently come to
EPA's attention that there may be a few businesses that are so small
that even the reduced requirements could threaten their livelihood. In
light of this, the Agency is currently considering exemptions or
flexible requirements for small entities for all of its nonroad rules.
List of Subjects in 40 CFR Parts 9 and 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.
Dated: May 30, 1995.
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 9--[AMENDED]
1. The authority citation for part 9 continues to read as follows:
Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 2003,
2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33
U.S.C. 1251 et seq., 1311, 1313d, 1314, 1321, 1326, 1330, 1334,
1345(d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971-1975
Comp p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-1,
300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2, 300j-3,
300j-4, 300j-9, 1857 et seq., 6901-6992(k), 7401-7671(q), 7542,
9601-9657, 11023, 11048.
2. Section 9.1 is amended by adding new entries and a new heading
to the table to read as follows:
Sec. 9.1 OMB approvals under the Paperwork Reduction Act.
* * * * *
------------------------------------------------------------------------
OMB control
40 CFR citation No.
------------------------------------------------------------------------
* * * * *
Control of Emissions From New and In-use Nonroad Engines
90.107-90.108.............................................. 2060-0338
90.113..................................................... 2060-0338
90.115-90.124.............................................. 2060-0338
90.126..................................................... 2060-0338
90.304-90.329.............................................. 2060-0338
90.404-90.427.............................................. 2060-0338
90.505-90.509.............................................. 2060-0295
90.511-90.512.............................................. 2060-0295
90.604..................................................... 2060-0294
90.611-90.613.............................................. 2060-0294
90.800..................................................... 2060-0048
90.802-90.804.............................................. 2060-0048
90.806..................................................... 2060-0048
90.903..................................................... 2060-0124
90.905-90.906.............................................. 2060-0007
------------------------------------------------------------------------
3. Part 90 is added to read as follows:
PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES
Subpart A--General
Sec.
90.1 Applicability.
90.2 Effective dates.
90.3 Definitions.
90.4 Treatment of confidential information.
90.5 Acronyms and abbreviations.
90.6 Table and figure numbering; position.
90.7 Reference materials.
Subpart B--Emission Standards and Certification Provisions
90.101 Applicability.
90.102 Definitions.
90.103 Exhaust emission standards.
90.104 Compliance with emission standards.
90.105 Useful life period.
90.106 Certificate of conformity.
90.107 Application for certification.
90.108 Certification.
90.109 Requirement of certification--closed crankcase.
90.110 Requirement of certification--prohibited controls.
90.111 Requirement of certification--prohibition of defeat devices.
90.112 Requirement of certification--adjustable parameters.
90.113 In-use testing programs.
90.114 Requirement of certification--engine information label.
90.115 Requirement of certification--supplying production engines
upon request.
90.116 Certification procedure--determining engine displacement,
engine class, and engine families.
90.117 Certification procedure--test engine selection.
90.118 Certification procedure--service accumulation.
90.119 Certification procedure--testing.
90.120 Certification procedure--use of special test procedures.
90.121 Certification procedure--recordkeeping.
90.122 Amending the application and certificate of conformity.
90.123 Denial, revocation of certificate of conformity.
90.124 Request for hearing.
90.125 Hearing procedures.
90.126 Right of entry and access.
Subpart C--[Reserved]
Subpart D--Emission Test Equipment Provisions
90.301 Applicability.
90.302 Definitions.
90.303 Symbols, acronyms, abbreviations.
90.304 Test equipment overview.
90.305 Dynamometer specifications and calibration accuracy.
90.306 Dynamometer torque cell calibration.
90.307 Engine cooling system.
90.308 Lubricating oil and test fuels.
90.309 Engine intake air temperature measurement.
90.310 Engine intake air humidity measurement.
90.311 Test conditions.
90.312 Analytical gases.
90.313 Analyzers required.
90.314 Analyzer accuracy and specifications.
90.315 Analyzer initial calibration.
90.316 Hydrocarbon analyzer calibration.
90.317 Carbon monoxide analyzer calibration.
90.318 Oxides of nitrogen analyzer calibration.
90.319 NOX converter check.
90.320 Carbon dioxide analyzer calibration.
90.321 NDIR analyzer calibration.
90.322 Calibration of other equipment.
90.323 Analyzer bench checks.
90.324 Analyzer leakage check.
90.325 Analyzer interference checks.
90.326 Pre-and post-test analyzer calibration.
90.327 Sampling system requirements.
90.328 Measurement equipment accuracy/calibration frequency table.
90.329 Catalyst thermal stress test.
Appendix A to Subpart D--Tables
Appendix B to Subpart D--Figures
Subpart E--Gaseous Exhaust Test Procedures
90.401 Applicability.
90.402 Definitions.
90.403 Symbols, acronyms, and abbreviations.
[[Page 34599]]
90.404 Test procedure overview.
90.405 Recorded information.
90.406 Engine parameters to be measured and recorded.
90.407 Engine inlet and exhaust systems.
90.408 Pre-test procedures.
90.409 Engine dynamometer test run.
90.410 Engine test cycle.
90.411 Post-test analyzer procedures.
90.412 Data logging.
90.413 Exhaust sample procedure--gaseous components.
90.414 Raw gaseous exhaust sampling and analytical system
description.
90.415 Raw gaseous sampling procedures.
90.416 Intake air flow measurement specifications.
90.417 Fuel flow measurement specifications.
90.418 Data evaluation for gaseous emissions.
90.419 Raw emission sampling calculations--gasoline fueled engines.
90.420 CVS concept of exhaust gas sampling system.
90.421 Dilute gaseous exhaust sampling and analytical system
description.
90.422 Background sample.
90.423 Exhaust gas analytical system; CVS grab sample.
90.424 Dilute sampling procedures--CVS calibration.
90.425 CVS calibration frequency.
90.426 Dilute emission sampling calculations--gasoline fueled
engines.
90.427 Catalyst thermal stress resistance evaluation.
Appendix A to Subpart E--Tables
Appendix B to Subpart E--Figures
Subpart F--Selective Enforcement Auditing
90.501 Applicability.
90.502 Definitions.
90.503 Test orders.
90.504 Testing by the Administrator.
90.505 Maintenance of records; submittal of information.
90.506 Right of entry and access.
90.507 Sample selection.
90.508 Test procedures.
90.509 Calculation and reporting of test results.
90.510 Compliance with acceptable quality level and passing and
failing criteria for selective enforcement audits.
90.511 Suspension and revocation of certificates of conformity.
90.512 Request for public hearing.
90.513 Administrative procedures for public hearing.
90.514 Hearing procedures.
90.515 Appeal of hearing decision.
90.516 Treatment of confidential information.
Appendix A to Subpart F--Sampling Plans for Selective Enforcement
Auditing of Nonroad Engines
Subpart G--Importation of Nonconforming Engines
90.601 Applicability.
90.602 Definitions.
90.603 (Reserved)
90.604 General requirements.
90.605-90.610 (Reserved)
90.611 Importation for purposes other than resale.
90.612 Exemptions and exclusions.
90.613 Prohibited acts; penalties.
90.614 Treatment of confidential information.
Subpart H--[Reserved]
Subpart I--Emission-related Defect Reporting Requirements, Voluntary
Emission Recall Program
90.801 Applicability.
90.802 Definitions.
90.803 Emission defect information report.
90.804 Voluntary emissions recall.
90.805 Reports, voluntary recall plan filing, record retention.
90.806 Responsibility under other legal provisions preserved.
90.807 Disclaimer of production warranty applicability.
Subpart J--Exclusion and Exemption of Nonroad Engines From Regulations
90.901 Applicability.
90.902 Definitions.
90.903 Exclusions, applications of section 216(10) of the Act.
90.904 Who may request an exemption.
90.905 Testing exemption.
90.906 Manufacturer-owned exemption and precertification exemption.
90.907 Display exemption.
90.908 National security exemption.
90.909 Export exemptions.
90.910 Granting of exemptions.
90.911 Submission of exemption requests.
90.912 Treatment of confidential information.
Subpart K--Prohibited Acts and General Enforcement Provisions
90.1001 Applicability.
90.1002 Definitions.
90.1003 Prohibited acts.
90.1004 General enforcement provisions.
90.1005 Injunction proceedings for prohibited acts.
90.1006 Penalties.
Subpart L--Emission Warranty and Maintenance Instructions
90.1101 Applicability.
90.1102 Definitions.
90.1103 Emission warranty, warranty period.
90.1104 Furnishing of maintenance instructions to ultimate
purchaser.
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)).
Subpart A--General
Sec. 90.1 Applicability.
(a) This part applies to nonroad spark-ignition engines and
vehicles that have a gross power output at or below 19 kilowatts (kW)
and that are used for any purpose.
(b) Notwithstanding paragraph (a) of this section, the following
nonroad engines and vehicles are not subject to the provisions of this
part:
(1) Engines used to propel marine vessels as defined in the General
Provisions of the United States Code, 1 U.S.C. 3 (1992);
(2) Engines that are both:
(i) Used in underground mining or in underground mining equipment;
and
(ii) Regulated by the Mining Safety and Health Administration
(MSHA) in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75;
(3) Engines used in motorcycles and regulated in 40 CFR part 86,
subpart E;
(4) Engines used in aircraft as that term is defined in 40 CFR
87.1(a);
(5) Engines used in recreational vehicles and which are defined by
the following criteria:
(i) The engine's rated speed is greater than or equal to 5,000 RPM;
(ii) The engine has no installed speed governor;
(iii) The engine is not used for the propulsion of a marine vessel;
and
(iv) The engine does not meet the criteria to be categorized as a
Class III, IV, or V engine, as indicated in Sec. 90.103.
(c) Engines subject to the provisions of this subpart are also
subject to the provisions of subparts B, D, E, F, G, I, J, K, and L of
this part.
Sec. 90.2 Effective dates.
(a) This subpart applies to nonroad spark-ignition engines at or
below 19 kW effective with the 1997 model year.
(b) Notwithstanding paragraph (a) of this section, this subpart
applies to class V engines, as specified in Sec. 90.116(b)(5), that are
preempted from regulation in California by section 209(e)(1)(A) of the
Act, effective January 1, 1998.
Sec. 90.3 Definitions.
The following definitions apply to part 90. All terms not defined
herein have the meaning given them in the Act.
Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
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 (AECD) means any element of
design that senses temperature, vehicle speed, engine RPM, transmission
gear, or any
[[Page 34600]]
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission control system.
Certification means, with respect to new nonroad engines, obtaining
a certificate of conformity for an engine family complying with the
nonroad engine emission standards and requirements specified in this
part.
Emission control system means any device, system, or element of
design which controls or reduces the emission of substances from an
engine.
Engine as used in this part, refers to nonroad engine.
Engine family means a group of engines, as specified in
Sec. 90.116.
Engine manufacturer means any person engaged in the manufacturing
or assembling of new nonroad engines or the importing of such engines
for resale, or who acts for and is under the control of any such person
in connection with the distribution of such engines. Engine
manufacturer does not include any dealer with respect to new nonroad
engines received by such person in commerce.
EPA enforcement officer means any officer, employee, or authorized
representative of the U.S. Environmental Protection Agency so
designated in writing by the Administrator (or by his or her designee).
Exhaust emissions means matter emitted into the atmosphere from any
opening downstream from the exhaust port of a nonroad engine.
Fuel system means all components involved in the transport,
metering, and mixture of the fuel from the fuel tank to the combustion
chamber(s) including the following: fuel tank, fuel tank cap, fuel
pump, fuel lines, oil injection metering system, carburetor or fuel
injection components, and all fuel system vents.
Gross power means the power measured at the crankshaft or its
equivalent, the engine being equipped only with the standard
accessories (such as oil pumps, coolant pumps, and so forth) necessary
for its operation on the test bed.
Handheld equipment engine means a nonroad engine that meets the
requirements specified in Sec. 90.103(a)(2) (i) through (iv).
Model year (MY) means the manufacturer's annual new model
production period which includes January 1 of the calendar year, ends
no later than December 31 of the calendar year, and does not begin
earlier than January 2 of the previous calendar year. Where a
manufacturer has no annual new model production period, model year
means calendar year.
New, for the purposes of this part, means a nonroad engine or
nonroad vehicle the equitable or legal title to which has never been
transferred to an ultimate purchaser. Where the equitable or legal
title to the engine or vehicle is not transferred to an ultimate
purchaser until after the engine or vehicle is placed into service,
then the engine or vehicle will no longer be new after it is placed
into service. A nonroad engine or vehicle is placed into service when
it is used for its functional purposes. With respect to imported
nonroad engines or nonroad vehicles, the term ``new'' means an engine
or vehicle that is not covered by a certificate of conformity issued
under this part at the time of importation, and that is manufactured
after the effective date of a regulation issued under this part which
is applicable to such engine or vehicle (or which would be applicable
to such engine or vehicle had it been manufactured for importation into
the United States).
Nonroad engine means:
(1) Except as discussed in paragraph (2) of this definition, any
internal combustion engine:
(i) In or on a piece of equipment that is self-propelled or serves
a dual purpose by both propelling itself and performing another
function (such as garden tractors, off-highway mobile cranes, and
bulldozers); or
(ii) In or on a piece of equipment that is intended to be propelled
while performing its function (such as lawnmowers and string trimmers);
or
(iii) That, by itself or in or on a piece of equipment, is portable
or transportable, meaning designed to be and capable of being carried
or moved from one location to another. Indicia of transportability
include, but are not limited to, wheels, skids, carrying handles,
dolly, trailer, or platform.
(2) An internal combustion engine is not a nonroad engine if:
(i) The engine is used to propel a motor vehicle or a vehicle used
solely for competition, or is subject to standards promulgated under
section 202 of the Act; or
(ii) The engine is regulated by a federal New Source Performance
Standard promulgated under section 111 of the Act; or
(iii) The engine otherwise included in paragraph (1)(iii) of this
definition remains or will remain at a location for more than 12
consecutive months or a shorter period of time for an engine located at
a seasonal source. A location is any site at a building, structure,
facility, or installation. Any engine (or engines) that replaces an
engine at a location and that is intended to perform the same or
similar function as the engine replaced will be included in calculating
the consecutive time period. An engine located at a seasonal source is
an engine that remains at a seasonal source during the full annual
operating period of the seasonal source. A seasonal source is a
stationary source that remains in a single location on a permanent
basis (i.e., at least two years) and that operates at that single
location approximately three months (or more) each year. This paragraph
does not apply to an engine after the engine is removed from the
location.
Nonroad vehicle means a vehicle that is powered by a nonroad engine
as defined in this section and that is not a motor vehicle or a vehicle
used solely for competition. Nonroad vehicle also includes equipment
that is powered by nonroad engines.
Nonroad vehicle manufacturer means any person engaged in the
manufacturing or assembling of new nonroad vehicles or importing such
vehicles for resale, or who acts for and is under the control of any
such person in connection with the distribution of such vehicles. A
nonroad vehicle manufacturer does not include any dealer with respect
to new nonroad vehicles received by such person in commerce.
Operating hours means:
(1) For engine storage areas or facilities, all times during which
personnel other than custodial personnel are at work in the vicinity of
the storage area or facility and have access to it.
(2) For all other areas or facilities, all times during which an
assembly line is in operation or all times during which testing,
maintenance, service accumulation, production or compilation of
records, or any other procedure or activity related to certification
testing, to translation of designs from the test stage to the
production stage, or to engine manufacture or assembly is being carried
out in a facility.
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 vehicle or engine malfunction, or those actions anticipated
as necessary to correct an overt indication of malfunction or failure
for which
[[Page 34601]]
periodic maintenance is not appropriate.
Test engine means the engine or group of engines that a
manufacturer uses during certification to determine compliance with
emission standards.
Ultimate purchaser means, with respect to any new nonroad engine or
new nonroad vehicle, the first person who in good faith purchases such
new nonroad engine or vehicle for purposes other than resale.
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. 90.4 Treatment of confidential information.
(a) Any manufacturer may assert that some or all of the information
submitted pursuant to this part is entitled to confidential treatment
as provided by part 2, subpart B of this chapter.
(b) Any claim of confidentiality must accompany the information at
the time it is submitted to EPA.
(c) To assert that information submitted pursuant to this subpart
is confidential, a manufacturer must indicate clearly the items of
information claimed confidential by marking, circling, bracketing,
stamping, or otherwise specifying the confidential information.
Furthermore, EPA requests, but does not require, that the submitter
also provide a second copy of its submittal from which all confidential
information has been deleted. If a need arises to publicly release
nonconfidential information, EPA will assume that the submitter has
accurately deleted the confidential information from this second copy.
(d) If a claim is made that some or all of the information
submitted pursuant to this subpart is entitled to confidential
treatment, the information covered by that confidentiality claim will
be disclosed by the Administrator only to the extent and by means of
the procedures set forth in part 2, subpart B of this chapter.
(e) Information provided without a claim of confidentiality at the
time of submission may be made available to the public by EPA without
further notice to the submitter, in accordance with
Sec. 2.204(c)(2)(i)(A) of this chapter.
Sec. 90.5 Acronyms and abbreviations.
The following acronyms and abbreviations apply to part 90.
AECD--Auxiliary emission control device
ASME--American Society of Mechanical Engineers
ASTM--American Society for Testing and Materials
CAA--Clean Air Act
CAAA--Clean Air Act Amendments of 1990
CLD--chemiluminescent detector
CO--Carbon monoxide
CO2--Carbon dioxide
EPA--Environmental Protection Agency
FTP--Federal Test Procedure
g/kW-hr--grams per kilowatt hour
HC--hydrocarbons
HCLD--heated chemiluminescent detector
HFID--heated flame ionization detector
ICI--independent Commercial Importer
NDIR--non-dispersive infrared analyzer
NIST--National Institute for Standards and Testing
NO--Nitric oxide
NO2--Nitrogen dioxide
NOX--Oxides of nitrogen
O2--Oxygen
OEM--original equipment manufacturer
PMD--paramagnetic detector
SAE--Society of Automotive Engineers
SEA--Selective Enforcement Auditing
SI--spark-ignition
U.S.C.--United States Code
VOC--Volatile organic compounds
ZROD--zirconiumdioxide sensor
Sec. 90.6 Table and figure numbering; position.
(a) Tables for each subpart appear in an appendix at the end of the
subpart. Tables are numbered consecutively by order of appearance in
the appendix. The table title will indicate the topic.
(b) Figures for each subpart appear in an appendix at the end of
the subpart. Figures are numbered consecutively by order of appearance
in the appendix. The figure title will indicate the topic.
Sec. 90.7 Reference materials.
(a) Incorporation by reference. The documents in paragraph (b) of
this section have been incorporated by reference. The incorporation by
reference was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be
inspected at U.S. EPA Air and Radiation Docket, room M-1500, 401 M
Street, S.W., Washington D.C. 20460, or at the Office of the Federal
Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
(b) The following paragraphs and tables set forth the material that
has been incorporated by reference in this part.
(1) ASTM material. The following table sets forth material from the
American Society for Testing and Materials which has been incorporated
by reference. The first column lists the number and name of the
material. The second column lists the section(s) of this part, other
than Sec. 90.7, in which the matter is referenced. The second column is
presented for information only and may not be all inclusive. Copies of
these materials may be obtained from American Society for Testing and
Materials, 1916 Race St., Philadelphia, PA 19103.
----------------------------------------------------------------------------------------------------------------
Document number and name 40 CFR part 90 reference
----------------------------------------------------------------------------------------------------------------
ASTM D86-93:
Standard Test Method for Distillation of Petroleum Products. Appendix A to subpart D, Table 3.
ASTM D1319-89:
Standard Test Method for Hydrocarbon Types in Liquid Appendix A to subpart D, Table 3.
Petroleum Products by Fluorescent Indicator Adsorption.
ASTM D2622-92:
Standard Test Method for Sulfur in Petroleum Products by X- Appendix A to subpart D, Table 3.
ray Spectrometry.
ASTM D2699-92:
Standard Test Method for Knock Characteristics of Motor Appendix A to subpart D, Table 3.
Fuels by the Research Method.
ASTM D2700-92:
Standard Test Method for Knock Characteristics of Motor and Appendix A to subpart D, Table 3.
Aviation Fuels by the Motor Method.
ASTM D3231-89:
Standard Test Method for Phosphorus in Gasoline............. Appendix A to subpart D, Table 3.
ASTM D3606-92:
Standard Test Method for Determination of Benzene and Appendix A to subpart D, Table 3.
Toluene in Finished Motor and Aviation Gasoline by Gas
Chromatography.
ASTM D5191-93a:
Standard Test Method for Vapor Pressure of Petroleum Appendix A to subpart D, Table 3.
Products (Mini Method).
[[Page 34602]]
ASTM E29-93a:
Standard Practice for Using Significant Digits in Test Data 90.116; 90.509.
to Determine Conformance with Specifications.
----------------------------------------------------------------------------------------------------------------
(2) SAE material. The following table sets forth material from the
Society of Automotive Engineers which has been incorporated by
reference. The first column lists the number and name of the material.
The second column lists the section(s) of this part, other than
Sec. 90.7, in which the matter is referenced. The second column is
presented for information only and may not be all inclusive. Copies of
these materials may be obtained from Society of Automotive Engineers
International, 400 Commonwealth Dr., Warrendale, PA 15096-0001.
------------------------------------------------------------------------
40 CFR part
Document number and name 90
reference
------------------------------------------------------------------------
SAE J1930 September 1991, Electrical/Electronic Systems
Diagnostic Terms, Definitions, Abbreviations and Acronyms. 90.114
SAE Paper 770141, Optimization of a Flame Ionization
Detector for Determination of Hydrocarbon in Diluted
Automotive Exhausts, Glenn D. Reschke, 1977............... 90.316
------------------------------------------------------------------------
Subpart B--Emission Standards and Certification Provisions
Sec. 90.101 Applicability.
The requirements of subpart B are applicable to all nonroad engines
and vehicles subject to the provisions of subpart A of part 90.
Sec. 90.102 Definitions.
The definitions in subpart A of part 90 apply to this subpart. All
terms not defined herein or in subpart A have the meaning given them in
the Act. The following definitions also apply to this subpart.
Attitudinal control means the operator regulates either the
horizontal or vertical position of the equipment, or both.
Carry means the operator completely bears the weight of the
equipment, including the engine.
Support means that the operator holds the equipment in position so
as to prevent it from falling, slipping or sinking. It is not necessary
for the entire weight of the equipment to be borne by the operator.
Sec. 90.103 Exhaust emission standards.
(a) Exhaust emissions from new nonroad spark-ignition engines at or
below 19 kilowatts (kW), effective with the 1997 model year, shall not
exceed the following levels:
Exhaust Emission Standards (grams per kilowatt-hour)
------------------------------------------------------------------------
Engine Hydrocarbon
displacement plus oxides of Hydrocarbon Carbon Oxides of
class nitrogen monoxide nitrogen
------------------------------------------------------------------------
I 16.1 ............... 469 ...........
II 13.4 ............... 469 ...........
III ............... 295 805 5.36
IV ............... 241 805 5.36
V ............... 161 603 5.36
------------------------------------------------------------------------
(1) Each engine displacement class has a unique set of exhaust
emission standards. Boundaries for each class are indicated in
Sec. 90.116(b).
(2) Emission standards for classes III, IV, V may be used only if
an engine meets at least one of the following requirements:
(i) The engine must be used in a piece of equipment that is carried
by the operator throughout the performance of its intended function(s);
(ii) The engine must be used in a piece of equipment that must
operate multipositionally, such as upside down or sideways, to complete
its intended function(s);
(iii) The engine must be used in a piece of equipment for which the
combined engine and equipment dry weight is under 14 kilograms, no more
than two wheels are present on the equipment, and at least one of the
following attributes is also present:
(A) The operator must alternately provide support or carry the
equipment throughout the performance of its intended function(s);
(B) The operator must provide support or attitudinal control for
the equipment throughout the performance of its intended function(s);
and
(C) The engine must be used in a generator or pump;
(iv) The engine must be used to power one-person augers, with a
combined engine and equipment dry weight under 20 kilograms.
(3) Notwithstanding paragraph (a)(2) of this section, two-stroke
engines used to power lawnmowers may meet class III, IV, or V standards
until model year 2003.
(4) Notwithstanding paragraph (a)(2) of this section, two-stroke
engines used to power snowthrowers may meet class III, IV, or V
standards.
(5) Notwithstanding paragraph (a)(2) of this section, engines used
exclusively to power snowthrowers or ice augers, at the option of the
engine manufacturer, need not certify to or comply with standards
regulating emissions of hydrocarbons. If the manufacturer exercises the
option to certify to standards regulating such emissions, such engines
must meet such standards. If the engine produced by the manufacturer is
to be used in any equipment or vehicle other than a snowthrower or ice
auger, it must be certified to the applicable standard regulating
emissions of hydrocarbons.
[[Page 34603]]
(b) Exhaust emissions will be measured using the procedures set
forth in subpart E of this part.
Sec. 90.104 Compliance with emission standards.
(a) If all test engines representing an engine family have
emissions less than or equal to each emission standard in a given
engine displacement class, that family complies with that class of
emission standards.
(b) If any test engine representing an engine family has emissions
greater than any one emission standard in a given engine displacement
class, that family will be deemed not in compliance with that class of
emission standards.
(c) If catalysts are used in an engine family, the engine
manufacturer must affirm that catalyst durability has been confirmed on
the basis of the evaluation procedure that is specified in subpart E of
this part.
Sec. 90.105 Useful life period.
A useful life period for engines subject to the provisions of
subpart A of this part will be set by the Agency in the second phase of
small engine regulation and will be promulgated no later than April 30,
1997.
Sec. 90.106 Certificate of conformity.
(a) Except as specified in Sec. 90.2(b), every manufacturer of new
engines produced during or after model year 1997 must obtain a
certificate of conformity covering such engines; however, engines
manufactured during an annual production period beginning prior to
September 1, 1996 are not required to be certified.
(b)(1) The annual production period begins either when an engine
family is first produced or on January 2 of the calendar year preceding
the year for which the model year is designated, whichever date is
later. The annual production period ends either when the last engine is
produced or on December 31 of the calendar year for which the model
year is named, whichever date is sooner.
(2) Notwithstanding paragraph (b)(1) of this section, annual
production periods beginning prior to September 1, 1996 may not exceed
12 months in length.
(c) Except as provided in paragraph (d) of this section, a
certificate of conformity is deemed to cover the engines named in such
certificate and produced during the annual production period, as
defined in paragraph (b) of this section.
(d) Except as provided in paragraph (e) of this section, the
certificate of conformity must be obtained from the Administrator prior
to selling, offering for sale, introducing into commerce, or importing
into the United States the new engine. Engines produced prior to the
effective date of a certificate of conformity may also be covered by
the certificate, once it is effective, if the following conditions are
met:
(1) The engines conform in all respects to the engines described in
the application for the certificate of conformity.
(2) The engines are not sold, offered for sale, introduced into
commerce, or delivered for introduction into commerce prior to the
effective date of the certificate of conformity.
(3) EPA is notified prior to the beginning of production when such
production will start, and EPA is provided a full opportunity to
inspect and/or test the engines during and after their production. EPA
must have the opportunity to conduct SEA production line testing as if
the vehicles had been produced after the effective date of the
certificate.
(e) Engines that are certified by EPA prior to January 2, 1996 for
model year 1997 may be delivered for introduction into commerce prior
to January 2, 1996 once a certificate of conformity has been issued.
(f) Engines imported by an original equipment manufacturer after
December 31 of the calendar year for which the model year is named are
still covered by the certificate of conformity as long as the
production of the engine was completed before December 31 of that year.
Sec. 90.107 Application for certification.
(a) For each engine family, the engine manufacturer must submit to
the Administrator a completed application for a certificate of
conformity.
(b) The application must be approved and signed by the authorized
representative of the manufacturer.
(c) The application must be updated and corrected by amendment as
provided in Sec. 90.122 to accurately reflect the manufacturer's
production.
(d) Required content. Each application must include the following
information:
(1) A description of the basic engine design including, but not
limited to, the engine family specifications;
(2) An explanation of how the emission control system operates,
including a detailed description of all emission control system
components (Detailed component calibrations are not required to be
included; they must be provided if requested, however.), each auxiliary
emission control device (AECD), and all fuel system components to be
installed on any production or test engine(s);
(3) Proposed test engine(s) selection and the rationale for the
test engine(s) selection;
(4) Special or alternate test procedures, if applicable;
(5) A 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) The proposed maintenance instructions the manufacturer will
furnish to the ultimate purchaser of each new nonroad engine and the
proposed engine information label;
(8) All test data obtained by the manufacturer on each test engine;
(9) A statement that the test engine(s), as described in the
manufacturer's application for certification, has been tested in
accordance with the applicable test procedures, utilizing the fuels and
equipment required under subparts D and E of this part, and that on the
basis of such tests the engine(s) conforms to the requirements of this
part; and
(10) An unconditional statement certifying that all engines in the
engine family comply with all requirements of this part and the Clean
Air Act.
(e)(1) In addition to the information specified in paragraph (d) of
this section, manufacturers of two-stroke lawnmower engines must submit
with their application for a certificate of conformity:
(i) For model year 1997, information establishing the highest
number of two-stroke lawnmower engines produced in a single annual
production period from 1992 through 1994. This number will be known as
the production baseline.
(ii) For model years 1998 through 2002, information documenting the
previous year's production and
[[Page 34604]]
projected production for the current year.
(2) In model year 1997, two-stroke lawnmower engine manufacturers
may produce up to 100 percent of their production baseline established
under paragraph (e)(1)(i) of this section.
(3) In model year 1998, two-stroke lawnmower engine manufacturers
may produce up to 75 percent of their production baseline.
(4) From model years 1999 through 2002, two-stroke lawnmower engine
manufacturers may produce up to 50 percent of their production
baseline.
(5) In model year 2003, two-stroke lawnmower engine manufacturers
must meet class I or II standards specified in Sec. 90.103(a). If in
model year 2003 those standards have been superseded by Phase 2
standards, two-stroke lawnmower engine manufacturers must meet the
Phase 2 standards that are equivalent to the class I or II standards.
(f) At the Administrator's request, the manufacturer must supply
such additional information as may be required to evaluate the
application including, but not limited to, projected nonroad engine
production.
Sec. 90.108 Certification.
(a) If, after a review of the manufacturer's submitted application,
information obtained from any inspection, and such other information as
the Administrator may require, the Administrator determines that the
application is complete and that the engine family meets the
requirements of this part and the Clean Air Act, the Administrator
shall issue a certificate of conformity.
(b) The Administrator shall give a written explanation when
certification is denied. The manufacturer may request a hearing on a
denial. (See Sec. 90.124 for procedure.)
Sec. 90.109 Requirement of certification--closed crankcase.
(a) An engine's crankcase must be closed.
(b) For purposes of this section, ``crankcase'' means the housing
for the crankshaft and other related internal parts.
Sec. 90.110 Requirement of certification--prohibited controls.
(a) An engine may not be equipped with an emission control device,
system, or element of design for the purpose of complying with emission
standards if such device, system, or element of design will cause or
contribute to an unreasonable risk to public health, welfare, or safety
in its operation or function.
(b) 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. 90.111 Requirement of certification--prohibition of defeat
devices.
(a) An engine may not be equipped with a defeat device.
(b) For purposes of this section, ``defeat device'' means any
device, system, or element of design which senses operation outside
normal emission test conditions and reduces emission control
effectiveness.
(1) Defeat device includes any auxiliary emission control device
(AECD) that reduces the effectiveness of the emission control system
under conditions which may reasonably be expected to be encountered in
normal operation and use unless such conditions are included in the
test procedure.
(2) Defeat device does not include such items which either operate
only during engine starting or are necessary to protect the engine (or
vehicle in which it is installed) against damage or accident during its
operation.
Sec. 90.112 Requirement of certification--adjustable parameters.
(a) Engines equipped with adjustable parameters must comply with
all requirements of this subpart for any specification within the
physically available range.
(b) An operating parameter is not considered adjustable if it is
permanently sealed by the manufacturer or otherwise not normally
accessible using ordinary tools.
(c) The Administrator may require that adjustable parameters be set
to any specification within the adjustable range during certification
or a selective enforcement audit to determine compliance with the
requirements of this subpart.
Sec. 90.113 In-use testing program.
(a) At the time of certification the engine manufacturer may
propose which engine families should be included in an in-use test
program. EPA will approve a manufacturer's test program if the selected
engine families represent an adequate consideration of the elements
listed in paragraphs (b) and (c) of this section.
(b) Number of engines to be tested. The number of engines to be
tested by a manufacturer is determined by the following method:
(1) For an engine manufacturer with total projected annual
production of more than 75,000 engines destined for the United States
market for that model year, the minimum number of engines to be tested
may be the lowest of the numbers determined in paragraph (b)(1)(i),
(ii) or (iii) of this section:
(i) Divide the manufacturer's total projected annual production of
small SI engines destined for the United States market for that model
year by 50,000, and round to the nearest whole number;
(ii) Test five engines each from 25 percent of all engine families
certified in that model year; and
(iii) Test three engines each from 50 percent of all engine
families certified in that model year.
(2) An engine manufacturer with total projected annual production
of 75,000 engines or less destined for the United States market for
that model year may test a minimum of two engines.
(c) Criteria for selecting test engines. An engine manufacturer may
select test engines from engine families utilizing the following
criteria and in the order specified:
(1) Engine families using emission control technology which most
likely will be used on Phase 2 engines;
(2) Engine families using aftertreatment;
(3) Engine families certified to different emission standards;
(4) Different engine designs (such as sidevalve head versus
overhead valve engines);
(5) Engine families using emission control technology specifically
installed to achieve compliance with emission standards of this part;
(6) The engine family with the highest projected annual sales; and
(7) Engine families which meet the above criteria, but have not
been included in prior model year in-use testing programs as required
by these provisions.
(d) Collection of in-use engines. An engine manufacturer may
procure in-use engines which have been operated for between half and
three-quarters of the engine's advertised (or projected) useful life.
All testing may be completed within three years from the date the
certificate is first issued for an engine family undergoing in-use
testing.
(1) Test engines may be procured from sources not associated with
the engine manufacturer or vehicle manufacturer, except that with prior
approval of the Administrator, an engine manufacturer with annual sales
of less than 50,000 engines may obtain in-use engines associated with
itself or its vehicle manufacturer.
[[Page 34605]]
(2) A test engine should have a maintenance history representative
of actual in-use conditions.
(i) A manufacturer may question the end user regarding the
accumulated usage, maintenance, operating conditions, and storage of
the test engines.
(ii) Documents used in the procurement process may be maintained as
required in Sec. 90.121.
(3) Maintenance and testing of test engines.
(i) The manufacturer may perform minimal set-to-spec maintenance on
a test engine. Maintenance may include only that which is listed in the
owner's instructions for engines with the amount of service and age of
the acquired test engine.
(ii) Documentation of all maintenance and adjustments may be
maintained and retained as required by Sec. 90.121.
(4) One valid emission test may be conducted for each in-use
engine.
(5) If a selected in-use engine fails to comply with any applicable
certification emission standard, the manufacturer may determine the
reason for noncompliance. The manufacturer may report all
determinations for noncompliance in its annual in-use test result
report as described below.
(e) In-use test program reporting. The manufacturer may submit to
the Administrator by January 30 of each calendar year all emission
testing results generated from in-use testing. The following
information may be reported for each test engine:
(1) Engine family;
(2) Model;
(3) Engine serial number;
(4) Date of manufacture;
(5) Estimated hours of use;
(6) Results of all emission testing;
(7) Summary of all maintenance and/or adjustments performed;
(8) Summary of all modifications and/or repairs; and
(9) Determinations of compliance and/or noncompliance.
(f) The Administrator may approve and/or suggest modifications to a
manufacturer's in-use testing program.
Sec. 90.114 Requirement of certification--engine information label.
(a) The engine manufacturer must affix at the time of manufacture a
permanent and legible label identifying each nonroad engine. The label
must meet the following requirements:
(1) Be attached in such a manner that it cannot be removed without
destroying or defacing the label;
(2) Be durable and readable for the entire engine life;
(3) Be secured to an engine part necessary for normal engine
operation and not normally requiring replacement during engine life;
(4) Be written in English; and
(5) Be located so as to be readily visible to the average person
after the engine is installed in the vehicle.
(b) If the nonroad vehicle obscures the label on the engine, the
nonroad vehicle manufacturer must attach a supplemental label so that
this label is readily visible to the average person. The supplemental
label must:
(1) Be attached in such a manner that it cannot be removed without
destroying or defacing the label;
(2) Be secured to a vehicle part necessary for normal operation and
not normally requiring replacement during the vehicle life; and
(3) Be identical in content to the label which was obscured.
(c) The label must contain the following information:
(1) The heading ``Important Engine Information;''
(2) The full corporate name and trademark of the engine
manufacturer;
(3) The statement, ``This (specify vehicle or engine, as
applicable) is certified to operate on (specify operating fuel(s));''
(4) Identification of the Exhaust Emission Control System
(Abbreviations may be used and must conform to the nomenclature and
abbreviations provided in the Society of Automotive Engineers procedure
J1930, ``Electrical/Electronic Systems Diagnostic Terms, Definitions,
Abbreviations and Acronyms,'' September 1991. This procedure has been
incorporated by reference. See Sec. 90.7.);
(5) All engine lubricant requirements;
(6) Date of engine manufacture [day (optional), month and year];
(7) The statement ``This engine conforms to [model year] U.S. EPA
regulations for small nonroad engines.'';
(8) EPA standardized engine family designation;
(9) Engine displacement [in cubic centimeters]; and
(10) 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 (or on the vehicle
where a supplemental label is required under paragraph (b) of this
section) to accommodate a label including all the information required
in paragraph (c) of this section, the manufacturer may delete or alter
the label as indicated in this paragraph. The information deleted from
the label must appear in the owner's manual.
(1) Exclude the information required in paragraphs (c)(3), (4), and
(5) of this section. The fuel or lubricant may be specified elsewhere
on the engine.
(2) Exclude the information required by paragraph (c)(6) of this
section, if the date the engine was manufactured is stamped on the
engine.
(e) The Administrator may, upon request, waive or modify the label
content requirements of paragraphs (c) and (d) of this section,
provided that the intent of such requirements is met.
Sec. 90.115 Requirement of certification--supplying production engines
upon request.
Upon the Administrator's request, the manufacturer must supply a
reasonable number of production engines for testing and evaluation.
These engines must be representative of typical production and supplied
for testing at such time and place and for such reasonable periods as
the Administrator may require.
Sec. 90.116 Certification procedure--determining engine displacement,
engine class, and engine families.
(a) Engine displacement must be calculated using nominal engine
values and rounded to the nearest whole cubic centimeter in accordance
with ASTM E29-93a. This procedure has been incorporated by reference.
See Sec. 90.7.
(b) Engines will be divided into classes by the following:
(1) Class I--engines less than 225 cc in displacement,
(2) Class II--engines greater than or equal to 225 cc in
displacement,
(3) Class III--handheld equipment engines less than 20 cc in
displacement,
(4) Class IV--handheld equipment engines equal or greater than 20
cc but less than 50 cc in displacement, and
(5) Class V--handheld equipment engines equal to or greater than 50
cc in displacement.
(c) The manufacturer's product line will be divided into groupings
of engine families as specified by paragraph (d) of this section.
(d) To be classed in the same engine family, engines must be
identical in all of the following applicable respects:
(1) The combustion cycle;
(2) The cooling mechanism;
(3) The cylinder configuration (inline, vee, opposed, bore
spacings, and so forth);
(4) The number of cylinders;
(5) The engine class;
(6) The number of catalytic converters, location, volume, and
composition; and
(7) The thermal reactor characteristics.
(e) At the manufacturer's option, engines identical in all the
respects
[[Page 34606]]
listed in paragraph (d) of this section may be further divided into
different engine families if the Administrator determines that they may
be expected to have different emission characteristics. This
determination is based upon the consideration of features such as:
(1) The bore and stroke;
(2) The combustion chamber configuration;
(3) The intake and exhaust timing method of actuation (poppet
valve, reed valve, rotary valve, and so forth);
(4) The intake and exhaust valve or port sizes, as applicable;
(5) The fuel system;
(6) The exhaust system; and
(7) The method of air aspiration.
(f) Where engines are of a type which cannot be divided into engine
families based upon the criteria listed in paragraph (d) of this
section, the Administrator will establish families for those engines
based upon the features most related to their emission characteristics.
Sec. 90.117 Certification procedure--test engine selection.
(a) The manufacturer must select, from each engine family, a test
engine that the manufacturer determines to be most likely to exceed the
emission standard.
(b) The test engine must be constructed to be representative of
production engines.
Sec. 90.118 Certification procedure--service accumulation.
(a)(1) The test engine must be operated with all emission control
systems operating properly for a period sufficient to stabilize
emissions.
(2) The period sufficient to stabilize emissions may not exceed 12
hours.
(b) No maintenance, other than recommended lubrication and filter
changes, may be performed during service accumulation without the
Administrator's approval.
(c) Service accumulation is to be performed in a manner using good
engineering judgment to ensure that emissions are representative of
production engines.
(d) The manufacturer must maintain, and provide to the
Administrator, records stating the rationale for selecting a service
accumulation period less than 12 hours and records describing the
method used to accumulate hours on the test engine(s).
Sec. 90.119 Certification procedure--testing.
(a) Manufacturer testing. The manufacturer must test the test
engine using the specified test procedures and appropriate test cycle.
All test results must be reported to the Administrator.
(1) The test procedure to be used is detailed in Subpart E of this
part.
(i) Class I and II engines must use Test Cycle A described in
Subpart E of this part, except that Class I and II engine families in
which 100 percent of the engines sold operate only at rated speed may
use Test Cycle B described in subpart E of this part.
(ii) Class III, IV, and V engines must use Test Cycle C described
in subpart E of this part.
(2) Emission test equipment provisions are described in subpart D
of this part.
(b) Administrator testing. (1) The Administrator may require that
any one or more of the test engines be submitted to the Administrator,
at such place or places as the Administrator may designate, for the
purposes of conducting emission tests. The Administrator may specify
that testing will be conducted at the manufacturer's facility, in which
case instrumentation and equipment specified by the Administrator must
be made available by the manufacturer for test operations. Any testing
conducted at a manufacturer's facility must be scheduled by the
manufacturer as promptly as possible.
(2)(i) Whenever the Administrator conducts a test on a test engine,
the results of that test will, unless subsequently invalidated by the
Administrator, comprise the official data for the engine and the
manufacturer's data will not be used in determining compliance with
emission standards.
(ii) Prior to the performance of such test, the Administrator may
adjust or cause to be adjusted any adjustable parameter of the test
engine which the Administrator has determined to be subject to
adjustment for certification testing, to any setting within the
physically adjustable range of that parameter, to determine whether
such engine conforms to applicable emission standards.
(iii) For those engine parameters which the Administrator has not
determined to be subject to adjustment for certification testing, the
test engine presented to the Administrator for testing will be
calibrated within the production tolerances applicable to the
manufacturer specification shown on the engine label or in the owner's
manual, as specified in the application for certification.
(c) Use of carryover test data. In lieu of testing, the
manufacturer may submit, with the Administrator's approval, emission
test data used to certify substantially similar engine families in
previous years. This ``carryover'' test data is only allowable if the
data shows the test engine would fully comply with the emission
standards for the applicable class.
(d) Scheduled maintenance during testing. No scheduled maintenance
may be performed during testing of the engine.
(e) Unscheduled maintenance on test engines.
(1) Manufacturers may not perform any unscheduled engine, emission
control system, or fuel system adjustment, repair, removal,
disassembly, cleaning, or replacement on a test engine without the
advance approval of the Administrator.
(2) The Administrator may approve unscheduled maintenance if:
(i) A preliminary determination has been made that a part failure
or system malfunction, or the repair of such failure or malfunction,
does not render the engine unrepresentative of engines in use, and does
not require direct access to the combustion chamber; and
(ii) A determination has been made that the need for maintenance or
repairs is indicated by an overt malfunction such as persistent
misfire, engine stall, overheating, fluid leakage, or loss of oil
pressure.
(3) Emission measurements may not be used as a means of determining
the need for unscheduled maintenance under paragraph (e)(2) of this
section.
(4) The Administrator must have the opportunity to verify the
extent of any overt indication of part failure (for example, misfire,
stall), or an activation of an audible and/or visual signal, prior to
the manufacturer performing any maintenance related to such overt
indication or signal.
(5) Unless approved by the Administrator prior to use, engine
manufacturers may not use any equipment, instruments, or tools to
identify malfunctioning, maladjusted, or defective engine components
unless the same or equivalent equipment, instruments, or tools are
available at dealerships and other service outlets and are used in
conjunction with scheduled maintenance on such components.
(6) If the Administrator determines that part failure or system
malfunction occurrence and/or repair rendered the engine
unrepresentative of production engines, the engine cannot be used as a
test engine.
(7) Unless waived by the Administrator, complete emission tests are
required before and after any engine maintenance which may reasonably
be expected to affect emissions.
(f) Engine failure. A manufacturer may not use as a test engine any
engine
[[Page 34607]]
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.
Sec. 90.120 Certification procedure--use of special test procedures.
(a) Use of special test procedures by EPA. The Administrator may
establish special test procedures for any engine that the Administrator
determines is not susceptible to satisfactory testing under the
specified test procedures set forth in subpart E of this part.
(b)(1) Use of alternate test procedures by an engine manufacturer.
A manufacturer may elect to use an alternate test procedure provided
that it yields results equal to the results from the specified test
procedure in subpart E, its use is approved in advance by the
Administrator, and the basis for equivalent results with the specified
test procedure is fully described in the manufacturer's application.
(2) An engine manufacturer electing to use alternate test
procedures is solely responsible for the results obtained. The
Administrator may reject data generated under test procedures which do
not correlate with data generated under the specified procedures.
Sec. 90.121 Certification procedure--recordkeeping.
(a) The engine manufacturer must maintain the following adequately
organized records:
(1) Copies of all applications filed with the Administrator;
(2) A copy of all data obtained through the in-use testing program;
and
(3) A detailed history of each test engine used for certification
including the following:
(i) A description of the test engine's construction, including a
general description of the origin and buildup of the engine, steps
taken to insure that it is representative of production engines,
description of components specially built for the test engine, and the
origin and description of all emission-related components;
(ii) A description of the method used for engine service
accumulation, including date(s) and the number of hours accumulated;
(iii) A description of all maintenance, including modifications,
parts changes, and other servicing performed, and the date(s), and
reason(s) for such maintenance;
(iv) A description of all emission tests performed including
routine and standard test documentation, as specified in subpart E of
this part, date(s), and the purpose of each test;
(v) A description of all tests performed to diagnose engine or
emission control performance, giving the date and time of each and the
reason(s) for the test; and
(vi) A description of any significant event(s) affecting the engine
during the period covered by the history of the test engine but not
described by an entry under one of the previous paragraphs of this
section.
(b) Routine emission test data, such as those reporting test cell
temperature and relative humidity at start and finish of test and raw
emission results from each mode or test phase, must be retained for a
period of one year after issuance of all certificates of conformity to
which they relate. All other information specified in paragraph (a) of
this section must be retained for a period of eight years after
issuance of all certificates of conformity to which they relate.
(c) Records may be kept in any format and on any media, provided
that, at the Administrator's request, organized, written records in
English are promptly supplied by the manufacturer.
(d) The manufacturer must supply, at the Administrator's request,
copies of any engine maintenance instructions or explanations issued by
the manufacturer.
Sec. 90.122 Amending the application and certificate of conformity.
(a) The engine manufacturer must notify the Administrator when
either an engine is to be added to a certificate of conformity or
changes are to be made to a product line covered by a certificate of
conformity. Notification occurs when the manufacturer submits an
amendment to the original application prior to either producing such
engines or making such changes to a product line.
(b) The amendment must request that the engine manufacturer's
existing certificate of conformity be amended and include the following
information:
(1) A full description of the engine to be added or the change(s)
to be made in production;
(2) The manufacturer's proposed test engine selection(s); and
(3) Engineering evaluations or reasons why the original test engine
is or is not still appropriate.
(c) The Administrator may require the engine manufacturer to
perform tests on an engine representing the engine to be added or
changed.
(d) Decision by Administrator. (1) Based on the submitted amendment
and data derived from such testing as the Administrator may require or
conduct, the Administrator must determine whether the proposed addition
or change would still be covered by the certificate of conformity then
in effect.
(2) If the Administrator determines that the new or changed
engine(s) meets the requirements of this subpart and the Act, the
appropriate certificate of conformity will be amended.
(3) If the Administrator determines that the proposed amendment
would not be covered by the certificate of conformity, the
Administrator must provide a written explanation to the engine
manufacturer of his or her decision not to amend the certificate. The
manufacturer may request a hearing on a denial.
(e)(1) Alternatively, an engine manufacturer may make changes in or
additions to production engines concurrently with amending the
application as set forth in paragraph (b) of this section, if the
manufacturer determines that all affected engines will still meet
applicable emission standards. The engine manufacturer must supply
supporting documentation, test data, and engineering evaluations as
appropriate to support its determination.
(2) If, after a review, the Administrator determines additional
testing is required, the engine manufacturer must provide required test
data within 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. 90.123 Denial, revocation of certificate of conformity.
(a) If, after review of the engine manufacturer's application,
request for certification, information obtained from any inspection,
and any other information the Administrator may require, the
Administrator determines that the test engine does not meet applicable
standards and requirements, the Administrator will notify the
manufacturer in writing, setting forth the basis for this
determination.
(b) Notwithstanding the fact that engines described in the
application may comply with all other requirements of this subpart, the
Administrator may deny the issuance of or revoke a previously issued
certificate of conformity if the Administrator finds any one of the
following infractions to be substantial:
(1) The engine manufacturer submits false or incomplete
information;
(2) The engine manufacturer denies an EPA enforcement officer or
EPA authorized representative the
[[Page 34608]]
opportunity to conduct authorized inspections;
(3) The engine manufacturer fails to supply requested information
or amend its application to include all engines being produced;
(4) The engine manufacturer renders inaccurate any test data which
it submits or otherwise circumvents the intent of the Act or this part;
or
(5) The engine manufacturer denies an EPA enforcement officer or
EPA authorized representative reasonable assistance (as defined in
Sec. 90.506).
(c) If a manufacturer knowingly commits an infraction specified in
paragraph (b)(1) or (b)(4) of this section or knowingly commits any
fraudulent act which results in the issuance of a certificate of
conformity, the Administrator may deem such certificate void ab initio.
(d) When the Administrator denies or revokes a certificate of
conformity, the engine manufacturer will be provided a written
determination. The manufacturer may request a hearing on the
Administrator's decision.
(e) Any revocation of a certificate of conformity extends no
further than to forbid the introduction into commerce of those engines
previously covered by the certification which are still in the
possession of the engine manufacturer, except in cases of such fraud or
other misconduct that makes the certification void ab initio.
Sec. 90.124 Request for hearing.
(a) An engine manufacturer may request a hearing on the
Administrator's denial or revocation of a certificate of conformity.
(b) The engine manufacturer's request must be filed within 30 days
of the Administrator's decision, be in writing, and set forth the
manufacturer's objections to the Administrator's decision and data to
support the objections.
(c) If, after review of the request and supporting data, the
Administrator finds that the request raises a substantial and factual
issue, the Administrator will provide the engine manufacturer a
hearing.
Sec. 90.125 Hearing procedures.
The hearing procedures set forth in Secs. 90.513, 90.514, and
90.515 apply to this subpart.
Sec. 90.126 Right of entry and access.
Any engine manufacturer that has applied for certification of a new
engine or engine family subject to certification testing under this
subpart must admit or cause to be admitted to any applicable facilities
during operating hours any EPA enforcement officer or EPA authorized
representative as provided in Sec. 90.506.
Subpart C--[Reserved]
Subpart D--Emission Test Equipment Provisions
Sec. 90.301 Applicability.
(a) This subpart describes the equipment required in order to
perform exhaust emission tests on new nonroad spark-ignition engines
and vehicles subject to the provisions of subpart A of part 90.
(b) Exhaust gases, either raw or dilute, are sampled while the test
engine is operated using a steady state test cycle on an engine
dynamometer. The exhaust gases receive specific component analysis
determining concentration of pollutant. Emission concentrations are
converted to mass emission rates in grams per hour based on either fuel
flow, fuel flow and engine intake air flow, or exhaust volume flow.
Weighted emission rates are reported as grams per brake-kilowatt hour
(g/kW-hr). See subpart E of this part for a complete description of the
test procedure.
(c) Additional information about system design, calibration
methodologies, and so forth, for raw gas sampling can be found in part
86, subpart D of this chapter. Examples for system design, calibration
methodologies, and so forth, for dilute exhaust gas sampling can be
found in part 86, subpart N of this chapter.
Sec. 90.302 Definitions.
The definitions in Sec. 90.3 apply to this subpart. The following
definitions also apply to this subpart.
Rated speed means the speed at which the manufacturer specifies the
maximum rated power of an engine.
Intermediate speed means the engine speed which is 85 percent of
the rated speed.
Sec. 90.303 Symbols, acronyms, abbreviations.
(a) The acronyms and abbreviations in Sec. 90.5 apply to this
subpart.
(b) The symbols in Table 1 in Appendix A of this subpart apply to
this subpart.
Sec. 90.304 Test equipment overview.
(a) All engines subject to this subpart are tested for exhaust
emissions. Engines are operated on dynamometers meeting the
specification given in Sec. 90.305.
(b) The exhaust is tested for gaseous emissions using a raw gas
sampling system as described in Sec. 90.414 or a constant volume
sampling (CVS) system as described in Sec. 90.421. Both systems require
analyzers (see paragraph (c) of this section) specific to the pollutant
being measured.
(c) Analyzers used are a non-dispersive infrared (NDIR) absorption
type for carbon monoxide and carbon dioxide analysis; paramagnetic
(PMD), zirconia (ZRDO), or electrochemical type (ECS) for oxygen
analysis; a flame ionization (FID) or heated flame ionization (HFID)
type for hydrocarbon analysis; and a chemiluminescent detector (CLD) or
heated chemiluminescent detector (HCLD) for oxides of nitrogen
analysis.
Sec. 90.305 Dynamometer specifications and calibration accuracy.
(a) Dynamometer specifications. The dynamometer test stand and
other instruments for measurement of speed and power output must meet
the engine speed and torque accuracy requirements shown in Table 2 in
Appendix A of this subpart. The dynamometer must be capable of
performing the test cycle described in Sec. 90.410.
(b) Dynamometer calibration accuracy. (1) The dynamometer test
stand and other instruments for measurement of power output must meet
the calibration frequency shown in Table 2 in Appendix A of this
subpart.
(2) A minimum of three calibration weights for each range used is
required. The weights must be equally spaced and traceable to within
0.5 percent of National Institute for Standards and Testing (NIST)
weights. Laboratories located in foreign countries may certify
calibration weights to local government bureau standards.
Sec. 90.306 Dynamometer torque cell calibration.
(a)(1) Any lever arm used to convert a weight or a force through a
distance into a torque must be used in a horizontal position for
horizontal shaft dynamometers ( five degrees). For vertical
shaft dynamometers, a pulley system may be used to convert the
dynamometer's horizontal loading into the vertical plane.
(2) Calculate the indicated torque (IT) for each calibration weight
to be used by:
IT=Moment Arm (meters) x Calibration Weight (Newtons)
(3) Attach each calibration weight specified in Sec. 90.305(b)(2)
to the moment arm at the calibration distance determined in paragraph
(a)(2) of this section. Record the power measurement equipment response
(N-m) to each weight.
(4) Compare the torque value measured to the calculated torque.
[[Page 34609]]
(5) The measured torque must be within two percent of the
calculated torque.
(6) If the measured torque is not within two percent of the
calculated torque, adjust or repair the system. Repeat steps in
paragraphs (a)(1) through (a)(6) of this section with the adjusted or
repaired system.
(b) Option. A master load-cell or transfer standard may be used to
verify the torque measurement system.
(1) The master load-cell and read out system must be calibrated
using weights specified in Sec. 90.305(b)(2).
(2) Attach the master load-cell and loading system.
(3) Load the dynamometer to a minimum of three equally spaced
torque values as indicated by the master load-cell for each in-use
range used.
(4) The in-use torque measurement must be within two percent of the
torque measured by the master system for each load used.
(5) If the in-use torque is not within two percent of the master
torque, adjust or repair the system. Repeat steps in paragraphs (b)(2)
through (b)(4) of this section with the adjusted or repaired system.
(c) Calibrated resistors may not be used for engine flywheel torque
transducer calibration, but may be used to span the transducer prior to
engine testing.
(d) Other engine dynamometer system calibrations such as speed are
performed as specified by the dynamometer manufacturer or as dictated
by good engineering practice.
Sec. 90.307 Engine cooling system.
An engine cooling system is required with sufficient capacity to
maintain the engine at normal operating temperatures as prescribed by
the engine manufacturer. Auxiliary fan(s) may be used to maintain
sufficient engine cooling during engine dynamometer operation.
Sec. 90.308 Lubricating oil and test fuels.
(a) Lubricating oil. Use the engine lubricating oil which meets the
engine manufacturer's specifications for a particular engine and
intended usage.
(1) Manufacturers must use engine lubricants representative of
commercially available engine lubricants.
(2) For 2-stroke engines, the fuel/oil mixture ratio must be that
which is recommended by the manufacturer.
(b) Test Fuels--Certification. (1) The manufacturer must use
gasoline having the specifications, or substantially equivalent
specifications approved by the Administrator, as specified in Table 3
in Appendix A of this subpart for exhaust emission testing of gasoline
fueled engines. As an option, manufacturers may use the fuel specified
in Sec. 86.1313-94(a) of this chapter for gasoline fueled engines.
(2) Alternative fuels, such as natural gas, propane, and methanol,
used for exhaust emission testing and service accumulation of
alternative fuel spark-ignition engines must be representative of
commercially available alternative fuels.
(i) The manufacturer shall recommend the alternative fuel to be
used for certification testing and engine service accumulation in
accordance with paragraph (b)(3) of this section.
(ii) The Administrator shall determine the alternative fuel to be
used for testing and engine service accumulation, taking into
consideration the alternative fuel recommended by the manufacturer.
(3) Other fuels may be used for testing provided:
(i) They are commercially viable;
(ii) Information acceptable to the Administrator is provided to
show that only the designated fuel would be used in customer service;
and
(iii) Fuel specifications are approved in writing by the
Administrator prior to the start of testing.
(c) Test Fuels--Service Accumulation. Unleaded gasoline
representative of commercial gasoline generally available through
retail outlets must be used in service accumulation for gasoline-fueled
spark-ignition engines. As an alternative, the certification test fuels
specified under paragraph (b) of this section may be used for engine
service accumulation. Leaded fuel may not be used during service
accumulation. Additional fuel requirements for service accumulation are
as follows:
Sec. 90.309 Engine intake air temperature measurement.
(a) The measurement location must be within 10 cm of the engine
intake system (i.e., the air cleaner, for most engines.)
(b) The temperature measurements must be accurate to within
2 deg.C.
Sec. 90.310 Engine intake air humidity measurement.
This section refers to engines which are supplied with intake air
other than the ambient air in the test cell (i.e., air which has been
pumped directly to the engine air intake system). For engines which use
ambient test cell air for the engine intake air, the ambient test cell
humidity measurement may be used.
(a) Humidity conditioned air supply. Air that has had its absolute
humidity altered is considered humidity-conditioned air. For this type
of intake air supply, the humidity measurements must be made within the
intake air supply system and after the humidity conditioning has taken
place.
(b) Unconditioned air supply. Humidity measurements in
unconditioned intake air supply systems must be made in the intake air
stream entering the supply system. Alternatively, the humidity
measurements can be measured within the intake air supply stream.
Sec. 90.311 Test conditions.
(a) General requirements. (1) Ambient temperature levels
encountered by the test engine throughout the test sequence may not be
less than 20 deg.C or more than 30 deg.C. All engines must be
installed on the test bed at their design installation angle to prevent
abnormal fuel distribution.
(2) Calculate all volumes and volumetric flow rates at standard
conditions for temperature and pressure, and use these conditions
consistently throughout all calculations. Standard conditions for
temperature and pressure are 25 deg.C and 101.3 kPa.
(b) Engine test conditions. Measure the absolute temperature
(designated as T and expressed in Kelvin) of the engine air at the
inlet to the engine and the dry atmospheric pressure (designated as
ps and expressed in kPa), and determine the parameter f according
to the following provisions for naturally aspirated engines:
[GRAPHIC][TIFF OMITTED]TR03JY95.009
For a certification test to be recognized as valid, the parameter f
shall be between the limits as shown below: 0.96<><1.04 sec.="" 90.312="" analytical="" gases.="" (a)="" the="" shelf="" life="" of="" a="" calibration="" gas="" may="" not="" be="" exceeded.="" the="" expiration="" date="" stated="" by="" the="" gas="" supplier="" must="" be="" recorded.="" (b)="" pure="" gases.="" the="" required="" purity="" of="" the="" gases="" is="" defined="" by="" the="" contamination="" limits="" specified="" in="" this="" subsection.="" the="" following="" gases="" must="" be="" available="" for="" operation:="" (1)="" purified="" nitrogen,="" also="" refered="" to="" as="" ``zero-grade="" nitrogen''="" (contamination=""> 1 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 (40 2 percent hydrogen,
balance helium) (Contamination 1 ppm C, 400 ppm
CO);
(4) Purified synthetic air, also refered to as ``zero air'' or
``zero gas''
[[Page 34610]]
(Contamination 1 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) 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 and/or C3H8 and
purified nitrogen;
CO and purified nitrogen;
NOX and purified nitrogen (the amount of NO2 contained in
this calibration gas must not exceed five percent of the NO content);
CO2 and purified nitrogen.
Note: For the HFID or FID the manufacturer may choose to use as
a diluent span gas and the calibration gas either purified synthetic
air or purified nitrogen. Any mixture of 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 either with purified
N2 or with purified synthetic air. The accuracy of the mixing
device must be such that the concentration of the diluted gases may be
determined to within two percent.
(d) Oxygen interference check gases must contain propane with 350
ppmC 75 ppmC hydrocarbon. Determine the concentration
value to calibration gas tolerances by chromatographic analysis of
total hydrocarbons plus impurities or by dynamic blending. For gasoline
fueled engines, oxygen contentration must be between 0 and 1 percent
O2. Nitrogen must be the predominant diluent with the balance
oxygen.
(e) Fuel for the hydrocarbon flame ionization detector (HC-FID)
must be a blend of 40 two percent hydrogen with the
balance being helium. The mixture must contain less than one ppm
equivalent carbon response; 98 to 100 percent hydrogen fuel may be used
with advance approval of the Administrator.
(f) Hydrocarbon analyzer burner air. The concentration of oxygen
must be within one mole percent of the oxygen concentration of the
burner air used in the latest oxygen interference check (percent
O2I), see Sec. 90.316(d). If the difference in oxygen
concentration is greater than one mole percent, then the oxygen
interference must be checked and, if necessary, the analyzer adjusted
to meet the percent O2I requirements. The burner air must contain
less than two ppmC hydrocarbon.
Sec. 90.313 Analyzers required.
(a) Analyzers. Analyze measured gases with the following
instruments:
(1) Carbon monoxide (CO) analysis. (i) The carbon monoxide analyzer
shall be of the non-dispersive infrared (NDIR) absorption type.
(ii) The use of linearizing circuits is permitted.
(2) Carbon dioxide (CO2) analysis. (i) The carbon dioxide
analyzer shall be of the non-dispersive infrared (NDIR) absorption
type.
(ii) The use of linearizing circuits is permitted.
(3) Oxygen (O2) analysis. Oxygen (O2) analyzers may be of
the paramagnetic (PMD), zirconia (ZRDO) or electrochemical type (ECS).
(4) Hydrocarbon (HC) analysis. (i) For Raw Gas Sampling, the
hydrocarbon analyzer shall be of the heated flame ionization (HFID)
type. For constant volume sampling, the hydrocarbon analyzer may be of
the flame ionization (FID) type or of the heated flame ionization
(HFID) type.
(ii) For the HFID system, if the temperature of the exhaust gas at
the sample probe is below 190 deg. C, the temperature of the valves,
pipe work, and so forth, must be controlled so as to maintain a wall
temperature of 190 deg. C 11 deg. C. If the temperature of
the exhaust gas at the sample probe is above 190 deg. C, the
temperature of the valves, pipe work, and so forth, must be controlled
so as to maintain a wall temperature greater than 180 deg. C.
(iii) For the HFID analyzer, the detector, oven, and sample-
handling components within the oven must be suitable for continuous
operation at temperatures to 200 deg. C. It must by capable of
maintaining temperature within 5.5 deg. C of the set point.
(iv) Fuel and burner air must conform to the specifications in
Sec. 90.312.
(v) The percent of oxygen interference must be less than three
percent, as specified in Sec. 90.316(d).
(5) Oxides of nitrogen (NOX) analysis.
(i) This analysis device consists of the following items:
(A) A NO2 to NO converter. The NO2 to NO converter
efficiency must be at least 90 percent.
(B) An ice bath located after the NOX converter (optional).
(C) A chemiluminescent detector (CLD) or heated chemiluminescent
detector (HCLD).
(ii) The quench interference must be less than 3.0 percent as
measured in Sec. 90.325.
(b) Other analyzers and equipment. Other types of analyzers and
equipment may be used if shown to yield equivalent results and if
approved in advance by the Administrator.
(c) The following requirements must be incorporated as indicated in
systems used for testing under this subpart.
(1) Carbon monoxide and carbon dioxide measurements must be made on
a dry basis (for raw exhaust measurement only). Specific requirements
for the means of drying the sample can be found in Sec. 90.313(e).
(2) Calibration or span gases for the NOX measurement system
must pass through the NO2 to NO converter.
(d) The electromagnetic compatibility (EMC) of the equipment must
be on a level as to minimize additional errors.
(e) Gas drying. Chemical dryers are not an acceptable method of
removing water from the sample. Water removal by condensation is
acceptable. If water is removed by condensation, the sample gas
temperature or sample dew point must be monitored either within the
water trap or downstream and its temperature must not exceed 7 deg. C.
A water trap performing this function is an acceptable method. Means
other than condensation may be used only with prior approval from the
Administrator.
Sec. 90.314 Analyzer accuracy and specifications.
(a) Measurement and accuracy--general. The analyzers must have a
measuring range which allows them to measure the concentrations of the
exhaust gas sample pollutants with the accuracies shown in Table 2 in
Appendix A of this subpart.
(1) Precision. The precision of the analyzer must be, at worst, two
percent of full-scale concentration for each range used. The precision
is defined as 2.5 times the standard deviation(s) of 10 repetitive
responses to a given calibration or span gas.
(2) Noise. The analyzer peak-to-peak response to zero and
calibration or span gases over any 10-second period must not exceed two
percent of full-scale chart deflection on all ranges used.
[[Page 34611]]
(3) Zero drift. The analyzer zero-response drift during a one-hour
period must be less than two percent of full-scale chart deflection on
the lowest range used. The zero-response is defined as the mean
response including noise to a zero-gas during a 30-second time
interval.
(4) Span drift. The analyzer span drift during a one-hour period
must be less than two percent of full-scale chart deflection on the
lowest range used. The analyzer span is defined as the difference
between the span-response and the zero-response. The span-response is
defined as the mean response including noise to a span gas during a 30-
second time interval.
(b) Operating procedure for analyzers and sampling system. Follow
the start-up and operating instructions of the instrument manufacturer
or use good engineering practice. Adhere to the minimum requirements
given in Secs. 90.316 through 90.325 and Sec. 90.409.
(c) Emission measurement accuracy--Bag sampling. (1) Good
engineering practice dictates that exhaust emission sample analyzer
readings below 15 percent of full-scale chart deflection should
generally not be used.
(2) Some high resolution read-out systems, such as computers, data
loggers, and so forth, can provide sufficient accuracy and resolution
below 15 percent of full scale. Such systems may be used provided that
additional calibrations are made to ensure the accuracy of the
calibration curves. The following procedure for calibration below 15
percent of full scale may be used:
Note to paragraph (c): If a gas divider is used, the gas divider
must conform to the accuracy requirements as follows. The use of
precision blending devices (gas dividers) to obtain the required
calibration gas concentrations is acceptable, provided that the
blended gases are accurate to within 1.5 percent of
NIST gas standards or other gas standards which have been approved
by the Administrator. This accuracy implies that primary gases used
for blending must be ``named'' to an accuracy of at least
one percent, traceable to NIST or other approved gas
standards.
(i) Span the full analyzer range using a top range calibration gas.
The span gases must be accurate to within two percent of
NIST gas standards or other gas standards which have been approved by
the Administrator.
(ii) Generate a calibration curve according to, and meeting the
requirements, of the sections describing analyzer calibrations which
are found in Secs. 90.316, 90.317, 90.318, and 90.320.
(iii) Select a calibration gas (a span gas may be used for
calibrating the CO2 analyzer) with a concentration between the two
lowest non-zero gas divider increments. This gas must be ``named'' to
an accuracy of one percent of NIST gas standards or other
standards approved by the Administrator.
(iv) Using the calibration curve fitted to the points generated in
paragraphs (c)(2) (i) and (ii) of this section, check the concentration
of the gas selected in paragraph (c)(2)(iii) of this section. The
concentration derived from the curve must be within 2.3
percent ( 2.8 percent for CO2 span gas) of the gas's
original named concentration.
(v) Provided the requirements of paragraph (c)(2)(iv) of this
section are met, use the gas divider with the gas selected in paragraph
(c)(2)(iii) of this section and determine the remainder of the
calibration points. Fit a calibration curve per Secs. 90.316, 90.317,
90.318, and 90.320 of this chapter for the entire analyzer range.
(d) Emission measurement accuracy--continuous sampling. Analyzers
used for continuous analysis must be operated such that the measured
concentration falls between 15 and 100 percent of full-scale chart
deflection. Exceptions to these limits are:
(1) The analyzer's response may be less than 15 percent or more
than 100 percent of full scale if automatic range change circuitry is
used and the limits for range changes are between 15 and 100 percent of
full-scale chart deflection;
(2) The analyzer's response may be less than 15 percent of full
scale if:
(i) The alternative in paragraph (c)(2) of this section is used to
ensure that the accuracy of the calibration curve is maintained below
15 percent; or
(ii) The full-scale value of the range is 155 ppm (C) or less; or
(iii) The emissions from the engine are erratic and the integrated
chart deflection value for the cycle is greater than 15 percent of full
scale; or
(iv) The contribution of all data read below the 15 percent level
is less than 10 percent by mass of the final test results.
Sec. 90.315 Analyzer initial calibration.
(a) Warming-up time. The warming-up time should be according to the
recommendations of the manufacturer. If not specified, a minimum of two
hours should be allowed for warming up the analyzers.
(b) NDIR, FID, and HFID analyzer. Tune and maintain the NDIR
analyzer per the instrument manufacturer recommendations or
specifications or using good engineering practice. The combustion flame
of the FID or HFID analyzer must be optimized in order to meet the
specifications in Sec. 90.316(b).
(c) Zero setting and calibration. Using purified synthetic air (or
nitrogen), set the CO, CO2, NOX, and HC analyzers at zero.
Connect the appropriate calibrating gases to the analyzers and record
the values. Use the same gas flow rates and pressure as when sampling
exhaust.
(d) Rechecking of zero setting. Recheck the zero setting and, if
necessary, repeat the procedure described in paragraph (c) of this
section.
Sec. 90.316 Hydrocarbon analyzer calibration.
(a) Calibrate the FID and HFID hydrocarbon analyzer as described in
this section. Operate the HFID to a set point 5.5 deg. C
between 185 and 197 deg. C.
(b) Initial and periodic optimization of detector response. Prior
to initial use and at least annually thereafter, adjust the FID and
HFID hydrocarbon analyzer for optimum hydrocarbon response as specified
in this paragraph. Alternative methods yielding equivalent results may
be used, if approved in advance by the Administrator.
(1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see
Sec. 90.312) and purified synthetic air or zero-grade nitrogen.
(2) Use of one of the following procedures is required for FID or
HFID optimization:
(i) The procedure outlined in Society of Automotive Engineers (SAE)
paper No. 770141, ``Optimization of a Flame Ionization Detector for
Determination of Hydrocarbon in Diluted Automotive Exhausts;'' author,
Glenn D. Reschke. This procedure has been incorporated by reference.
See Sec. 90.7.
(ii) The HFID optimization procedures outlined in Sec. 86.331-79 of
this chapter.
(iii) Alternative procedures may be used if approved in advance by
the Administrator.
(3) After the optimum flow rates have been determined, record them
for future reference.
(c) Initial and periodic calibration. Prior to initial use and
monthly thereafter, or within one month prior to the certification
test, the FID or HFID hydrocarbon analyzer must be calibrated on all
normally used instrument ranges using the steps in this paragraph. Use
the same flow rate and pressures as when analyzing samples. Introduce
calibration gases directly at the analyzer. An optional method for
dilute sampling described in Sec. 86.1310-90(b)(3)(i) may be used.
[[Page 34612]]
(1) Adjust analyzer to optimize performance.
(2) Zero the hydrocarbon analyzer with purified synthetic air or
zero-grade nitrogen.
(3) Calibrate on each used operating range with calibration gases
having nominal concentrations between 10 and 90 percent of that range.
A minimum of six evenly spaced points covering at least 80 percent of
the 10 to 90 range (64 percent) is required (see following table).
------------------------------------------------------------------------
Example calibration points (%) Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70............. No, range covered is 50 percent,
not 64.
20, 30, 40, 50, 60, 70, 80, 90..... Yes.
10, 25, 40, 55, 70, 85............. Yes.
10, 30, 50, 70, 90................. No, though equally spaced and
entire range covered, a minimum of
six points are needed.
------------------------------------------------------------------------
For each range calibrated, if the deviation from a least-squares best-
fit straight line is two percent or less of the value at each data
point, calculate concentration values by use of a single calibration
factor for that range. If the deviation exceeds two percent at any
point, use the best-fit non-linear equation which represents the data
to within two percent of each test point to determine concentration.
(d) Oxygen interference optimization. Prior to initial use and
monthly thereafter, perform the oxygen interference optimization as
described in this paragraph. Choose a range where the oxygen
interference check gases will fall in the upper 50 percent. Conduct the
test, as outlined in this paragraph, with the oven temperature set as
required by the instrument manufacturer. Oxygen interference check gas
specifications are found in Sec. 90.312(d).
(1) Zero the analyzer.
(2) Span the analyzer with the 21 percent oxygen blend.
(3) Recheck zero response. If it has changed more than 0.5 percent
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to
correct the problem.
(4) Introduce the five percent and 10 percent oxygen interference
check gases.
(5) Recheck the zero response. If it has changed by more than
one percent of full scale, repeat the test.
(6) Calculate the percent of oxygen interference (designated as
percent O2I) for each mixture in paragraph (d)(4) of this section
according to the following equation.
[GRAPHIC][TIFF OMITTED]TR03JY95.010
Where:
A = hydrocarbon concentration (ppmC) of the span gas used in paragraph
(d)(2) of this section.
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 three percent for all required
oxygen interference check gases prior to testing.
(8) If the oxygen interference is greater than the specifications,
incrementally adjust the air flow above and below the manufacturer's
specifications, repeating paragraphs (d)(1) through (d)(7) of this
section for each flow.
(9) If the oxygen interference is greater than the specification
after adjusting the air flow, vary the fuel flow and thereafter the
sample flow, repeating paragraphs (d)(1) through (d)(7) of this section
for each new setting.
(10) If the oxygen interference is still greater than the
specifications, repair or replace the analyzer, FID fuel, or burner air
prior to testing. Repeat this section with the repaired or replaced
equipment or gases.
Sec. 90.317 Carbon monoxide analyzer calibration.
(a) Calibrate the NDIR carbon monoxide analyzer as described in
this section.
(b) Initial and periodic interference. Prior to its initial use and
annually thereafter, check the NDIR carbon monoxide analyzer for
response to water vapor and CO2:
(1) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance on the most
sensitive range to be used.
(2) Zero the carbon monoxide analyzer with either purified
synthetic air or zero-grade nitrogen.
(3) Bubble a mixture of three percent CO2 in N2 through
water at room temperature and record analyzer response.
(4) An analyzer response of more than one percent of full scale for
ranges above 300 ppm full scale or more than three ppm on ranges below
300 ppm full scale requires corrective action. (Use of conditioning
columns is one form of corrective action which may be taken.)
(c) Initial and periodic calibration. Prior to its initial use and
monthly thereafter, or within one month prior to the certification
test, calibrate the NDIR carbon monoxide analyzer.
(1) Adjust the analyzer to optimize performance.
(2) Zero the carbon monoxide analyzer with either purified
synthetic air or zero-grade nitrogen.
(3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations between 10 and
90 percent of that range. A minimum of six
[[Page 34613]]
evenly spaced points covering at least 80 percent of the 10 to 90 range
(64 percent) is required (see following table).
------------------------------------------------------------------------
Example calibration points (%) Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70............. No, range covered is 50 percent,
not 64.
20, 30, 40, 50, 60, 70, 80, 90..... Yes.
10, 25, 40, 55, 70, 85............. Yes.
10, 30, 50, 70, 90................. No, though equally spaced and
entire range covered, a minimum of
six points are needed.
------------------------------------------------------------------------
Additional calibration points may be generated. For each range
calibrated, if the deviation from a least-squares best-fit straight
line is two percent or less of the value at each data point, calculate
concentration values by use of a single calibration factor for that
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent
of each test point to determine concentration.
Sec. 90.318 Oxides of nitrogen analyzer calibration.
(a) Calibrate the chemiluminescent oxides of nitrogen analyzer as
described in this section.
(b) Initial and Periodic Interference: Prior to its initial use and
monthly thereafter, or within one month prior to the certification
test, check the chemiluminescent oxides of nitrogen analyzer for
NO2 to NO converter efficiency. Figure 1 in Appendix B of this
subpart is a reference for paragraphs (b)(1) through (11) of this
section:
(1) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance.
(2) Zero the oxides of nitrogen analyzer with purified synthetic
air or zero-grade nitrogen.
(3) Connect the outlet of the NOX generator to the sample
inlet of the oxides of nitrogen analyzer which has been set to the most
common operating range.
(4) Introduce into the NOX generator analyzer-system an NO-in-
nitrogen (N2) mixture with an NO concentration equal to
approximately 80 percent of the most common operating range. The
NO2 content of the gas mixture must be less than five percent of
the NO concentration.
(5) With the oxides of nitrogen analyzer in the NO mode, record the
concentration of NO indicated by the analyzer.
(6) Turn on the NOX generator O2 (or air) supply and
adjust the O2 (or air) flow rate so that the NO indicated by the
analyzer is about 10 percent less than indicated in paragraph (b)(5) of
this section. Record the concentration of NO in this NO+O2 mixture
as value ``c.''
(7) Switch the NOX generator to the generation mode and adjust
the generation rate so that the NO measured on the analyzer is 20
percent of that measured in paragraph (b)(5) of this section. There
must be at least 10 percent unreacted NO at this point. Record the
concentration of residual NO as value ``d.''
(8) Switch the oxides of nitrogen analyzer to the NOX mode and
measure total NOX. Record this value as ``a.''
(9) Switch off the NOX generator but maintain gas flow through
the system. The oxides of nitrogen analyzer will indicate the NOX
in the NO+O2 mixture. Record this value as ``b''.
(10) Turn off the NOX generator O2 (or air) supply. The
analyzer will now indicate the NOX in the original NO-in-N2
mixture. This value should be no more than five percent above the value
indicated in paragraph (b)(4) of this section.
(11) Calculate the efficiency of the NOX converter by
substituting the concentrations obtained into the following equation:
[GRAPHIC][TIFF OMITTED]TR03JY95.049
Where:
a = concentration obtained in paragraph (b)(8),
b = concentration obtained in paragraph (b)(9),
c = concentration obtained in paragraph (b)(6),
d = concentration obtained in paragraph (b)(7).
If converter efficiency is less than 90 percent, corrective action
will be required.
(c) Initial and periodic calibration. Prior to its initial use and
monthly thereafter, or within one month prior to the certification
test, calibrate the chemiluminescent oxides of nitrogen analyzer on all
normally used instrument ranges. Use the same flow rate as when
analyzing samples. Proceed as follows:
(1) Adjust analyzer to optimize performance.
(2) Zero the oxides of nitrogen analyzer with purified synthetic
air or zero-grade nitrogen.
(3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases having nominal concentrations between 10 and
90 percent of that range. A minimum of six evenly spaced points
covering at least 80 percent of the 10 to 90 range (64 percent) is
required (see following table).
------------------------------------------------------------------------
Example calibration points (%) Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70............. No, range covered is 50 percent,
not 64
20, 30, 40, 50, 60, 70, 80, 90..... Yes.
10, 25, 40, 55, 70, 85............. Yes.
10, 30, 50, 70, 90................. No, though equally spaced and
entire range covered, a minimum of
six points are needed.
------------------------------------------------------------------------
Additional calibration points may be generated. For each range
calibrated, if the deviation from a least-squares best-fit straight
line is two percent or less of the value at each data point, calculate
concentration values by use of a single calibration factor for that
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent
of each test point to determine concentration.
(d) The initial and periodic interference, system check, and
calibration test procedures specified in
[[Page 34614]]
Sec. 86.332-79 of this chapter may be used in lieu of the procedures
specified in this section.
Sec. 90.319 NOX converter check.
(a) The efficiency of the converter used for the conversion of
NO2 to NO is tested as given in paragraphs (a)(1) through (a)(8)
of this section.
(1) Using the test setup as shown in Figure 1 in Appendix B of this
subpart (see also Sec. 90.318 of this chapter) and the procedure
described in paragraphs (a)(2) through (a)(8) of this section, test the
efficiency of converters by means of an ozonator.
(2) Calibrate the HCLD or CLD in the most common operating range
following the manufacturer's specifications using zero and span gas
(the NO content of which must amount to about 80 percent of the
operating range and the NO2 concentration of the gas mixture less
than five percent of the NO concentration). The NOX analyzer must
be in the NO mode so that the span gas does not pass through the
converter. Record the indicated concentration.
(3) Calculate the efficiency of the NOX converter as described
in Sec. 90.318(b).
(4) Via a T-fitting, add oxygen continuously to the gas flow until
the concentration indicated is about 20 percent less than the indicated
calibration concentration given in paragraph (a)(2) of this section.
Record the indicated concentration ``c.'' The ozonator is kept
deactivated throughout the process.
(5) Activate the ozonator to generate enough ozone to bring the NO
concentration down to about 20 percent (minimum 10 percent) of the
calibration concentration given in paragraph (a)(2) of this section.
Record the indicated concentration ``d.''
Note: If, with the analyzer in the most common range, the
NOX converter can not give a reduction from 80 percent to 20
percent, then use the highest range which will give the reduction.
(6) Switch the NO analyzer to the NOX mode which means that
the gas mixture (consisting of NO, NO2, O2 and N2) now
passes through the converter. Record the indicated concentration ``a.''
(7) Deactivate the ozonator. The mixture of gases described in
paragraph (a)(6) of this section passes through the converter into the
detector. Record the indicated concentration ``b.''
(8) Switched to NO mode with the ozonator deactivated, the flow of
oxygen or purified synthetic air is also shut off. The NOX reading
of the analyzer may not deviate by more than five percent
of the theoretical value of the figure given in paragraph (a)(2) of
this section.
(b) The efficiency of the converter must be tested prior to each
calibration of the NOX analyzer.
(c) The efficiency of the converter may not be less than 90
percent.
Sec. 90.320 Carbon dioxide analyzer calibration.
(a) Prior to its initial use and monthly thereafter, or within one
month prior to the certification test, calibrate the NDIR carbon
dioxide analyzer as follows:
(1) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance.
(2) Zero the carbon dioxide analyzer with either purified synthetic
air or zero-grade nitrogen.
(3) Calibrate on each normally used operating range with carbon
dioxide-in-N2 calibration or span gases having nominal
concentrations between 10 and 90 percent of that range. A minimum of
six evenly spaced points covering at least 80 percent of the 10 to 90
range (64 percent) is required (see following table).
------------------------------------------------------------------------
Example calibration points (%) Acceptable for Calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70............. No, range covered is 50 percent,
not 64.
20, 30, 40, 50, 60, 70, 80, 90..... Yes.
10, 25, 40, 55, 70, 85............. Yes.
10, 30, 50, 70, 90................. No, though equally spaced and
entire range covered, a minimum of
six points are needed.
------------------------------------------------------------------------
Additional calibration points may be generated. For each range
calibrated, if the deviation from a least-squares best-fit straight
line is two percent or less of the value at each data point, calculate
concentration values by use of a single calibration factor for that
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent
of each test point to determine concentration.
(b) The initial and periodic interference, system check, and
calibration test procedures specified in Secs. 86.316, 86.319, 86.320,
86.321, and 86.322 of this chapter may be used in lieu of the
procedures in this section.
Sec. 90.321 NDIR analyzer calibration.
(a) Detector optimization. If necessary, follow the instrument
manufacturer's instructions for initial start-up and basic operating
adjustments.
(b) Calibration curve. Develop a calibration curve for each range
used as follows:
(1) Zero the analyzer.
(2) Span the analyzer to give a response of approximately 90
percent of full-scale chart deflection.
(3) Recheck the zero response. If it has changed more than 0.5
percent of full scale, repeat the steps given in paragraphs (b)(1) and
(b)(2) of this section.
(4) Record the response of calibration gases having nominal
concentrations between 10 and 90 percent of full-scale concentration. A
minimum of six evenly spaced points covering at least 80 percent of the
10 to 90 range (64 percent) is required (see following table).
------------------------------------------------------------------------
Example calibration points (%) Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70............. No, range covered is 50 percent,
not 64.
20, 30, 40, 50, 60, 70, 80, 90..... Yes.
10, 25, 40, 55, 70, 85............. Yes.
10, 30, 50, 70, 90................. No, though equally spaced and
entire range covered, a minimum of
six points are needed.
------------------------------------------------------------------------
[[Page 34615]]
(5) Generate a calibration curve. The calibration curve must be of
fourth order or less, have five or fewer coefficients, and be of the
form of the following equation (1) or (2). Include zero as a data
point. Compensation for known impurities in the zero gas can be made to
the zero-data point. The calibration curve must fit the data points
within two percent of point or one percent of full scale, whichever is
less.
[GRAPHIC][TIFF OMITTED]TR03JY95.011
where:
y = concentration
x = chart deflection
(6) Option. A new calibration curve need not be generated if:
(i) A calibration curve conforming to paragraph (b)(5) of this
section exists; or,
(ii) The responses generated in paragraph (b)(4) of this section
are within one percent of full scale or two percent of point, whichever
is less, of the responses predicted by the calibration curve for the
gases used in paragraph (b)(4) of this section.
(7) If multiple range analyzers are used, the lowest range used
must meet the curve fit requirements below 15 percent of full scale.
(c) Linear calibration criteria. If any range is within two percent
of being linear, a linear calibration may be used. To determine if this
criterion is met:
(1) Perform a linear least-square regression on the data generated.
Use an equation of the form y=mx, where x is the actual chart
deflection and y is the concentration.
(2) Use the equation z=y/m to find the linear chart deflection
(designated as z) for each calibration gas concentration (designated as
y).
(3) Determine the linearity (designated as percent L) for each
calibration gas by:
[GRAPHIC][TIFF OMITTED]TR03JY95.012
(4) The linearity criterion is met if the %L is less than
two percent for each data point generated. For each
emission test, use a calibration curve of the form Y=mx. The slope
(designated as m) is defined for each range by the spanning process.
Sec. 90.322 Calibration of other equipment.
Calibrate other test equipment used for testing as often as
required by the test equipment manufacturer or as necessary according
to good engineering practice.
Sec. 90.323 Analyzer bench checks.
(a) Prior to initial use and after major repairs, verify that each
analyzer complies with the specifications given in Table 2 in Appendix
A of this subpart.
(b) If a stainless steel NO2 to NO converter is used,
condition all new or replacement converters. The conditioning consists
of either purging the converter with air for a minimum of four hours or
until the converter efficiency is greater than 90 percent. The
converter must be at operational temperature while purging. Do not use
this procedure prior to checking converter efficiency on in-use
converters.
Sec. 90.324 Analyzer leakage check.
(a) Vacuum side leak check. (1) Check any location within the
analysis system where a vacuum leak could affect the test results.
(2) The maximum allowable leakage rate on the vacuum side is 0.5
percent of the in-use flow rate for the portion of the system being
checked. The analyzer flows and bypass flows may be used to estimate
the in-use flow rates.
(3) The sample probe and the connection between the sample probe
and valve V2, see Figure 2 in Appendix B of this subpart, may be
excluded from the leak check.
(b) Pressure side leak check. The maximum allowable leakage rate on
the pressure side is five percent of the in-use flow rate.
Sec. 90.325 Analyzer interference checks.
(a) Gases present in the exhaust other than the one being analyzed
can interfere with the reading in several ways. Positive interference
occurs in NDIR and PMD instruments when the interfering gas gives the
same effect as the gas being measured, but to a lesser degree. Negative
interference occurs in NDIR instruments by the interfering gas
broadening the absorption band of the measured gas, and in CLD
instruments by the interfering gas quenching the radiation. The
interference checks described in this section are to be made initially
and after any major repairs that could affect analyzer performance.
(b) CO analyzer water and CO2 interference checks. Bubble
through water at room temperature a CO2 span gas having a
concentration of between 80 percent and 100 percent inclusive of full
scale of the maximum operating range used during testing and record the
analyzer response. For dry measurements, this mixture may be introduced
into the sample system prior to the water trap. The analyzer response
must not be more than one percent of full scale for ranges equal to or
above 300 ppm or more than three ppm for ranges below 300 ppm.
(c) NOX analyzer quench check. The two gases of concern for
CLD (and HCLD) analyzers are CO2 and water vapor. Quench responses
to these two gases are proportional to their concentrations and,
therefore, require test techniques to determine quench at the highest
expected concentrations experienced during testing.
(1) NOX analyzer CO2 quench check. (i) Pass a CO2
span gas having a concentration of 80 percent to 100 percent of full
scale of the maximum operating range used during testing through the
CO2 NDIR analyzer and record the value ``a.''
(ii) Dilute the CO2 span gas approximately 50 percent with NO
span gas and pass through the CO2 NDIR and CLD (or HCLD). Record
the CO2 and NO values as ``b'' and ``c'' respectively.
(iii) Shut off the CO2 and pass only the NO span gas through
the CLD (or HCLD). Record the NO value as ``d.''
(iv) Calculate the percent CO2 quench as follows, not to
exceed three percent:
[GRAPHIC][TIFF OMITTED]TR03JY95.013
[[Page 34616]]
Where:
a=Undiluted CO2 concentration (percent)
b=Diluted CO2 concentration (percent)
c=Diluted NO concentration (ppm)
d=Undiluted NO concentration (ppm)
(2) NOX analyzer water quench check. (i) This check applies to
wet measurements only. An NO span gas having a concentration of 80
percent to 100 percent of full scale of a normal operating range is
passed through the CLD (or HCLD) and the response recorded as ``D''.
The NO span gas is then bubbled through water at room temperature and
passed through the CLD (or HCLD) and the analyzer's response recorded
as AR. Determine and record the analyzer's absolute operating pressure
and the bubbler water temperature. (It is important that the NO span
gas contains minimal NO2 concentration for this check. No
allowance for absorption of NO2 in water has been made in the
following quench calculations.)
(ii) Calculations for water quench must consider dilution of the NO
span gas with water vapor and scaling of the water vapor concentration
of the mixture to that expected during testing. Determine the mixture's
saturated vapor pressure (designated as Pwb) that corresponds to the
bubbler water temperature. Calculate the water concentration (``Z1'',
percent) in the mixture by the following equation:
[GRAPHIC][TIFF OMITTED]TR03JY95.014
where GP is the analyzer's standard operating pressure (pascals).
(iii) Calculate the expected dilute NO span gas and water vapor
mixture concentration (designated as D1) by the following equation:
[GRAPHIC][TIFF OMITTED]TR03JY95.015
Sec. 90.326 Pre- and post-test analyzer calibration.
Calibrate the range of each analyzer used during the engine exhaust
emission test prior to and after each test in accordance with the
following:
(a) Make the calibration by using a zero gas and a span gas. The
span gas value must be between 75 percent and 100 percent of full
scale, inclusive, of the measuring range.
(b) Use the same analyzer(s) flow rate and pressure as that used
during exhaust emission test sampling.
(c) Warm-up and stabilize the analyzer(s) before the calibration is
made.
(d) If necessary clean and/or replace filter elements before
calibration is made.
(e) Calibrate analyzer(s) as follows:
(1) Zero the analyzer using the appropriate zero gas. Adjust
analyzer zero if necessary. Zero reading should be stable.
(2) Span the analyzer using the appropriate span gas for the range
being calibrated. Adjust the analyzer to the calibration set point if
necessary.
(3) Re-check zero and span set points.
(4) If the response of the zero gas or span gas differs more than
one percent of full scale, then repeat paragraphs (e) (1) through (3)
of this section.
Sec. 90.327 Sampling system requirements.
(a) Sample component surface temperature. For sampling systems
which use heated components, use engineering judgment to locate the
coolest portion of each component (pump, sample line section, filters,
and so forth) in the heated portion of the sampling system that has a
separate source of power or heating element. Monitor the temperature at
that location. If several components are within an oven, then only the
surface temperature of the component with the largest thermal mass and
the oven temperature need be measured.
(b) If water is removed by condensation, monitor the sample gas
temperature or sample dew point either within the water trap or
downstream. It may not exceed 7 deg. C.
Sec. 90.328 Measurement equipment accuracy/calibration frequency
table.
(a) The accuracy of measurements must be such that the maximum
tolerances shown in Table 2 in Appendix A of this subpart are not
exceeded.
(b) All equipment and analyzers must be calibrated according to the
frequencies shown in Table 2 in Appendix A of this subpart.
(c) Prior to initial use and after major repairs, bench check each
analyzer (see Sec. 90.323).
(d) Calibrate equipment as specified in Sec. 90.306 and
Secs. 90.315 through 90.322.
(e) At least monthly, or after any maintenance which could alter
calibration, perform the following calibrations and checks.
(1) Leak check the vacuum side of the system (see Sec. 90.324(a)).
(2) Verify that the automatic data collection system (if used)
meets the requirements found in Table 2 in Appendix A of this subpart.
(3) Check the fuel flow measurement instrument to insure that the
specifications in Table 2 in Appendix A of this subpart are met.
(f) Verify that all NDIR analyzers meet the water rejection ratio
and the CO2 rejection ratio as specified in Sec. 90.325.
(g) Verify that the dynamometer test stand and power output
instrumentation meet the specifications in Table 2 in Appendix A of
this subpart.
Sec. 90.329 Catalyst thermal stress test.
(a) Oven characteristics. The oven used for thermally stressing the
test catalyst must be capable of maintaining a temperature of 500 deg.
C 5 deg. C and 1000 deg. C 10 deg. C.
(b) Evaluation gas composition. (1) A synthetic exhaust gas mixture
is used for evaluating the effect of thermal stress on catalyst
conversion efficiency.
(2) The synthetic exhaust gas mixture must have the following
composition:
------------------------------------------------------------------------
Parts
Constituent Volume per
percent million
------------------------------------------------------------------------
Carbon Monoxide...................................... 1 .......
Oxygen............................................... 1.3 .......
Carbon Dioxide....................................... 3.8 .......
Water Vapor.......................................... 10 .......
Sulfer dioxide....................................... ........ 20
Oxides of nitrogen................................... ........ 280
Hydrogen............................................. ........ 3500
Hydrocarbon*......................................... ........ 4000
[[Page 34617]]
Nitrogen = Balance
------------------------------------------------------------------------
* Propylene/propane ratio = 2/1.
Appendix A to Subpart D of Part 90--Tables
Table 1.--Symbols Used in Subpart D
------------------------------------------------------------------------
Symbol Term Unit
------------------------------------------------------------------------
CO Carbon monoxide.........................
CO2 Carbon dioxide..........................
NO Nitric oxide............................
NO2 Nitrogen dioxide........................
NOX Oxides of nitrogen......................
O2 Oxygen..................................
conc Concentration (ppm by volume)........... ppm
f Engine specific parameter considering
atmospheric conditions.
FFCB Fuel specific factor for the carbon
balance calculation.
FFD Fuel specific factor for exhaust flow
calculation on dry basis.
FFH Fuel specific factor representing the
hydrogen to carbon ratio.
FFW Fuel specific factor for exhaust flow
calculation on wet basis.
GAIRW Intake air mass flow rate on wet basis.. kg/h
GAIRD Intake air mass flow rate on dry basis.. kg/h
GEXHW Exhaust gas mass flow rate on wet basis. kg/h
GFuel Fuel mass flow rate..................... kg/h
H Absolute humidity (water content related gr/kg
to dry air).
i Subscript denoting an individual mode...
KH Humidity correction factor..............
L Percent torque related to maximum torque percent
for the test mode.
mass Pollutant mass flow..................... g/h
nd,i Engine speed (average at the i'th mode 1/min
during the cycle).
Ps Dry atmospheric pressure................ kPa
Pd Test ambient saturation vapor pressure kPa
at ambient temperature.
P Gross power output uncorrected.......... kW
PAUX Declared total power absorbed by kW
auxiliaries fitted for the test.
PM Maximum power measured at the test speed kW
under test conditions.
Pi Pi = PM,i + PAUX, i.....................
PB Total barometric pressure (average of kPa
the pre-test and post-test values).
Ra Relative humidity of the ambient air.... percent
T Absolute temperature at air inlet....... C
Tbe Air temperature after the charge air C
cooler (if applicable) (average).
Tclout Coolant temperature outlet (average).... C
TDd Absolute dew point temperature.......... C
Td,i Torque (average at the i'th mode during N-m
the cycle).
TSC Temperature of the intercooled air...... C
Tref. Reference temperature................... C
VEXHD Exhaust gas volume flow rate on dry m3/h
basis.
VAIRW Intake air volume flow rate on wet basis m3/h
PB Total barometric pressure............... kPa
VEXHW Exhaust gas volume flow rate on wet m3/h
basis.
WF Weighing factor.........................
WFE Effective weighing factor...............
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Table 2.--Measurement Calibration Accuracy and Frequency
----------------------------------------------------------------------------------------------------------------
Permissible deviation from reading
*
No. Item ------------------------------------ Calibration frequency
Non-idle Idle
----------------------------------------------------------------------------------------------------------------
1........... Engine speed........